Loading...
The URL can be used to link to this page
Your browser does not support the video tag.
Home
My WebLink
About
FULL PACKET_2014-11-18
MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA OCTOBER 21, 2014 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:08 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern (5:22 p.m.) ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None 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 5:08 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: 1. CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: CITY COUNCIL MINUTES 1 OCTOBER 21, 2014 1 0A -1 • JOINT ITEM — City of Santa Ana, Successor Agency and Housing Authority: Peebler vs. State of California Superior Court Case No. 34- 2012 - 80001172; Court of Appeal Case No. C073698 • JOINT ITEM — City of Santa Ana, Successor Agency and Housing Authority: Cuenca vs. State • JOINT ITEM — City of Santa Ana, Successor Agency and Housing Authority: City of Santa Ana vs. Ana Matosantos (DOF) Case No. 34- 2013 - 80001477 2. CONFERENCE WITH LEGAL COUNSEL — POTENTIAL INITIATION OF LITIGATION Significant exposure to litigation pursuant to paragraph (4) of subdivision (d) of Section 54956.9 of the Government Code: - One Case (Civil /Criminal Case). 3. LIABILITY CLAIMS pursuant to section 54956.95 of the Government Code: • Claim No. 2014 - 036 - Wawanesa Insurance as subrogee for Sandra Acosta 4. THREAT TO PUBLIC SERVICES OR FACILITIES — Pursuant to Government Code section 54957. • Consultation with: Santa Ana Police Department, Police Chief Rojas CLOSED SESSION REPORT - See Item 19A. for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 5:58 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 2 OCTOBER 21, 2014 1 0A -2 CALLED TO ORDER REGULAR OPEN MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:02 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO 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 ELIZABETH LAGUNA AND FRANCISCO LAGUNA, LOWELL ELEMENTARY SCHOOL BOB BARNETT, POLICE CHAPLAIN SPECIAL PRESENTATION by Orange County Vector Control on West Nile Virus Update CLOSED SESSION REPORT — City Attorney Carvalho, reported that by majority vote, staff was given direction at the October 7, 2014 Closed Session meeting to provide the Orange County District Attorney's Office 5 days to seek an Injunctive Relief Order on the Pulido Investigation Report and if not provided the City of Santa Ana would release the Report to the public; motion approved by a 5 -1 vote (Tinajero dissented and Pulido absent). Also, on the October 21, 2014 Closed Session matters include the settlement agreements as provided for in Agenda Item 19A. CITY COUNCIL MINUTES 3 OCTOBER 21, 2014 1 0A -3 COUNCIL AGENDA ITEM - (TAKEN OUT OF ORDER) 85AA. CONSIDERATION OF OPTIONS FOR ADDRESSING PROPOSED COUNTY OF ORANGE EMERGENCY SHELTER AND MULTI - SERVICE CENTER — (Councilmember Sarmiento) Councilmember Sarmiento noted for the record that matter placed on the Agenda at the previous City Council Meeting; at the request of members of the community; the City Council has previously approved 995 acres zoned as potential sites for homeless shelter pursuant to Senate Bill 2 (SB2); action by the City Council allowed the Orange County Board of Supervisors to consider said sites; once site selected outreach should have been provided; City and Council held one over the 4th of July weekend, had poor attendance and only property owners notified electronically; have recently met with various members of the Board of Supervisors; supports homeless shelter, but public engagement and outreach necessary; impacted area and school concerned; support moratorium that would allow for a pause. Councilmember Amezcua noted that she is a teacher at school affected; outreach lacking; collaboration between school district, county and city required. The following members of the public addressed the City Council on the matter: • Robin Cook, attended meetings held on the proposed shelter; suggested Building 16 in the Civic Center be considered as potential site; portable facilities already available. • John Palacios, representing the Santa Ana Unified School District, read letter of opposition sent to the County Board of Supervisors into the record. • Scott Barnard, proposed a Conditional Use Permit as part of the approval process; did not receive notice of hearings; County and City to work together and outline impacts to the community. • Stephen Monroe, land and property owner; concerned that shelter will exacerbate homeless population. • Heather Johnson, spoke on behalf of ACLU presented letter for the record; and requested the City Council issue a public statement affirming the right of the public to openly criticize and/or express views contrary to those of the council; provide training to ensure that the public's free speech rights to attend and participate in meetings are not unlawfully restricted; and, review any proposed revisions or amendments to rules of decorum to ensure that they pass constitutional muster. • Alicia Rojas, spoke in support of SB2 and proposed shelter home. • Charlie Cosuas, business owner on 1st Street and Grand Ave; concerned with misconduct by some homeless, opined that property devalued and bad for business. • John Moorlach, member of the County of Orange Board of Supervisors, stated that County not able to disclose site selection until negotiations complete; County committed to services; formed Commission to End Homelessness. CITY COUNCIL MINUTES 4 OCTOBER 21, 2014 1 0A -4 • James Brook, Director of Mercy House, deferred comments to the future. • Austin Drissen, Mercy House, deferred comments to the future. • Ben Benumof, attorney representing Safeco Company, concerned that CEQA has not been reviewed at proposed site and insufficient notice given for meeting held over the 4th of July weekend. • Patty McDonald, owner of Safeco Company, willing to work with City. • Irma Jauregui, collected data from May to present on gang activity and dangerous activity in the area; physicality of proposed area an issue. • Susana Sandoval, believe that S62 requires open space; proposed location is industrial area; adopt alternative site and support 45 -day moratorium; invited all to attend Community Forum on October 28th at Century High School. • Robyn Dague, property owner across the street from proposed site; environmental justice requires fair treatment of all; proposed alternative site; support moratorium. • Jose Rea, representative of Community United for Environmental Justice; invited all to attend upcoming forum on October 28th; delivered 1,200 signatures from residents opposed to proposed location. • Massimo Marini, representative of Homeless Roundtable; concerned with welfare of homeless. • Dora Lopez, representing Madison Park neighborhood association, concerned with proposed site; request County officials meet with community. • Jose Solorio, member of the Board of Trustees for Rancho Santiago Community College District, thanked Councilmember Sarmiento for agendizing matter and Supervisor Moorlach for attending meeting; request process slow down to analyze all options. • Lou Correa, State Senator, reflected on efforts at the State level to address mental health issues; member of the Mental Health Service Oversight and Accountability Commission; supports 45 -day moratorium; important for community to express perspective and opinions; address stigma; many are veterans; County seat has responsibility to address the matter and move forward with solution. Council discussion ensued. Councilmember Sarmiento, thanked the Santa Ana Unified School District for letter; would like the County to improve communication and mitigate issues at proposed site if we need to move forward with said property; draw consensus; City notified of proposed site in mid - summer; City Council approved zones, but not specific site; engagement and outreach lacked; motion to both of staffs recommendations to prepared a resolution requesting inter - agency cooperation and community involvement and a 45 -day emergency moratorium Mayor Pulido, supports motion. CITY COUNCIL MINUTES 5 1 0A -5 OCTOBER 21, 2014 City Attorney Carvalho, noted that County of Orange is extension of the State; may trump City ordinance; project obligated to comply with National Environmental Protection Act and CEQA; 45 -day moratorium would affect entire ordinance and apply to all sites; option would be symbolic and City Council would have to make the finding to approve moratorium. Councilmember Martinez, believes staff failed to include Building 16 in Civic Center Area as suitable site for homeless shelter; Supervisor Moorlach had supported location; request that site be included to allow the City Council to review all possible sites. Mayor Pro Tern Tinajero, remarked that responsible shelter needed; Sunshine Ordinance requires transparency; supports efforts by Councilmember Sarmiento Councilmember Amezcua, committed to addressing needs of the homeless; community concerns important. Councilmember Benavides, thanked community and leaders for addressing concerns; find solution and extend hand to vulnerable; supports motion on the table. Councilmember Reyna, supports motion; bring stakeholders to the table and collectively address the issues. Mayor Pulido, community united for environmental justice; balance compassion and sensitivity to the community; process needs to include open communication and involve all stakeholders; Orange County District 1 includes the cities of Garden Grove and Westminster that should also be considered as possible location sites. MOTION: Direct staff to prepare the following documents: • A resolution requesting inter - agency cooperation and community involvement - Establish a process for inter - agency cooperation between the City and the County, and that would establish a role for the involvement of the community in the further development of the emergency shelter. • An 45 -day emergency moratorium — Establish a 45 -day period of time during which the provisions of the City's previously adopted emergency shelter and transitional housing ordinance would be set aside in order for further study to be conducted, thereby prohibiting the establishment of new emergency shelters. This would, however, not apply to the County due to the preemption authority previously described. CITY COUNCIL MINUTES 6 OCTOBER 21, 2014 1 0A -6 MOTION: Sarmiento SECOND: Pulido VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) PRESENTATION - (TAKEN OUT OF ORDER) PROCLAMATION presented by COUNCILMEMBER MARTINEZ to Honorable Senator Lou Correa for his service to the Santa Ana Community and for his years of service in the California State Legislature. PUBLIC COMMENT (Agendized Items) • Tlya Tseglin, concerned with services provided relative to Agenda Items 25B and 25H. CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 31 EE as recommended by staff, with the following modifications: • Councilmember Martinez pulled Agenda Items 25E, 25AA, 2566, 25FF, 25JJ, 25KK for separate action. • City Manager Cavazos continued consideration of Agenda Item 25JJ to the November 18, 2014 City Council Meeting. • Councilmember Sarmiento abstained on Agenda Items 25HH, 31A and 31AA for potential economic interest. MOTION: Amezcua SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) CITY COUNCIL MINUTES 7 OCTOBER 21, 2014 1 0A -7 ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF SEPTEMBER 16, 2014 {Strategic Plan No. 5, 11 - Clerk of the Council Office MOTION: Approve Minutes. 10AA. MINUTES FROM THE REGULAR CITY COUNCIL MEETING HELD OCTOBER 7, 2014 (STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Approve Minutes. BOARDS / COMMISSIONS / COMMITTEES 13AA. APPOINT DIEGO A. GOMEZ TO THE ARTS & CULTURE COMMISSION, RECOMMENDED BY COUNCILMEMBER AMEZCUA AS THE WARD 3 REPRESENTATIVE FOR A PARTIAL TERM EXPIRING DECEMBER 6, 2016 (REPLACES C. SARMIENTO) {STRATEGIC PLAN NO. 5, 1) — Clerk of the Council Office MOTION: Appoint Diego A. Gomez to the Arts & Culture Commission (Ward 6 Resident). 1313B. MINUTES FROM THE LEGISLATIVE COUNCIL COMMITTEE HELD JANUARY 16, 2014 AND APRIL 18, 2014 {STRATEGIC PLAN NO. 5, 1) — City Manager's Office MOTION: Receive and file. FINAL TRACT MAP 17A. CERTIFICATION AND APPROVAL BY CITY ENGINEER— FINAL TRACT MAP NO. 17627, 1030 S. EUCLID STREET {Strategic Plan No. 3, 21 - Planning and Building Agency MOTION: Receive and file. CITY COUNCIL MINUTES 8 OCTOBER 21, 2014 1 0A -8 MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve settlement agreement. LIABILITY CLAIMS pursuant to section 54956.95 of the Government Code: Claim No. 2014 - 036 - Wawanesa Insurance as subrogee for Sandra Acosta in the amount of $6,433.80 (Approved by a 5 -0 vote in Closed Session with Tinajero and Sarmiento absent during deliberation of matter.) 19B. EXCUSED ABSENCES — NONE 19C. DESTRUCTION OF OBSOLETE CITY RECORDS {Strategic Plan No. 5, 11 — Finance and Management Agency and Police Department MOTION: Approve the requests for the destruction of obsolete records from City departments in accordance with the retention schedule outlined in City Council Resolution 2013 -014. 19D. STRATEGIC PLAN MONTHLY REPORT FOR AUGUST 2014 (Strategic Plan No. 5, 1) — City Manager's Office MOTION: Receive and file report. 19E. AUTHORIZATION TO FILE RECEIVERSHIP ACTIONS AGAINST OWNERS OF REAL PROPERTIES LOCATED AT 1221 N. HARBOR (AP 198 - 101 -1) AND 335 E. ADAMS (APN 016- 043 -19), SANTA ANA {Strategic Plan No. 3, 3) — City Attorney's Office MOTION: Authorize the City Attorney to engage special legal counsel, Silver and Wright, to file receivership actions against owners of the real properties located at 1221 N. Harbor and 335 E. Adams in the city of Santa Ana. 19AA. DESTRUCTION OF OBSOLETE CITY RECORDS {STRATEGIC PLAN NO. 5, 11 — Community Development Agency MOTION: Approve the requests for the destruction of obsolete records from City departments in accordance with the retention schedule outlined in City Council Resolution 2013 -014. CITY COUNCIL MINUTES 9 OCTOBER 21, 2014 1 0A -9 19BB. STRATEGIC PLAN MONTHLY REPORT FOR SEPTEMBER, 2014 {STRATEGIC PLAN NO. 5, 11 — City Manager's Office MOTION: Receive and file. BUDGETARY MATTERS SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. 22B 22AA. RM SPEC. NO. 11 -063 - HARDWARE SUPPLIES AND LUMBER {Strategic Plan No. 6, 2} - Finance & Management Services MOTION: Amend the contract with Home Depot for the purchase of hardware supplies and lumber by $38,000 for an annual amount not to exceed $98,000, subject to non - substantive changes approved by the City Manager and the City Attorney. SPEC. NO. 14 -058 - REPLACEMENT VEHICLES AND NEW BOBCAT SKID - STEER LOADER {Strategic Plan No. 6, 2} - Finance & Management Services MOTION: Award contracts to National Auto Fleet Group for the purchase of various replacement vehicles in an amount not to exceed $446,799, and Clark Equipment Company in an amount not to exceed $50,250, subject to non - substantive changes approved by the City Manager and City Attorney. SPEC. NO. 14 -053 - SAFETY GLOVES {STRATEGIC PLAN NO. 1, 5) - Finance & Management Services and Police Department MOTION: Award a contract to BRW Safety and Supply, Inc. for a one -year period, with provision for three one -year renewals, in the annual amount not to exceed $50,700, subject to non - substantive changes approved by the City Manager and City Attorney. SPEC. NO. 14 -054 - CISCO SMARTNET MAINTENANCE RENEWAL {STRATEGIC PLAN NO. 6, 11 - Finance & Management Services MOTION: Award a contract to Presidio for Cisco SMARTNET Maintenance Renewal in an amount not to exceed $49,500, subject to non - substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 10 OCTOBER 21, 2014 1 0A -10 22CC. SPEC. NO. 14 -059 - GPS FLEET TRACKING AND ENGINE DIAGNOSTIC UNITS AND MONITORING SERVICES {STRATEGIC PLAN NO. 6, 2} — Finance & Management Services MOTION: Award a contract to USA Fleet Solutions in an amount not to exceed $53,480, subject to non - substantive changes approved by the City Manager and City Attorney. 22DD. SPEC NO. 14 -063 - REPLACEMENT VEHICLES {STRATEGIC PLAN NO. 6,2} - Finance & Management Services MOTION: Award a contract to National Auto Fleet Group for the purchase of a maintenance stake bed truck in an amount not to exceed $70,485, and to Coastline Equipment for the purchase of a backhoe loader in an amount not to exceed $91,154, subject to non - substantive changes approved by the City Manager and City Attorney. 22EE. SPEC No. 14 -068 - EMERGENCY REPAIRS AT WATER WELL #28 {STRATEGIC PLAN NO. 6, 1C} - Finance & Management Services and Public Works Agency MOTION: Authorize payment to Process Solutions, Inc. to replace the chlorine - generating unit at Well # 28, located at 730 E. Memory Lane, in an amount not to exceed $72,000, subject to non - substantive changes approved by the City Manager and City Attorney. PROJECTSICHANGE ORDERS 23AA. AGREEMENT AMENDMENT FOR SCULPTURE DESIGN AND INSTALLATION — FLOWER STREET BIKE TRAIL GAP CLOSURE PROJECT (NO. 122620) {STRATEGIC PLAN NO. 5, 5, C} - Public Works Agency and Parks, Recreation & Community Services Agency MOTION: Approve an addendum to the contract agreement with Green Giant Landscape, Inc., for the Flower Street Bike Trail Gap Closure Project, to subcontract for the design, fabrication, and installation of a sculpture for the bike trail Trailhead Plaza at an estimated cost of $87,153. 23BB. AWARD CONTRACT FOR MAPLE BIKE TRAIL SAFETY ENHANCEMENTS AT OCCIDENTAL STREET, SAINT ANDREW PLACE AND SAINT GERTRUDE PLACE (PROJECT 136797) {STRATEGIC PLAN NO. 6, 1, B AND G} — Public Works Agency MOTION: CITY COUNCIL MINUTES 11 OCTOBER 21, 2014 1 0A -11 1. Award a contract to Palp, Inc., dba Excel Paving Company, the lowest responsible bidder, in accordance with the base bid, in the amount of $224,887, for the construction of the Maple Bike Trail Safety Enhancements at Occidental Street, Saint Andrew Place, and Saint Gertrude Place. 2. Approve the Cost Analysis for a total estimated project delivery cost of $262,754. AGREEMENTS 25A. AGMT NO. 2014 -234 - CIVIC CENTER JOINT POWERS AUTHORITY — AGREEMENT AMENDMENT AND RESTATEMENT BETWEEN THE CITY OF SANTA ANA AND THE COUNTY OF ORANGE {Strategic Plan No. 6, 1 b} — Parks, Recreation and Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment and restatement of the Civic Center Joint Powers Agreement between the City of Santa Ana and the County of Orange, for a period of ten years with ten year extensions upon mutual agreement from the effective date of the amendment and restatement, subject to non - substantive changes approved by the City Manager and the City Attorney. 25B. LAW ENFORCEMENT PSYCHOLOGICAL SERVICES {Strategic Plan No. 1, 3A) — Police Department MOTION: 1) AGMT NO. 2014 -235 - Authorize the City Manager and Clerk of the Council to execute an agreement with The Counseling Team International for a three -year period, in an amount not to exceed $65,000, subject to non - substantive changes approved by the City Manager and City Attorney. 2) AGMT NO. 2014 -236 - Authorize the City Manager and Clerk of the Council to execute an agreement with Eric Gruver, Ph.D. for a three - year period, in an amount not to exceed $15,000, subject to non - substantive changes approved by the City Manager and City Attorney. 25C. AGMT NO. 2014 -237 - ANNUAL MAINTENANCE AND SUPPORT OF POLICE DIGITAL IMAGING SYSTEM (DIMS) {Strategic Plan No. 1, 3A) — Police Department CITY COUNCIL MINUTES 12 OCTOBER 21, 2014 1 0A -12 MOTION: Authorize the City Manager and Clerk of the Council to execute a three -year agreement with Linear Systems in an amount not to exceed $90,000, terminating June 30, 2017, subject to non - substantive changes approved by the City Manager and City Attorney. 25D. AGMT NO. 2014 -238 - MAPPING SERVICES FOR POLICE DEPARTMENT {Strategic Plan No. 1, 3A) — Police Department 26P.' MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Environmental Systems Research Institute, Inc. (ESRI) for a one -year period in an amount not to exceed $7,844, subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Environmental Engineering & Contracting Inc., in an amount not to exceed $300,000, for a one -year period expiring October 31, 2015, subject to non - substantive changes approved by the City Manager and City Attorney MOTION: Martinez SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Sarmiento(1) 25F. AGMT NO. 2014 -240 - COMPLETION OF THE SAN LORENZO SEWER LIFT STATION PROJECT PLANS AND CONSTRUCTION SUPPORT SERVICES {Strategic Plan No. 6, 1, C) — Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Tetra Tech, Inc., for a three -year period expiring October 6, 2017, in an amount not to exceed $365,000., subject to non - substantive changes approved by the City Manager and City Attorney 25G. AGMT NO. 2014 -241 - SOFTWARE MANAGEMENT OF CITY'S CLAIMS SYSTEMS (Strategic Plan No. 7, 5 & 6) — Personnel Services Agency CITY COUNCIL MINUTES 13 OCTOBER 21, 2014 1 0A -13 25H. MOTION: Approve and authorize the City Manager and Clerk of the Council to execute an agreement with Ventiv Technology in an amount not to exceed $55,000, subject to non - substantive changes approved by the City Manager and City Attorney. Includes a provision for a one -year renewal option exercisable by not to exceed $55,000, a total of $110,000 for a two -year period. AGMT NO. 2014 -242 — SPECIAL LEGAL COUNSEL SERVICES — {Strategic Plan No. 4,1} — City Attorney's Office MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Colantuono, Highsmith & Whatley, PC. at the specified rates of $375.00 for Attorneys Michael G. Colantuono and Holly O. Whatley, $305.00 an hour for Attorney Charlie LaPlante and $245.00 an hour for Attorney Len Asianian. Paralegal work will be charged at a rate of $160.00 an hour, subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Authorize the City Manager and Clerk of the Council to execute the attached agreements with the below- referenced list of environmental firms to provide environmental services and related technical studies for the Planning & Building Agency at the fees set forth in their responses to Request for Qualifications in an aggregate amount not to exceed $1,500,000 for a period of three years, subject to non - substantive changes approved by the City Manager and City Attorney. AGMT NO. 2014 -243 AGMT NO. 2014 -244 AGMT NO. 2014 -245 AGMT NO. 2014 -246 AGMT NO. 2014 -247 AGMT NO. 2014 -248 AGMT NO. 2014 -249 AGMT NO. 2014 -250 AGMT NO. 2014 -251 AGMT NO. 2014 -252 AGMT NO. 2014 -253 AGMT NO. 2014 -254 AGMT NO. 2014 -255 AGMT NO. 2014 -256 Consultants: AECOM Bon Terra Psomas CAA Planning DKS Associates DUDEK Environmental Intelligence, LLC ESA First Carbon Solutions ICF International Kimley -Horn & Associates LSA Associates, Inc. PCR PlaceWorks Phil Martin & Associates, Inc. CITY COUNCIL MINUTES 14 OCTOBER 21, 2014 1 OA -14 AGMT NO. 2014 -257 AGMT NO. 2014 -258 AGMT NO. 2014 -259 AGMT NO. 2014 -260 AGMT NO. 2014 -261 AGMT NO. 2014 -262 AGMT NO. 2014 -263 AGMT NO. 2014 -264 AGMT NO. 2014 -265 MOTION: Martinez VOTE: AYES: NOES: ABSTAIN ABSENT: 2$B8, PMC RBF Consulting Rincon Consultants, Inc. Stantec T &B Planning Templeton Planning Group UltraSystems Environmental, Inc. URS Corporation Americas Wieland Acoustics, Inc. SECOND: Reyna Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) MOTION: Authorize the City Manager and the Clerk of the Council to execute an agreement with John Kaliski Architects in an amount not to exceed $40,000 for a period of three years, 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) 25CC. AGMT NO. 2014 -267 — CONTRACTED ENVIRONMENTAL SERVICES AND RELATED TECHNICAL STUDIES FOR THE HARBOR CORRIDOR SPECIFIC PLAN {STRATEGIC PLAN NOS. 3, 2 & 5, 3) - Planning and Building Agency CITY COUNCIL MINUTES 15 OCTOBER 21, 2014 1 0A -15 MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with PlaceWorks to prepare an Environmental Impact Report for a period no longer than six months for an additional amount of $13,240 not to exceed a total contracted amount of $175,374, subject to non - substantive changes approved by the City Manager and City Attorney. 25DD. AGMT NO. 2014 -268 — ENERGY AND SUSTAINABILITY CONSULTING SERVICES {STRATEGIC PLAN NO. 5,2A) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with Mariann Long and Associates, subject to non - substantive changes approved by the City Manager and City Attorney, to increase compensation by an amount not to exceed $26,040, for a total agreement amount of $381,545; transfer $17,822.50 in unused funds in the original agreement from Task 2A to Task 2133; and extend the term to December 31, 2015. 25EE. AGMT NO. 2014 -269 — ON -CALL BUILDING INSPECTIONS SERVICES {STRATEGIC PLAN NOS. 3, 3 & 3, 5) - Planning and Building Agency 25FF.; MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with J Lee Engineering, Inc. for a period no longer than three years and within the previously agreed amount of $500,000 (aggregate), subject to non - substantive changes approved by the City Manager and City Attorney. Councilmember Martinez concerned with length of project and proposed six - month turn around. MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with IBI Group, for a period no longer than one year for an additional amount of $33,000 not to exceed a total contracted amount of $533,000, 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) CITY COUNCIL MINUTES 16 OCTOBER 21, 2014 1 0A -16 ABSTAIN: None (0) ABSENT: None (0) 25GG. AGMT NO. 2014 -271 — LANDSCAPE SERVICES IN DISTRICT FOUR (STRATEGIC PLAN NO. 6, 1B) - Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with Mariposa Landscape, increasing the compensation by $179,502, which includes a 10% contingency, to an amount not -to- exceed $1,155,665, for a period from November 16, 2014 to January 31, 2015, subject to non - substantive changes approved by the City Manager and the City Attorney. 25HH. AGMT NO. 2014 -272 — BRISTOL STREET IMPROVEMENTS PURCHASE AGREEMENT — 1421 N. BRISTOL ST. (APN 405 - 252 -18), (PROJECT NO. 116740 NON - GENERAL FUND) {STRATEGIC PLAN NO. 6, 1G; & 3, 2C) — Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a purchase agreement with John R. Christensen and Antonette L. Christensen, husband and wife, as joint tenants of the property located at 1421 North Bristol Street (APN 405 - 252 -18), in the amount of $425,000, for the full purchase price for said real property and goodwill (if any), subject to non - substantive changes approved by the City Manager and City Attorney. 'Councilmember Sarmiento abstained on Agenda Item 25HH due to conflict of interest. 2511. AGMT NO. 2014 -273 — DESIGN -BUILD SERVICES TO PROVIDE SITE IMPROVEMENTS FOR A NEW PROPANE FUELING STATION AT THE SANTA ANA CORPORATE YARD {STRATEGIC PLAN NO. 5, 2) — Finance and Management Services MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Fleming Environmental, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, in an amount of $155,229, plus a 15 percent contingency of $23,284 25JJ. AMENDMENT - GRANT WRITING SERVICES (STRATEGIC PLAN NOS. 4,1 & 5,2) — Finance and Management Services CITY COUNCIL MINUTES 17 OCTOBER 21, 2014 1 0A -17 MOTION: Continue consideration of matter to the November 18, 2014 City Council Meeting, at the request of the City Manager. MOTION: Benavides SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) MOTION: Authorize the City Manager and Clerk of the Council to execute a two -year agreement with a one -year optional renewal exercisable by the City, with Selectron Technologies, Inc., for: 1) system installation with one - year warranty and two additional years of maintenance in an amount not to exceed $232,680, and 2) an additional contingency in the amount of $95,000 to expand implementation, subject to non - substantive changes by the City Attorney and City Manager. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Sarmiento Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) LAND USE MATTERS CONDITIONAL USE PERMITIVARIANCES 31 A. CONDITIONAL USE PERMIT NO. 2014 -21 TO ALLOW A TYPE 47 ALCOHOL BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2014 -22 TO ALLOW AFTER -HOURS OPERATION UNTIL 2:00 A.M., AND CITY COUNCIL MINUTES 18 OCTOBER 21, 2014 1 0A -18 CONDITIONAL USE PERMIT 2014 -23 TO ALLOW A BANQUET USE AT EAT CHOW RESTAURANT LOCATED AT 313 NORTH BUSH STREET - BRIAN MCREYNOLDS, APPLICANT {Strategic Plan No. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on September 8, 2014 by a vote of 7 -0. MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -21, Conditional Use Permit No. 2014 -22 conditioned, and Conditional Use Permit No. 2014 -23 as conditioned. *Councilmember Sarmiento abstained on Agenda Item 31A due to conflict of interest. 31 AA. CONDITIONAL USE PERMIT NO. 2013 -43 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 2013 -44 TO ALLOW AFTER -HOURS OPERATION UNTIL 2:00 A.M. AT YOJIE JAPANESE FONDUE RESTAURANT AT 305 NORTH SPURGEON STREET - LAMSON NGUYEN, APPLICANT {STRATEGIC PLAN NOS. 3, 2 & 3, 4) - Planning and Building Agency Planning Commission approved recommended action on September 2, 2014 by a vote of 6 -0. (Alderte absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -43 and Conditional Use Permit No. 2014 -44 as conditioned. *Councilmember Sarmiento abstained on Agenda Item 31AA due to conflict of interest. 31 BB CONDITIONAL USE PERMIT NO. 2014 -19 TO ALLOW A TYPE 23 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR NETWORK BREWERY AT 1824 EAST CARNEGIE AVENUE - BRIAN ANDERSON, APPLICANT (STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on September 22, 2014 by a vote of 6 -0. (Alderte absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -19 as conditioned. 31 CC. CONDITIONAL USE PERMIT NO. 2014 -32 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR DOG HAUS RESTAURANT LOCATED AT 2800 NORTH MAIN STREET, UNIT 197 - CITY COUNCIL MINUTES 19 OCTOBER 21, 2014 1 0A -19 SHOGHIG YEPREMIAN, APPLICANT (STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on September 22, 2014 by a vote of 6 -0. (Alderte absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -32. 31 DD. CONDITIONAL USE PERMIT NO. 2014 -36 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR PANINI CAFE TO BE LOCATED AT 2800 NORTH MAIN STREET, UNIT 1180 - GREGG BERWIN, APPLICANT {STRATEGIC PLAN NO. 3, 21 - Planning and Building Agency Planning Commission approved recommended action on September 22, 2014 by a vote of 6 -0. (Alderte absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -36. 31 EE. REGIONAL PLANNED SIGN PROGRAM NO. 2014 -02 TO ALLOW A DIGITAL READER BOARD SIGN FOR THE KIA/TOM'S TRUCKS DEALERSHIP AT 909 NORTH GRAND AVENUE - GEORGE SAELZLER, APPLICANT {STRATEGIC PLAN NO. 3,2) Planning Commission approved recommended action on September 22, 2014 by a vote of 6 -0. (Alderte absent). MOTION: Receive and file the staff report approving Regional Planned Sign Program No. 2014 -02 as conditioned. * *END OF CONSENT CALENDAR ** BUSINESS CALENDAR ITEMS RESOLUTIONS 55A. RESOLUTION - YOUTH SPORTS SCHOLARSHIP AND DEFERRED MAINTENANCE PROGRAM {Strategic Plan No. 2, 2F) - Parks, Recreation and Community Services Agency The following speakers address the City Council on the matter: CITY COUNCIL MINUTES 20 OCTOBER 21, 2014 1 OA -20 • Pedro Magallon, concerned that $50,000 not sufficient for replacement of synthetic turf; City Council to reconsider amount allocated. • Rick Neidermeyer, spoke in support of Police Department and also concerned that funds insufficient. Executive Director of Parks, Recreation and Community Services Gerardo Mouet, noted that $50,000 will be used in combination with other funds allocated for turf replacement. Also, spoke of the City's scholarship program. Councilmember Martinez, indicated that PREY Committee to review the guidelines on distribution of funds and not to change the distribution of funds. Councilmember Reyna, noted that CDBG funds will now allow non - profit organizations to compete for social funds. Councilmember Sarmiento, in lieu funds are available in the amount of $450,000; concerned that PREY Committee was to develop guidelines for scholarship program and not address maintenance issue. Councilmember Benavides, supports recommendation that will provide scholarships and improve facilities. Councilmember Reyna, stated that maintenance important. Mayor Pro Tem Tinajero, supports after school programs; meet the needs of children and improve turf. Councilmember Amezcua, supports recommendation. Mayor Pulido, important to develop mechanism to assist youth in our community. MOTION: Adopt a resolution. RESOLUTION NO. 2014 -061 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE RECOMMENDATION TO DEVELOP AND IMPLEMENT A YOUTH SPORTS SCHOLARSHIP PROGRAM AND ADVANCING DEFERRED MAINTENANCE PROJECTS ON CITY PARKS MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: CITY COUNCIL MINUTES SECOND: Reyna Amezcua, Benavides, Reyna, Tinajero (4) Martinez, Pulido, Sarmiento (3) None (0) None (0) 21 1 OA -21 OCTOBER 21, 2014 55AA. EXTENSION OF VARIANCE NO. 2012 -07 TO ALLOW THE CONSTRUCTION OF A NEW COMMERCIAL BUILDING AT 2702 NORTH BRISTOL STREET {STRATEGIC PLAN NO. 3, 21 - Planning and Building Agency MOTION: Adopt a resolution. RESOLUTION NO. 2014 -062 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FOR THE EXTENSION OF VARIANCE NO. 2012- 07 FOR ONE YEAR FOR THE PROPERTY LOCATED AT 2702 NORTH BRISTOL STREET MOTION: Benavides SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 55BB. RESOLUTION ESTABLISHING FEES, AND APPROPRIATION ADJUSTMENT RECOGNIZING JAIL PROGRAM REVENUE {STRATEGIC PLAN NO. 1, 4A) - Police Department MOTION: 1. Adopt a resolution. RESOLUTION NO. 2014 -063 — A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING PAY -TO -STAY AND ADMINISTRATIVE BOOKING FEES 2. Approve an appropriation adjustment. (Requires rive affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -064 - Recognizing $100,375 in Jail Pay to Stay program revenue in the General Fund revenue account (nos. 01114002 53411) and appropriate same to expenditure account (no. 01114420 61040). MOTION: Benavides VOTE: AYES SECOND: Sarmiento Amezcua, Benavides, Martinez, Pulido, Sarmiento, Tinajero (6) CITY COUNCIL MINUTES 22 OCTOBER 21, 2014 1 OA -22 55CC. NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna (1) ADOPT A RESOLUTION APPROVING THE SEWER SYSTEM MANAGEMENT PLAN 2014 UPDATE {STRATEGIC PLAN NO. 6, 1, C} - Public Works Agency MOTION: Adopt a resolution. RESOLUTION NO. 2014 -064 — A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE SEWER SYSTEM MANAGEMENT PLAN AND DESIGNATING THE LEGALLY RESPONSIBLE OFFICIAL FOR REPORTING SANITARY SEWER SYSTEM OVERFLOWS MOTION: Amezcua SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna (1) 55DD. ABANDONMENT NO. 14 -01 -S TO SUMMARILY VACATE CUSTER STREET RIGHT -OF -WAY NORTH OF WASHINGTON AVENUE {STRATEGIC PLAN NO. 3, 2) - Public Works Age MOTION: 1. Adopt a resolution. RESOLUTION NO. 2014 -065 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO SUMMARILY VACATE A PORTION OF CUSTER STREET RIGHT -OF -WAY NORTH OF WASHINGTON AVENUE (ABANDONMENT NO. 2014 -01 -S) 2. AGMT NO. 2014 -275 - Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to execute an agreement for the sale of the City's fee interest in the excess right -of -way to Naser Kianfard and Marjan Harid, Trustees of the 2005 Naser Kianfard and Marjan Harid Revocable Trust dated January 20, 2005, for $2,500.00. CITY COUNCIL MINUTES 23 OCTOBER 21, 2014 1 OA -23 MOTION: Tinajero SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna (1) 55EE. RESOLUTION SUPPORTING CALIFORNIA PROPOSITION 1, THE WATER QUALITY, SUPPLY AND INFRASTRUCTURE IMPROVEMENT ACT OF 2014 {STRATEGIC PLAN NO. 5, 2; AND 5, 61 - Public Works Age MOTION: Adopt a resolution. RESOLUTION NO. 2014 -066 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA SUPPORTING PROPOSITION 1 THE WATER QUALITY, SUPPLY AND INFRASTRUCTURE IMPROVEMENT ACT OF 2014 MOTION: Tinajero SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna(1) 55FF. DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT DISTRICT — INTENT TO LEVY ASSESSMENT FOR 2015 {STRATEGIC PLAN NO. 3, 4F) - Community Development Agency MOTION: Adopt a resolution. RESOLUTION NO. 2014 -067 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DECLARING ITS INTENTION TO LEVY AN ASSESSMENT FOR THE DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT AREA FOR THE YEAR 2015 MOTION: Benavides SECOND: Tinajero CITY COUNCIL MINUTES 24 1 OA -24 OCTOBER 21, 2014 VOTE: AYES: Amezcua, Benavides, Reyna, Tinajero (4) NOES: None (0) ABSTAIN: Martinez, Pulido, Sarmiento (3) ABSENT: None (0) 55GG. RESOLUTION MAKING FINDINGS RELATED TO APPROVAL OF THE SECOND AMENDMENT TO ORANGE COUNTY FIRE AUTHORITY (OCFA) JOINT POWERS AUTHORITY AGREEMENT {STRATEGIC PLAN NO. 6, 1 B) — City Manager's Office MOTION: Adopt a resolution. RESOLUTION NO. 2014 -068 - A RESOLUTION OF THE SANTA ANA CITY COUNCIL MAKING FINDINGS RELATED TO THE CITY'S PRIOR APPROVAL OF THE SECOND AMENDMENT TO THE AMENDED ORANGE COUNTY FIRE AUTHORITY'S JOINT POWERS AUTHORITY AGREEMENT MOTION: Reyna VOTE: AYES: NOES: ABSTAIN ABSENT: PUBLIC HEARINGS SECOND: Amezcua Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) 75A. CONTINUED PUBLIC HEARING - ENVIRONMENTAL IMPACT REPORT NO. 2014 -01, GENERAL PLAN AMENDMENT NO. 2014 -02, ZONING ORDINANCE AMENDMENT NO. 2014 -01 AND AMENDMENT APPLICATION NO. 2014 -02 FOR THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (Strategic Plan No. 3, 2; 5, 3 and 41 - Planning and Building Agency Planning Commission approved recommended action on August 25, 2014 by a vote of 7 -0 Legal Notice published in the Orange County Reporter on September 5, 2014; the Nguoi Viet on September 10, 2014; and the La Opinion on September 11, 2014. Notices were mailed out September 5, 2014. CITY COUNCIL MINUTES 25 OCTOBER 21, 2014 1 OA -25 Interim Executive Director of Planning and Building, Karen Haluza presented staff report. Council Direction: • On September 16, 2014 the City Council directed staff to revise the plan to achieve the following objectives: • Ensure more intense development in Transit Node districts — especially at Harbor and Westminster. • Ensure that the preponderance of development in Transit Nodes be more commercial than residential. • Address street section designs to provide a full range of multi -modal options. Recommended Revisions Development Standards • Raise minimum number of building stories from three to four and increase the maximum allowed stories from six to 10 in North Transit Node. • Remove three -story building types, such as townhouses, as permitted types, and prohibit stand -alone residential development in the North Transit Node. • Remove frontage types, such as stoops and porches, as permitted types to ensure a commercial character at the ground level. • Require that all ground floor uses be non - residential. Where residential is proposed, it must be part of a mixed -use project. Development Standards • Building Type & Form Not Permitted in • North Transit Node • Rowhouse • Tuck -Under • Live/Work (3 Story) • Frontage Types Removed • Frontyard /Porch • Stoop • Frontage Types Allowed • Forecourt • Shop Front • Gallery • Arcade Proposed New Development 1206 N. Harbor — C &C Development • 7.6 acres • 110 units — combination of 3 -story small lot detached and mixed -use. 520 S. Harbor — C &C Development • acres • 35 units — 3 -story small lot detached. 1010 S. Harbor — City Ventures CITY COUNCIL MINUTES 26 OCTOBER 21, 2014 1 OA -26 3.9 acres • 73 units — combination of 3 -story small lot detached and mixed -use. Discussion of Housing Development Cap • Maximum development potential is 1,726 — 4,623 housing units and 1,968,000 non - residential square feet. • Housing Element requires that enough land be zoned to provide for residential development to meet Residential Housing Needs Allocation (RHNA) — 405 units. • Parcels identified in the Corridor district (see Figure 7 -2) can satisfy this requirement. • North Transit Node could be capped for residential development without affecting the City's RHNA obligation. • North Transit Node has the potential to expand its commercial market share by up to 1 '/2 miles. • Capping residential development in the North Transit Node would emphasize the desire for commercial development, but would also limit the creation of households to support new retail development, and limit flexibility. • Housing development in the Corridor and remaining two Transit Nodes would need to be preserved in order to better focus commercial development at North Transit Node. • If capped, staff would recommend a cap of no less than 500 units in the North Transit Node. City Council opened and closed the Hearing on September 16, 2104 and continued deliberation of matter by a 7 -0 vote The following speakers addressed the City Council on the matter: • Steve McGuigan, president of the Riverview Neighborhood Association, spoke in support of bicycle lanes, concerned with shared lanes as proposed and 10 -floor buildings. • Lynette Guzman, read story of Maribel of Kidworks on Harbor Blvd. Corridor, advocate for safe, protective bike lanes. • Peter Katz, spoke in support of developing Harbor Blvd. and maximize area that is not suitable for housing. • Gilad Salmon, concerned with buffer bike lanes inadequate in protecting bikers; also, concerned that site selection of homeless shelter excluded community input. • David Villanueva, concerned with security check at tonight's Council meeting; noted that businesses along Harbor Blvd. not in support of proposed Plan. • Marina Ramirez, representative of the Active Streets Coalition, supports open dialogue and amended plan. Mayor Pulido, proposed friendly amendment to motion to limit 2,000 apartments and require City Council approval to exceed amount; also, height limitation. CITY COUNCIL MINUTES 27 1 OA -27 OCTOBER 21, 2014 Councilmember Martinez, thanked staff for engaging community on Active Transportation issues and place making; highlight the changes recommended. Interim Executive Director Haluza noted that development in the nodes be more commercial rather than residential and multi modal transportation available. COUNCIL RECESSED AT 9:15 P.M. AND RECONVENED AT 9:31 P.M. WITH SAME MEMBERS PRESENT PUBLIC COMMENTS - (TAKEN OUT OF ORDER) • Isaac Michaca, spoke on rules of decorum and cancellation of last City Council meeting; concerned with proposal to move the public comments to the end of the meeting. • Alitzel Velasco, concerned with wanding at Council Meeting; opposed to moving public comments at the end of the meeting; supports freedom of expression and First Amendment Rights. • Araceli Robles, concurred with previous speakers; opposed to criminalization of youth. City Council continued deliberation on Agenda Item 75A. Interim Executive Director Haluza concluded her presentation Mayor Pulido, asked if 2,000 units cap, would be sufficient to meet the State Housing Element. Councilmember Martinez asked for clarification on on- street parking and bike lanes. Interim Director Haluza integrated future design recommendations from Active Transportation Coordinator and reviewed different options. Councilmember Sarmiento, apologized to applicants for delaying approval of Plan; supports friendly amendment to motion to cap at 6 stories although at certain nodes perhaps 10 stories may be reasonable, but need to be flexible; layered residential on top of already allowed commercial — layered approach sustainable. Councilmember Benavides, stated that economic development to draw investments and look at steps needed to proactively seek investment. MOTION: 1) Adopt resolutions with amendments as proposed. A) RESOLUTION NO. 2014 -069 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CERTIFYING FINAL CITY COUNCIL MINUTES 28 OCTOBER 21, 2014 1 OA -28 ENVIRONMENTAL IMPACT REPORT NO. 2014 -01, AND APPROVING MITIGATION MONITORING AND REPORTING PROGRAM, CEQA FINDINGS OF FACT, AND STATEMENT OF OVERRIDING CONSIDERATIONS PREPARED FOR THE PROPOSED HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (SP -2) B) RESOLUTION NO. 2014 -070 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING THE LAND USE ELEMENT AND URBAN DESIGN ELEMENT OF THE GENERAL PLAN OF THE CITY OF SANTA ANA TO CHANGE THE LAND USE DESIGNATIONS IN THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (SP -2) TO DISTRICT CENTER (DC) OR URBAN NEIGHBORHOOD (UN) (GPA NO. 2014 -02) 2) Place ordinances on first reading and authorize publication of titles. A) ORDINANCE NO. NS -2871 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC PLAN NO. 2 OF THE SANTA ANA MUNICIPAL CODE (SP -2) AND ADOPTING THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (ZOA 2014 -01) B) ORDINANCE NO. NS -2872 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADDING CERTAIN PROPERTIES TO THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (SP -2) BOUNDARIES; AND, REMOVING CERTAIN PROPERTIES FROM THE SP -2 ZONING DESIGNATION AND CHANGING THE ZONING FOR THOSE REMOVED PROPERTIES (AA NO. 2014 -01) MOTION: Reyna SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 75AA. PUBLIC HEARING — RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY AT 1319 NORTH BRISTOL STREET (PROJECT NO. 116740 NON - GENERAL FUND) {STRATEGIC PLAN NOS. 6, 1G & 3, 2C) — Public Works Agency Notice of Hearing letter regarding acquisition of real property by eminent domain mailed to property owners on October 1, 2014. CITY COUNCIL MINUTES 29 OCTOBER 21, 2014 1 OA -29 Mayor Pulido, opened the Public Hearing. There were no speakers and he closed the Hearing. MOTION: Adopt a resolution. RESOLUTION NO. 2014 -071 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF CERTAIN REAL PROPERTY LOCATED WITHIN THE CITY OF SANTA ANA LOCATED AT 1319 N. BRISTOL STREET (APN 405 - 272 -14) MOTION: Tinajero SECOND: Reyna VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Tinajero (6) NOES: None (0) ABSTAIN: Sarmiento (1) ABSENT: None (0) 75BB. PUBLIC HEARING — RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY AT 1321 NORTH BRISTOL STREET (PROJECT NO. 116740 NON - GENERAL FUND) {STRATEGIC PLAN NOS. 6, 1G & 3, 2C) — Public Works Agency Notice of Hearing letter regarding acquisition of real property by eminent domain mailed to property owners on October 1, 2014. Mayor Pulido, opened the Public Hearing. There were no speakers and he closed the Hearing. MOTION: Adopt a resolution. RESOLUTION NO. 2014 -072 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF CERTAIN REAL PROPERTY LOCATED WITHIN THE CITY OF SANTA ANA LOCATED AT 1321 N. BRISTOL STREET (APN 405 - 272 -15) MOTION: Tinajero SECOND: Reyna VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Tinajero (6) CITY COUNCIL MINUTES 30 OCTOBER 21, 2014 1 OA -30 NOES: None (0) ABSTAIN: Sarmiento (1) ABSENT: None (0) 75CC. PUBLIC HEARING — RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY AT 1429 NORTH BRISTOL STREET (PROJECT NO. 116740 NON - GENERAL FUND) (STRATEGIC PLAN NOS. 6, 1G & 3, 2C) — Public Works Agency Notice of Hearing letter regarding acquisition of real property by eminent domain mailed to property owners on October 1, 2014. Mayor Pulido, opened the Public Hearing. There were no speakers and he closed the Hearing. MOTION: Adopt a resolution. RESOLUTION NO. 2014 -073 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF CERTAIN REAL PROPERTY LOCATED WITHIN THE CITY OF SANTA ANA LOCATED AT 1429 N. BRISTOL STREET (APN 405 - 252 -19) MOTION: Tinajero SECOND: Reyna VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Tinajero (6) NOES: None (0) ABSTAIN: Sarmiento(1) ABSENT: None (0) 75DD. PUBLIC HEARING — RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY AT 1601 NORTH BRISTOL STREET (PROJECT NO. 116740 NON - GENERAL FUND) (STRATEGIC PLAN NOS. 6, 1G & 3,2C) Notice of Hearing letter regarding acquisition of real property by eminent domain mailed to property owners on October 1, 2014. Mayor Pulido, opened the Public Hearing. There were no speakers and he closed the Hearing. CITY COUNCIL MINUTES 31 OCTOBER 21, 2014 1 OA -31 MOTION: Adopt a resolution. RESOLUTION NO. 2014 -074- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF CERTAIN REAL PROPERTY LOCATED WITHIN THE CITY OF SANTA ANA LOCATED AT 1601 N. BRISTOL STREET (APN 405 - 252 -21) MOTION: Benavides SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Tinajero (6) NOES: None (0) ABSTAIN: Sarmiento(1) ABSENT: None (0) COUNCIL AGENDA ITEMS Pursuant to Santa Ana Charter Section 411, any member of the City Council may place items on the City Council Agenda to be considered by the City Council. 85A. APPROVE RESOLUTION IN SUPPORT OF EXERCISING PROSECUTORIAL DISCRETION TO INDIVIDUALS WITH NO SERIOUS CRIMINAL HISTORY — (Councilmembers Benavides, Amezcua and Reyna) • Samuel Sixtos, opined that Orange County Sherriff's Department violated his rights turned over to ICE; thanked Councilmember Benavides for support; opined that Sherrill violated the Trust Act; supports continuing item. • Carlos Perea, spoke on behalf of Alexis Teodoro, expressed support for proposed resolution. Councilmember Benavides, indicated that City Council will be considering resolution in the future; larger overarching issue that the State is addressing; direct City Attorney to look at broader resolution. MOTION: Continue consideration of matter to the future. MOTION: Benavides SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) CITY COUNCIL MINUTES 32 OCTOBER 21, 2014 1 OA -32 ABSTAIN: None (0) ABSENT: None (0) RECESSED THE CITY COUNCIL MEETING AT 9:58 P.M. AND CONVENE THE HOUSING AUTHORITY AND SUCCESSOR AGENCY MEETINGS; THE CITY COUNCIL MEETING RECONVENED AT 10:00 P.M. WITH SAME MEMBERS PRESENT COMMENTS PUBLIC COMMENTS (Non - Agendized Matters) Carl Benninger, spoke in support of the Police Department. Steve McGuigan, congratulated Gloria Perez, Police Service Officer for the Police Department on her retirement; spoke on need to address decorum rules. • Connie Hamilton, necessary to have order at Council Meetings; thanked the police department for protecting the City. Dylan Thompson, opined that police support is somewhere in the middle and read statement from former Police Chief on challenges in dealing with community groups. • Madeleine Spencer, concerned with Measure AA as proposed by the City. Peter Katz, thanked Mayor Pulido for attending Great Park event signing ceremony for Veteran Cemetery with Governor Brown. Hermelindo Saldana, opposed to proposed rules of decorum; public meetings to remain open to all; civic participation and accountability important. Apolonio Cortez, opposed to Agenda Item 50A as proposed in October 7, 2014 City Council agenda packet. Ilya Tseglin, important to have social services and police protection. Magdalena Saldana, thanked Councilmember Benavides for supporting Samuel Sixto. Miriam Lopez, decorum needed; protect First Amendment rights; opposed to having public comments at the end of the Council Meetings — encourage civic participation. Alondra Campos, member of SACReD, opposed to proposed rules of decorum; civic participation should be encouraged; also ADA accommodations required in the Council Chamber. Joese Hernandez, disappointed that last City Council meeting cancelled; freedom of speech essential. Thomas Anthony Gordon, spoke in favor of the Police Department; opined that respect earned and not given; decorum is a process; people's business considered by the City Council. Debbie McEwen, expressed support for the Police Department; encouraged the City Council to move forward and approve the resolution and ordinance on decorum as proposed in the October 7, 2014 City Council agenda packet. Robin Cook, reported that rules of decorum included in the back of the Speaker Cards. CITY COUNCIL MINUTES 33 OCTOBER 21, 2014 1 OA -33 1 M: CITY MANAGER'S COMMENTS Thanked the Police Department and staff for orderly conduct of meeting; and Announced that City hosting Budget Outreach meeting on October 29th at 6 p.m. in the Council Chamber; invited all members of the community. CITY COUNCILMEMBER COMMENTS Councilmember Amezcua: • Expressed need for rules of decorum. Councilmember Reyna: • Emphasized need to conserve water; • Informed that Willard Intermediate School has synthetic turf; City need to protect against elements; • Notified that Founders Day will be celebrated on October 25th; • Announced that City have flag raising event on Ross and Civic Center Plaza on a monthly basis; • Request that Vector Control representative communicate with the City Council on all future announcements; • Encourage all to vote on November 4, 2014; and • Encouraged all to shop in Santa Ana. Councilmember Benavides: • Asked all to exercise right to vote on Election Day. Councilmember Martinez: • Thanked Parks, Recreation and Community Services Agency for successful SOMOS event; • City committed to reduce bicycle and pedestrian fatality; • Wished all a happy and safe Halloween; • Asked all to vote; • Freedom of speech encouraged in an orderly manner; and • Supports public comments at the beginning of the meeting. Councilmember Sarmiento: • City hosting a Water Forum on October 30th at 6:00 p.m. in the Council Chamber — encouraged all to attend; • Commented on need to designated area for people with disabilities in the Council Chamber; and • Thanked staff for orderly conduct of meeting — safety of paramount concern; provided copy of US Constitution to elected officials. Mayor Pro Tern Tinajero: • Kudos to staff on professionalism and managing of tonight's meeting; CITY COUNCIL MINUTES 34 OCTOBER 21, 2014 1 OA -34 • Reflected on safety precautions because knife found at the previous City Council meeting; noted that all speakers have right to speak and address the City Council; need to respect all. Mayor Pulido: • Important for community to work with Police Department; • Encouraged all to attend the Day of the Dead event on Saturday, November 1st in Downtown Santa Ana. • Urged all to vote on November 4th — fundamental right of citizens. Councilmember Martinez left the meeting at 11:16 pm. and did not return. ADJOURNED - 11:19 P.M. - The next meeting of the City Council is scheduled for Tuesday, November 18, 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. Adjourn in Memory of Vic Braden Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Solar Permit Fee Waiver • Proactive Rental Enforcement Program Renewal CITY COUNCIL MINUTES 35 OCTOBER 21, 2014 1 OA -35 1 OA -36 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMER18, 2014 TITLE: ORDINANCE SECOND READING: ZONING ORDINANCE AMENDMENT NO. 2014 -01 & AMENDMENT APPLICATION NO. 2014 -01 FOR THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN - (STRATEGIC PLAN NO 5, 1) CITY MANAGER RECOMMENDED ACTION Place ordinances on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended • Ordinance on 1 s` Reading • Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER On October 21, 2014, the City Council introduced first reading and authorized publication of titles for the following Ordinances by a vote of 7 -0: ORDINANCE NO. NS -2871 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC PLAN NO. 2 OF THE SANTA ANA MUNICIPAL CODE (SP -2) AND ADOPTING THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (ZOA NO. 2014 -01) ORDINANCE NO. NS -2872 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADDING CERTAIN PROPERTIES TO THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (SP -2) BOUNDARIES; AND, REMOVING CERTAIN PROPERTIES FROM THE SP -2 ZONING DESIGNATION AND CHANGING THE ZONING FOR THOSE REMOVED PROPERTIES (AA NO. 2014 -01) STRATEGIC PLAN Approval of this agreement allows the City to meet Goal #5. Community Health, Livability, Engagement & Sustainability, Priority #1, Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities. 11 A -1 ORDINANCE SECOND READING November 18, 2014 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Maria D. Huizar, Clerk of the Council ATTACHMENT: Ordinance No. NS -2871 and NS -2872 11 A -2 ROM - 10/21/14 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC PLAN NO. 2 OF THE SANTA ANA MUNICIPAL CODE (SP -2) AND ADOPTING THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (ZOA 2014 -01) THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The changes to the zoning code are to facilitate the implementation of the Harbor Mixed Use Transit Corridor Specific Plan through the amendment of the existing North Harbor Boulevard Specific Plan (SP -2). The changes include a revision to the existing SP -2 boundaries, and includes a Land Use Plan, Development Standards, a Mobility Plan and Design Guidelines. B. On August 25, 2014, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: 1. Adopt a resolution certifying the Final Environmental Impact Report No. 2014 -01, to approve the mitigation monitoring program, findings of fact, and statement of overriding considerations for the Harbor Mixed Use Transit Corridor Specific Plan. 2. Adopt a resolution approving General Plan Amendment No. 2014- 02. 1 Adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -01. 4. Adopt an ordinance approving Amendment Application No. 2014- 01. C. The Planning Commission also recommended that the design of bicycle and pedestrian travelways be given additional consideration. Thus, the street cross - section designs were removed from the Plan and replaced with illustrative conceptual images, and text added that final design of the street cross - section will be determined during the process of the Public Realm Improvement Implementation Program. Other minor modifications to the Plan included the clarification of definitions for housing types, required bike parking, and the enhanced design of parking structures facing Harbor Boulevard. Ordinance No. NS -xxx Page 1 of 5 11 A -3 D. The City Council of the City of Santa Ana held a duly noticed public hearing on the above said actions for the Harbor Mixed Use Transit Corridor Specific Plan (SP -2) on September 16, 2014. At that meeting, the City Council continued the matter to October 7, 2014, so that the plan could be revised to reflect the City Council's new policy decisions. The October 7, 2014 City Council meeting was postponed, and all matters were continued to the next meeting. On October 21, 2014, the City Council resumed the public hearing, and at that time considered all testimony, written and oral. E. Zoning Ordinance Amendment No. 2014 -01 has been filed with the City of Santa Ana to adopt the Harbor Mixed Use Transit Corridor Specific Plan, which allows for mixed -use development with an emphasis on residential and commercial use that would allow development to occur per the following zone designations: Transit Node (TN) District (North and South); Corridor (CDR) District; Neighborhood Transitional (NT) District; and, Open Space (OS) District. Other highlights of the Harbor Corridor Plan standards include the concept of reduced onsite parking requirement near transit hubs, and design features that promote pedestrian and bicycle friendly environments. Finally, the code establishes detailed development standards for building and parking location, building massing and open space, and regulates other architectural standards, such as a building's connectivity to the street, that translate into increased quality of life for the building occupants and the community. F. Approval of Zoning Ordinance Amendment No. 2014 -01 supports the City's efforts to meet Goal #3 Economic Development, Objective #2 Create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies), Goal #5 Community Health, Livability, Engagement and Sustainability, Objective 43 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and Objective #4 (Support neighborhood vitality and livability). G. The City Council also adopts as findings all facts presented in the Request for Council Action dated September 16, 2014, and the Request for Council Action dated October 7, 2014, accompanying this matter. H. For these reasons, and each of them, Zoning Ordinance Amendment 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. L At the duly noticed public hearing held on October 21, 2014, the City Council, by resolution, certified that Final Environmental Impact Report No. 2014 -01, prepared for the proposed Harbor Mixed Use Transit Corridor Specific Plan (SP -2), was completed in compliance with the California Environmental Quality Act (CEQA) (Public Resources Code § 21000 et seq.), was presented to the City Council for review and consideration, and Ordinance No. NS -xxx Page 2 of 5 11 A -4 reflects the City of Santa Ana's independent judgment and analysis; and, approved the Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations. At the October 21, 2014, meeting, the City Council also adopted a resolution amending the City's general plan (GPA No. 2014 -02), and adopted an ordinance approving amendments to various zoning designations (AA No. 2014 -01). This ordinance incorporates by reference, as though fully set forth herein, the ordinance, resolutions and the Final Environmental Impact Report, Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations, and all of their respective findings and conclusions in support of this ordinance. Section 2. Specific Plan No. 2 (SP -2) is hereby amended as set for in Exhibit "A" attached hereto and incorporated as though fully set forth herein (ZOA 2014 -01). Section 3. This Ordinance shall not be effective unless and until Resolution No. 2014 -xxx, Resolution No. 2014 -xxx, and Ordinance No. 2014 -xxx become effective. If said Resolutions and Ordinance are for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise do not go into effect for any reason, this is Ordinance shall be null and void and have no further force and effect. Section 4. 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 APPROVED AS TO FORM: Sonia P - grvaWio, City Attorney City Miguel A. Pulido Mayor 11 A -5 Ordinance No. NS -xxx Page 3 of 5 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 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: Ordinance No. NS -xxx Page 4 of 5 Clerk of the Council City of Santa Ana 11 A -6 Exhibit "A" Ordinance No. NS -xxx Page 5 of 5 11 A -7 ,�peciTic Tian OCTOBER 2014 w?` City of Santa Ana EXHIBIT A 11 A -8 11 A -9 Harbor Mixed Use Transit Corridor Plan PREPARED FOR: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 -4076 (714) 667 -2700 City Council Miguel Pulido, Mayor Sal Tnajero, Mayor Pro Tem Angela Amezcua, Councilmember David Benavides, Councilmember Michele Martinez, Councilmember Roman Reyna, Councilmember Vincent Sanmento, Councilmember City Staff David Cavazos, City Manager Karen Haluza, uce, Acting Executive Director, Planning & Building Agency and Planning Manager Sergio Klotz, Neer, Principal Planner Melanie McCann, wce, Associate Planner Special Thanks City of Santa Ana Development Review Committee October 2014 PREPARED BY: PlaceWorks 3 MacArthur Place Santa Ana, CA 92707 (714) 966 -9220 Contact: Colin Drukker, Project Manager IBI Group 18401 Van Kansan Ave #110 Irvine, CA 92612 -8543 (949) 833 -5588 Contact: Bill Delo, Traffic and Infrastructure COMPASS BLUEPRINT PROGRAM: This is a pgect fn Me ON of Santa Ana with funding p aaa ed by the Southem California Assaiagon W Covennnrerns' (SCAG) Comona &,.pint Program. Compass Bluepint ass9h Southern Calilemat nNes and other argar@atims in evaluating panning oplioas arM stimulating dam"rha It cmvstent with Me region's goals. Compass BI.W t foals supwt msiorung eTaris, rash analyses, economic and icy analyses, arM marketing arrd cammunicaaoo pog ams The peparadon of Mis dcaument has been financed In part IMaugh gant(s) ham the Federal Highway Administration (FHWA) and the Fokral Transit AdMnistratian (ETA) through Me U.S. Dgrarbnerrt of Transportation (DOT) in accardance with the p vmons under the Mehapsfltan Fanning "ram as set bah in Section 104(0 of rtie 23 of the U.& Cade. The contents of has documert reflect Me views tithe sump who is responsible tar Me facts and accaracy of Me data pesented herein The contents do wt necessarily reflect Me official views ar poficas of SCAG. DOT or Me State of Caldonla. 11A -10 �!r COMPASS 40Y[II�Yf \i3 BLUEPRINT "" "r PREPARED FOR: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 -4076 (714) 667 -2700 City Council Miguel Pulido, Mayor Sal Tnajero, Mayor Pro Tem Angela Amezcua, Councilmember David Benavides, Councilmember Michele Martinez, Councilmember Roman Reyna, Councilmember Vincent Sanmento, Councilmember City Staff David Cavazos, City Manager Karen Haluza, uce, Acting Executive Director, Planning & Building Agency and Planning Manager Sergio Klotz, Neer, Principal Planner Melanie McCann, wce, Associate Planner Special Thanks City of Santa Ana Development Review Committee October 2014 PREPARED BY: PlaceWorks 3 MacArthur Place Santa Ana, CA 92707 (714) 966 -9220 Contact: Colin Drukker, Project Manager IBI Group 18401 Van Kansan Ave #110 Irvine, CA 92612 -8543 (949) 833 -5588 Contact: Bill Delo, Traffic and Infrastructure COMPASS BLUEPRINT PROGRAM: This is a pgect fn Me ON of Santa Ana with funding p aaa ed by the Southem California Assaiagon W Covennnrerns' (SCAG) Comona &,.pint Program. Compass Bluepint ass9h Southern Calilemat nNes and other argar@atims in evaluating panning oplioas arM stimulating dam"rha It cmvstent with Me region's goals. Compass BI.W t foals supwt msiorung eTaris, rash analyses, economic and icy analyses, arM marketing arrd cammunicaaoo pog ams The peparadon of Mis dcaument has been financed In part IMaugh gant(s) ham the Federal Highway Administration (FHWA) and the Fokral Transit AdMnistratian (ETA) through Me U.S. Dgrarbnerrt of Transportation (DOT) in accardance with the p vmons under the Mehapsfltan Fanning "ram as set bah in Section 104(0 of rtie 23 of the U.& Cade. The contents of has documert reflect Me views tithe sump who is responsible tar Me facts and accaracy of Me data pesented herein The contents do wt necessarily reflect Me official views ar poficas of SCAG. DOT or Me State of Caldonla. 11A -10 Harbor Mixed Use Transit Corridor Plan CONTENTS TABLES Page Section Page Table Title i Vision & Summary 1-2 1 -1. Summary of Existing and Projected Land Uses 1 -1 Vision: A Place for People 2 -4 2 -1. Summary of Existing Land Use 1 -2 Plan Summary 3 -1 3 -1. Summary of Potential by Land Use District 1 -3 Guiding Principles 3 -3 3 -2. Permitted Uses 3A 3 -3. Building Type and Form 2 Context 3 -6 3 -4. Minimum Fluor Height 2 -1 Regional and Local Context 3 -10 3 -5. Building Placement 2 -1 Current and Past Planning Efforts 3 -10 3 -6. Encroachments 2 -4 Frosting and Surrounding Land Uses 3 -11 3- 7.ON- Strait Parking Standards 24 Retail and Market Conditions 3 -12 3 -8. Bicycle Parking 2 -7 Public Outreach 3 -13 3 -9. Onsite Open Space Requirements 7 -9 7 -1. Public Realm Improvement Implementation Timetable 3 Land Use Plan and Development Standards 3 -1 Vision: A Place for People FIGURES 3 -1 Guiding Principles Page Figure Title 3 -1 Land Use Plan 2 -2 2 -1. Regional Canted and School District Boundaries 3 -3 Permitted Uses 2 -3 2 -2. Local Context 34 Development Standards 2 -4 2 -3. Distribution of Existing Land Uses (2012) 2 -5 24. Existing land Uses (2012) 4 Mobility Plan 2 -6 2 -5. Retail Market TradeAreas 4 -1 Mobility Plan Objectives 2 -8 2-6. Outreach Photos and Materials 4 -1 Mobility Context 3 -2 3 -1. Land Use Plan 4 -2 Streets and Parking 4 -2 4 -1. Existing Street Network 4 -2 Transit 4 -2 4 -2. Santa Ana Master Plan of Streets and Highways 4 -5 Bicycle 4 -3 43, Local Bus Service and Ridership (2011) 4 -5 Pedestrian 4 -3 4 -4. Existing and Proposed BHT and Fixed Guideway 4-5 Sheet Sections 4 -3 4 -5. Proposed OCTA BHT Routes 4 -4 4-6. Fixed Guideway Project Route Options 5 Infrastructure 4 -5 4 -7. Existing and Proposed Bicycle Network 5 -1 Water Plan 4 -5 4 -8. Intersection and Roadway Safety Changes 5 -1 Sewer Plan 4 -6 4 -9. Conceptual Rendering: Harbor Boulevard at Westminster Avenue 5 -1 Drainage Plan Looking South 4 -7 4 -10. Conceptual Renderings: Harbor Boulevard Looking North 6 Design Guidelines 5 -2 5 -1 Water System 6 -1 Administration 5 -3 5 -2. Sewer System 6 -1 Building Design 5 -4 5 -3. Storm Drainage System 6 -3 Facades and Streetwols 7 -1 7 -1. Permitting Process 64 Open Space 7 -7 7 -2. Parcels Suitable tar Resmanhal -Only Projects 6 -5 Circulabon and Parking 6-6 Landscaping 6 -6 Sgmage 6 -7 Public Art 6 -8 Utility, Trash, and Recycling Areas 6-8 Resource Conservation 6 -9 Transit Station Areas 6 -9 Healthy Design 7 Administration and Implementation 7 -1 General Administration` V 7 -2 Definitions sa 7-6 Related Plans and gams I "" N 7 -7 Implementation and Finair i I a 3.. �k "�`F : fl {� f' 1 1 VISION & SUMMARY Vision: A Place for People Harbor Mixed tise Transit Corridor Plan Harbor Boulevard is a place for people. Life is abundant and flourishing Harbor Boulevard is a gateway to Santa Ana, with marquee uses, buildings, everywhere within the corridor. Families, couples, and individuals live here. and street design that strengthen the community's sense of identity and the People work at service and professional businesses along the wonder. Many City's image as a center for arts and culture. Together, new designs, spaces, residents and visitors stop along Harbor Boulevard to shop for items they need and improvements make the Harbor Corridor a healthier, more successful, and and want, eat at great restaurants, learn and enrich themselves in new cultural more livable place. spaces, worship in religious buildings, and relax and exercise in new open spaces. Guiding Principles Harbor Boulevard connects people to places. The boulevard is redesigned into • meet where people find it sale and enjoyable to walk, ride their bike, take i. Expanded development opportunities that respond to transit • bus, or drive their car. New rapid bus and streetcar service connect people investments with local and regional lob centers, downtown Santa Ana, and other shopping and recreation destinations. 2. A variety of safe and efficient travel choices 3. Economic vitality and new opportunities for businesses and Conceptual renderings of what Harbor Boulevard could look like in the future. residents + - 4. A sense of place 5. Community health and wellness /�2 K 1 Harbor Boulevard at Fiflh Street looking north T t=. A Q ns 3t, o, I LA October 2014 1 -1 11A -12 Ha -boi Mixed Use T21'r Go ndoi Plan Plan Summary A combination of vacant and underutilized land, bus rapid transit (BIRD investments, future fixed guideway facilities, and desirable freeway and regional access make Harbor Boulevard an ideal candidate for reinvestment and new development opportunities. The City reevaluated zoning designations along transit corridors throughout Santa Ana W expand land use options and establish an urban fabric that takes advantage of these transportation improvements. The Harbor Mixed Use Transit Corridor Plan (Harbor Corridor Plan) lays the foundation for a more livable and sustainable corridor by creating zaning to allow for new housing and mixed -use development opportunities, providing development flexibility to meet market demands, using a multimodal approach to circulation, and creating a stronger Identify for the area. The Harbor Corridor Plan could lead to the addition of new retail stores, restaurants, office buildings, hotels, museums, and housing options in a more walkable, safe, and attractive environment. ultimately, the Harbor Corridor Plan creates a land use and development framework to support from 1,700 to 4,600 residential units and 2 million square feet of commercial and employment space. Table 1 -1. Summary of Existing and Projected Land Uses Existing Conditions (2013) 1,954,000 739 Potential Change 14,000 L- 987 -3,884 Guiding Principles 1. Expanded development opportunities that respond to transit investments The Harbor Corridor Plan creates the zoning necessary to take advantage of the regional and local transit investments made along and around Harbor Boulevard. The Plan upends development options to include residential alongside or Integrated into a mix of nonresidential uses. A variety of building types and frontages are envisioned for Me Specific Plan area, with higher density uses supported at specific transit nodes and lower densities serving as a transition to the existing residential neighborhoods adjacent to the corcidor. Increasing residential and mixed -use development opportunities along the corridor also creates new activity throughout the day and adds eyes on the street, resulting in a more vibrant and safe atmosphere for corridor users. h gg �pyQ 2. A variety of safe and efficient travel choices The Harbor Corridor Plan emphasizes a sustainable approach consistent with the City's Go Local Transit Vision, which aims to link downtown, employment centers, educational facilities, and expanded housing choices. The land use plan is largely centered on the new bus rapid transit (BRIT) services that augment local bus service along Harbor Boulevard and Westminster Avei Street. The land use plan also anticipates future transit stops for the fixed guideway system that will run along the Pacific Electric right-of-way and link to Me Santa Ana Regional Transportation Center in downtown. Improved pedestrian and bicycle facilities and linkages are another cornerstone of robust transportation network. The Harbor Corridor Plan recognizes how building form can affect the pedestrian and bicycle network and encourages a variety of designs to create a comfortable environment for walking and biking. New street layouts facilitate safe bicycle and pedestrian travel along Harbor Boulevard and efficient connections to the regional bicycle network, including the Santa Ana River Trail. The Harbor Corridor Plan continues to recognize the important role Harbor Boulevard plays in circulating vehicular traffic through the region by maintaining Me number of traffic lanes and encouraging consolidated vehicular access points along Me corridor. 3. Economic vitality and new opportunities for businesses and residents The Harbor Corridor Plan seeks to build on the previous mission to create a strong and viable commercial district supported by safe and well - maintained adjacent neighborhoods. The Harbor Corridor Plan creates a flexible development framework that expands commercial and employment options in the Specific Plan area. 1 -2 11A-13 City, of Santa Ana l Milk 1� h gg �pyQ 2. A variety of safe and efficient travel choices The Harbor Corridor Plan emphasizes a sustainable approach consistent with the City's Go Local Transit Vision, which aims to link downtown, employment centers, educational facilities, and expanded housing choices. The land use plan is largely centered on the new bus rapid transit (BRIT) services that augment local bus service along Harbor Boulevard and Westminster Avei Street. The land use plan also anticipates future transit stops for the fixed guideway system that will run along the Pacific Electric right-of-way and link to Me Santa Ana Regional Transportation Center in downtown. Improved pedestrian and bicycle facilities and linkages are another cornerstone of robust transportation network. The Harbor Corridor Plan recognizes how building form can affect the pedestrian and bicycle network and encourages a variety of designs to create a comfortable environment for walking and biking. New street layouts facilitate safe bicycle and pedestrian travel along Harbor Boulevard and efficient connections to the regional bicycle network, including the Santa Ana River Trail. The Harbor Corridor Plan continues to recognize the important role Harbor Boulevard plays in circulating vehicular traffic through the region by maintaining Me number of traffic lanes and encouraging consolidated vehicular access points along Me corridor. 3. Economic vitality and new opportunities for businesses and residents The Harbor Corridor Plan seeks to build on the previous mission to create a strong and viable commercial district supported by safe and well - maintained adjacent neighborhoods. The Harbor Corridor Plan creates a flexible development framework that expands commercial and employment options in the Specific Plan area. 1 -2 11A-13 City, of Santa Ana The Harbor Corridor Plan expands and broadens the range of permitted uses to allow for new employment and other revenue- generafing uses to develop along the corridor in response to changing market conditions. The plan also focuses on concentrating commercial development at key intersections and allowing for vertical mixed -use development in limited segment of the corridor where the combination of commercial uses, employment centers, enhanced mobility, and residential units create an environment where mixed -use development can be successful. 4. A sense of place In the 1950s, Santa Ana annexed hundreds of acres of land - -including the Specific Plan area west of the Santa Ana River between the cities of Fountain Valley and Garden Grove. Input from residents indicates that a strong identity for the area has not yet emerged. The Harbor Corridor Plan includes land from two Santa Ana Neighborhood Associations: Riverview West and Santa Anita. The Harbor Corridor Plan brings together both sides of Harbor Boulevard by creating a unifying streetsape, a safer and more active environment, an integrated multmodal circulation network, and an attractive mix of buildings, uses, and open spaces. Ultimately the vision is that the Harbor Corridor is a place for people, celebrated for its diverse options for living, shopping, working, learning, and transportation. 5. Community health and wellness The Harbor Corridor Plan recognizes the role the physical environment plays in our community's health and wellness. Street designs create a safer and more attractive environment for families and other individuals to walk and bike along the corridor. The enhanced public dght -of -way acts as an area of urban open space and improves access to open space features within and around the corridor. New opportun ifies for mi xed- use and transitorier ted development can decrease dependence on the automobile, allow transit to be a true alternative for those living and/or working within the corridor, improve air quality, and lessen noise impacts. Introducing new landscaping along the conidor, including canopy trees, can reduce heat island effect and foster a healthier and more walkable environment. Finally, new development can support the creation of new open space suitable for individuals and families living along and around the comdor. CHAPTER 1: Vision & Summary October 2014 11A -14 . 3' y�� f 1 Harbor M,x Use flansO Cn¢itloi f1lan This page intentionally left blank. 14 11A-15 City of Santa Ana lira 2 CONTEXT Regional and Local Context The City of Santa Ana is in the heart of Orange County. Harbor Boulevardone of the main thoroughfares in Santa Ana —spans the City and links key local and regional commercial, employment, and residential districts. Starting at the southern end of State Route (SR) 55, Harbor Boulevard travels uninterrupted for 26 miles through numerous cities in Orange and Los Angeles counties. Along its route, Harbor Boulevard serves as a critical link between major regional attractions, including the Pacific Ocean, Triangle Square in Costa Mesa, Disneyland, Downtown Anaheim, and California State University, Fullerton. With its norm –south orientation and intersection with a half dozen freeways, Harbor Boulevard carries over 40,000 cars and tucks every day and serves as a bypass for drivers traveling along SR -55 and SR -57. The Harbor Corridor Plan covers the 2.5 -mile segment of Harbor Boulevard located on the west side of Same Ana. The approximately 305 -acre planning area includes parcels adjacent to Harbor Boulevard between Westminster Avenue and Lilac Avenue, as well as parcels along Westminster Avenue, tat Street. and 5th Street. Figures 2 -1 and 2 -2 show the location of the Specific Plan area within the regional and local contexts of Orange County and the City of Santa Ana, respectively. Santa Ana Neighborhoods Sane Ana has a rich mosaic of neighborhoods, each distinguished by its history, architecture, housing types, and amenities. The City's neighborhoods are more than simply collections of housing. Neighborhoods are the fundamental building blocks of the community. Neighborhoods are where residents feel safe, where friendships and social ties develop, and where people identify with theircommunity. More than 60 neighborhood associations have been formed to address neighborhood issues. The Harbor Corridor Plan connects two Santa Ana neighborhoods: Riverview West (west of Harbor Boulevard) and Santa Anita (east of Harbor Boulevard). School District Most of Santa Ana is served by the Santa Ana Unified School District, but me Harbor corridor is served by Garden Grove Unified School District (GGUSO). GGUSD's enrollment boundary generally follows the Santa Ana River and allows the district to serve students in many central and northern Orange County communities. Although residents in the Specific Plan area send their children d a different school District and are somewhat physically separated from the rest of the City by the Santa Ana River, people who live along Harbor Corridor still very much identify as residents of Santa Ana. This sense of community is a testament to the City's ongoing efforts to strengthen and support its neighborhoods and ensure their integration into the larger vision for the City. Current and Past Planning Efforts North Harbor Speck Plan In 1994, the City adopted the North Harbor Specific Plan (NHSP) to create a strong and viable commercial district along Harbor Boulevard supported by well - maintained neighborhoods. This plan addressed the same geographic area as the Harbor Corridor Plan, as well as the Willowick Golf Course and some adjacent residential neighborhoods. The NHSP established six goals: To retain and upgrade the area's commercial character while improving and expanding its role as a significant regional commercial District. To enhance and support the residential neighborhoods surrounding Harbor Boulevard. To improve vehicular and pedestrian circulation in and around the Harbor Boulevard area. To achieve an aesthetic visual consistency throughout the Harbor Boulevard area while improving and upgrading the visual image of the adjacent areas. To enhance the economic viability of the Harbour Boulevard area. To create a secure atmosphere within which business and residential communities can thrive. The NHSP identified the opportunity to capitalize on its proximity to Disneyland and other major commercial recreation and tourist attractions. As the NHSP was being prepared in the early 1990s, The Walt Disney Company announced plans to develop a new theme park named WeslGOT adjacent to Disneyland. WestCOT was officially announced in 1991, and the NHSP identifies focus Harbor Mixed Use Transit Corridor Plan areas within the Specific Plan area that could capitalize on what the plan considered m be the largest private development project in the United States. Unfortunately, financial constraints led The Walt Disney Company to cancel the development of WestOOT. In 2001, the site was developed as Disney's California Adventure Park, but the cancellation and delay of the Disney theme park negatively impacted the NHSP's ability to attract and incentivize development. Very few uses along the corridor are currently fact into the region's major commercial recreation and tourist activities. The NHSP also recognized the exisfing Vietnamese community and proximity to Lime Saigon in Garden Grove. When the NHSP was adopted in 1994, the Vietnamese Catholic Church at Harbor Boulevard and Seventeenth Street was already (and remains) a regional destination for Catholics in the Asian Community. The NHSP supported the development of a new ethnic commercial center adjacent W Catholic Church, but it never came to fruition. Although the NHSP envisioned a revitalized corridor with quality commercial uses compatible with neighborhoods, progress has been limited, and land uses did not transition as planned. The dominant use along Harbor Boulevard became auto sales and service. City of Santa Are Housing Element In its Housing Element, the City of Santa Ana identifies three key transportation corridors, including Harbor Boulevard, that could support higher density housing. The selected corridors are consistent with the City's Go Local vision to promote sustainable multimodal transportation options. The Harbor Corridor Plan supports the City's Housing Element by creating the zoning framework to allow for new, compact, transit- supportive housing combined with nonresidential uses along Harbor Boulevard. Former Redevelopment Project Area The Harbor Corridor Plan area was included in a former City of Santa Ana Redevelopment Project area (adopted in 1982). The North Harbor Boulevard Redevelopment Plan comprised approximately 428 acres, generally located along Harbor Boulevard from Westminster Avenue to Kent Avenue; and along Stir Street, 1st Street, and McFadden Avenue from Harbor Boulevard to the Santa Ana River. The Norm Harbor Boulevard Redevelopment Project area was substantially developed and included a mix of older residential and strip commercial uses fronting on Harbor Boulevard, with newer commercial uses developed near 1st Street and 5th Street. As part of California's 2011 Budget Act, the State Legislature approved the dissolution of the state's 400 plus redevelopment agencies (RDAs). After a period of litigation, RDAs were officially dissolved as of February 1, 2012. Ocdber 2014 11A -16 Harbor V AEP! Use Tan &t C ,omit Plan Figure 2 -1. Regional Context and School District Boundaries vater RaSbv CLtlioklle lax�ca Ivlem frbd in., ES FS BIViY ]amen - - Real R..d. X m x ormax SI xMta.l ES w Twin Late. '"Ad V ES Park E ES , as ask ORANGE Euclid nlerm Park Community , xullmx P Center Park w O O " "emMelno , fives, e1 W Generated Z Him, 5161Gw5 carte LOan GROVE GARDEN GROVE E BLVD uwa. '"°' GARDEN p Santa I Peters E6 or aRl GROVE m a". , ES --d- aqv ais zAna 1 jjI S �J MikbH River , I W xqm make 22 I iI. , bmrl y EehM l valid a %'pabl F N�'.I XIS Oa9ewm! Rrverelew p X<aaemr ES �31,'I I Pare waPark PP. I W Part er ar I linden j anke Es _:!X.me Haap WW1 � ure Menar WESTMINSTEIIER AVE Vl.I.ITN_ST _ r�E'' Ln � 1 F$ lljl oemxr t.A Pare Park nil , "mark e� mark. .tar" a Hxrllv9c E$ n.a. FS Pink k , p Ra :.al Ermn SANTA FS u� Park L sl Slaw ea y ANA Llnwehl. a� SCH sued, Hnn smal scam. Es t Park Trans k-eray Hire ES E$ , y. re. Added, s=e l EDING ER:AVE ES _ _ -_._. — 1 w,.e.er Dame L Park kir monro. aC Mlle Sgtore Park Peglanal x11 e , W EDINGER AVE 6 e Park I l .1 manq CIrri niT Hasa�lnr Reglonvl rea Players , Park ea"in � coemea ~ lakS xW Lanosit,. I Xnnmmema 3 sea Xp SNaI ,) slane[rass rtetnell Ll:la� Park oem Le mavv X"YYIFS , Ills ri,em FOUNTAIN 'em tea"' 1o<I neura. 41, E: WARpE VALLEY -: Rq, Harbor corridor Peeneia Comine F� WWARNER AVE ❑Plan Boundary wllei Gmmwiry Ram map Color, J, City of Santa Ana amen LO 4r p Boundary Ed. °a'maaaa ware, ci -" J '� ___ Garden Grove 3_m Park s, m N Unified School .� m District o���s maa� a`I ^ve a .1.1 do A. ink �'� x. ��_ Santa Ana Unified rent. Erma ♦ School District 2-2 11A-17 Ciry, of Santa Ana Pn ]amen - - Real R..d. X XearO ? ? C C r "'fi ; E ES w Irvine I I V V ES Park E ES , Park nlerm , xullmx P Pna Seas w w O O " "emMelno , fives, e1 W Wrladr Z Santa I IPtla zAna River BOLSq AVE I I W W IET Si I I 2-2 11A-17 Ciry, of Santa Ana CHAPTER 2: Context Figure 2 -2. Local Context WESTMINSTER AVE W 17TH ST _i City of Santa Ana Boundary U 1� n m HAZARD AVE o Rosha Hazard ES Rol $ Elementary ,$I I School iL�JJ Ill 5TH ST I Wit ST ST III >i N m w Heritage learentar, i School 3 a �' Santa Ana - -_- Rwar NIA MCFADDEN AVE Stephen Flt, Intermediate SCH Si 1m 1 t New Hope m ` Elementary School iEl City of Santa Ana Boundary 0 ®�, Harbor Corridor i El Plan Boundary o aoo - -. !City of Santa Ana . EDINGER AVE i L „j boundary October 2014 11A-18 23 Harter Mixed Use Transit Corridor flan Existing and Surrounding land Uses The Specific Plan area currently contains roughly two million square fast of commercial uses distributed fairly evenly along the corridor. Existing commercial uses occur both at midblock locations and at intersections and are visually dominated by auto service and sales, but also include grocery stores, service businesses, and restaurants. While the total Specific Plan area covers 305 acres, right -of -way comprises roughly 52 aces, leaving 253 acres of parcelized land use. As is we for many corridors throughout Southern California, land use along Harbor Boulevard is primarily commercial in nature. Nearly 60% of all parcels contain a commercial business, and 21% consist of auto sales and service businesses. Light industrial and industrial uses, primarily concentrated north of Hazard Avenue but also found elsewhere along the corridor, cover 14% of the parcelized Specific Plan area. The Specific Plan area contains 739 residential units that occupy approximately 16% of the Specific Plan area. Roughly two -thirds of the units are multi - family, 30% are mobile homes, and the balance is single - family units. Santa Anita Park is the only formal public open space within the plan's boundaries. The Specific Plan area also includes a limited amount of public, quasi - public, and religious facilifies. Finally, approximately 5% of the Specific Plan area is currently vacant. The breakdown of existing land distribution is illustrated in Table 2 -1 and Figures 2 -3 and 24. Like much of Santa Ana, the Specific Plan area and its surroundings are largely built out and highly urbanized. Adjacent land is characterized by a mix of single - family units, apartment complexes, and molbilehome communities. The majority of these homes take access from streets perpendicular to Harbor Boulevard (net from Harbor Boulevard itsel0. Retail and Market Conditions An assessment of the corridor's retail market was conducted in 2011 and 2012 to provide insight into the challenges and opportunities facing retail development along Harbor Boulevard. As shown in Figure 2 -5, the assessment considered three segments or trade areas along Harbor Boulevard, each centered at a proposed Bravo BRT station: Westminster Avenue, 1st Street, and McFadden Avenue. A trade area is the geographic area from which a retail center or business will draw most of its customers. The overall corridor is dominated by retail and auto - related uses. Nearly one in five used auto dealers in Orange County can be found along this stretch of Harbor Boulevard. When all retail space is considered (based simply on numbers), the corridor appears to have more retail building space than is necessary to serve the needs of the adjacent neighborhood"ins arily those within one -half mile of Harbor Boulevard. However, thetype of retail businesses is just as (if not more) important than the amount of retail buildings space. Residents may All find that they cannot satisfy their regular shopping needs in close proximity to where they live. Even with excess retail building space, Santa Ana loses retail spending to nearby communities and collects less money per person than other area in Orange County. Retail outside of existing shopping centers (which sit primarily at the major intersections) experience challenging core itions—especially smaller independent businesses that are most likely to serve the needs of neighborhood residents. These conditions include: • Small lots with little depth • Older buildings that do not suit modern retail businesses • Poor visibility • Inconvenient or inefficient entry and exit points • Fractured land use patt erns, with retail businesses interspersed among non -nail uses While the corridor does contain some retail businesses that draw from beyond the immediate neighborhoods, additional consumer spending could be attracted if one of the key intersections were reconfigured and improved to support a shopping environment that can attract consumers from a larger market area, located on adequately sized parcels. The potermal future fixed guideway system and BRT transit investments are potential catalysts that could spur the development and reconfigi mtion of one or more key nodes along the corridor. Additional right -of-way improvements along Harbor Boulevard could create a more dynamic public space and a desirable shopping experience. The Harbor Corridor Plan establishes the zoning City and property owners need to respond to such transit and other public investments, establishing places and businesses that boost local spending and attract more regional spending. With or without such catalytic projects, many of the corridor's retail businesses will continue 0 primarily serve the adjacent neighborhoods. }< tyy Table 2.1. Summary of Existing Land Use Figure 2 -3. Distribution of Existing Land Uses (2012) 5% • Commercial (non -auk) 95 38% Auto SelaAUta Service 54 21% Residential 40 16% arousal 36 14% Polk 12 5% vacant 12 5% Opeaspace 4 2% Land Use Suhtotsl 253 100% Rightrof-Way 52 TOTAL 305 — Figure 2 -3. Distribution of Existing Land Uses (2012) 5% 5% 2% 16% 14% 21% 38% ■ Commercial s Public t Auto Sale /Auto Service ❑ Vacant Residential ■ Open Space ■ Industrial 2 -4 11A -19 City of Santa Ana .14 ETieG 1 A A Q CHAPTER 2: Context Figure 2 -4. Existing Land Uses (2012) I GARDEN GROVE WESTMINSTER AVE _I W 17TH ST WO! e r OR A I . HAZARD AVE ¢ ` - Willowwk Golf Course .z 5TH ST I / SANTA ANA L� T W 1ST ST 't NIL — m y m O o Ifni Z e x � z a e N m c U Residential m -. L AVE Auto Sales or Service - Commercial .. ® Industrial Golf Course - Open Space - - Public ® Vacant Il. Q Project Area - City Boundary r FOUNTAIN VALLEY EDINGER AVE i —1 1 October 2014 11 A -20 2 Harbor Maad Use Transit Corritlm Plan Figure 2 -5. Retail Market Trade Areas 'r "q • Y + Ir �i4lioCn cHOVE „ rail W% ail fZ mn 11 A -21 City of Santa Ana nw � r Public Outreach The City of Santa Ana conducted an extensive outreach program over the course of roughly four years. The Citys motto, "Creating Community Together," carried through as an overarching theme for each event Events included an open house, an idea fair with bus tour, attendance at neighborhood meetings, a focus group of property and business owners, a coordinated workshop with the Circulation Element Update, and a scoping meeting far the EIR. Significant input was obtained from residents, property owners, local business owners, community organizations, the local police and fire departments, the county transportation authority, and local developers. Feedback was wllecled through several methods, including individual conversations, group discussion, question and answer sessions, comment cards, and visual preference surveys. Overall thousands of people in western Santa Ana were contacted and informed about the project. Regecting the current makeup of residents around Harbor Boulevard, many materials were distributed in English, Spanish, and Vietnamese, and translators were present at multiple meetings. Hundreds of people participated directly in all three languages at the various meetings and workshops. Five topics emerged as having the greatest importance to the community: safety, land use aesthetics, transportation, and development intensity. Safety Residents and businesses voiced safety concerns regarding crime and the Interaction between pedestrians, cyclists, and motorist along the corridor. During conversations at workshops between the City's Planning and Building Agency, the Santa Ana Police Department, and members of the community, partici pants suggested increasing lighting, improving crosswalks and sidewalks, and creating safer pathways for bicyclists. Land Use The community expressed a desire for a broader range of uses that are less focused on auto dependency. Nice restaurants and sidewalk cafes were suggested to increase pedestrians on the street. Some people were excited about the possibility of creating new job opportunities along the comdor. Families in the area requested a day care facility. Many residents emphasized the need to preserve existing open space and to add more open space. The types of open spaces suggested included community gardens, rooftop spaces, larger parkways, and large open areas. Many residents and business owners agreed that new housing opportunities should be made a priority. A number of residents were skeptical of workforce housing but all agreed on the need to attract new, high quality development. Some suggested that this portion of Harbor Boulevard could support museum or hotel uses. Aesthetics Wide sidewalks, attractive landscaping, and a variety of building designs ranked as the most desirable streetscapes in the visual preferences survey. Improving the streelscape was also the topic of many discussions, comment cards, and letters received throughout the City's outreach events. In addition to improving the aesthetics of the street, enhanced landscaping and new building facades were suggested as ways to make the corridor more pedestrian friendly and to increase community pride. A local community group coined the phrase "Clean and Green Harbor Boulevard" as their vision for the corridor. Transportation Harbor Boulevard is a major roadway connector through the City and the local region. Residents and business owners understood the need to maintain a good level of service for motor vehicles while improving conditions for other forms of travel. None wanted to see Harbor Boulevard ever expanded from its current six -lane configuration to an eight -lane configuration. Many were excited and eager to see enhanced bus service came to the area, which hosts some of the busiest bus routes in all of Orange County. A bike sharing program and secure bike parking closer to businesses were recommended to promote cycling as an alternative mode of transportation. Finally, all agreed that improvements should be made to increase safety, for adults and children who walk throughout the area and along Harbor Boulevard every day. Development Intensity In general, outreach participants indicated that they envision Harbor Boulevard as a trans t -oriented candor with an urban style of development. While some preferred that the height of buildings remain limited to two stories, many residents and participants agreed on the need for and desirability of intensifying development. However, they all cautioned that it should complement the existing adjacent residential neighborhoods. Outreach Timeline Community Open House at Union building Dry Cddndl Study Session CHAPTER 2: Context Community Link Fomml Existing CMdluorls Analysis Sank Pnllz N®@it,xi Meeting October 2014 11 A -22 9_ Harbor Mixed Use Transit Corridor Flan Figure 2 -6. Outreach Photos and Materials Community Open House Macerator 2010) Sandric Marcos Worlahop(Doeran r2011) n Harder Corritlur Plan and Circulation Element iscrl¢M1op indicter 2012) uc cot Gouido! Idca Fair a a d Bus Tour Fe[od- Fer 20111 Focus Group or Roinatly and Business Ovmers (January 2013) 2 8 11 A -23 City of Santa Ana IOIN US IN CREATING .-- nuu�wv tIfA MUNITY TOGETHER FOR Harbor Boulevard All IOam -Ipm. F- ai A mrr r Gw 6 r H B' O L -Hmi�- Funding Infor _% ..t •rr..rr—n— . _... __. - -iia ae Sandric Marcos Worlahop(Doeran r2011) n Harder Corritlur Plan and Circulation Element iscrl¢M1op indicter 2012) uc cot Gouido! Idca Fair a a d Bus Tour Fe[od- Fer 20111 Focus Group or Roinatly and Business Ovmers (January 2013) 2 8 11 A -23 City of Santa Ana ", HarWi Mixed Use Transit Condor Pier 3 LAND USE PLAN AND DEVELOPMENT STANDARDS Vision: A Place for People Harbor Boulevard is a place for people. Life is abundant and flourishing everywhere within the condor. Families, couples, and individuals live here. People work at service and professional businesses along the corridor. Many residents and visitors stop along Harbor Boulevard to shop for items they need and want, eat at great restaments, learn and enrich themselves in new cultural spaces, worship in religious buildings, and relax and exercise in new open spaces. Harbor Boulevard connects people to places. The boulevard is redesigned into • steel where people find it safe and enjoyable to walk, ride their bike, take • bus, or drive their car. New mod bus and streetcar services connect people with local and regional job centers, downtown Santa Ana, and other shopping and recreation destinations. Harbor Boulevard is a gateway to Santa Ana, with marquee uses, buildings, and street design that strengthen the community's sense of identity and the City's image as a center for arts and culture. Together, new designs, spaces, and improvements make the Harbor Corridor a healthier, more successful, and more livable place. Guiding Principles 1. Expanded development opportunities that respond to transit investments 2. A variety of safe and efficient travel choices 3. Economic vitality and new opportunities for businesses and residents 4. A sense of place S. Community health and wellness The overall purpose of this Specific Plan is to generate momentum, expand options, and provide comprehensive direction for the improvement and development of the Harbor Corridor, as directed by an overall vision, guiding principles, a land use plan, and development standards. Land Use Plan The land use plan regulates the Specific Plan area through the application of four land use districts: Transit Nate, Corridor, Neighborhood Transitional, and Open Space. Each district has its own development standards and preferred building and frontage types. Figure 3 -1 displays the land use plan and its relationship to the Bmvo! bus rapid transit (BRT) slops. Table 3 -1 identifies the acreage for each district alongside the maximum capacity for housing units and nonresidential building square footage. The maximum capacity reflects one possible scenario if the project builds out to it full potential based on allowable development standards. In and of itself, this plan is not a development project. It is expected that change would occur incrementally according to the desire and ability of individual property owners to develop their properties based on the new standards. Based on trends and existing conditions, residential development is more likely to build out at levels somewhere between current conditions and maximum capacity (see Table 3 -1). However, for the purposes of conducting the required environmental assessment, the City evalualed the maximum buildout capacity. Table 3 -1. Summary of Potential by Land Use Districts 125 507 -2,029 1,836,000 • 108 1,130 -2,416 132,000 Neighbamcod 15 89 -178 - 4 Right -of -way 53 - Total 305 1,726-4,623 1,968, 000 Existing (2013) - 739 1.954,000 Transit Node (TN) The Transit Node district is intended to provide standards for high intensity, transit- supportive mixed -use development with a focus on creating pedestrian activity at the street level. This district offers the most significant opportunities to respond to the regional and local transit investments, with direct access to three exist. ng BRT stations and proximity to one or more future fixed guideway am ons. TheTransit Node districts are further broken down into the North K and South (S) zones. The North Transit Node, comprised of the properties surrounding the BRT station at Harbor Boulevard and Westminster Avenue, will provide for the most intense development with minimum requirements of four -story buildings and the ability to reach 10 stories. The North Transit Node will have an emphasis on mixed -use development with ground -floor commercial, entertainment, and hotel uses. The South Transit Node, comprised of the properties surrounding the BRT stations at Harbor Boulevard and list Sheet, and Harbor Boulevard and McFadden Avenue, generally anticipates buildings between three and six stories with an emphasis on mixed -use residential development. If market demand warrants, however, the South Transit Node also allows the ability to develop buildings at a height of 10 stories. Corridor (CDR) The Corridor district is applied to properties along Harbor Boulevard between BRT stations and is Intended to provide housing options and neighborhood serving uses within walking distance of a transit node. Building types include lined block, stacked flats, courtyard housing, live -work, rowhouv_s, and tuck -under units. Mixed use and non - residential projects are centered on key intersections, and residential and public/quasi- public uses infill at mid-block locations. Neighborhood Transitional (Nn The Neighborhood Transitional disbict provides standards for development that am as a transition between the single - family neighborhoods to the north and south of 1st and 5th Streets and the Corridor and Transit Node districts. Designated for the lowest scale and the lowest intensity of uses in the Harbor Corridor Plan, development in this district is limited to residential, live -work, or neighborhood- serving commercial uses. These uses may combine commercial on the ground floor with residential above or in freestanding single -use buildings on the same site at between two and three stories in height. Open Space IDS) The Open Space district identifies areas reserved for community parks and other open spaces. Allowable structures in this district are limited to those necessary to support the specific open space and recreation purposes, such as sport -court enclosures, multipurpose buildings, and trails. Additional open space will be required as new development occurs and will be located within or close to the Specific Plan area. October 2014 11 A -24 3 -1 Harbor Mixed Use Transit Corridor Plan Figure 3.1; Land Use Plan —p n I H b KLLI tt I , 1ST STREET i T- + i Y MCFADDEN AVENUE - -�' It w a Newhope P-y menWty `iT r ir'�� I _ _ ✓ I r t LILAC AVENUE An Wllowich Goff Course Campesino Park �7 r i 11L s,nEET ._ LEGEND Harbor Mixed Use Transit Russell Corridor Plan Boundary Elementary ' Bravo! Bus Rapid Transit Stop l �Potential Fixed 7 O Guideway Stop Land Use District r qq� Transit Natle Corridor Neighborhood Transitional Upon Space I IN North Transit Stop S South Transit Stop 3 -2 City of Santa Ana 1 1 A -25 Permitted Uses CHAPTER 3: Land Use Plan and Development Standards Table 3 -2 shall regulate land uses within the Harbor Corridor Plan area. The table provides uses by district. The uses are indicated by abbreviation: permitted (P), not permitted (M, permitted by Conditional Use Permit (CUP), permitted by Land Use Certificate (WIC), and permitted through Site Plan Review (SPR). The Transit Node District is divided into taro areas bast on their proximity to the transit stops. Transit Node I North: Permitted uses shall apply to properties in the Transit Node District adjacent to the North Transit Stop as depicted in Figure 3 -1. Transit Node I South: Permitted uses shall apply to properties in the Transit Node District adjacent to the South Transit Stops as depicted in Figure 3-1. Table 3 -2. Permitted Uses LAND USE TYPE RESIDENTIAL a .. t a . NEIGH TRANSMONILL a®. Joint living - working quarters P(1) P P(2) CUP N Care homes -,.;. 'N. - CUP CUP N Single family dwelling .� -- .,N_= P P N Multi - family dwellings (in building types other than a House or Live-Ngrk) RECREATION� EDUCATION, AND ASSENmU( P(1) P(1) P P N Community assembly or religious facility P(1) P(1) P CUP N Library, museum P P P P SPR Park or recreation facility (outdoor) P P P P P Commercial recreatioNhealllyfimess( indoor) CUP CUP N N P School P(1) P(1) P CUP N Studio P(3) P P CUP N Theater, cinema or performing arts P P P N N General retail P(3) P P P(2) N Grocery, food market P (3) P P (3) P (2) N Eating establishment P(3) P P P(2) N Auto or mover vehicle sales N N CUP N N SERVICE GENERAL Auto or motor vehicle service N 7-N-7-cup N N Banquet facility/ catering - subject o 41.199.] of the SAMC CUP (1) CUP(1) CUP(1) N N Child day care- more than 9 and up to 14 children P(1) P P WC N Child day care center (15 or more children) P(1) P P CUP N Hotel, excluding transient residential hotel and long -term stay P P Is �' 4", N Personal services P(3) P P P(2) N Personal services restricted SERVICE: BUSINESSgRINAINCIAUPROFESSIONAL N N CUP CUP N Bank, financial services P (3) P P N N Clinic, urgent cafe „a N, % P N N Coctoc demist, chiropractor office P(ll P P N N I'meessionamdminis[rntive/service office P(1) P FRAFIFRUCTDRE P P N Parking facility- public or commercial (stand -alone parking structures are prohibited) (4) P P SPR N N Transit station or terminal P P P N SPR Public utility structure, excluding wireless communication facilities MISCELLANEOUSiOTHER N N N CUP SPR Any structure over three (3) stories in height SPR SPR SPR SPR SPR Businesses operating between 12 am and J am CUP CUP CUP CUP N Alcoholic beverage sales or consumption CUP CUP CUP CUP N Adult business N N N N N Ught or heavy industrial N N N N N. (1) Use Permitted onlyon seroM or upperaoom, or fishing retail acesneeground fear use (2) Remains use as part of a rental mixed use program, with upper hear osidengal (3) fErmitlad only as part of a mixed use project with a commercial or o,denual component (4) Pinking facihtles must comply wiM building frontage standards October 2014 P Use is permitted subject to compliance wdi all applicable provisions of the Santa Me Munidpal Cade WC Use is number beer subject to Me approval of a lend Use Cerlillfare CUP Use is permiW subject to Me samovar of a Goidi6onal Use Permit SPR Use is permitlel subleq M the appoval of a Site Plan PeNew N Use not permitted in district 11 A -26 3 -3 Harbor Mixed use Trannl Corridor Plan Development Standards The development standards translate the Specific Plan vision and principles into prescriptive evaluation standards, ensuring that new development projects activate the public realm, exhibit high standards of urban design and landscaping, and maximize flexibility and development feasibility for public and private projects. This Specific Plan emphasizes the role that building form plays when developing individual parcels and blacks to crel diverse and pedestrian - oriented development. Building Type and Form A wide variety of building types are permitted throughout the corridor, with more intense building forms found in the Transit Node district, and the least intense building forms provided in the Neighborhood Transitional district. In the Corridor and Transit Node districts, future development is required to be at least two stories tall to reinforce the transit- and pedestrian- oriented vision for the Specific Plan area Table 3 -3 identifies the building type and forth standards by land use district. Images of various buildng types card be found below. i w t x 11 1 d, -t_ k x ft Bungalow Court. Max Stones:3 NT bn - Abs, . Max Stories: 3 ®NT Table 3 -3. 1 co .Max Smrie 12I Tuckml.r.fd S....a] and Form House 512 70'min 2/3 -14 -plea 10-15 100 'min Bungalow Court 10-15 130 1 Live -Work 12 -15 100 -200 Rowhause 7 -18 100 -200 Tuck Under 12 -18 75' min Courtyard Housing 2050 130' -250 Flex Block 3040 130' drug Shacked Dwellings 4050 130' min Lined Blxk 4550 170 in Notes The oce�space olsict Is exempummbulmng ryue 11 ®NT Tuckllnder.Ma„517:3 NT �— r♦ mnra:rrra,om�rrmm�.rra.•rmrs�+ .� : i:,. ,. MIN MAx t 25-1 aU.vae 2 3 1 2 50-1 V AI w. 4 2 3� - 2 t v x' T__ 100-180 a — ..._.._ - t rru 2 3 3 75-125 4 i A c 3 3 i 2 3 2 3 75' -150' 3 1 3 2 3 2 3 96 260' � I 3 3 2 3 2 3 121'_2l3 2 4 4 5 2 4 2 3 75, 200' 4 10 4 10 - 2 4 - 125 200' ( 4 10 4 LO 2 4 -_ -- _ -._ 125'-130' i 4 10 4 IO 2 4 'v ruement.eoddln a —d mwill be subject veil of Sih Plan Feview. Oensi cusses type an ly range re typist, kowewer, actual NT: Color indicates hat a Miming or Induce gM is nerminea in aland use dimiu. In Nis example, a building ape is earmided! In all district m his exzmme, a building or frontage type is only permitted in me Neigbbomood Transigmul Bidder 3 -4 11 A -27 City of Santa Ana as The images below and on the preceding page show examples of building types at various intensity and in a range of architectural styles. While the Specific Plan does not prescribe a set of specific architectural styles, it does encourage new projects to employ more contemporary and modern styles. CHAPTER 3: Land Use Plan and Development Standards Caunpta Housing. Max Stories: 3-5 h eoumem Hnu:ing. Ma„mne:: 3 -5 ®-r Hex aloes. Max;tonee: y -ra ®_'t. Stacked Dwellings. Max Stonee: yao = Stacked Dwellings. Max sWdn: y-ao Lined aloes. Max Se nn:0 -+o ®y- un1031-1 . Max;.ori ..c -m c Kim October 2014 11 A -28 3 -5 i Fbortvlixed Um iznsrt Candor Plan Building Frontage Types and Floor Heights The frontage types and floor height work in combinabon with the underlying land use district to ensure that proposed development is consistent with the City's goals for buildingform, character, and quality. Subjecttothe requirement of the applicable land use district, a proposed building shall be designed with one or more of the following frontage types: arcade, gallery, shopfront, forecourt, stoop, and frontyard/porch. Traditionally, commercial storefront are characterized by tall storefront windows designed to display merchandise to pedestrian passersby and entice them inside, while enhancing interior daylighting. New buildings in the Transit Node and Corridor districts shall construct taller ground floors to maintain an attractive and consistent space, while also maximizing flexibility for current and future uses. Table 34 indicates minimum floor height for each district Table 3.4. Frontage Floor Height Minimums and Districts Arrade (A) 15 feet 9 feet TN, C Gallery (B) Shop Front (C) 15 feet 15 feet 9 feet 9 feet TN, C TN, C Forecourt 0 Stoop (E) 15 feet 10 feet 9 feet TN, C 9 feet TN S, C, NT FrontyardrPorch (F) 10 feet 9 feet TN S, C, NT all Fla v height refers W livable sruw and esclubes space ne,ded far mechanical maipment and other suni rauoirere.r. a ego A� O O uor o.. ��_�•eow� w� ) .!P Standards for All Frontage Types 1. A physical transition shall be provided between the glazing of the storefront and the adjacent sidewalk unless the glazing itself terminates directly at the grade. Where a bulkhead is applied to transition between the opening(s) and the adjacent grade, the bulkhead shall be between 18 inches and 36 inches tall per frontage type (aluminum storefront or spandrel panel may not substitute for a bulkhead). 2. All storefronts shall provide clear views of merchandise displays within the shop space and/or maintained and lighted merchandise displays) within a display zone of approximately four feet in depth from the glass. 3. Awnings, signs, balconies, and other architectural projections shall be located at least 8 feet above the adjacent sidewalk and may project for the Width of the sidewalk to a maximum encroachment within 8 feet of the curb. 4. Awnings shall only cover storefront and openings so as to not cover the entire facade. & The tens "dear" means that the identified area is free of encroachments other than signs and light that 6. Encroachment in the public right -of -way require the approval of the Public Works Agency. 7. Parking garages are required to employ a frontage type that is the same or complementary m the attached or adjacent buildings. Atltlltional photographs, diagrams, and standards for building frontages are provided in the following pages. f9 O O O r vT Intillian., u.w aveae r Yl .._.. POW J ROSY. f S Ip 3 . 11 A -29 City of Santa Ana CHAPTER 3: Land Use Plan and Development Standards Arcade Frontage Type Arcades are facades with an attached colonnade that is covered by upper stories. This type is ideal for retail use, but only when the sidewalk is fully absorbed within the arcade so that a pedestrian cannot bypass it. For Building Code considerations, this frontage type cannot cover the public right- of-way without a permanent encroachment permit. 1. Configuration. A great variety of arcade designs are possible, but the foaming shall apply: a. The height and the proportions of the arcade shall correspond to the facade consistent with the architectural style of the building. It. A minimum of 12 feet clear in all directions, Satins, columnsAuches shall be treated consistent with the architecture of the building. c. Along primary frontages, the arcade shall correspond to storefront openings and: i. Spacing between openings along the right -of -way shall be 10 feet ii. Storefront openings shall beat least 10 feet all and not have opaque or refeebve glazing. iii. Storefronts shall be a minimum of 10 feet to a maximum of 16 feet tall. d. A bulkhead shall transition between the opening(s) and the adjacent grade. The bulkhead shall be between 18 inches and 36 inches tall (aluminum storefront or spandrel panel shall not substitute for a bulkhead). e. A minimum of 8 feet from the curb and face of arcade. However, the Public Works Agency may approve an extension up to 2 feet of minimum clearance from curb and face of arcade (except at curb extensions for intersections). 2. Elements L Awnings and signs shall be located at least 8 feet above the sidewalk and may project for the width of the sidewalk at a rate of 6 inches per each foot above 8 feet to a maximum encroachment of 3 feet. Awrometnc [native: A,cete Plan Dia®ar: A de +7 t «c } Galleries are colonnades that are attached to storefronts projecting over the sidewalkhwalkway. Section Dewar: Araae 1. Configuration. A great variety of gallery designs are possible, but the following shall apply: a. The height and the proportions of the gallery shall correspond to Me facade consistent with the architectural style of the building. b. A minimum of 12 feet clear in all directions. Soffits, columns/arches shall be treated consistent with the architecture of the building. c. Along primary frontages, the gallery shall correspond to storefront openings and: i. Spacing between openings along the right -of -way shall be 10 feet. H. Storefront openings shall be at least 10 feet tall and not have opaque or reflective glazing. iii. Storefronts shall be a minimum of 10 feet to a maximum of 16 feet tall. d. A bulkhead shall transition between the opening(s) and the adjacent grade. The bulkhead shall be between 18 inches and 36 inches tall (aluminum storefront or spandrel panel shall not substitute for a bulkhead). e. A minimum of 8 feet from the curb and face of gallery. However, the Public Works Agency may approve an extension up in 2 feet of minimum clearance from curb and face of arcade (except at curb extensions for intersecdore). 2. Elements f. Awnings and signs shall be located at least 8 feet above the adjacent sidewalk and may project for the width of Me sidewalk at a rate of 6 inches per each foot above 8 feet to a maximum encroachment of 3 feet. n Mor ee.nic prettier: Gallery October 2014 P:ar Dagam. Gallo; 11 A -30 sector Die m: Gallery 3 -7 H,Txr, Mixed Use Transit Corridor Plan Shopfront Frontage Type ,j® Shopfronts are facades placed at or close to the right -of -way line, with the entrance at sidewalk grade. This type is conventional for retail frontage and is commonly equipped with cantilevered shed roofs) or awning(s). Recessed storefronts are also acceptable. The absence of a raised ground floor precludes residential use on the ground floor facing the street, although such use is appropriate above. 1. Configuration. A great variety of Shopfront designs are possible, but the following apply: a. A minimum of 12 feel clear to a maximum of 18 feet tall, as measured from the adjacent sidewalk. b. The corresponding storeffonl(s) openings) along the primary frontage shall not have opaque or reflective glazing. c. Storefronts may be recessed from the frontage line by up to 10 feet. d. A bulkhead shall transition between the opening(s) and the adjacent grade. The bulkhead shall be between 18 inches and 36 inches WII (aluminum storefront or spandrel panel may not substitute for a bulkhead) 2. Elements e. Awnings and signs shall be located at least 8 feet above the adjacent sidewalk and may project for the width of the sidewalk at a rate of 6 inches per each foot above 8 feet to a maximum encroachment of 3 feet. f. Signal shall not project within 8 feet of the adjacent curbface(e). However, the Public Works Agency may approve an extension up to 2 feet of minimum clearance from curb face(s). luonwneNC Diagram: smpbont Plan diagram: Shopl ont secaon Dialyam: shophon[ Forecoult Frontage Type':.,..® Forecourt is a semi - public exterior space in the shopfront, gallery or arcatle frontage that is partially surrounded by a building and also opens to a thoroughfare, forming a court. The court is suitable for gardens, outdoor dining, vehicular drop-off, and utility off- loading. 1. Configuration. A great variety of forecourt designs are possible, but the following shall apply: a. A minimum of 10 feet deep clear, maximum of 40 feet deep clear. It. A minimum of 20 feet wide and a maximum of 50% lot frontage. c. The forecourt may also be raised from the sidewalk, creating a small retaining wall at the property line with entry steps to the forecourt, but shall not exceed 3 feet from the adjacent sidewalk grade. d. Storefronts shall be between 10 feet and 16 feet tall, as measured from the adjacent walkway. e. The corresponding storefront opening(s) along the primary frontage shall not have opaque or reflective glazing. f. A bulkhead shall be required. The bulkhead shall be 24 inches minimum, 36 inches maximum (aluminum storefront or spandrel panel shall not be substituted far a bulkhead). 2. Elements g. Minimum clearances for signs and awnings shall be 8 feet from sidewalk for vertical clearances and the width of the sidewalk for horizontal clearances. M Y^ Aarwmeirlc Diaul F..n 3 -8 Plan Di Faaaar 11 A -31 l n t„ q+ 4 — r I ` sa,bon Diagram : Fareppmt City of Santa Ana 549 Shopfront Frontage Type ,j® Shopfronts are facades placed at or close to the right -of -way line, with the entrance at sidewalk grade. This type is conventional for retail frontage and is commonly equipped with cantilevered shed roofs) or awning(s). Recessed storefronts are also acceptable. The absence of a raised ground floor precludes residential use on the ground floor facing the street, although such use is appropriate above. 1. Configuration. A great variety of Shopfront designs are possible, but the following apply: a. A minimum of 12 feel clear to a maximum of 18 feet tall, as measured from the adjacent sidewalk. b. The corresponding storeffonl(s) openings) along the primary frontage shall not have opaque or reflective glazing. c. Storefronts may be recessed from the frontage line by up to 10 feet. d. A bulkhead shall transition between the opening(s) and the adjacent grade. The bulkhead shall be between 18 inches and 36 inches WII (aluminum storefront or spandrel panel may not substitute for a bulkhead) 2. Elements e. Awnings and signs shall be located at least 8 feet above the adjacent sidewalk and may project for the width of the sidewalk at a rate of 6 inches per each foot above 8 feet to a maximum encroachment of 3 feet. f. Signal shall not project within 8 feet of the adjacent curbface(e). However, the Public Works Agency may approve an extension up to 2 feet of minimum clearance from curb face(s). luonwneNC Diagram: smpbont Plan diagram: Shopl ont secaon Dialyam: shophon[ Forecoult Frontage Type':.,..® Forecourt is a semi - public exterior space in the shopfront, gallery or arcatle frontage that is partially surrounded by a building and also opens to a thoroughfare, forming a court. The court is suitable for gardens, outdoor dining, vehicular drop-off, and utility off- loading. 1. Configuration. A great variety of forecourt designs are possible, but the following shall apply: a. A minimum of 10 feet deep clear, maximum of 40 feet deep clear. It. A minimum of 20 feet wide and a maximum of 50% lot frontage. c. The forecourt may also be raised from the sidewalk, creating a small retaining wall at the property line with entry steps to the forecourt, but shall not exceed 3 feet from the adjacent sidewalk grade. d. Storefronts shall be between 10 feet and 16 feet tall, as measured from the adjacent walkway. e. The corresponding storefront opening(s) along the primary frontage shall not have opaque or reflective glazing. f. A bulkhead shall be required. The bulkhead shall be 24 inches minimum, 36 inches maximum (aluminum storefront or spandrel panel shall not be substituted far a bulkhead). 2. Elements g. Minimum clearances for signs and awnings shall be 8 feet from sidewalk for vertical clearances and the width of the sidewalk for horizontal clearances. M Y^ Aarwmeirlc Diaul F..n 3 -8 Plan Di Faaaar 11 A -31 l n t„ q+ 4 — r I ` sa,bon Diagram : Fareppmt City of Santa Ana yZ, k _fro 1 11 1 ta. CHAPTER 3: Land Use Plan and Development Standards Stoop frontage Type ®nT A stoop is an elevated entry pad that corresponds directly to the building entry. The stop has stairs placed dose to the frontage line on a Wilding, and the ground story is elevated from the sidewalk, securing privacy for the windows and front rooms. This type is suitable for ground -firm, residential uses with short setbacks. This type may be interspersed with the shopfront frontage type. A porch or shed roof may also over the stoop. 1. Configuration. A great variety of stoop designs are possible, but the following shall apply: a. A minimum of 4 feet deep clear (all Stoops without porches or rots may encroach up to 50% of required building setback depth unless specified otherwise in the development standards. b. A minimum 4 feet wide. c. Stops shall be raised to transition into the building. Buildings along Harbor Boulevard may have a stop frontage. The design of such stoops is subject to review and approval by the Executive Director of the Planning and Building Agency. d. Stoops shall ormspond directly to the building entry(s). 2. Elements e. Fences o walls defining the stop or front setback shall not exceed 36 inches from the highest adjacent finished grade. Amnometrr, Diawam: 5tomp Frontyard/Porch Frontage Type ,;. ®,+T Plan W iirr: Stapp Sedkn Dia®am: sPoOp Fronryards are a common frontage primarily associated with single - family houses, but can be used with other building types in cases where the facade is set back from the right -af -way, provided the context is appropriate. An encroaching porch may also be appended to the facade. A fence or wall at the property line may be used to define the private space of the yard. The front yard may also be raised from the sidewalk, creating a small retaining wall at the property line with entry steps to the yard. The building facade that uses a frontyard or porch can be setback a maximum of 15 feet from the R.O.W. 1. Configuration. A great variety of frontyard and porch designs are possible, but the following shall apply: a. A minimum of 6 feet deep clear between the face of the landing and building facade (a1). Porches may encroach up to 24 inches of required building setback depth unless specified otherwise in the development standards, provided the remaining setback area shall not be less than 5 feet. b. A minimum of 12 feet wide clear for centered entry; or a minimum of 10 feet clear for asymmetrical entry. c. A minimum of 10 feet tall clear. d. Porches shall be at grade or raised to transition into the building. In no case shall porches be raised more than 3 feet from the adjacent grade. 2. Elements e. Fences or walls shall not exceed 3 feet in height when defining the front yard or (when fronting a public street) the side yard. Retaining walls within the front yard setback cannot exceed 18 inches in height. ananewic Diz ®am: F.xwkV brch Pei Dia ®am: FrQue " j 1 1. f i AMM ! f n ' ~ d ssnon Dia,eam. Frontyawftm October 2014 11 A -32 3 -9 Harbor Mixed Use Transit Corridor Plan Building Placement The placement of buildings plays an important part in creating character and a sense of place within the Harbor Corridor. The standards reflect an urban, walkable atmosphere where dense commercial, residential, and mixetl -use buildings are placed close together and create a consistent slo etwall Mat shapes the experience of pedestrians, bicyclists, and passing motorists. The setback standards also emphasize minimum setbacks to provide attractive landscaping and a buffer for pedestrians from street activity. Minimum and maximum standards are identiged in Table 3 -5 and associated fames. Table 3 -5. Building Placement al, Serbacla are measured from be closest paint of a building W be property line or public ment, except tar clear mores fees belnw). If a hunyard/pu'ch homage is used. be building facade may be setbacks maximum of 15 fret. 2. andimwl sebacke for entry gazes or courtyards, or to meet aaelaosseucwreq may W permitted subject b additmal der, review. Forage types may to used he eaasy seWack repuiremen6. 3. Building planes above the 30 floor shall have. at minimum. a 50% wrialion in setback wibin be specified sandards in Tads, 35. 4. For buildingswib Seven or more sbries, be mud floor and a Wye must W at backs brimoung of 30 feet min Single family reeldentral uses. _ Gear Zones 1. Clear zones are required at driveway, street, or alley intersections to provide adequate line of sight for drivers, bicyclists, and pedestrians as they approach intersections. The clear zone shall consist of an isosceles right triangle with 25 -foot sides along the property line. 2. The clear zone shall not be occupied by a ground floor building facade. Site and building features that are tal ler than 30 inches feet in height, including utilities, mechanical equipment, fences, and landscaping, are prohibited in the clear zone. 3. Upper foods may extend over the clear zone. Awnings must maintain a vertical clearance of at least 15 feet within a clear zone. 4. The clear zone requirement shall also apply to property corners that front Harbor Boulevard and abut the property line of a mobile home park. Encroachments 1. Outdoor dining. Such encroachments per approval of the Santa Ana Planning & Building Agency (PBA) and Public Works Agency (PWA) Directors, separate permit, and agreement per SAMC. 2. Encroachments. Awnings, Signage, Balconies, Bay windows and Frontage Types may encroach into the required setback subject to the standards identified in Table 3 -6 and the associated figure. 3. No encroachments are permitted within 10 feet of a bus stop, Intersection, or driveway. Table 3.6. Encroachments Except awnings, and gallery and i min. 8'dear max IV ab,sce findings, types Adjacent to pudic sheer right -of -way a - 8 it or public easemem arcade frontage lees Atljacern to alley or internal Drive aisle - - -- 6 — it 3 i - c _ ]fl _Adlamnttop3rking Clear zone (see below) a d 25 it to saver 5' l0 ¢aver 3' Adamaeta is and 2nd floor a 15 It - reditlemial 3rd floor and above 4 f 20/30 it - Adjacent to all All floors 8 SR - other uses a Up to 3mflaor h bit - atfloor andabove 1 15 it - al, Serbacla are measured from be closest paint of a building W be property line or public ment, except tar clear mores fees belnw). If a hunyard/pu'ch homage is used. be building facade may be setbacks maximum of 15 fret. 2. andimwl sebacke for entry gazes or courtyards, or to meet aaelaosseucwreq may W permitted subject b additmal der, review. Forage types may to used he eaasy seWack repuiremen6. 3. Building planes above the 30 floor shall have. at minimum. a 50% wrialion in setback wibin be specified sandards in Tads, 35. 4. For buildingswib Seven or more sbries, be mud floor and a Wye must W at backs brimoung of 30 feet min Single family reeldentral uses. _ Gear Zones 1. Clear zones are required at driveway, street, or alley intersections to provide adequate line of sight for drivers, bicyclists, and pedestrians as they approach intersections. The clear zone shall consist of an isosceles right triangle with 25 -foot sides along the property line. 2. The clear zone shall not be occupied by a ground floor building facade. Site and building features that are tal ler than 30 inches feet in height, including utilities, mechanical equipment, fences, and landscaping, are prohibited in the clear zone. 3. Upper foods may extend over the clear zone. Awnings must maintain a vertical clearance of at least 15 feet within a clear zone. 4. The clear zone requirement shall also apply to property corners that front Harbor Boulevard and abut the property line of a mobile home park. Encroachments 1. Outdoor dining. Such encroachments per approval of the Santa Ana Planning & Building Agency (PBA) and Public Works Agency (PWA) Directors, separate permit, and agreement per SAMC. 2. Encroachments. Awnings, Signage, Balconies, Bay windows and Frontage Types may encroach into the required setback subject to the standards identified in Table 3 -6 and the associated figure. 3. No encroachments are permitted within 10 feet of a bus stop, Intersection, or driveway. Table 3.6. Encroachments Except awnings, and gallery and i min. 8'dear max IV ab,sce findings, types —!—� k min. 12 min. 12' clear l max 24• Except awnings, and gallery and arcade frontage lees I Awnings, and gallery and anchm min. 10'clazr wn 8'of nonage types curb Side yard we Rear yard Alleyyad -- _... to saver 5' l0 ¢aver 3' Noa L Eavx ceroe ed tothree feelolproperly line. Building to Street Right -of -Way r FUNic eawnanabng Hakes BalcvaN Arley /IXiue lisle LLLLLUiLLLJ Bull j...ze Rtl 25 Rovar Zone Sweet ROW Setback Zone Building to Property Lines GL PL Min, 20/30 n AnyuSe _ Single Family ex¢p SGg Q residential Min. ft n. 5 h Min. 1511 Building to Building Min. 15 it l�H lot Encroachments Akivable allxaaorment per Table 3 6 o- U 0 MinR 6 . 6 R 3 -10 11 A -33 City of Santa Ana n Parking Standards The Harbor Corridor Plan envisions a mixed -use and transit- supporgve corridor that de-emphasizes the role private automobiles and parking play in our daily lives. The mix of land uses, proximity to multiple transit options, and more walkable and bicycle - friendly street designs should provide options for those who are not able or do not choose to use a car as their primary means of transportation. However, this Specific Plan does not ignore the need to provide an adequate number of parking spaces throughout the comdoc Sufficient parking is necessary to attract and serve new residents, businesses, employees, and customers. The comfort of existing residents is just as important, and parking standards must not be set so low as to cause overflow parking problems in adjacent neighborhoods. Off - Street Parking Table 3 -7 provides the off -street residential and nonresidential parking requirements. If different land uses are part of the same project (e.g., mixed use development combining retail and residential), the parking requirements for each separate land use are applicable and shall be added together to determine the total parking requirements for the project. In the calculation of parking requirements, fractional numbers of parking spaces shall be rounded up to the nearest half or whole number depending on the requirements. Additionally, the City of Santa Ana wants to encourage the most efficient use of parking space and respond to all uses. Off-street parking spaces can be satisfied through the provision of smaller spaces designed specifically for motorcycles or motorized exporters. - Up to 2 spaces for projects with up to 20,000 square feet of gross door area of nonresidential space or 50 residential units - Up to 5 spaces for projects with more than 20,000 square feet of gross fioor area of nonresidential space or 50 residential units Table 3 -7. Off- Street Parking Standards ® ' No M Residential - occupant I'd unit 1.5 /unit 2,0 unit Residential -guest 050 /unit 0.25 /unit 0.25 /unit Lme WorasShopkeeper- 1.0 unit 10/ unit 20 /unt occupant_ Live- WOr'NShopkeeper 0,50 Min 0.50/ nit 0.25 /unit guest Nonresidential 1 / 400 W if a a Setback Min. 5 ft landscaped setback from public street _ _ _ Int_of -way ar Lublic easement Vehicular access to Alley or side street access only parking Parking location s Above or below, ground Yes Yes parking structure ' No Alley 1.died garage No yes Yes Screened surface lots No Y. Yes On street No No Yes Notes: L pension epecial need housing. including senior housing, will to ptrke0 at l space per unit minimum. 2. Vehicular access b the off street palling may be taken from primary street only when an alley m side street is net present. 3. No more Nan he If of the St. lamm a may W oxupietl by {arking. Reflective of the desired intensity for the Transit Node District, parking may be accommodated only behind buildings In above- or below- ground structures. Parking within the Corridor District can be accommodated in structures or in screened surface lots between buildings or away from streets, with no more than half the site frontage occupied by parking. In the Neighborhood Transitional District, parking can be accommodated on- street, in alley - loaded garages, or in screened surface lots between buildings or away from streets, with no more than half the site frontage occupied by parking. In the Transit Node and Corridor Districts, vehicular access to the off-street parking is permitted only from an alley or side street when present. Vehicular access to the off-street parking may be taken from primary street only when an alley or side street is not present. Requiring access to alleys or side streets will not only improve the appearance of the streetscape along Harbor Boulevard, it will also improve its efficiency and enhance safety for vehicles, pedestrians, and bicyclists by minimizing the number of driveways. CHAPTER 3: Land Use Plan and Development Standards .�� •; � Ili ova e Above, general and meRrcul parkir,gulars an of ecNa parkingaclulion collapse lesion maturing, {grad, in seiaoam neig,EOrlwads. wren supporhdl by a mrcmldsom of almose land up , Structural parking (N can be an efficient means of providing parking. Panda, SWct res should amray,Wadvaened orwmpped W buildings. tower intensityateched residential can beeeecia ly and anchor, ssry H by alleyload� garages (c) -awd, when pan of a hived -we mmgn. Mmd-use and pormadmatial Wsirwses are encouraged b qaw parking behind buildings in central interior m6 up October 2014 11 A -34 3 -11 Harbor Mlion Use Tmosit Corridor Plan Parking Reduction Strategies Strategies to decrease parking demand and share parking will help reduce the reliance on automobiles, reduce associated congestion and emissions, and provide economic incentives for new residential, office employment projects. The Harbor Corridor is served by the local and new BRT bus services. Additionally, existing and future bicycling opportunities and the mixed -use character of the corridor will decrease the need for parking spaces over those required in the past. New development projects, rebuilds, and remodels are eligible for a parking reduction by incorporating transportation demand management (TOM) strategies. TOM strategies applicable to reduce parking requirements, subject W the discretion of the Executive Director of the Planning and Building Agency (Executive Director), include: • CarpooVvanpools • Garage lifts or hydraulic car parking (surface or structured) is Joint use (shared parking) x Tandem parking, not to exceed 30% of the required parking Reductions from off -street parking requirements of 10% or less can be approved by the Executive Director. Reductions greater than 10% must be approved by the Planning Commission. A parking study and the inclusion of TOM strategies may be required to determine the appropriate level of parking demand reduction generated by these strategies on a project - specific basis. Bicycle Parking Bicycle parking may consist of several types of facilities, hitching posts/staple racks, "A" frame stand- alone racks, bicycle lockers, etc. Bicycle parking facilities are encouraged to be used as functional pudic art. Bicycle parking should be located in convenient, visible, and well -Id areas. Nonresidenfial property and business owners are also encouraged to consolidate bicycle parking into clusters within the public right -of -way along the street frontage. 1 space per 5 unit, but Encloses within a unit's Resitlemial or live work' na less than 4 spaces usage or lockable bike f storage holder z Pudic. lackeys I 8.0spacesperkration Not,: 1, onlysppliato restoration live- work project oonsistrooffiwor more unit. z. The take lacker may be atiachad Is a unit or in a gaup of bike linkers in a centralized area of me residential pmjecf. Additionally, the installation of on- street or curb - adjacent bicycle parking may be considered at key points along the canidor. Approximately 12 bikes can park in the space normally reserved for a single car. Therefore, by papal one parking space, corridor businesses could accommodate space far up to 12 customers. On- street parking should be done primarily in parking lots (in a space adjacent to the sidewalk) or on side streets where traffic is slower and limited to two lanes, but the spaces should still be highly visible as one travels along the corridor. Bike racks are encouraged to go beyond conventional metal tubing. Enhanced bike racks can be described as metal artwark that shapes metal tubes into words or objects to provide the bike rack structure. These "of racks enhance the right -of-way as functional public art. They also present an opportunity to connect to the adjacent businesses. Open Space Standards Open space is a key feature in any urban place residents, workers, and visitors places to relax, gather, and exercise. Additionally, open space provides visual relief and a connection to the natural environment. Finally, open space may be used for community gatherings and festivals. While this area of Santa Ana enjoys a variety of small and large open space amenities, many existing residents and workers lack may access to open space lntensificatlon of the corridor with new homes and businesses will increase the demand for areas to relax and recreate. Adding open space to an urbanized area is not easy. Open space standards often focus on privatized open space and offer in -lieu fees that may get spent w t. r. 11 t ,1_'a. RIYWI Below. Ur ffinmtmeN sorpmnglndudeswcked sediment, which,rswmeUanical lift W porkmulmocaminonespace; sp�daiWn brmofac Mandsmoms(b); and random Making red, where two or more whides park in a single elengeted spare. Spares designed for elxmc vehicles (it) are also encouraged. I _ - I� 1�1: a 6 Bicycle parking ran take many forms. A simple bike rack ran he placed near Me entrance of a ,forefront (a), Bike smmge fediifies ran ce more dynamic and enhance Me band or Jimmy of an ce, shown in (b) as part of a small paring lot As new development occurs, Mae may be sufficient demand m set aside an onsoeet paddngspace erdm'ively for Nestle ad. iroarlred bike acts are a mnohnnal way of mtrodurine m blic art into Me strwtafs (it). 3 -12 City of Santa Ana 11 A -35 I space for each 7, 500 - Retail SE of Wilding area, but nor less than 4 5{Nces Neat main entrance Non -retail trommerdal I space for each 5,000 l with good visibility, and office SE abonding area, but ' nuttoobstmdautoor nth less Man 4 spaces ! pedestrian movement Pudic. lackeys I 8.0spacesperkration Not,: 1, onlysppliato restoration live- work project oonsistrooffiwor more unit. z. The take lacker may be atiachad Is a unit or in a gaup of bike linkers in a centralized area of me residential pmjecf. Additionally, the installation of on- street or curb - adjacent bicycle parking may be considered at key points along the canidor. Approximately 12 bikes can park in the space normally reserved for a single car. Therefore, by papal one parking space, corridor businesses could accommodate space far up to 12 customers. On- street parking should be done primarily in parking lots (in a space adjacent to the sidewalk) or on side streets where traffic is slower and limited to two lanes, but the spaces should still be highly visible as one travels along the corridor. Bike racks are encouraged to go beyond conventional metal tubing. Enhanced bike racks can be described as metal artwark that shapes metal tubes into words or objects to provide the bike rack structure. These "of racks enhance the right -of-way as functional public art. They also present an opportunity to connect to the adjacent businesses. Open Space Standards Open space is a key feature in any urban place residents, workers, and visitors places to relax, gather, and exercise. Additionally, open space provides visual relief and a connection to the natural environment. Finally, open space may be used for community gatherings and festivals. While this area of Santa Ana enjoys a variety of small and large open space amenities, many existing residents and workers lack may access to open space lntensificatlon of the corridor with new homes and businesses will increase the demand for areas to relax and recreate. Adding open space to an urbanized area is not easy. Open space standards often focus on privatized open space and offer in -lieu fees that may get spent w t. r. 11 t ,1_'a. RIYWI Below. Ur ffinmtmeN sorpmnglndudeswcked sediment, which,rswmeUanical lift W porkmulmocaminonespace; sp�daiWn brmofac Mandsmoms(b); and random Making red, where two or more whides park in a single elengeted spare. Spares designed for elxmc vehicles (it) are also encouraged. I _ - I� 1�1: a 6 Bicycle parking ran take many forms. A simple bike rack ran he placed near Me entrance of a ,forefront (a), Bike smmge fediifies ran ce more dynamic and enhance Me band or Jimmy of an ce, shown in (b) as part of a small paring lot As new development occurs, Mae may be sufficient demand m set aside an onsoeet paddngspace erdm'ively for Nestle ad. iroarlred bike acts are a mnohnnal way of mtrodurine m blic art into Me strwtafs (it). 3 -12 City of Santa Ana 11 A -35 .f outside the neighborhood. The City also recognizes that private property owners and the development community do not have endless funds to satisfy public park, cnsim common open space, cnsite private open space, and right -of -way improvement requirements. Accordingly, the following standards provide for a balance of onsite private open space, public park space improvement of the public realm. The development community is therefore free to maximize the development potential of their private property, and the City and the community benefits from higher quality public open spaces and an enhanced image for the Harbor Corridor. Projects are also encouraged to connect all three types of open space visually and physically to maximize the beauty and utility of open space along the conldN. Onsite Open Space Onsite open space is required for new nonresidential and residential projects within the Harbor Corridor Plan. Table 3 -9 identifies the amount of common and private open space required for each project and each unit of residential development. Additional standards are provided below. 1. The common open space requirement applies m nonresidential, residential, and mixed -use projects. The common open space requirement is per Table 3.9. Onsite Open Space Requirements CHAPTER 3: Land Use Plan and Development Standards project, not per we. For example, a live -work project with residential and nonresidential uses must only set aside 15% of the lot for common open space, not 30% of the lot. 2. At least two - Thirds of the common open space area shall be open m the sky and placed at the rear or side yard designed as a courtyard, or in the front as a forecourt. Courtyards may be located on the ground or on a podium. Side yards may also be formed to provide outdoor patios connected to ground floor commercial uses W serve as additional open space. 3. The remaining one-third of common open space can be provided as courtyard or forecourt space (covered or open m the sky), or as internal recreabors/gathering space (e.g., fitrte9s, meeting, or community room). 4. Up to 100% of the private open space requirement may be satisfied by additional common open space, provided the minimum dimension of this space shall be 15 feet in each direction. 5. Private patios may be provided at the side and rear yards. Balconies are permitted in any setback yard as provided in the encroachment requirements of the applicable zone. 6. Corridors, walkways, passes, driveways, parking courts, lobbies and other such spaces shall not be included in the required open space calculations. ® House — ® Mims . S — — 1,2009 10' — 24344 -plex 15% of lot me 20' 15' 909 9' 15' Bungalow COUrt 15% of lot ma 30' 20' 909 9' 15' Live -Work 15% of lot size 20' 20' 509 6' 15' Rowhouee 15% of Pot sure 15' 15' 909 6' 15' Tuck -Urxkr 15 %of et 9ze 20' 15' War 6' 15' Coury1, H0uft 15 %of lot size 20' 15' 909 6' IT Has Bloc* 15% of lot me 30 stacked Dwelling, 15% of lot size ' 30' Lined Block 15% of lot size 20' 20' 509 6' 15' 20' 50 sf 6' 15' l5' 509 6' 15' F7. New development shall desiar mean aped space as a key part of each Weisel, common open space should Ire centrally loralee and warmer m add ins an vrim me wuk dmt.11 way whenerer wsmle- laiw W upon spa, shonm he oaonduled m each residential unit and nra.imize e,posere m the ourme. October 2014 11 A -36 3 -13 Haber Mixetl Use liansil Corridor Flan Public Park Space Pudic park space serves the community at large and may consist of a variety of recreational amenities, including parks, playgrounds, open grass fields, community gardens, and plazas. This type of open space is available on publicly accessible land for all residents and visitors. Existing examples include Santa Anita Park, Campesino Park, and Spurgeon Park (the latter two located just outside of the Specific Plan area). All new residentlal development in the planning area is required to pay a Residential Development Fee to the City to achieve the goal of two acres of open space per 1,000 residents. This fee is described in Chapter 35, Article IV of the SAMC. See Chapter 7 of this Specific Plan, Implementation and Financing. Initial thoughts about possible locations for creating new park space include land adjacent to Santa Anita or Campesino Parks or the conversion of land within the Santa Ana River Channel to passive open space . Land in the channel is publicly owned, designated for open space, contains bike facilities, and is directly accessible by foot and bicycle to homes and businesses along and around Harbor Boulevard. Conversion of he channel area is consistent with he regional Mountains to the Sea effort and could position the City for grant funding as an infill, transit - oriented Specific Plan area with qualifying income levels. The Residential Development Fees collected from new development would serve as matching funds to compete for state and federal grants. All 11. Puuic park span is a cri &al darr'nent M the cantnued improvement of th carnal Smaller, centrally taa@1 l.Vaz are hahlyencauraea anal sMuld connect b the studal evisually and physiaty Park spaRS povge visual mired Fom the urban environment and sem Indihduals, coupe, and families. urban apiculture and community ppraens should to inwrryraled man individual prof E and Wblic spacas abng Harbor BouravaN, 3 14 11 A-37 City of Santa Ana CHAPTER 3: Land Use Plan and Development Standards New development is encouraged to provide creative solutions for onsite common open space, including green roofs situate on top of buildings or above a parking area. An example is the LiveRaof® system used in the New Block° design, which creates usable open space on the rooftop of the surface parking cover, utilizing a unique, modular, green roof planting system. The meadow -like open space contains a variety of native plants and decorative hardscape for barbecues, picnic tables, and social gatherings. The rooftop space is readily accessible to residents and provides an attractive amenity. Additional benefits include the reduction of the heat island effect, filtration of pollutants and reduced and filtered stormwater runoff, and outdoor active and passive recreational space on the roof over surface parking. This type of open space and roofing schdon also lowers land acquisition costs, provides a visually interesting roofscape, and creates a more attractive and appealing transifion between higher and lower density development. Open space provided on the top of a building or above the parking area may be private and set aside for the exclusive use of the occupants of the building. Conceptual renderings of the New Black"' product and open space, construction pictures as of August 2013, and a site plan. Pororrt Pondnp Imagea aap4a Nrk laaalne m sumo n.k a zo.unlegaxl m doaare: ordeaaxemngnh z0.aoo slasym+wre.Image. repmeceanan w�ml++lw, rmm Neiman sam :m t ronnm, ®zalz October 2014 11 A -38 3 .1 Halbol Mixad Use Ransl Con!tlor Plan Public Right -of -Way The Harbor Corridor's nghls -of -way (ROWS) are one of its most visible features. For many visitors and Santa Ana residents and workers, the ROWS define the image of the corridor, The Specific Plan establishes substantial improvement for the ROWS so that they are more attractive, safer, and functional for all to use and see. Open space in the public right -ol-way may consist of pedestrian and bicycle space, outdoor dining, landscaping, benches, and publicart. The concepts and standards in this plan require high quality design, materials, and landscaping for the ROW areas. Protect applicants should treat the ROWS as an e#ension of public park space. w t . If 1 a t_ X. ,�IYWi1 4 kh t. n E 3 16 11 A -39 City of Santa Ana MI:° T Landscaping Standards Overall, the landscape palette is urban, with shading and accent street trees in sidewalk tree wells along Harbor Boulevard and major crossstreets. Taller ornamental trees should be placed at in esections. For parcels fronting 1st and 5th Streets, housing may also maintain a shallow -depth landscaped frontyard separating buildings from sidewalks. Setbacks, yards, and shared common open spaces shall consist of landscaping (in -ground or above - ground plantings), enhanced hardscape, or outdoor seating or dining areas. A landscape buffer of not less than 5 feet shall be provided to separate any parking lot from an adjacent property, unless the parking lot provides shared access. Surface parking lots shall be landscaped per the City's Commercial area landscape standards. CHAPTER 3: land Use Plan and Development Standards Ocrober 2014 11 A -40 3 17 Harbor M -xe Use Transd Corridor Plan This page intentionally left blank. 3.18 City of Santa Ana 11 A -41 Y b = dal 4 MOBILITY PLAN Mobility Plan Objectives The Harbor Corridor Plan seeks to expand and improve the ways that people move along and through the corridor. While Harbor Boulevard currently serves many different types of transportation, the roadway's design and operation prioritizes the movement of cars and trucks through Santa Ana. This emphasis is understandable as the corridor carries over 40,000 cars and trucks every day. However, people travel through the Harbor Corridor in many other ways. Bus stops on Harbor Boulevard see thousands of people get on or off a bus along the corridor. All of these people and more walk along the sidewalks during the day and night. Finally, hundreds of people ride their hikes on the corridor's streets and sidewalks. Local residents, workers, and students of all ages asked for a greater emphasis on transit, pedestrian pathways, and bike facilities to create safer and more efficient options to travel to and from their homes, businesses, and schools. The Harbor Corridor Plan establishes the framework for improved transportation based on three primary objectives. I. Integrate with Local and Regional TransR Improvements The mobility plan emphasizes a sustainable approach consistent with the City's Go Local Transit Vision which aims to link downtown, employment centers, educational facilities, and expanded housing choices. A central focus is the new bus rapid transit (BRT) services that augment local bus service along Harbor Boulevard and Westminster Avenue/17m Street. The mobility plan also anticipates future transit stops for the fixed guideway system that will run along the Pacific Electric right -of -way and link to the Santa Ana Regional Transportation Center (SARTC) in downtown. 2. Safe and Efficient Pathways for Pedestrians and Bicyclists Improved pedestrian and bicycle facilities and linkages are a cornerstone of a robust transportation network. The Harbor Corridor Plan encourages a variety of building designs to create a comfortable environment for walking and biking. New street layout facilitate safe bicycle and pedestrian travel along Harbor Boulevard and efficient connections to the regional bicycle network, including the Santa Ana River Trail. 3. Preserve Capacity for Can and Trucks The Harbor Corridor Plan continues m recognize the important role Harbor Boulevard plays in circulating vehicular traffic through the region by maintaining the six traffic lanes and expanding intersection turning options. The plan also encourages the consolidation of driveways along the corridor, creating more efficient traffic flows. Mobility Context Circulation Element The Circulation Element of the Santa Ana General Plan is the City's blueprint for transportation planning. The purpose of the Element is to plan for a transportation network that meet the mobility needs of Nose living, working, and visiting the City. The Cimulabon Element goals reflect the City's vision for a comprehensive circulation system that is safe, efficient, and attractive for all users. The Harbor Corridor Plan implement the Circulation Element's goals and policies along Harbor Boulevard. The element's eight circulation goals (adopted as of August 2014) are listed below. Circulation Element Goals Goal L Provide and maintain a comprehensive circulation system thatfacilitates the efficient movement of people and goods throughout the City, and enhances it economic viability. Goal 2. Provide design and construction that facilitate safe utilization of the City's transportation systems. Goal 3. Provide a full spectrum of travel alternatives for the community's resident, employees, and visitors. Goal 4. Fully coordinate transportation and land use planning activifin. Goal 5. Create attractive circulation corridors to enhance the City's image. Goal 6. Protect local street from through traffic to preserve neighborhood character. Goal 7. Utilize alternates parking strategies as a means of managing transportation demand. Goal 8. Strengthen the coordination of transportation and land use planning activities with adjacent jurisdictions and regional agencies. Hamsi Mixed Usa Transit Comdor Plan Complete Streets Act The Complete Street Act was passed in 2007 to ensure that the transportation plans of California communities meet the need of all users of the roadway, including pedestrians, bicyclist, users of public transit, morodst, children, the elderly, and the disabled. The purpose of this act is to make roads safer and more convenient for pemple who choose to walk, nice a bike, or take transit, and to aid in reducing traffic congestion, auto - related air pollutant, and the production of climat -changing greenhouse gases. These goals are consistent with the vision for the Harbor Boulevard corridor to improve transportation conditions and facilities for all types of travel. October 2014 11 A -42 4 -1 Hamm, Mixed Use Transit Con,ri Plan Streets and Parking Street Network Figures 4 -1 and 4 -2 illustrate the existing street network and the City's Master Plan of Shoals and Highways for the Harbor Corridor Plan area. The majority of roadways will remain the same with the exception of the extension of Santa Ana Boulevard as a four -lane (two lanes in each direction) arterial street along the Pacific Electric right -of -way, from Fairview Street to State Route 22 The extension of Santa Ana Boulevard would pass through the intersection of Harbor Boulevard and Westminster Avenue as a grade - separated overpass (meaning it would not connect with Harbor Boulevard or Westminster Avenue) This intension and configuration will divert some vehicular traffic away from Harbor Boulevard, enabling the corridor to accommodate future growth in the local area and through the Harbor Corridor Plan without deteriorating vehicular capacity. The current speed limit along Harbor Boulevard is 45 miles per hour —a speed that is best suited for a roadway designed primarily for vehicular traffic and low levels of pedestrian, bicycle, and transit activity. Harbor Boulevard is identified in the City's Circulation and Housing Elements as a transit corridor and in this Specific Plan as a multimodal corridor with significant current and future levels of pedestrian, bicycle, and transit activity. Accordingly, the City proposes street designs and a goal to reduce the speed limit along Harbor Boulevard within this Specific Plan. A lower speed limit enables the roadway to efficiently move vehicles through the corridor while improving safety for pedestrians and bicyclists. Parking On -street parking is limited within the Harbor Corridor and is not currently permitted along Harbor Boulevard. The mobility plan introduces new street designs that add on -street parallel parking to Harbor Boulevard To creole a safer environment for pedestrians and bicyclists. Such parking will also augment parking options for shoppers and other visitors, reducing the overflow parking experienced by adjacent neighborhoods. Transit Local Bus Service The residents of Santa Ana rely heavily on transit services as a primary mode of travel to work, school, or other actiNtles. Residents and vistors alike are increasingly turning ro transit for recreational nips. The Harbor Corridor is currently served by four Orange County Transportation Authority (OCTA) bus routes: 43, 60, 64, and 66. Together, than lines serve tens of thousands of riders every day, including several thousand within the Harbor Corridor. Figure 4 -3 illustrates the current bus routes and ridership levels. The Westminster Avenue/17N Street, list Street, McFadden Avenue, and Harbor Boulevard corridors are considered High Frequency Transit Corridors by OCTA in it Lang Range Transportation Plan. OCTA and other regional transit agencies will continue to prioritize future transit investments in these corridors. Bus Rapid Transit Bus Rapid Transit (BRT) is a high quality bus service that provides more frequent service than local bus service at stations set along major corridors. Further, BRT systems generally have a distinct identiy, incorporate traffic signal synchronization, and sometimes serve new bus shelters with real -time bus arrival information. BRT is considered a more affordable alternative to light rail or commuter rail (like Metrolink or Amtrak) and can often attract new transit riders through improved transit service quality. The Orange County Transportation Authority (OCTA) is Banning to introduce three Wes of BRT service over the next decade, all of which will directly serve Santa Ana. Known as the "Bravo!" service, OCTA introduced the firs[ line along Harbor Boulevard in June 2013 (see Figure 4 -4). As shown in Figure 4 -5, N.ro future lines will run from Santa Ana to Long Beach (on Westminster Avenue/17th Street) and from Brea to Irvine. The BRT service on Harbor Boulevard operates north and south alonga 22 -mile route, linking Santa Ana to Fullerton, Anaheim, Garden Grove, Fountain Valley, Costa Mesa, and Newport Beach. The service provides regional connections to Metrolink and Amtrak rail services, as well as other OCTA bus services at the Fullerton Transportation Center. Bus stop locations in Santa Ana are at the intersections of Harbor Boulevard and Westminster Avenue, First Street, and McFadden Avenue. The Westminster Avenue/17th Street Bravo! line is proposed to travel along an easFwest route between Santa Ana and Long Beach, linking the study area ro Garden Grove, Westminster, Seal Beach, and Long Beach. The BRT service on Westminsteri Street would provide connections to the Harbor Boulevard and BristoVState College BRT lines, as well as Metrolink, Amtrak, and other OCTA bus services via an eastern terminal at SARTC. Proposed bus stop locations in Santa Ana include the intersection of Harbor Boulevard and Westminster Avenue. Figure 4 -1. Existing Street Network 69POEN CF'l VE �r L . 3� 1 j S —0 Figure 4 -2. Santa Ana Master Plan of Streets and Highways 42 11 A -43 City of Santo Ana ,.a ACeN enovE 5T. 11 sn Nrn nr�. _ �, E an CD • —t � � rouerare vauEV i 42 11 A -43 City of Santo Ana -4 - } "' 1 s a V CHAPTER 4: Mobility Figure 4 -3. Local Bus Service and Ridership (2011) Figure 4 -4. Existing and Proposed BRT and Fixed Guideway lidW lMN Tfulb.lw XNY T.M E—' N..N smo - ® e f Vim1 ANC wu Ow,eow, (i 1111 l < lz, Figure 4 -5. Proposed OCTA BRT Routes OFT a., I�, GNOVE. `.ROEN J �Y _ bmrF im�J Yno.W o.�M 1a90, a:. 1 04 oar Lvtrn4m�� a.4o•��'4s � OmQ Y.wmu[In .w u •�Ia •••_ �8 S ,1NIF ei w • n cusrv_ • ....eeisoo w,Po MT I-, 0 a., J �Y _ bmrF im�J Yno.W o.�M 1a90, a:. 1 04 oar Lvtrn4m�� a.4o•��'4s _ ti Lnb4.. Y.wmu[In .w u •�Ia •••_ Cmu Yeu ® Westminster -17- Street Corridor Harbor Boulevard Corridor - Bristol - State College Boulevard Corridor .. @.m.�. October 2014 11 A -44 August 28. 2008 4 -3 - 1 7 Haltoi Mixed Use Transit Corridor plan 14 4=1* u x Mt Figure 46. Fixed Guideway Project Route Options Fixed Guidexay Project The cities of Santa Ana and Garden Grove in cooperation with OCTA are proposing to build a fixed guideway /streetcar transportation system between SARTC and a new transportation center in Garden Grove. The system would provide transit services for commuters travelling from the train station to employment and activity centers in the heart of Orange County and for residents and visitors travelling to destinations throughout the area. The proposed streetcar would pass directly through the northern end of the Harbor Corridor Plan along Santa Ana Boulevard and the Padfic Electric right -of- way (PEROW). Figure 4 -6 depicts the latest route options under consideration. Either alignment would service Santa Ana's historic downtown, which includes government offices; federal, state and local courthouses; unique businesses; an artists' village; several colleges; and a variety of organizations that cater to the community's needs. The proximity of the fixed guideway alignment and the Bravo! BRT stations makes property within the Harbor Corridor Plan conveniently accessible from the fixed guideway, bus lines, and local freeways. Such varied access bolsters the identity and value of property, along the corridor. In the future, the transit options could enable nodes along the corridor to develop as a cultural district, museum district, or other community gathering space that could serve as a destination for residents and visitors from around the region. 44 11 A -45 City of Santa Ana MetrolinW It'll TramR Amtrak to bn Los Angeles R Srmtr A, sou hia.n ern ___ k Air. C-Up M „a:.egns. s. OCHSA x w wabwkx w a COw o t .. y StRTC (IM G,... m a Civic a ff . —is tionai - Oiatdcs a' a MetrolinW Amtrak to San Diego ® tiEt�tto Fie Guideway/ thre r Rou@ Opton 1(Undei Consi moon) Bravo! HaW BM Bus Rand Transit Rom, FixM GUitleway)B�Mar ROUk Option 2lUMer Consideradon) Bravo! HeNU BIM Bis Rapid Manor Slop O FEW GuidewayROea skar Ropmef Stop (Ureei Consideraeon) - - - - - -- Brew!V.MMinsM AW17M at Bus Rapid Transit Trans iROpmm) w w w Feed GuldewaylBEeelwr masiole Future ExRnsion axed Guide rsgrwrwr study Area Fixed Guidexay Project The cities of Santa Ana and Garden Grove in cooperation with OCTA are proposing to build a fixed guideway /streetcar transportation system between SARTC and a new transportation center in Garden Grove. The system would provide transit services for commuters travelling from the train station to employment and activity centers in the heart of Orange County and for residents and visitors travelling to destinations throughout the area. The proposed streetcar would pass directly through the northern end of the Harbor Corridor Plan along Santa Ana Boulevard and the Padfic Electric right -of- way (PEROW). Figure 4 -6 depicts the latest route options under consideration. Either alignment would service Santa Ana's historic downtown, which includes government offices; federal, state and local courthouses; unique businesses; an artists' village; several colleges; and a variety of organizations that cater to the community's needs. The proximity of the fixed guideway alignment and the Bravo! BRT stations makes property within the Harbor Corridor Plan conveniently accessible from the fixed guideway, bus lines, and local freeways. Such varied access bolsters the identity and value of property, along the corridor. In the future, the transit options could enable nodes along the corridor to develop as a cultural district, museum district, or other community gathering space that could serve as a destination for residents and visitors from around the region. 44 11 A -45 City of Santa Ana se ALL - i Bicycle Even withoutdesignated bicycle facilities within the Harbor Corridor, hundreds of residents, employees, and students ride their bikes alongside cars in the roadway or alongside pedestrians on the sidewalk. Based on local feedback, improving bicycle and pedestrian safety is a key objective of the Specific Plan's mobility plan. Accordingly, the mobility plan identifies conceptual roadway designs that implement the City's planned bikeway system, creates strong connections to local and regional bikeway networks, and encourages bike facilities that formalize safe and efficient bike travel within the corridor. Figure 4 -7 illustrates existing bicycle facilities and those proposed in the City's Bicycle Master Plan and Circulation Element. The City Engineer and Executive Director of the Planning and Building Agency will determine the appropriate timing and phasing of bicycle improvement within and around the Harbor Corridor Plan. Pedestrian Harbor Boulevard is different from typical Corridors throughout California in that thousands of people already walk along the corridor every day to access businesses, homes, transit stops, and public institutions. Local input and observation reveals that the current street design places a low priority on the safety and attractiveness of the pedestrian environment. The mobility plan introduces street designs that widen sidewalks, improve landscaping areas, add buffer zones, and enhance crosswalks. Making the street more walkable will also change the way the community interacts with the street. The public realm will transform from a functional space used purely for transportation to an inviting space that elevates Harbor Corridor's image and attract people to stroll along the condition Overall, improvements within the Harbor Corridor will foster community connections and actively link the homes, businesses, parks, and transit areas. Street Design Many of the street within and connecting to the Specific Plan area will be redesigned to more safely accommodate pedestrians and bicyclist while Continuing to effectively serve cars and buses. As described in the Administration and Implementation chapter of this Specific Plan, the City shall prepare design and specifications for the ultimate roadway improvements, including parkingand parking meters, sidewalk widening, sidewalk bulbouts, CHAPTER 4: Mobility Figure 4 -7. Existing and Proposed Bicycle Network r r t r A i r °r i i i I i t t ,y ;i <I u r r r t t j Figure 4-8. Intersection and Roadway Safety Changes SPEED LIMIT 45 Current SPEED LIMIT 35 Actual Traffi< Speed The anent aped limit along Harbor t oufeaN is 45 mile-. Goal IRr hour, apLCd Nat he emission! for a asevasy deigned IProvinry rw adiruler ftmfic and low reams of Pidelmian. Iicyae, am transit acfiWty Harbor Boulevard is denfifiel in Me Cox Ciamalion and Remark Elements as transit mnitlur and in Nis specific Pan as a mullimadal minder wild dammed wnerR and WWre Waste of pedestrian, btr.Me. and to met acB ®ry The City popraes madway details mail a gcal M mduw Me speed limit along Hanoi Boulevard wiMin Na Specific Plan. Abm Ws limitenades Nemadway Wefficiendy moan abides Mlough Mae nommor Mile impmxngsahry lar pNerthems and ggstiale Ho dwer, Me pmli speed limit must mmpy van Me Califomia Marine Cade. Additional street help element are recommended W improve safety at intersections, such as nmysk.deal traffic silmals alongside Me initia al round red. yellow and Memo slamis, Bicycle,00rm c signor help alert mrs and dcydist when it is safe and appeopdak M drydes W order and mrs Me inle an on. Older steel de, V element Include RKldrela painted aosswalle, for Terminate and bleydids. October 2014 11A-46 4 -5 Flzr;br Mixed Use Transit Corridor Plan median improvements, and intersection improvements including both striping the current right-of -way to provide sufficient space for pedestrians, bicyclists, and special pavement treatments. outdoor dining, and other features. The following text describes the intent of future street designs for significant roadways in the Specific Plan area. Illusbabves (Figures 4 -9 and 4 -10) are also provided to convey conceptual design options that could be considered as part of the street design process. Harbor Boulevard Improvements to Harbor Boulevard should include an expanded pedestrian area to encouraging walking and neighborhood activity. This area would also allow for businesses and restaurants along the corridor to offer outdoor dining and additional pedestrian and bicycle amenities such as bike racks, pudic art, landscaping, and benches. New lighting features could be designed not only for the passing vehicular traffic but also at a pedestrian- scale. This would increase safety and improve the aesthetic of the public realm. Wide crosswalks could extend through the intersection designated by textured or patterned pavement. The new street design may also introduce pull outs for on -street parallel parking, increasing safety by helping to slow traffic and acting as a buffer for pedestrians. New bike facilities could provide a safer option for bicyclist to travel within the area while also implementing the City's planned bikeway system. As shown in the conceptual illustratives, opdons for the street design could incorporate off-street bike paths that create an enlarged sidewalk area suitable for both bicyclist and pedestrians; or bike lanes that travel in designated lanes along the curb or adjacent to vehicle travel lanes. These bike facilities could be carried through an intersection in designated striped or patterned lanes —either along the roadway or on the multipurpose sidewalk. The intersections may arm include a designated area in front of the limit line m that the bicyclist would be more visible to warring vehicles. Local bus and the BRAVO! bus rapid transit lines will operate along Harbor in Me appropriate travel or turning lanes as dictated by their route. The design of the bus stop areas may continue to require buses to pull out of traffic and into designated areas along the curb, or the new meet design may prefer to omit pull out areas in favor of inline bus stops. Harbor Boulevard would maintain its existing median and six traffic lanes but may ultimately expand intersection turning opdons by adding an additional turning lane. An additional eight -foot public easement will be required beyond Westminster Avenue Improvements Improvements to Westminster Avenue within the Specific Plan could include an expansion and upgrade of the pedestrian area the addition of more landscaping, a designated bike lane, and pedestrian- scaled lighting. These improvement would provide greater multimbdal connectivity through the Specific Plan area, to other areas of Santa Ana, and neighboring jurisdictions. Fifth Street Improvements Filth Street could receive several improvements to expand the pedestrian and bicyclist experience while maintaining sufficient capacity for vehicular traffic. West of Harbor. The new street design could upgrade existing sidewalks into an enhanced pedestrian and landscaping area, complemented by pedestrian - scaled lighting. Travel lanes could be reduced to accommodate new on -street parallel parking and provide a buffer to the pedestrian zone. East of Harbor. The new street design could replace on- street parking and reduce the whom of travel lanes to make way for bike lanes. With the new bike lanes, people would Win more direct and safer access to the Santa Ana River Trail, Harbor Boulevard, and other areas and trails in Santa Ana. The existing sidewalk may also be upgraded with pedestrian- scaled lighting and landscaping to improve the walking experience. First Street Improvements The new street design for First Street could introduce a bike lane, new landscaping and pedestrian areas, and pedestrian -scaled lighting to enhance the pedestrian experience and provide direct and safe bicycle connections to the nearby Bravo! BRT stop as well as the Santa Ana River Trail. The existing painted median may aim be upgraded to a raised landscaped median. McFadden Avenue Within the Specific Plan boundaries McFadden Avenue could maintain the majority of its existing street design. Sidewalks may be upgraded and a landscaping area could be added as a buffer to traffic. This meet would provide an important connection to a Bravo! BRT stop on Harbor Boulevard. Figure 4 -9. Conceptual Rendering: Harbor Boulevard at Westminster Avenue Looking South Conceptual design features; a. Enhanced and enlarged pedestrian area L. Bike lane pulled up to the crosswalk in front of the limit line c. Limit line rot back 10 feet as a buffer from bicycles and pedestrians d. Textured pedestrian crosswalk e. Striped or patterned bike lane carried through the intersection 4 -6 11 A-47 City of Santa Ana Figure 410. Conceptual Renderings; Harbor Boulevard Looking North October 2014 11 A -48 CHAPTER 4: Mobility Conceptual design features: a. Enlarged sidewalk area with street trees b. Space for outdoor dining c. Pull out area for bus stop d. Buffered bike lane alongside vehicle travel lanes e. On- street parallel parking with smart parking meters f. Separated bike lane alongside vehicle travel lanes g. Protected bike lane adjacent to the curb 4 -7 Harbor Mixetl Gse Transit Corridor Plan Figure 410. Conceptual Renderings; Harbor Boulevard Looking North All Conceptual design features: a. Class I bike path and sidewalk area that supports both pedestrians and bicyclists; enhanced by street trees b. Cycle track c. Space for outdoor dining d. Pull out area for bus stop e. Inline bus stop (no pull out) ' = -8 11 A -49 City of Santa Ana ;Q3 k _tr a f 11 s A W INFRASTRUCTURE Water Plan The City of Santa Ana is the primary provider of water services to the Specific Plan area. Fxisbngwater mains in the area range from 4 inches to 12 inches in diameter. There is a 12 -inch main that extends the length of Harbor Boulevard in the Specific Plan area. The City of Santa Ana obtains 70% of its water from City-owned wells, and any remaining demand is provided by the Metropolitan Water District. Wells numbered 20, 21 and 30 provide water for the Specific Plan area. Based on existing conditions and pipe sizes, water supply and capacity is adequate to serve the Specific Plan area. Figure 5 -1 illustrates the water system. Sewer Plan Currently, the Specific Plan area is served by a network of sewer lines ranging from 8 -inch to 15 -inch diameter pipe. First Street and parts of Harbor Boulevard have a 12 -inch mainline, while most of Harbor Boulevard is serviced by a 10 -inch mainline. McFadden Avenue is served by a 15 -inch mainline, and the rest of the streets affecting the development are serviced by 8 -inch lines. Additionally, near the Specific Plan area are two main trunk lines that carry effluent to two treatment plants owned by the Orange County Sanitation District. As the Specific Plan progresses towards its maximum buildout, future calculated flows are expected to exceed current capacities and upgrades will need to occur throughout the Specific Plan area Figure 5 -2 illustrates the ultimate sewer system needed to serve existing and proposed development. Drainage Plan Runoff in the Specific Plan area is currently managed by a combination of closed and open drainage channels, including a 90 -inch reinforced concrete pipe that crosses Harbor Boulevard at Washington Street. A second large closed drainage system is midway between First and Fifth Streets. All drainage ultimately discharges into the Orange County Flood Control Channel. During a 100 -year storm, the entire area is subject to flooding and will continue to be until flood control elements are implemented. All buildings must be constructed three feet above the location of recorded 100 -year flood plains in any Zone A (100 year flood zone) land south of Hazard Avenue. The lowest flood levels are at the 79' and 84' contour levels for the area north of Hazard and Westminster Avenues. A 1993 study (Boyle Engineering Report) indicated that the existing system is deficient and unable to convey current runoffs. Additionally, the Harbor Corridor Plan would add impervious area to the corridor — primarily from developing vacant land —and would increase existing flows by 15 %. An updated drainage master plan should be completed by the end of 2014. Figure 5 -3 illustrates the existing and proposed storm drainage system for the Harbor Corridor Plan area The map distinguishes between recommendations made in the 1993 study that would need to be implemented to convey existing runoff and improvements required to accommodate increases generated by the Harbor Corridor Plan. Harbor Mixed Use Transit Corridor Pan October 2014 11 A -50 5 -1 Figure 5 -1. Water System 5 -2 City of Santa Ana 11 A -51 12" GARDEN GROVE 12" WESTMINSTER AVE W 17TH ST J L � —12" 1 RD� ° J HAZARD AVE ° wdlowlck Golf Course i z 1 ' 8„ 12" 5TH ST 1 " SANTA ANA 24" 16.. W 1sT sT m` ° ct y 3 12" w o x 3 z a x ° e ¢ m c 12" 12" y MCFADDEN AVE 12" = Existing Water Lines r� City Boundary Q Project Area o aoo FOUNTAIN VALLEY ..�,— .._..��DINGER AVE. —..— i 5 -2 City of Santa Ana 11 A -51 ;Q� a _fi a t h, 1- Figure 5 -2. Sewer System WESTMINSTER AVE 5TH ST 15" 12,CARDEN GROVE 10' 15" 8.. �1 3.36: =� �F"o $A A N A 21 f 21 " - w 1ST ST ._... _.. w —10„ 0 g.l m i p/I .�,._. 15" 15" MCFADDEN AVE - x 12" S Sewer Line City Boundary QProject Area g^ o eoa ! i EDINGER AVE FOUNTAIN VALLEY a" CHAPTER 5. Infrastructure W 17TH ST Willovnok G"T Course 1112" 1 ao m 15" In z I or rceptor October 2014 11 A -52 53 Figure 5.3. Storm Drainage System ,IMINSTER AVE a x z 5TH ST a+ L � fl i Mrt_'L iW1Y1 GARDEN GROVE 36" \ 80" WASHINGTON AVE 3 unuuuu� a x 54" MCFADDEN AVE 1„ 42" 48" _ Recommended Improvement based on Harbor Corridor Plan Recommended Improvement based on 1993 Boyle Engineering Report Existing Storm Drain Open Drainage Canal City Boundary 5 " QProject Area o eao FOUNTAJ&I EY EDINGER AVE Irr z ° 54" H Y Z V � Q W 17TH ST ce 'O W Willowick Golf Course z O Z m e Q m C y 54 11 A -53 City of Santa A" SANTA .ANA � � 7 72.E 18 "— O O 8w tsT sr- 36 ". 2 24" 3 3 „ „ C662 pa a e " " pi e 0 unnnrm.. . ... 0 m m u m MIL 0 Irr z ° 54" H Y Z V � Q W 17TH ST ce 'O W Willowick Golf Course z O Z m e Q m C y 54 11 A -53 City of Santa A" ;Q76. A_,a I ex A 6 DESIGN GUIDELINES Administration Purpose The design guidelines are intended to promote quality design, consistent with overall vision, while providing a level of flexibility to encourage creative design. The guidelines direct the physical design of building sites, architecture, and landscape elements within the Specific Plan boundary. This comprehensive approach represents a more understandable and predictable way to shape the physical future by emphasizing building form and landscape design that reinforce urban and transit - oriented development patterns. These design guidelines are established to create a distinct character for Harbor Boulevard and lo ensure that new development is designed with a pedestrian emphasis that will cultivate a vital and active sheet life while creating an overall positive architectural aesthetic. Applicability The provisions of this section shall apply to all development within the Specific Plan boundary. Any addition, remodeling, relocation, a construction requiring a building permit that is subject to review per Chapter 41 -668, at al of the SAMC (Development Project Plan Approval) shall adhere to these standards and guidelines where applicable. Interpretation Compliance with a design guideline written as a "shall" or "muse' is required. Compliance with a design guideline women as "should" requires compliance unless a legitimate reason or design substitute is deemed acceptable through the design review process. A design guideline written with an action verb (e.g., provide, use, locate, create, establish, employ) is highly recommended. A design guidelines written as a "may" is permitted, but requires explanation as to why it is necessary that is deemed acceptable through the design review process. Finally, a design guidelines written as "prohibited" or 'not allowed" identifies an action or design that is hot permitted. Building Design Massing and Scale 1. Quarter - block, half- block, and full -block development projects should all adhere to the character and objectives of the guidelines. Large and scaleless building masses should be avoided. 2. Substantial projects should be designed as a collection of suitably scaled buildings instead of a singular mass. 3. Buildings greater than three stores should provide variation by using balconies, fenestration, and sunshades to create an interesting pattern of projections and recesses, light, and shadow. 4. Building mass should be articulated to reflect a human scale, both horizontally and vertically. Examples of such building elements include articulated facades, corner elements, inset windows, highlighted entry features, and prominent cornices and moflines. 5. Building mass should be placed toward the public realm, forming a distinctive street wall that outlines and characterizes the corridor. 6. When adjacent lo existing single family homes, buildings over two stores should be made lass imposing by stepping back on elevations above the second floor. Z Courtyards and atriums should be used to bring light and air into interior spaces, where appropriate. Corner Treatment 1. Buildings with special architectural elements should be positioned on corners of significant intersections, entries, or near the center of grouped buildings. Element: may include: • Clock towers • Diagonal walls at the corner • A substantial art form or fountain n A faller, prominent rooftop element n Significant stepbacks on upper floors 2. Renovations to existing comer buildings with blank walls should include additional articulation and detail, display windows, and extended facade material, colors, and treatrnents. 3. Vertical focal elements, such as lowers, spires, and comes, become landmarks and serve as orientation points for the community. Vertical focal elements are encouraged, especially for buildings adjacent to intersections and transit nodes. Harlon, M +xed Use Transit Como., Plan Neesinghv, Berme the scahe. M.11 theme of a Widens. mdiviaual bu ldine, along the xtrxt wall should W dermal by providing GXerenas in mzerials, wrote, and emheuishmenls. special afteribi should he pa.d ro comer WWres of aullding at rvucrih,ne,s Wr, October 2014 11 A -54 6 -1 Harbor Mixed Use Transit Corridor Plan TM1¢fWr511nn1e¢nM1an[eth¢Sty ¢ etme WEnaandbeq llarli,ony WII11 tFM WINInIhaRhipcWR. Stine. ®anite, petasr mncrem, and anent hit quality materials are amended, me Maine and myna ofwndow5 m an iapamnt arcnireewral dieter mat should tie used m enharce Me Warnings visual appawarme and should provide I>edevron in ermt. Root Treatment 1. The style of the roof should be in accordance with the building's architectural character to enhance the value of the building design. 2. A variety of roof planes and ridge heights may be used. 3. Rooftop and other building mechanical equipment should be screened from public view. z The building mechanical equipment should be housed within the building of enclosed in a penthouse structure that is incorporated with the design of the building. • When mechanical equipment is placed on a rooftop, it should be located below the highest vertical element of the building wherever possible to avoid the use of penthouse structures or other special screening devices. • When mechanical equipment is added to an existing building, it should be screened in such a way as m match the architectural style and materials of the existing building without giving the appearance of being added on. • Mechanical equipment should be placed away from adjacent residential uses to minimize noise impacts. 4. Roof drains should be designed as an integral part of the structure. 5. Roof access should be provided from the interior of the building. Exterior roof access ladders are not appropriate. Building Colors and Materials 1. Buildings shall use durable, high quality materials to develop long - lasting buildings which can be adaptively reused over time. • Brick, natural stone, precast concrete, and factory - finished metal panels (heavy gauge only, in corrugated or flat sections) are preferred • Altematives to stucco are preferred. When sucm is used it should be applied with a smooth finish. Stu= seams should be used to create visual interest for the buildings facade and form. • The finish, texture, and color of materials should be compadble with the overall architectural theme. 2. Greater anentlon m detail and quality should be used at the lower levels of a building to contribute to an enhanced streetsrape. 3. Encourage buildings to express a variety of architectural styles, butwith full awareness of, and respect for, the height, mass, articulation, and materials of the high quality (desirable) older buildings that surround them. 4. Architectural style and use of quality materials shall be consistent throughout an entire mixecli project; however, variations in materials and details may be used to differentiate between the residential and commercial portions of the project. 5. Construction details should be authentic and applied with consistency. Faux architecture that mimics a past era is strongly discouraged. 6. Materials and colors should be used to imply form changes, particularly for entrance lobbies, massing changes, and different uses or tenants. 7. Bright color palettes should be tested onsite to verify appropriateness for the site and block. 8. Garage openings, entrance canopies, scuppers, downspouts, and metal railings should follow the aesthetic of the building theme. 9. The use of concrete is allowed as long as it is part of an overall architectural composition, and it should have a finished architectural expression. 10.Facade elements constructed of foam or foam molding is prohibited on the ground floor of buildings and should be avoided overall. if used, they should be well proportioned and constructed to avoid appearing glued to the building. 11. Concrete masonry units should only be used if they are fundamental to the building design and have a suitable appearance at the ground floor. Windows, Boors, Balconies, and Walls 1. The rhythm of windows and entrances should provide interest and engage pedestrians. 2. Clear One should be used on the ground ficor of facades with marginal obstruction from window signs, permanent shades, or interior displays. 3. Balconies and bay windows in upper stones are encouraged to enhance activity and provide "eyes on the street" 4. The design, size, type, and location of windows should enhance interior daylight and potentially decrease the sizeltype of required heading/cooling systems. 5. For nonresidential storefronts, curtain wall, metal panel, frameless glass porch wall systems, and high quality glass storefront wall systems should be used. a) Installation using a vertical cavity system and reinforced fiber cement panels are acceptable. b) Windows and glass curtain wall systems should be transparent. Highly reflective or very dark glass is not allowed. 6 -2 11 A -55 City of Santa Ana For residential buildings, windows should W of high quality and afford a shadow line and depth. This may be achieved through inset windows with an integral frame or insetting the window into the exterior wall. Walls should have breaks, recesses, and offsets, especially at entries and important intersections. Long walls shall be made more attractive and visually interesting through the incorporation of surface articulation, pilasters, and view fencing where appropriate. Murals, trellises, or vines and espaliers should be placed on large expanses of walls at the rear or sides of buildings to soften the wall and create interest. Architectural Lighting 1. Lighting should enhance the building's architecture and augment the street and sidewalk experience at night. 2. Direct lamp glare from unshielded floodlights is not permitted. 3. Lighting that aims light directly into the night sky is prohibited. 4. Internal and external storefront lighnng should be designed for ground floor retail and restaurant spaces to augment the pedestrian space and encourage window shopping even when stores are closed. 5. Special illumination should be used to highlight main building enhances and add interest to the building facade. Subtle lighting to accent the architecture and special architectural elements (such as distinctive building rooftops) is encouraged. 6. Secondary building entrances and parkingloading/service access points should have lighting compatible with the projects lighting to maintain a safe environment around the entire project, especially where Pedestrians and other building tenants circulate. 7. Warm white light is encouraged. Blinking, flashing, and oscillating lights are prohibited. Colored lights are not encouraged unless they contribute to the theming of commercial areas or establishments. Overly (right or glaring lights should be avoided. 8. Automatic timers should be programmed to maximize personal safety at night while conserving energy. They should be reset seasonally to match the flux of dusk/dawn. 9. Exterior lighting should be designed and located to not project off -site or onto adjacent uses. This is especially critical with neighboring residential uses. Facades and Streetwalls Articulation and Details 1. Streetwalis should be consistent along Harbor Boulevard, with articulation used primarily for entrances and outdoor dining areas. 2. Individual buildings along the streetwail should be delineated. Provide slight differences in materials, coloration, and embellishment while keeping consistent floor heights, structural bay patterns, and upper -story window placements. 3. The highest level ofdetaiI should occur on the ground floor's frontfacade and facades visible from public streets. However, similar and complementary massing, materials, and details should be incorporated into side and rear facades. 4. Building facades should be articulated with a building base, body, and roof or parapet edge. This creates a shared point of reference that allows different buildings to relate to each other, regardless of individual architectural styles or approaches. 5. Monolithic building wall facades should be broken by horizontal and vertical articulation, including variation in the wall plane (projecting and recessing elements), variation in wall height, and roofs containing different forms and located at different levels. 6. Openings in the streetwall should be restricted to those needed to provide for pedestrian paseos, public plazas, entry forecourts, and permitted vehicular access driveways. 7. The maximum width of a blank wall without an architectural feature of at least 6 inches should be 25 feet. S. Building facades should include three - dimensional detailing such as cornices, belt courses, window moldings, bay windows, and reveals to create shadows and facade relief. Ample, articulated doors and windows create visual interest and allow one to see inside. 9. Materials, feature, patterns, colors, and details on building facades should vary to diminish the perceived mass of large buildings and to create the impression of smaller -scale buildings. 10. Walls are encouraged W incorporate art work and other surface articulation to add visual interest to the stree6cape. Walls may not contain oftsite or onsite advertising except as permitted in Section 41 -863 of the SAMC. CHAPTER 6 Design Guidelines II lure Inagan should augment the amhits W m of Me build rig and am ro Me pedestrian experience. Ughong sheul he ai he highlight mormcWral leaNres 0 a withi Wells may be made more visually interest, by inwggratlng art work or other surome arrvemoo Walls may that remain offam or ourams aMertising. October 2014 11 A -56 6 -3 Harbor M1xed Use Transit Corridor Plan awning waide visual in*. And vie pMesran and - cc—ndc while also prwi6, shad, W the tonpge and sidewalk. Outdoor dining areas are enwuiag d along pra6thdn pathways and within pans. Own spew wiN µmall an a derides such as scaling, shade, andaraping, and waur leaw,es are idinlly konnad at admonitions open spew area should be directly connecdetl b vie pnUir nghtapway threw, p�Han pathways accented bydi gnct Iandswping.lightng, and paving Entrances and Storefronts 1. Active uses along the streetwall should be focused at the sidewalk level, with the greatest concentration at the intersection of two streets. 2. Entries to stores and ground -floor commercial uses should be visually distinct from the rest of the store facade, with inventive use of scale, materials, glazing, projecting or recessed forms, architectural details, color, and/or awnings. These entries should have direct at -grade access from the sidewalk. 3. Individual storefronts should be clearly defined by architectural elements such as piers or changes in plane and/or materials. 4. Live-work or shopkeeper units should be designed to appear like a commercial storefront, gallery, or urban light industrial, compatble to the area it is most affiliated with in character. 5. Between 3 and 12 feet above the sidewalk, a minimum of 60% of the facade should contain windows of Gear or lightly tinted vision glass that allows views of indoor space. Heavier tinted or mirrored glass should not be permitted. 6. Incorporate Crime Prevention Through Environmental Design (CPTED) measures to establish safer environments in all new development. Physically intimidating security measures such as window grills or spiked gates should be avoided; securityconcems should be addressed by creating well -lit, well -used streets and active residential frontages. 7. Residential units must be designed to ensure the security, of residents through secured entrances and exits that are separate from the nonresidential uses and are directly accessible to resident parking areas. Awnings, Canopies, and Marquees 1. Awnings, canopies, and marquees enhance the pedestrian environment by providing visual interest and a human scale. Their use is encouraged but care must be taken so they do rut negatively impact the pedestrian zone. Ground supports for encroachments are prohibited. 2. A continuous series of awnings, canopies, of other coverings is encouraged along all retail street frontages. Awnings and canopies should be designed to correspond to individual storefront structural bays and should convey the outline and proportion of storefront window openings. 3. Awnings should be composed of quality materials such as steel and glass. High -gloss, vinyl, or plasticized fabrics should not be used. Awnings should not conceal important architectural details. Open Space Public Space 1. Public open spaces, won as plazas, arcades, and parade, should be incorporated into the public right -of -way. 2. Public open spaces should be surrounded by attractively designed buildings and landscape elements, as well as uses that promote pedestrian acdvity. 3. Outdoor dining areas are encouraged within plazas to encourage activation of the pedestrian realm. 4. Buildings, signs, landscaping, and outdoor furniture should work together to create a pleasant pedestrian environment. Trees that provide shade are especially important and should be incorporated in public outdoor spaces. 5. Site amenities, such as seating areas, drinking fountains, provisions for bicyclists, water features, and public art, should be incorporated into the public right-of-way and should complement its architectural character. 6. A perimeter feature such as a low hedge or seat wall may be included along the edge of a pare or plaza, but fencing is prohibited unless hours are restricted. 7. Sling lights (non- blinking) can be used to accent trees or trellises within public spaces to create a festive atmosphere at night. Pedestrian Pathways 1. Safe and convenient pedestrian connections should be provided between buildings, open spaces, and parking areas. The connections should be visually emphasized through landscaping, lighting, and/or paving materials. 2. Public peaces should be made available where blocks are greater than 400 feet in length or where a destination, view, or pedestrian path warrants a midblock pedestrian link. 3. The onsite pedestrian circulation system should be directly connected to off-sire public sidewalks. 4. Pedestrian connectivity, should be preserved and emphasized when transiboning between neighborhoods and differing land uses. 5. Walkways and paseos should be lit to ensure safe nighttime conditions. 6. Light ng should be scaled for pedestrians and of a style consistent with the surrounding architectural theme. 7. Where appropriate, pocket lighting may be incorporated into walls, stairs, or bollards. 6-4 11 A -57 City of Santa Ana QA' .A _}ra t fi , l w Circulation and Parking Access 1. Vehicular access to each site must be designed to minimize conflicts between pedestrians, autos, and service vehicles. Sight lines, pedestrian walkways, and lightingarefactors to consider in final site designs. Entrance and eat points should be well marked with streetscape and landscape features. 2. The number ofsim access points should be minimized. Curbcuisshouldbe located on minor secondary streets, which assists in eliminating pedestrian and vehicular conflicts. 3. Parking lot access points should be located as far as possible from street intersections to allow adequate stacking room. 4. Dead end drive aisles most be avoided. 5. Colored, W ocred, and/or permeable paving treatments at entry drives are encouraged. 6. The main vehicular access into a multi- family development should be through an entry drive rather than a parking drive. Service and loading Areas 1. Service and loading access points and tloors should be designed as an integral component of the facade and should use materials fitting with other materials used throughout the building. 2. Service and loading areas should be carefully designed, located, and integrated into the site plan so they do not detract from the street scene or create a nuisance fw adjacent property owners or vehicle traffic. 3. Service and loading areas should be located behind he primary structure out of pudic view whenever possible. Otherwise, they shall be shielded with berms, landscaping, attractive walls, or decorative screening. 4. When commercial properties are adjacent to residential properties, loading and delivery facilities should be located away from the residences or screened with vegetation. 5. The location of the service and loading areas should consider noise impacts to adjacent properties, which may necessitate enclosing the service or loading area. 6. Service and loading areas should be designed so service vehicles have clear and convenient access and do not block adjacent vehicular or pedestrian circulation. Parking 1. The site area adjacent tu the street should not be dominated with parking. Surface parking lots shall not front Harbor Boulevard. Vehicular parking is encouraged to be hidden from view. n Parking should W concentrated in areas behind buildings and away from the street. Parking can be provided underground, in above- ground garage, a behind street- facing buildings within interior parking courts. • Parking lots should be screened from adjacent sheet views but should not be hidden from the view of passersby and police. Headlight walls used to screen parking should provide breaks to allow pedestrian circulation. The walls should be low enough for safety and security purposes. • Parking structures and surface lots should be located or screened to enhance the pedesdan environment. 2. Large projects should break up parking areas into a series of smaller connected parking areas to create visual interest. 3. Stand -alone parking structures are not permitted. All above-grountl structured parking must be fully integrated into the building(s). 4. Where parking structures are provided, shops, offices, or other commercial spaces should be incorporated on the ground level of the parking structure along street homages to maintain a pleasant pedestrian experience. 5. Garages should be designed as an integral part of the architecture of the development. They should be the same in materials, color, and detail to the principal buildings of the development. 6. The facades of parking structures must be screened on all sides using architectural solutions and/or landscaping that is integrated and visually consistent with the existing or proposed sreetscape. 7. Sufficient tree coverage should be provided within surface parking lots to mitigate the heat island effect and improve views from adjacent streets and buildings. 8. Landscape elements such as green screens or shrub massings at least 5 feet wide should be provided along parking lots adjacent to a street. Landscape planters should be provided adjacent ro garage entries along drive aisles to help when the built environment. 9. Shared access to parking courts with neighboring parcels is highly encouraged. CHAPTER 6: Design Guideline; Serve, areas should to lora" Invalid Me building away aan Wblk May. .L JJJ JJ7 L f� Par, b6 and structures %ould be saemed and derlgnel or Mat Mey entrance Me pdkstrian environment ca mar oymings sMVld adhere b Me owalI avati of he buildings archikcwa. October 2014 6 -5 11 A -58 Hart, Mued Use Transit Crnndol Plan Trans and HndyzPng shWM to uses] W enhance We pert W, ervmnment antl huger the saltul Foetal planingd¢igs ant wabr Manses aaenmuaged in mudYaras, Mans, and ens aaas. Hissidendal si,55hould he mm14ble.0 da Wilding, amiladWre. 10.Short-tertn parking should be located on -street when permitted by the street design. 11.Accessible, secure, and lockable bicycle parking should be provided at strategic locations throughout the development. 12. Parking area lighting should be designed using many small -scale lights versus fewer excessively tall lights. 13.Lighting fixtures should be a continuation of the theme of surrounding architectural styles and in keeping with the quality of surrounding buildings. Landscaping 1. Trees should be used to create an intimate scale, enclose spares, and frame views, but placement should respect the long -range views of surrounding neighbors. 2. Seasonal shading from trees and shrubs on southern and western facades should be used when developing planting schemes for courtyards and required setback areas. Deciduous trees provide solar control during summer and winter while providing fall color, seasonal Flowers, and other desired effects. 3. Vines and potted plants should be used to provide facade texture and color, as well as to accentuate entries, plazas, and pase is. 4. Accent planting should be used around entries and key activity hubs. 5. Formal planting designs are encouraged in courtyards, plazas, and tree wells along the street frontages. Water features should be used with landscaping and natural materials in courtyards and plazas. 6. Vines, espaliers, and potted plants should be used to provide walls, columns, texture, and color and to accentuate entryways, plazas, and paseos. 7. Draught tolerant grasses should be used for lawn areas where possible. S. Incorporate roof gardens where possible. Soil depths, roof drainage, and waterproof membranes should be considered during the structural design of the building. Drip irrigation systems should be used with roof gardens to conserve water. 9. Irrigation systems should be designed to apply water slowly, allowing plants to be deep watered and reducing runoff. Low volume irrigation drip systems should be used in all areas except turf irrigation and small ornamental planting. Each street tree should be watered by at least two deep watering bubblers separate from all other irrigation. 10. Landscaping located directly below the eavesor ata rain gutter outletshould be sturdy and able to tolerate heavy sheet flow and periodic saturation. 11. Landscaping should be used to screen trash enclosures, parking areas, storage areas, loading areas, and public utilities. 12.The selected plant species and design and placement of landscaping should provide for natural surveillance of pedestrian areas and should avoid the creation of hiding places. 13.1rees and shrubs should be located and spaced to allow for mature and long -term growth of canopies and root spaces. Signage Overall 1. Signs should be compatible or complementary with the building's character, including the architecture and landscape. Signs should enhance the overall theme of the site and building. 2. If multiple signs are located on a surge facade, the signs should be arranged in a hierarchical order and should be situated toward varying viewpoints. 3. A shared sign program should be used if multiple tenants are displayed on a single sign. Names should be of a consistent typeface, size, and color palette. 4. A joint sign program should be designed for multi - building sites or buildings that are part of corporate campuses. 5. Mixed -use projects with ground floor commercial should adhere to the standards for nonresidential signs. 6. Additional provisions not addressed in this Specific Plan shall apply per Chapter 41, Article XI of the SAMC. Placement 1. Signs should typically be located above the ground floor storefront and just below the second floor windows. or below the building cornice of one -story buildings. 2. Signs should be affixed so that they relate to the building design. Care should be taken it new bolt holes or brackets are needed that installation does not damage the building. 3. Signage attached to storefront windows should be kept to a minimum. 66 11 A -59 City of Santa Ana - l Design and Content 1. Signs should be cohesive with the building's architecture and landscape and express a well - defined hierarchy of information. 2. A sign's message should be as brief as possible. 3. Lettering on a sign should be legible and of an appropriate style to be read by the intended user. 4. Typefaces, characters, and graphics for signage at the street level should be appropriately scaled for viewing by pedestrians. 5. Letters should be spaced an appropriate distance from one another so as to be easily readable. Letters spaced too close together or too far apart are difficult to read. 6. Lettering styles should be limited to three or less on a single sign m maximize legibility. 7. Symbols and toll may be used in place of words and are often a more efficient and effective way to display information. 8. A substantial contrast between the letters or symbols and the background will improve a sign's legibility. 9. A sign should typically include no more than three colors to be easily legible. Structure and Materials 1. All raceway should be hidden from view. If this is not possible it should be finished to match the background wall. 2. Signage should be of a permanent type, stead designed, well constructed, and properly weather proofed, and should incorporate original designs. 3. Signs should be constructed of durable materials. a) Metal: formed, etched, cat, and/or engraved and powder coated or otherwise protected. a) Wood: carved, sandblasted, or etched and properly seated, primed, and painted or stained. a) High density preformed foam or similar materials. 2. Rectangular sign cabinets and plastic are not permitted. 3. Signs composed of individual letters and /or symbols are desirable. Cut -out or open three-dimensional letters are encouraged. Illumination 1. Signs should be externally illuminated by ambientlighting, lights attached to the facade, or exposed neon on the top. External illumination should use focused, low- intensity equipment. 2. Additional illumination should be used when street lights ordisplay window lights do not provide adequate illumination. 3. Channel letters that are individually illuminated are desirable, and internally illuminated plastic cabinets are discouraged. 4. Signs illuminated by downward - directed, wall - mounted lights with fully shielded lamps are encouraged. 5. Projecting light fixtures used for externally illuminated signs should not obscure the graphics of the sign. Temporary Signs 1. A banner sign attached to a building wall should be the only type of temporary sign allowed. 2. Banners should be understated and observe the design standards of all permanent signs. Banners should remain only for a time period necessary for a specified event. 3. Banners should comply with Section 21.44 of the Municipal Code. Banners should not be displayed in any other fashion. Balloons, flags, etc., are not permitted. Public Art 1. Public ad should be developed in the most accessible and visible places and considered in relation to other visual elements and cud (signage and other elements that may impede or heighten its enjoyment). 2. New installation proposals shall provide a contextual understanding of and be clearly related to the overall network of public art in Santa Ana. 3. Artists should create sustainable, maintainable works of art that aspire to the highest standards of innovation and aesthetic quality. 4. Public art shall be integrated into the project's design at an early stage of development to ensure cohesiveness of site design, architecture, art, landscape, and public space. CHAPTER 6: Design Guidelines Symbols may be mad! intend or wards and are often more eee nve. smogs should he of a pelmaenl type, many desiVem. welI onsimcled, and pmceay weam - gm(ed, and should inwrpoak Miami de igm. Channel lamm whim are individually ill ummand aremmuraged. Smog¢ tat a internally illuminated is easy m read at night and Weinstein to idorm, or to intlrAcual srore and mean a. Eahmal light, end. spoon be tecusea and taw am em, Additional mamMa ekmen6 wo he added tat sere, during to day and night Prdk arl, surmise, and ligh4ng an won, toter to came an atacnve and inteasgng sidewalk enmtonmmt October 2014 11 A -60 6 -7 Harbor M'Ixed Use bansit Colrido Plan T hmM reccli,oncbsnr6armed! am the Same makdals as Me Mail, Wildi imal S�cen tee area empbou, alaromm sure as Wid masonry walls, o ms, anal IaWrralnng. solar oriental or the Wilding Owahanga, and area dovice poll on vie,xkrior or aamngs reduce direct sunlight into interiors, lowering heat gain and trim amount of emrgy neehtl far woling ill are tlreudumlmant IantivaPngslloultl W u and in pa"a, and selbd, a Utility, Trash, and Recycling Areas 1. All Whims, such as backfiow prevention dedces, groupings of meters, etc., should be located outside the public right -of -way within a Wilding recess, utility room, a landscaped area and be fully screened from view of the public right -of -way. 2. The utility wants of future commercial occupants (e.g., grease traps, exhaust chutes, air conditioning) should be thought of in advance, during the inifial building design, to avoid problems when retrofitting buildings after construction. 3. A combination of element should be used to screen utility, trash, and recycling areas, including solid masonry walls, berms, and landscaping. 4. Materials used on trash, recycling, utility, and mailbox enclosures and screens should be the same as or compatible with the primary building. Enclosures connected to or separate from buildings should have a solid, architecturally compatible roof structure. 5. Mailboxes must be onsite and provide adequate parking areas for delivery trucks. 6. Drainage from adjoining roof and pavement should be diverted around the trash and recycling area 7. Services, including all utility access, above ground equipment, and trash enclosures must be sonsomma d. • Where alleys do not exist, service; including utility access, above- ground equipment, and trash enclosures shall be locmetl in compliance With the building location standards for the zone and this division. • No trash enclosure shall be located in required landscape areas, within direct view of strel or in traffic or pedestrian aisles. • Services and their appurtenances shall be screened from and shall not be located in required setback or landscaped areas. x Each development shall provide a trash area. All trash enclosures must be roofed. Multiple family, commercial, and industrial developments with common parking areas shall provide trash enclosures per Section 41-623 and 16 -1 to 16-19 of the SAMC. Residential development providing individual trash containers, shall provide an area that measures a minimum of 3.5' x 7', outside of required setbacks and yards, to srore and place out for pick up. Individual trash bins located in a garage shall not encroach into the required parking area S. Each residential unit shall have access to onsim laundry facilities. Resource Conservation Energy Efficiency 1. Projects and buildings are encouraged to be more energy efficient than required by local and state codes. 2. Energy efficient building materials should be used whenever possible and appropriate. 3. EPA "Energy Star" labeled windows with low -e coatings are encouraged. 4. Energy -effic ost and refund) lighting should be used wherever possible. Maximize daylighting and views through window placement and design. Passive solar design can be used to reduce heating requirements by 30 to 50 %, thus saving money and energy. 5. Materials should be used that reduce the transfer of heat into and/or out of the builtling. For example, the use of light - colored roofing materials to reflect heat and reduce cooling in buildings is encouraged. 6. South- and west -facing windows should be shaded with an overhang, deciduous trees, or awnings W reduce summer exposure. 7. Parking structures should integrate sustainable design features such as photovoltaic panels (especially on thp parking deck), renewable materials with proven longevity, and stonnwater treatment wherever possible. S. Non - toxic, recycled - content materials should be used whenever possible. Landscaping and Drainage 1. Projects are highly encouraged to use native and low water use plants consistent with the landscaping palettes recommended by the Public Works Agency. 2. Irrigation systems should incorporate water conserving methods and water efficient technologies such as drip emitters, evapotranspiration controllers, and moisture sensors. Explore opportunities to reuse rain water and/or gray water for irrigation. 3. Landscaping areas should use minimal water resources and impermeable surfaces. Lawfytud shall be limited W areas that serve a functional purpose. 4. Drainage should be directed to permeable areas to minimize discharge to the storm drain system. Use pervious or open grid paving for parking areas whenever possible to reduce the negative effects of stormwater runoff and to facilitate groundwater recharge. 6-8 11 A -61 City of Santa Ana Transit Station Areas 1. Transit amenities such as bus stops, surfing, bike racks, bike storage, and showers should be integrated into new projects to promote the use of atternabve transportation. 2. The ground floor of buildings should be mostly active commercial uses to enliven the pedestrian environment and provide retail experiences and services to transit users. 3. Enhanced pedestrian lighting should be incorporated into the design of new projects to augment the safety of the station areas. 4. The design of plazas, with seating and landscape elements, at the corners of buildings adjacent to transit station areas is encouraged ro provide public open space for residents, visitors, and transit users. 5. The provision of publicly accessible restrooms as part of a new project within a transit station area is strongly encouraged. Healthy Design Open Space and Recreation 1. Recreational amenities should provide activity options for various age groups. Spaces could include areas for physical activity, community gardens, and community gathering space. 2. Locate physical activity spaces in centrally visible locations to increase awareness and use by residents. 3. Providing a green roof is an additional option for creating active space without requiring additional land. 4. Provide lighted sidewalks and active play / recreation areas to extend opportunities for physical activity into the evening. Building Design 1. windows and balconies should overlook an active yard to increase awareness of the building's active features. 2. Provide visibility and access to an outdoor courtyard from the lobby to increase use. 3. Stairs should be visible and near the building's entrance. Integrating stairs with the principal areas of travel within the building will increase their usage. 4. Provide an integrated vertical circulation system that incorporates stair use for travel between adjacent floors; elevators should primarily be used for vertical travel of three floors or more. 5. Bicycle storage should be secure and easily accessible. 6. Gazebos and other architectural elements provide a comfortable, shaded place for play /recreation while creating visual interest. 7. Incorporate natural ventilation into a building. Pathways 1. To facilitate pedestrian movement, a continuous, unobstructed path of travel, measuring at least six feet wide and eight feet high measured from the sidewalk grade, must be maintained in any pathway. 2. Use pedestrian pathways to connect less active outdoor spaces with more active uses. Patterned pathways can promote movement toward active features like the stairs and courtyard. 3. Provide marked, measured walking paths as part of a wayfnding system targeted to pedestrians. 4. Extended pedestrian and bicycle crossing markings help to increase safety and usage. 5. Pedestrian pathways covered by a trellis or awning provide shade for pedestrians. 6. Create a buffer separating pedestrians from moving vehicles using street furniture, trees, and other sidewalk Infrastructure. 7. Support physical activity, among people with disabilities by making streets and paths universally accessible. 8. Provide signage at buildings, transit stops, and major intersection showing a map and the distance, time route, and/or calories burned to the nearest or next transit stop. CHAPTER 6: Design Guidelines Areas around transit stallions shouts be nine swcos and offer amenities m pedestrians and dcyeim Hoaimy time, should bo reinrmwd in the d I o or boiling and open spew, open spare and nonaton reas should army drale areas and acWta for all sus. r" Crossing area and pathways should pse dlstind wnerns and mate,ials ro highlight pedestrian . handicapped, and dtyele use. October 2014 11 A -62 6 -9 Harbor Mixed Use Transit Corridor Plan This page intentionally left blank . r yjj 4 6 -10 11 A -63 City of Sai Ana f R it yt -.. Harbo, Mixed Use Transit Corridor Plan 7 ADMINISTRATION AND IMPLEMENTATION General Administration Authority The Harbor Mixed Use Transit Corridor Plan (Harbor Corridor Plan) is a specific plan adopted by ordinance through the authority grand to the City of Same Ana by the California Government Code Sections 65450 through 65457 and as stated in Section 41 -592 of the Santa Ana Municipal Code (SAMC). As a specific plan adopted by ordinance, its provisions shall be implemented as the zoning for the site. All future development plans, tentative parcel and/or trod maps, or other similar entitlements shall be consistent with regulations in this document and with all applicable City regulations. In the event of a conflict between the previsions of the Harbor Corridor Plan and the provisions in the SAMC, the Harbor Corridor Plan shall prevail. If the Harbor Corridor Plan is silent regarding any development standard or process, the provisions in the SAMC shall prevail. Permitting Process Applications filed under this Specific Plan shall comply with the procedures, thresholds, and requirements as outlined in Chapter 41 of the SAMC, except as specified in this Specific Plan. Figure 7 -1 illustrates the general permitting Process. Figure 7 -1. Permitting Process "NINGGETEAMIRMOPMAMU REWEWPRGGESS MME-muffe Rmw Housing Threshold The Harbor Corridor Plan creates a land use and development framework to support from 1,700 to 4,600 residential units and 2 million square feet of commercial and employment space. The ultimate vision for the corridor is a place that contains a wide mixture retail stores, restaurants, office buildings, hotels, museums, and housing options in a more walkable, safe, and attractive environment. The demand for new residential development in Orange County is extremely high and, if left uncontrolled, could easily consume nearly all of the (and area within the corridor--eaving little potential for a balance of nonresidential uses. Accordingly, the Harbor Corridor Plan limits new residential development built within the Specific Plan boundary after October 2014 to 2,000 units. After this threshold is met, the City Council must approve an amendment to this Specific Plan to set a new threshold or to remove this limitation. Otherwise, no new residential development shall be approved in excess of 2,000 units. DENEIePYfR1PUIIRMM .........RICH......... ....................... ( fpAGGETAGYXUATING ............................... APPIIVPIMCAeUSMAMWPOSWeN MIURtn Y1P5X2 CUP MODIFICATIONS GroRAXGFS ReOR GBML PUN AMENDMENTS VPRDNALAVNORIV VPMUAInNORm APPWWRAUT M PUNNIIGGDMMISSYN PUNNING ZORIMGADMINMMS P MM MYISGWR VPFILPo APPELL TO VPRDYALANXOAl1Y aArlec mncouxGn Gmcouxcn DY M MDI PUMIT PROCESS PEAMn PAGGfGS PFAIm IRDD6G PUYn PRDDESG v Um,s gimiNpl b)nGll LM Iand W SPUrcia W PmfOmalUwlPomA Sm SAePWIMie Haan SAe Pin W" Aly pmjedmry Mtudydlaan Nmmuhafrva Ne qan ,eveinaMawdpNnd,NrtaPlmrv„gGmm¢ sin Rranngdab Spridirnwd Undans and art/ sOn W re mw tllle¢ slwiv in Miphl. a KI>1 In Tale J�Z d N4 SAZRe nn. oho tW core a din vle Man,aYZ.e' arA eppoval b/ Ne Flanning Gmm¢[pn. October 2014 11 A -64 7 -1 Harbor Mixed Use Transt Corridor Plan Nonconforming Buildings, structures and Uses A nonconforming building, structure or use shall comply with all of Article VI of the SAMC, except as modified below: 1. A building or structure that does not conform to the architectural style or story height requirements at the time of the adoption of this Specific Plan shall not cause the structure to be non - conforming. 2. Sections 41 -681.1 through 41-681.4 of the SAMC shall not apply to this Specific Plan. 3. Rehabilitation, enlargement or exterior structural alterations of any nonconforming structure or structure occupied by a nonconforming use, except for structures occupied by single family and two-family dwellings, may be rehabilitated as follows: a. Rehabilitation limited to structural or non-structural alterations without any building expansion is permitted if: i. All signage on the structure and the site on which it is locatetl shall be brought into conformity with the signage requirements of this Specific Plan. it. All outdoor storage shall be screened by a solid screen wall not to exceed eight feet in height. Outdoor storage shall not exceed the height of the screen wall. iii. There shall be no increase in the number of dwelling units unless the site on which the structure is located complies with the off - street parking and open space requirements of this Specific Plan. iv. Architectural massing, features and detailing shall be modified to bring the structure into closer compliance with the architectural standards of this Specific Plan, as deemed appropriate by the Executive Director of the Planning and Building Agency, or their designee. b. Rehabilitation may include expansion when the total fiber area of all expansions occurring in any five -year period does not exceed ten percent of the floor area as it existed a[ the beginning of the five years, provided that the following conditions are met: I . All signage on the structure and the site on which it is located shall be brought into conformity with the requirements of this Specific Plan. ii. There shall be no loading or unloading of vehicles between the hours of 10 pm and 7 am. iii. All outdoor storage shall be screened by a solid screen wall not to exceed eight feel in height. Outdoor storage shall not exceed the height of the screen wall. iv. There shall be no enlargement which would intrude into any required yard. v. There shall be no enlargement which would result in a new, nonconformity with the requirements of this Specific Plan. vi. Off- street parking shall be provided in conformance with the requirements of this Specific Plan. vii. Landscaping shall be improved to bring the site on which the structure is located into closer compliance with the landscaping requirements of this Specific Plan, as deemed appropriate by the Executive Director of Planning and Building Agency, or their designee. viii.Architectural massing, features and detailing, shall be modified to bring the structure into closer compliance with the architectural standards of this Specific Plan, as deemed appropriate by the Executive Director of Planning and Building Agency, or their designee. 4. Rehabilitation, enlargement or exterior structural almostions of buildings occupied by a single family and two- family dwellings is permitted subject to the following: a. Structural alterations and additions may be made where the total floor area of all such expansions occurring in a five -year period does not exceed forty percent of the floor space of the building as it existed at the beginning of said tme, provided the number of dwelling units is not increased, and no new non conformances with the requirements of this code are created. b. Structural alterations and additions which exceed forty percent of the total floor area as it existed at the beginning of a five -year period; or remodeling which involves the demolition of more than fifty percent of the building shall be permitted; provided that the following conditions are met: I. Off- street parking shall be provided in conformance with the requirements of this Specific Plan. ii. No new nonconformities with the requirements of this Specific Plan are created. c. Where rehabilitation of a building involves more than fifty percent of a building wall which encroaches into a front or side yard setback and is demolished or is structurally altered, the remainder of the building wall VEI y at 11 s shall be demolished. Any subsequent building wall shall conform to all provisions of this Specific Plan. J. An exist ng two -car garage with a minimum dimension of eighteen feet by eighteen feet exterior dimension shall be considered cordortning. e. Remodel shall mean to reconstruct, or to make over in structure or style, but shall exclude re -roof, window replacement, exterior finish replacement and repair or similar modifications. Interpretation In case of uncertainty or ambiguity to the meaning or intent of any provision of this Specific Plan, the Executive Director of the Planning and Building Agency (Executive Director) or their designee has the authority to interpret the intent of the provision. The Director may, at their discretion, refer interpretations to the Planning Commission for consideration and action. Such a referral shall be accompanied by a written analysis of issues related to the interpretation. All land uses not listed in Table 3 -2 shall be prohibited, except that the Executive Director has the authority to interpret, in cases of uncertainty, the intent of this Specific Plan as to whether an unlisted land use shall be designated as permitted, not permitted, or requiring a conditional use permit, land use cergficate, and/or site plan review. All interpretations made by the Director or Zoning Administrator may be appealed to the Planning Commission and City Council in accordance with the appeal procedures in Section 41 -645 of the SAMC. Severability If any section, subsection, sentence, clause, or phrase of this Specific Plan, or future amendments or additions hereto, is for any reason held to be invalid or unconstitutional by the decision of any court, such decision shall not affect the validity of the remaining portions of the plan. Environmental Assessment An environmemal impact report (EIR) has been prepared as a companion document to this Specific Plan and will provide California Environmental Quality Act (CEQA) review for approval of the Harbor Corridor Plan. The EIR serves primarily as a source of environmental information for the City of Santa Ana as lead agency for the project. The EIR describes the potential impacts that could result from the adoption of the Harbor Corridor Plan. The EIR has been prepared as a program EIR as defined by Section 15168 of the CEQA Guidelines. As defined by secdon 15161 of the CEQA Guidelines, subsequent projects that are within the scope of the EIR will not require further environmental documentation nor focused environmental analysis, unless determined by the Executive Director of the City of Santa Ana to have the potential for environmental impacts not addressed in the EIR. Definitions The following section defines words and phrases for use and interpretation in this Specific Plan, unless from the context a different meaning is intended or unless a different meaning is specifically defined and more particularly directed to the use of such words or phrases. The words used in the present tense include the future tense, and words in the singular number include the plural number. If any of the definitions in this section conflict with definitions in Chapter 41 of the SAMC, these definitions shall control for the purposes of this Specific Plan. Accessory structure: An accessory structure or building is a detached building or structure, or part of a building or structure, which is incidental or subordinate to the main building, structure or use on the same lot or parcel of land, without cooking facilities (e.g., storage shed, garage, gazebo), and is used exclusively by the occupant of the main building. Adult business: A business as defined in Section 41- 1701.6 of the SAMC Alley: An alley is any public or private thoroughfare for the use of pedestrians or vehicles, not less than ten (10) feet nor more than thirty (30) feet in width, and is intended for service and only a secondary means of access to abutting properties. Arcade: soe'Frontage Types' Artisan /craft product manufacturing: The manufacturing of products primarily by hand by persons trained in an artistic skill, including ceramics, pottery, glass blowing, or sculptures. Bank, financial institution: An establishment for the custody, loan, exchange or issue of money, for theextension of credit, and for facilitalingthetransmission of funds. Excludes check crashers as defined by California Civil Code section 1789.31. Bike- or bicycle - friendly: The practice of addressing the needs of bicyclists through urban design and streetscepe principles so that bicyclists are not 7 -2 11 A -65 City of Santa Ana "Im- CHAPTER 7: Administration and Implementation forced to ride unsafoly in the street m on the sidewalk (e.g., clearly Striped or Commercial recreation facility - Indoor: Establishments providing indoor protected bike lanes, good signage, bicycle- specific traffic signals, bike racks, amusement and entertainment services for a tee or admission charge, and lockable bike storage). including: Block: An area of land within a subdivision which area is entirely bounded s Bowling alleys by streets, highways or ways, excepts alley and the exterior boundary of the . Coin- operated amusement arcades subdivision. n Electronic game arcades (video games, etc.) Building height: The vertical extent of a building measured in stories to the . Pool. billiards n Skating sports (ice, roller, board) Save of the highest story, not including a basement or an attic. Height limits do not apply to masts, belfries, clock towers, steeples, equipment screening, This use does not include adult businesses. Four or more electronic games chimney flues, and similar structures. Building height shall he measured from or win- operated amusements in any establishment, or a premises where the average grade of the (ranting thoroughfare curb level. 50 percent or more of the floor area is occupied p M amusement devices, are Building placement: The maximum horizontal envelope available for placing considered an electronic game arcade as described above; three or fewer a building on a lot machines are not considered a land use separate from the primary use of the site. Building type: A structure defined by the wr-binamn of configuration and Courtyard Housing: See'Building Types placement. The Wilding types used in this Specific Plan are listed below: Bungalow Court: A configuration of freestanding single units arranged Doctor, dentist, chiropractor office: A facility other than a hospital where around a common, shared courtyard that is wholly open to the street. The metlicel, dental, mental health, surgical, and/or other personal health rare individual buildings are arranged next to each other to form the bungalow services are provided on an oupatrent basis, and that accommodates no more court Wilding type. than four licensed primary practitioners (for example, chiropractors, medical tloctom, psychiatrists, etc., other than nursing staf) within an individual office Courtyard Housing: A building type consisting of residences that can be suite. arranged in four possible wnfigumtions: townhouses, townhouses over Duplex, Triplex and Quadplex: See'Building Types flats, flats, and flats over flats. The structures are arranged next to each other , on one or more court that are partly or wholly open to the street. Dwelling unit types: Duplex, Triplex, and Quadplex (2- /3- /4- plex): Multiple dwelling forms that are architecturally presented as large single - family houses in their typical neighborhood setting. Flex Block: A building generally of a single massing element, designed for occupancy by retail, service, or office uses on the ground floor, with upper fivers aim configured for those uses or for residences. House: A detached structure occupied by a single household that aim accommodates, commercial and office uses as allowed. Lined Block: A Wilding that conceals a public garage or other faceless building that is designed for occupancy by retail, service, or once uses on the ground floor, with upper floors aim configured for those uses or for residences. Live -Work: An integrated residence and working space, occupied and utilized by a single household in an arrangement of at least 3 such structures or 1 multiple structure with a least 3 units arranged side by side along the primary frontage, that has been designed or structurally modified to accommodate joint residential occupancy and work activity. Rowhouse: An individual structure w a parcel with a private rear yard and individual garage accessed from an alley. Such structure shall be developed in an arrangement of at least 3 such structures along the primary frontage. Or, a structure of at least 3 attached townhouse unit types arranged side by side with a private rear yard and individual garage accessed from an alley along the primary frontage. Stacked Dwellings: A Wilding of single -floor or multi -fiver residences of similar configuration either above or below that are stacked. Tuck - Under: An individual structure on a parcel with no rear yard, where its garage is tucked under the rear of the house and accessed from an alley. Bungalow Court: See'Building Types' Care homes: Residential facilities providing nursing and health- related rare as a primary use with in- patent beds. Examples of these uses include: board and care homes; convalescent and rest homes; and skilled nursing facilities. Long- term personal care facilities that emphasize medical treatment are considered "Extended Care" facilities. Clinic, urgent care: A facility other than a hospital where medical, mental health, surgical or other personal health services are provided on an outpatient basis, including material medical laboratories. Examples of these uses include: n Apartment: A multi -unit rental version of a Flat, Loft, or Townhouse n Condominium: An ownership version of a Flat, Loft or Townhouse s Flat: A single -story unit, often found in a stacked configuration » House: a single, detached unit + Loft: A double -story height unit with a mezzanine Townhouse: A two to three -story unit with a common wall Eating establishment: A commercial establishment whose primary use is the sale and service of meals onsim to guests and which has suitable kitchen facilities containing the necessary appliances required for cooking unpackaged foods, and which complies with all of the requirement of the local department of health and the California Department of Alcoholic Beverage Control for a Lone fide public eating place pursuant to the Section 23038 of the California Business and Professions Code. Elevation (building): The exterior walls of a Wilding. Alm referred to as 'Facade when the elevation is along a frontage line. Entrance (main or primary): The principal point of access of pedestrians to a building. In the support of pedestrian activity, the main or primary enhance should be oriented to the frontage rather than to the parking. Facade: The exterior wall of a building that is set along a frontage line. Facades support the public realm and are Subject to frontage requirement additional to those required of elevations. Flex Block: See'Building Types' Forecourt: Sea Frontage Types' Frontage Line: Those lot lines that coincide with a public street line. One shall be designated as the Principal Frontage Line. Facades along Frontage Lines define the public realm and are therefore more highly regulated than the elevations that wincide with other lot lines. Frontage lines are subject to the urban standards, architectural standards, signage standards, and subdivision standards. Frontage type: The architectural element of a Wilding between the public right -of -way and the private property associated with the building. Frontage Types combined with the public realm create the perceptible stmetcape. The following frontage types used in this Specific Plan are listed below: Arcade: A facade with an attached colonnade, that is covered by upper stories. This frontage type is ideal for retail use, but only when the sidewalk is fully absorbed within the arcade m that a pedestrian cannot bypass it. For Building Code considerations, this frontage type cannot cover the public right -of -way. n Medical offices with We or more licensed practitioners or medical Forecourt: A semi - public exterior space partially within the shopfront, specialties out- pafient was facilities • Urgent care facilities • Counseling services by other than medical doctors or psychiatrists are included under "Offices - Professional /Administrative" Community assembly: Group gatherings conducted indoors such as synagogues, mosques, temples, churches, community centers, bingo halls, private clubs, fratemal, philanthropic and charitable organizations and lodges. gallery or arcade frontage that is partially Surrounded by a building and also opening to a thoroughfare forming a court. The court is suitable for gardens, outdoor dining, vehicular drop og are ublity off - wading. Frontyard / Porch: A common frontage type asmciatdtl with single family houses, where the facade is set back from the right of way with a front yard. A porch may aim be appended to the facade. A fence or wall at the property line may be used to define the private space of the yard. The front October 2014 11A -66 7 -3 Harter Mixed Use Transit Corridor Plan yam may also be raised from the sidewalk, creating a small retaining wall at the property line with entry steps to the yard. Gallery: A colonnade that is attached to storefronts and protects over the sidewalk. Shopfront: A facade paced at at close to the right -of -way line, with the entrance at sidewalk grade. This frontage type is conventional for retail frontage and is commonly equipped with cantilevered shed rooms) or awning(s). Recessed storefronts are also acceptable. The absence of a raised ground floor precludes residential use on the ground floor facing the street, although such use is appropriate above. Stoop: An elevated entry porch that corresponds directly to the building enl with stairs placed close to the frontage line on a building with the ground story elevated from the sidewalk, securing privacy for the windows and front rooms. This type is suitable for ground -floor residential uses with short setbacks. This type may be interspersed with the shopfront frontage type. A porch or shed roof may also cover the stoop. Frontyard /Porch: See'Fromage Types' Gallery: see'Frontage Types' r u Ad d_a- • Automobile impound, salvage, or wracking yards • Demand, lime, gypsum, or plaster of pads manufacture n Crematories • Food manufacture or processing n Fertilizer manufacture • Hazardous wask treatment facilities s Recycling facilities Site for the transfer, disposal, or dumping of refuse Smelling of tin, copper, zinc, or iron ores Hotel: A facility offering short-term lodging accommodations to the general public and which may include additional facilities and services, such as restaurants, meeting rooms, entertainment, personal services and recreational facilities. Access b the guest rooms shall be through the main lobby of the building. A hotel shall contain more than five guest rooms. A hotel thatcontains a kitchen as defined by the California Building Cade (CBC) in guest rooms shall be deemed to be a long term stay business hotel as defined by the SAMC. A hotel that meets the criteria of a transient'residenfial hotel as defined by the SAMC, shall be deemed to be a transienbresidential hotel. House: See'Building Types' General retail: Stores and shops selling many lines of merchandise. Examples Joint Irving- working quarters: A building or component of a building in of these stores and lines of merchandise include: which both residential and commercial uses may occur within the same unit. • Art galleries, retail • Art supplies, including framing services • Bicycles • Books, magazines, and newspapers • Cameras and photographic supplies • Clothing, shoes, and accessories • Department stores • Drug stores and pharmacies • Dry goads • Fabrics and sewing supplies • Florisls and houseplant stores with indoor sales only • Grocery or food market • Hobby materials • Jewelry • Luggage and leather goods • Music sell musical instruments, parts, and accessories • Orthopedic supplies • Small wares n Specialty shops • Sporting goods and equipment Stationery » Toys and games • Variety stores General retail does not include the following: • Adult business as defined in Section 41- 1701.6 of the SAMC, antique or collectible stores, furniture, furnishings and appliance stores, medical marijuana dispensaries or second hand stores. • Sheet metal shops, body - fender works, automobile pai nt shops, repair ganged, and any activity which includes the processing, treatment, manufacturing, assembling or compounding of any product, other Man that which is dearly and traditionally incidental and essential to a particular retail activity. • Any use which is more specifically identified as a penniffed use or as a use which may be permitted subject to the issuance of a conditional use permit or land use certificate in one or more use district pursuant to this Specific Plan. Ground floor/ footprint: The area resulting from the application of building placement and open space requirements and as further articulated by particular building design. In calculating the area only the conditioned floor space shall be counted for purposes of calculating allowable upper floor area, the area occupied by zaguans shall be counted as "ground floor/footprint" Ground floor residential: Dwellings with their primary entrance and habitable space at grade. Health and fitness:A commercial establishment providing facilities for aerobic exerdws, running and jogging, exercise equipment, game courts, swimming facilities, saunas, showers, and lockers. Health and fitness facilities may also provide for instrudon programs and classes, such as functional fines, marfial arts, and yoga; lockers and showers may be provided. Heavy industrial: The manufacture, extraction, treatment, storage, or assembly of materials or products that may or may not include the use of hazardous materials. Examples of heavy industrial include: 74 Light industrial: The manufacture m assembly of products from previously treated material where no impact is created to the adjacent uses and no hazardous materials are used in the production of such products. The maximum number of employees shall be 10. Examples of light industrial include: • Athletic equipment • Bakeries • Camera, photo equipment • Clothing • Electronics n Musical instruments • Optical goods • Woodworking Lined Block: See'Building Types' Live -Work: See'Building Types' Lot width: The frontage of a parcel which is used to identify the parcel for street address purposes. Mixed -use building: Typically a structure lawfully containing residential and non - residential uses, although a structure that lawfully contains two types of non - residential uses can also be considered a mixed -use building. Multi - family dwelling: A residential structure lawfully containing two or more dwelling units. Multimodal corridor: A street and system of pathways that safely accommodates numerous transportation options for people to access and travel through the area. This can include the automobile, transit, pedestrian systems, and bicycle facilities. Office: These do not include medical offices (see Clinic, Urgent Care," and "Doctor, dentist, chiropractor, office "). 1. Service. Establishment providing direct services to consumers. Examples of these uses include employment agencies, insurance agent offices, real estate offices, travel agencies, utility company offices, elected official satellite offices, etc. This use does not include "Bank, Financial Services," which is separately defined. 2. Administrative. Office -type facilities characterized by high employee densities, and occupied by businesses engaged in information processing, and other computer - dependent or telecommunications -based activities. Examples of these uses include: n Airline, lodging chain, and rental car company reservation centers, not including retail travel agencies n Computer software and hardware design and development n Consumer credit reporting • Data processing services n Health management offices where no medical services are provided Insurance claim processing n Mail order and electronic commerce transaction processing • Telecommunications facility design and management n Telemarketing 3. Professional. Office -type facilities occupied by businesses that provide professional services, or are engaged in the production of intellectual property. Examples of these uses incude: 11 A-67 City of Santa Ana XP' _ fJ - • Accounting, auditing and bookkeeping services • Advertising agencies • Attorneys • Business associations, chambers of commerce • Commercial art and design services • Construction contractors (office facilities only) • Counseling services • Court reporting services • Detective agencies and similar services • Design services including architecture, engineering, landscape architecture, urban planning • Educational, scientific and research organizations • Financial management and investment counseling • Literary and talent agencies • Management and public relations services • Media postproduction services • News services • Photographers and photography studios • Political campaign headquarters • Psychologists a Secretarial, stenographic, word processing, and temporary clerical employee services n Security and commodity brokers s Writers and artists offices CHAPTER 7: Administration and Implementation Setback: The area of lot measured from a lot line to a building facade or elevation that must be maintained clear of permanent structures excepting galleries, fences, garden walls, arcs les, porches, stoops, balconies, bay windows, and terraces which are permitted to encroach into the setback subject to the standards established in Chapter 3 of this Specific Plan. Shared parking (joint use or park -once policy): An accounting for parking spaces that are available to more than one function. The requirement is based on a range of parking demand found in mature, mixed -use centers. The shared parking ratio varies according to multiple functions in close proximity unlikely to require the spaces at the same time. This approach to parking uses the (ollowingtypes of parking in combination to achieve a balanced and distributed supply of parking: off-street (surface lots and garages), on- street (parallel and diagonal). Shopkeeper: A unit that contains space on the ground floor for use and operation by a retail merchant or tradesman along with residential space on the upper floor(s) that an be occupied by the same shop operator or a different resident. The residential and commercial components each have separate, dedicated entrances. See also'Live -Work' Shopfmnt: See 'Frontage Types Single family dwelling: A residential building containing one or more habitable rooms with only one kitchen, designed for occupancy by one independent household unit with common access to, and common use of all living, kitchen and bathroom areas. Passion a pudic place or path designed for walking; promenade. Stacked Dwellings: Sao 'Building Types' Pedestrian - friendly: The practice of addressing the needs of people, once out of their automobiles, through a series of interdependent urban design and stme xape principles (e.g., wide sidewalks, street trees and shade, on -street parking, outdoor dining, inviting storefronts, the feeling of being in an 'outdoor room', short crosswalk distances, Interconnected and short blocks). Personal services: Establishments providing non - medical services to individuals as a primary use. Examples of these uses include: • Barber, nail salons and beauty shops • Clothing rental • Dry cleaning pick -up stores with limited equipment • Home electronics and small appliance repair • Locksmiths • Pet Booming with no boarding • Shoe repair shops • Tailors These uses may also include accessory retail sales of products related to the services provided. Personal services - restricted: Personal services that may lend to have a blighting and/or deteriorating effect upon surrounding areas and which may need to be dispersed 0 minimize their adverse impacts. Examples of these uses include: n Laundromats (self- service laundries), which shall comply with the development and performance standards set forth in Section 41 -199 of the SAMC n Massage (licensed, therapeutic) as defined on Section 41- 1751.1 of the SAMC n Pawnshops Planter: The layer of the streetscape which accommodates street trees. Planters may be continuous or individual according to the Thoroughfare and location within the neighborhood. Podium: A continuous raised platform supporting a building, or a large block of two or three stories beneath a multi -layer block of a smaller area. Porch: see 'Frontage Types' Religious facility: see'Community Assembly' Residential development: The addition of new readentlat units or the conversion of apartments to condominiums. Residential unit: Any single - family home; any separate occupancy unit in a two- family or multifamily dwelling building; any live -work unit; and any other structure designed for human occupancy which contains a kitchen. However, this excludes any other building or structure designed or intended to be occupied or used for business or commercial purposes, such as sleeping rooms in hotels and motels without kitchens or kitchen facilities. Rowhouse: See'Building Types' Stoop: See'Frontage Types Story: A habitable level within a building from finished floor to finished ceiling: Attics and basements, as defined by the California Building Cade (CBC) are not considered a story for the purposes of determining building height and are subject to the applicable requirements of this code and the CDC, except for when the finished floor level directly above a basement or cellar is more than six feet above grade, such basement or cellar shall be considered a story. Streetscape: The urban element that provides the major part of the public realm as well as paved lanes for vehicles. A streetscape is endowed with two attributes: capacity and context. Capacity is the number of vehicles that can move safely through a segment within a given time period. It is physically manifested by the number of lanes and their width, and by the curb radius. Studio: A workplace of one or more individuals who are engaged in the production of art, such as fine and fiber arts, lithography, calligraphy, photography, music, dance and the performing arts. Galleries, not to exceed 50 percent of the floor area, are permitted as an ancillary use. Any regulated use, as defined on Section 41 -191 of the SAMC is not allowed. Uses meeting the definition of artisan/craft product manufacturing shall be deemed an artisan/craft product manufacturing use. Tandem parking stall: Two or more parking spaces arranged one behind the other. Thoroughfare: A vehicular way incorporating moving lanes and parking lanes (except alleys/lanes which have no parking lanes) within a right -of -way. Traffic calming: A set of techniques which serves to reduce the speed of traffic. Such strategies include lane- narrowing, on- street parking, chicanes, yield points, sidewalk bulge -outs, speed bumps, surface variations, mid -block deflections, and visual clues. Traffic calming is a retrofit technique unnecessary when thoroughfares are correctly designed for the appropriate speed at initial canstructian. Transit- oriented development: Compact, higher intensity development that includes uses supportive to transit; i.e., residential uses that increase ridership and transit efficiency or commercial uses that serve transit users. Its structure creates nodes at an efficient spacing for mass transit. These nodes are mixed - use areas limited in extent by walking distance to the transit stop. Transition line: A horizontal line, the full width of a facade expressed by a material change or by a continuous horizontal articulation such as a cornice or a balcony. Tuck -Under Housing: See'Building Types' Zaguan: A covered pedestrian passage between courts of one to two rooms in depth and one story in height. October 2014 7 -5 11 A -68 Harbor Mixed Use Transit Corridor Plan Jtl Related Plans and Programs Polity 5.2: Enhance street design standards to promote attractive circulation condition. Southern California Association of Governments (SCAG) SCAG is a council of governments, regional planning agency, and a forum for jurisdictions to address regional issues concerning transportation, the economy, community development, and the environment. SCAG also coope2teswi ff the Southern California Air Quality Management District, the California Department of Transportation, and other agencies in conducting regional planning efforts and preparing regional planning documents. Compass Growth Vision and Blueprint Strategy In 2004, SCAG adopted the Compass Growth Vision (CGV), which was a response, supported by a regional consensus, to the land use and transportation challenges facing southern California. SCAG developed the CGV to maintain the region's prosperity, continue to expand its economy, house its residents affordably, and protect its environmental setting as a whole. The CGV is a framework that helps local jurisdictions address growth management cooperatively and also helps coordinate regional land use and transportation planning. In conjunction with the CGV, SCAG also adopted the Compass Blueprint 2% Strategy, which is the part of the 2004 regional growth forecast policy that attempts to reduce emissions and increase mobility through strategic land use changes. The 2% Strategy is a guideline for how and where the CGV for southern California's future can be implemented toward improving measures of mobility, livability, prosperity, and sustainability for local neighborhoods and their residents. Through extensive public participation and land use and transportation modeling and analysis, the program resulted in a plan that idenfifies strategic growth opportunity areas (2% Strategy Opportunity Areas). As indicated by the name, these opportunity areas t aupy roughly two percent of the land area in the southern California region. Regional Transportation Plan and Sustainable Communities Strategy (RTP /SCS) In the 2012 -2035 RTP/SCS, SCAG emphasizes integrated planning guided by three principles: mobility, economy, and sustainability. The RTPSCS includes a strong commitment to reduce emissions from transportation sources to comply with Senate Bill 375 (2008), improve public health, and meet the National Ambient Air Quality Standards as set forth by the federal Clean Air Act. The RTP/SCS provides a blueprint for improving quality of life for residents by providing more choices for where they will live, work, and play and how they will move around. High Quality Transit Areas With the adoption of the 2012 RTRSCS, the areas previously known as 2% Strategy Opportunity Areas were updated by SCAG and replaced with what are now called High Quality Transit Areas (HQTAs), which are a part of, and integrated into, the SCS portion (Chapter 4) of the 2012 RTP/SCS. An HQTA is generally a walkable transit village or corridor that is within a half mile of a well - serviced transit stop or a transit corridor with 15- minute or Ins service frequency during peak commute hours. The overall land use pattern of the 2012 RTP= focuan jobs and housing in the region's designated HQTA. The majority of the specific plan area is designated a HQTA. City of Santa Ana General Plan The general plan sets forth the goals, policies, and directions the City will take in managing its future. It is the blueprinHOr development and a guide to achieving the long -term citywide vision. Specific plans ad as a bridge between the general plan and individual development proposals. They combine development standards and guidelines, capital improvement programs, and financing methods into a single document that is tailored to mint the needs of a specific area. The Harbor Corridor Plan maintains consistency with and implements the policies of the Santa Ana General Plan. The following is a list of relevant General Plan policies (adopted as of August 2014) Mat are strengthened by the Harbor Corridor Plan (note that some policies include specific reference numbers while others do not). Conservation Element Policy: Support local and regional land use and transportation plans that increase mass transit usage and reduce vehicle trips. Energy Element Policy: Provide energy efficient mods of transportation and fixed facilities to encourage transit, bicycle and walking as regularly used modes of travel. Policy: Encourage higher densities of housing and office (mixed use) development to relate to areas of higher transportation access and rapacity. Growth Management Element Policy: All new development shall pay it share of the street improvement costs associated with that development including regional traffic mitigation. Housing Element Policy HE -2.3: Encourage the construction of rental housing for Santa Ana's residents and workforce, including a commitment to very low, low, and moderate income residents and moderate income Santa Ana workers. Policy HE 2,4 Facilitate diverse types, prices, and sizes of housing, including single - family homes, apartments, townhomes, mixeNmultiuse housing, transit oriented housing, mulogenerational housing, and live work opportunities. Policy HE -2.5: Require excellence in architectural design though the use of materials and colors, building treatments, landscaping, open space, parking, and environmentally sensitive ( "green') building and design practices. Policy HE -2.7 Entitlement Process. Provide flexible development review and enticement processes that facilitate innovative and imaginative housing solutions, offer a consistent approval process, and allow for appropriate oversight. Land Use Element Polity 1.6: Support "livalwork" opportunities within specifically defined areas Policy 1.9: Coordinate street and parkway designs that are attractive, functional, and compatible with adjacent onsite development. Policy 22 Supportcommercial land uses inadequate amounts to accommodate the City's needs for goods and services. Policy 2.4: Support pedestrian access between commercial usnand residential neighborhoods which are in close proximity. Policy 2.6: Encourage the creation of new employment opportunities in developments which are compatible with Surrounding land uses, and provide a net community benefit. Policy 2.10: Support new development which is harmonious in scale and character with existing development in the area. Policy 3.1: Support development which provides a positive contribution to neighborhood character and identity. Policy 4.5: Encourage development of employment centers and mixed use projects within targeted areas adjacent to major arterial roadways, transit and freeway corridors. Policy 5.5: Encourage development which is compatible with, and supportive of surrounding land uses. Policy 5.10: Support a circulation system which is responsive to the needs of pedestrians and vehicular travel. Urban Design Element Circulation Element Policy 1.1: New development and redevelopment projects must have the Policy .11: Minimize travel impediments on bicycle and ty ped Yd pedestrian paths. highest quality design, materials, finishes, and construction. Policy 3.1: Support the efforts of regional, state, and federal agencies te Policy 1.5: Enhanced architectural forms, textures, colors, and materials are enhance local and express bus services expected in the deign of all projects. Policy 3.5: Enhance sidewalks and pedestrian systems 0 promote their use Policy 1.11: Visual and physical links between districts, nodes, significant as a means of travel, sits, landmarks, and other points of interest, are to be provided in all public and private projects. Policy 3.6: Maximize Me use of public rights- of-way for pedestrian and bicycle paths. Policy 2.6 Projects must acknowledge and Improve upon their surroundings with the use of creative architectural design, streetscape treatments, and Polity 33: Support system enhancements and bikeway support facilitles that landscaping. encourage bicycle usage. Policy 2.2: New development must be consistent with the scale, bulk, and Policy 3.8: Develop bicycle paths that maximize access to major activity pattern of existing development. centers, neighboring jurisdictions, and regional bicycle paths. 7 -6 City of Santa Ana 11 A -69 nw r. CHAPTER 7: Administration and Implementation Policy1l: Landscapingwill bepromotedon freewayslopes, roadwaymedians, Implementation and Financing and parkways. Policy 3.2: Street improvements and adjacent development, should be consistently designed to eliminate a haphazard look and visual clutter along corridors. Policy 3.3: Enhanced smetscariw, architectural themes, and landscaping are to be provided to visually strengthen the path and enhance adjacent development. Realizing the vision and implementing the Specific Plan involves changes in the private realm and the public realm. As new development occurs, the Specific Plan provides direction and standards for the improvement of the private realm. The following describes the implementation and financing options for improvements to the public realm. The discussion is provided in two ways: first by type of improvement and then by task. Following that is a more general Policy 3.4: Stmetscape improvements are to be redesigned to provide a description of the financing mechanisms. pleasant and safe environment and to improve pedestrian circulation. Description of Public Aealm Improvemenh Policy 3.6: Streetscaps design should be used to link major destination points, Infrastructure landmarks, and local activity nodes. Certain infrastructure upgrades will be necessary to accommodate the new Policy 3.10: Safe and pleasant bicycle and pedestrian routes are to be provided development envisioned in the Specific Plan. and they should link activity nodes and places of interest. Policy 3.11: Maximize the use of sheet trees and parkway landscaping to create a pleasant travel experience and positive City image. Housing Requirements Chapter 41 -1900, at at of the SAMC (Housing Opportunity Ordinance) shall apply to the Harbor Corridor Plan. Additionally, California law requires that cities zone land to encourage and facilitate their fair share of housing growthreferred Was the regional housing needs assessment (RHNA). Based on the City's 2014 Housing Element, 10.1 acres of land in the Harbor Corridor Plan must be zoned for residential development. The zoning must permit residential by right at a minimum density of 20 units per acre on sites that can accommodate a minimum of 16 total units. While residential is permitted throughout the entirety of the Harbor Condor Plan, Figure 7 -2 idenfifes 22 parcels on 24 acres within the Specific Plan area that are well positioned for residential development. Upon adoption of the Harbor Corridor Plan, these parcels are mooned to allow residential projects by right at a minimum density of 20 units per acre. The City must demonstrate that there are at least 10.1 was for residential projects at a density of at least 20 units per acre during the 2014 -2021 Housing Element planning period. Figure 7 -2: Parcels Suitable for Residential -Only Projects Parcels suitable for residential -only projects Water System. As discussed in the infrastructure chapter, the existing water supply and distribution is sufficient to accommodate the amount of development accommodated by the Specific Plan. Thus, this implementation program does not include any specific improvements for the water system. The City is currently updating its Urban Water Management Plan. As part of this work, a nexus study may be conducted to establish a development impact fee for water infrastructure. Sewer System. As discussed in the infrastructure chapter, the amount of development accommodated by the specific plan will require an upgrade to the size of certain sewer mains in the project area. The existing mains are sufficient to convey the current amount of wastewater flow generated and passing through the project area, however as more development occurs in the area some mains will be over capacity. Developers will need to contribute to the development impact fees for improvements to the sewer system. Storm Drainage System. As discussed in the infrastructure chapter, the existing flood control and drainage system is deficient The amount of development accommodated by the Specific Plan would increase the level of deficiency. Subsequent to the adoption of the Specific Plan, the City will need ro conduct a nexus study to establish development impact fees for upgrades m the good control and drainage system. This study will determine the proportion of the improvements applicable to new development, and thus subject to development impact fees, and the proportion applicable to existing development, and thus subject to funding through City revenues or through the establishment of an assessment district or other type of funding and financing district. Roads The Specific Plan calls for reducing lane widths along Harbor Boulevard and several cross streets, restriping the roadway, and installing and improving medians on cross streets. The additional right-of way no longer used for have] lanes could be used for bikeways, on -street parking, and widened sidewalks. In addition, several key intersections along Harbor Boulevard will be improved with enhanced crosswalks and bulb -outs. With the roadway improvements, the Specific Plan may have a reduction in average speeds, which could warrant a reduction in the posted speed limit. Development impact fees approved as part of the Harbor Corridor Plan will be used for road restriping, medians, bikeways, parking meters, and intersection improvements. Road Restril The City will restripe the travel lanes. Relative to other improvements, the cost b restripe the lanes will be minimal. The City will pay for this action using City revenues. Medians. The City will improve existing medians and install new medians on cross street. Bikeways. The City will establish bikeways along Harbor Boulevard and several cross streets. The final design will be determined during the process of the Public Realm Improvement implementation Program (specifically Tasks 3 and 4). On -Street Parking and Parking Meters. The Specific Plan accommodates on- street parking along Harbor Boulevard and several cross streets, although parking would be restricted near intersections. Sidewalk bulb -outs will provide a safe transition between parking and no- parking sections of the roadways. However, the City may decide to install parking meters and construct some on- street parking and sidewalk bulb -outs itself to create a unified streetsuape where new development projects are interspersed with older development and other situations. If the City pays for the construction of on -street parking, bulb -outs, and parking meters, the City may recoup those costs from future development through a development impact fee, from existing development through a contractual assessment district, and/or through future parking meter revenues. October 2014 11 A -70 7 -7 Hardor Mlxed Use Tanw Condor Plan Intersection Improvements. The Specific Plan calls for improving bike and pedestrian crossings at intersections along Harbor Boulevard. These improvements may include special painting or special pavement. The City may start with special painting and upgrade to special pavement treatments as resources become available. Speed Omit Reduction. Subsequent to the reduction in the travel lane widths, the City will conduct a speed study. It the lane reductions are accompanied by a reduction in the average travel speed the City may reduce the speed limit along Harbor Boulevard. The City will pay for the speed study and any resultant change in speed limits using City revenues. The Specific Plan does not envision recouping this cost from new development. Streelscaping The Specific Plan envisions a robust streetscape treatment to improve the public image of Harbor Boulevard and to distinguish it as a unique destination in the regional marketplace. These improvements include widening sidewalks and installation of street lighting, pedestrian lighting, street furniture, and landscaping. In addition, the City may create a facade improvement program for properties that owners do not wish ro redevelop. Developers will need to contribute development impact fees for sidewalk, lighting, street furniture, and landscaping improvements. However, credit will be given if improvements are done as a condition of development. Subsequent to adoption of the Specific Plan, the City will prepare a s remec are plan to establish the location and specificefions of such improvements, including details on dimensions, materials, types, quality, design, and amount. The City may also make improvements using City revenues. facade Improvement Progam.As properties in the6pecific Plan are redeveloped to capitalize on the new opportunities afforded by the Specific Plan, some properties and buildings that are adequate for their existing use may benefit from facade improvements and the installation of streetscape improvements. Subsequent to the adoption of the Specific Plan, the City may consider establishing a facade improvement program. The City could establish a contractual assessment district to pay for these improvements. To do this, the City would establish the program guidelines, which would specify the types of improvements that could be covered, and then establish a contractual assessment district. The City could provide initial funding for the facade improvement program with City revenues or future parking meter revenues. Interested property owners could than receive a loan from the program for the improvements and pay the money back over time through the contractual assessmentdistrict. Parks The Specific Plan acknowledges the challenges of providing adequate park and open space in an urban area. The Specific Plan requires new development to provide common open space and private open space onsite. In addition, consistent with Chapter 35, Article IV of the SAMC (Residential Development Fee), all new residential development shall contribute a fee equivalent to two some of park and recreation facilities per 1,000 residents. These fees shall be placed in a special fund to be known as the "Harbor Corridor Park Acquisition and Development Fund ". The Specific Plan augments the geographic requirements of the SAMC as follows. Moneys in such fund shall be expended for the acquisition and construction of park and recreation facilities within the Specific Plan boundary (preferred) and/or within one - quarter mile of Specific Plan boundary. Public Realm Improvement Implementation Program To implement the public realm improvements, this section provides a program for discrete implementation tasks. Each implementation task is described Wow, followed by Table 7 -1 that illustrates, the timetable for implementation. Task 1. Adopt Interim Development Agreement Policy It is likely that property owners and developers will propose new developments after the Specific Plan is adopted, but before other components of the public realm improvement implementation program are completed. In such cases, the City should negotiate with thou developers 0 provide the public realm improvements and/or pay fees commensurate with the expected level of development impact fees. In no case shall a development agreement be used to alter or in any way vary from any of the regulatory standards, design guidelines, or other requirements of the Specific Plan. The City shall adopt the interim development agreement policy either in conjunction with the adoption of the Specific Plan or within approximately one month of its adoption. Task 2. Prepare Development Impact Fee Nexus Studies and Adopt Impact Fee Ordinance To assess the costs of public improvements to new development through impact fees, the City must conduct a nexus study to determine the proportion of improvement costs attributable to new development and then adopt an ordinance establishing the fees. Within one year of Specific Plan adoption, the City will prepare nexus studies for water and stone dainage improvements. Based on the outcome of these nexus studies, the City will adopt an ordinance estatishing development impact fees for the Specific Plan area. The ordinance shall be submitted for public hearing by the City Council within six months of the completion of the nexus studies. In preparing the ordinance, the City will establish when the improvements will be made, how the City will pay the upfront costs, and how and when the City will be repaid through the collection of impact fees. The City shall determine whether or not a special fund is needed for the improvements paid through impact fees. Task 3. Prepare Ultimate Roadway Design and Specifications The City shall prepare design and specifications for the ultimate roadway improvements, including parking and parking meters, sidewalk widening, sidewalk bulb -outs, median improvements, and intersection improvements including both striping and special pavement treatments. The design and specifications shall indicate which improvements are required as a condition of approval for new development. The design and specifications shall also indicate which improvements may be provided through a contracual assessment district and which the City may construct or install on its own using City revenues. The City should complete the ultimate roadway design and specifications within one year of adoption of the Specific Plan, dependent on funding availability. Task 4. Restdpe Roadways for Initial Lane Configurations The City shall prepare design and specifications for meriting roads to reduce lane widths. Opportunities for bicycle facilities and on- street parking will be considered. The City should complete the restriping within six months of completing the ultimate roadway design and specifications, dependent on funding availability. Task 5. Establish the Parking Meter District and Fund The City shall establish a parking meter district by ordinance in accordance with California Vehicle Code Section 22506. The ordinance shall describe the area included within the zone and rate of fees. The City shall alto establish a special fund to account for the collection and expenditure of parking meter fees. In conjunction with the establishment of this fund the City shall adopt a policy setting forth how the parking meter fees may be used. The policy shall require repayment to the City of costs for installing parking meters prior to any other use of parking meter revenue. The policy shall also restrict the expenditure or use of parking meter revenues to Improvements and activities in the Specific Plan area The City shall establish the special fund and adopt the parking meter revenue policy within one year of the adoption of the Specific Plan. Task 6. Create a Streeiscape Plan The City shall prepare a streetscape plan, covering street lighting, pedestrian lighting, street furniture, and landscaping. The plan shall indicate what improvements are required as a condition of approval for new development, which improvements maybe provided through a contractual assessment district, and which the City may construct or install on its own using City revenues. Thestreetscape plan shall aim include Standards and specifications for a facade improvement program. Unlike the other dromecape improvements, though, the facade improvement program likely would apply only to existing buildings and likely would only be implemented through a contractual assessment district. The City should identify funds for and complete the streetscape plan within one year of adoption of the Specific Plan, dependent on funding availability. Task 7. Establish a Contractual Assessment District The City may establish a contractual assessment district to provide a mechanism to allow property owners not developing or redeveloping their property to obtain roadway improvements tree Task 3) and streebcape and facade improvements (see Task 6). The contactual assessment district would establish the parameters for which improvements are covered, how and when the improvements would be made, which properties are eligible, and the standards for entering into an agreement for contractual assessments. A contractual assessment is completely voluntary on the part of property owners and can he entered into on a parcel-by- parcel basis. If interested, property owners could obtain qualified improvements on or adjacent to their property by joining the contractual assessment district. The City would construct or install the specific improvements, and the property owner would repay the City over time through an annual assessment on the property. The assessment would run with the land and subsequent property owners would be bound to the agreement. In conjunction with establishing the contractual assessment district, the City will establish a special fund to account for monies the City invests in the 7-8 11 A-71 City of Santa Ana 4 nil district and the eventual repayment to the City. The City can make a one- time investment in the district to create a revolving loan fund in which funds are reused as they are repaid. The City may also make investments on an as- needed and as- available basis and collect repayments each year as assessments are paid to the district. The special fund used to account for the contractual assessment district may be a stand -alone fund or may be part of a single special fund for the Specific Plan, in which case it would include parking meter fees and park in -lieu fees. The City may, at any time, choose to construct and install roadway improvements and streetscam improvements in any part of the Specific Plan area. Absent contrary provisions in the ordinance establishing the contractual assessment district or in any agreements, City construction and installation of improvements would not terminate or invalidate any then existing contractual assessment agreements. The City may establish a contractual assessment district within six months of the completion of Tasks 3 and 6. The City may also include a sunset provision. Task 8. Speed Study Once the restriping and final travel lane configurations are in place (see Task 4), the City will conduct a speed study to determine the appropriate travel speed limit along Harbor Boulevard. The City will pay for the speed Study and any resultant change in speed limits using City revenues. The speed study will be completed within one year of restriping the lane confguradons. The goal is to design Harbor Boulevard within the Specific Plan to satisfy the California Vehicle Code requirements and justify a lower speed limit due to the proposed increase in residential development and pedestrian activity. Task 9. Annual Review Each year in conjunction with the annual budget process, the Planning and Building Agency (PBA) will report on the implementation of the Specific Plan. Among other considerations, the annual review will evaluate the effectiveness of the public realm improvement program. Specifically, the report will indicate whether the primary reliance on new development and contractual assessment districts supplementetl by target City investments is adequately and effectively achieving the Specific Plan's vision. If the PBA finds that sufficient progress is not being made, the PBA may recommend changes to the implementation program. Such changes may include the City taking a more direct role in paying for roadway and streetscape improvements and alternative approaches to recouping those costs. Funding far those improvements could be included in the City's capital improvement program. Such changes may also include recommendations to engage property owners in evaluating the feasibility of assessment districts, landscaping and lighting maintenance districts, and other applicable funding and financing districts. Any such changes to the implementation program may be approved by a simple majority vote of the City Council. The PBA may recommend and a simple majority vote of the City Council may approve the termination of the annual review process upon a finding by the PBA that 60 percent or more of the Harbor Boulevard frontage has been improved pursuant 0 the ultimate roadway design and specifications and the streetscape plan. Table 7.1. Public Realm Improvement Implementation Timetable Task 1, Adopt Interim Development Agreement Polity Task 2. Prepare Development Impact Fee Nexus Studies and A" Impact Fee ordinance Task 3. Prepare Ultimate Roatlway Design and Specifications Task 4, Remnpe Raadways for Initial Lane Configurations Task 5. Establish the Parking Meter District and Fund Task 6. Create a Streetscaps Plan Task 7. Establish a contractual Assessment District Task 8. speed study i Task 9. Annual Remay Noe: This fimeeNe presents the current scheduling goats for Me Gty, but Me tasty and timelines amsubiect to change. CHAPTER 7: Administration and Implementation Implementation Tools and Funding Mechanisms The public realm improvement program described above provides for the use of a variety of implementation tools and funding and financing mechanisms. The following describes the general use and statutory requirements for these tools and mechanisms and for other tools that the City may employ at a future data to realize the vision for the Harbor Corridor Plan. Developer- Funded Improvements In some cases, the development of one or more parcels in the Specific Plan area may require the construction of offsite infrastructure improvements, the size of which may be larger than what is needed to serve just the proposed development. In such rases, if the City does not have the funds available to pay for the additional infrastructure rapacity, the property owner or developer may agree, through a development agreement, to pay for the full cost of the offsite infrastructure improvement and to be repaid as additional development occurs. The development agreement would stipulate the terms of such repayment. If the cost of infrastructure improvements is to be repaid to a property owner, developer, or other entity, that paid the upfront cost, the City may prohibit other development under the Specific Plan until the project applicant has paid the required infrastructure cost repayment fee in accordance with the terms of the development agreement. Development Impact Fees A development impact fee is charged by a city to the applicant in connection with approval of a development project for the purpose of defraying all or a portion of the cost of public facilities related to the development project. The Specific Plan anticipates the use of development impact fees for right -of -way, sewer, drainage and flood control, and public park improvements. The use of development impact fees is authorized by the Mitigation Fee Act (California Government Code, Section 66000, at seq.). The City may not require a proposed development to pay a development impact fee beyond the proposed development's proportionate share of the public improvement cost. Contractual Assessment Districts In a typical assessment district, a municipality determines the cost of public improvements and paces a levy on each property in the area unless a majority of property owners object. In contrast, a contractual assessment district is completely voluntary. A municipality establishes a contractual assessment district program, creating guidelines that identify the types of improvements, costs, and locations. If and when a property owner wants to participate, the owner can voluntarily enter into a contractual assessment. Because the program is completely voluntary and because it applies to only one property at a time, there is no voting, balloting, or engineer's report, as is required with a convenfional assessment district. Typically the program authorizes the city manager or some other staff position to execute the contract on behalf of the city, thus eliminating the need for a public hearing. These assessments are authorized by Contractual Assessments (part of the Improvement Ad of 1911) (Streets and Highways Code Sections 5898.10 et seq.). Although this authority has existed for 100 years, this code section became better known with the passage of AB 811 (2008, Levine), which amended the code to allow contractual assessments to pay for energy efficiency and renewable energy improvements, most commonly for residential solar energy retrofits. Santa Ana has already use contractual assessment in the HERO program for energy efficiency improvements. To establish a contractual assesvnent district, the City Council would first adopt a resolution indicating its intention to do so. The resolution of intention should: Include a statement that the City proposes to make voluntary contractual assessment financing available to property owners u Identity the kinds of public works that may be financed > Describe the boundaries of the area within which voluntary contractual assessment may be entered into r Briefly describe the proposed arrangements for financing the program, including a brief description of criteria for determining the creditworthiness of a property owner Prior to the public hearing to adopt a resolution, which establishes the contactual assessment tlistrict, the City would have to prepare a report containing: • A map showing the boundaries of the territory within which voluntary contractual assessments are proposed to be offered • A draft contract specifying the terms and conditions that would be agreed to by a property owner within the voluntary contractual assessment area and the City October 2014 7 -9 11 A -72 Harbor Mixed Use Trani Corridor Plan A statement of City policies concerning voluntary contractual assessments including: 1) Identification of types of improvements that may be financed through the use of contractual assessments 2) Identification of a City official authorized M enter into voluntary contractual assessments on behalf of the City 3) A maximum aggregate dollar amount of voluntary contractual assessments 4) A method for setting requests from property owners for financing through voluntary Contractual assessments in priority order in the event that requests appear likely to exceed the authorization amount A plan for raising a capital amount required to pay for work performed pursuant to voluntary Contractual assessments. The plan may include amounts to be advanced by the public agency through funds available to it from any source. The plan may include the sale of a bond or bonds or other financing relationship. The plan shall include a statement of or method for determining the interest rate and time period during which contracting property owners would pay any assessment. The plan shall provide for any reserve fund or funds. The plan shall provide for the apportionment of all or any portion of the costs incidental to financing, administration, and Collection of the voluntary contractual assessment program among the Consenting property owners and the City. The authorizing statue provides other requirements as well as the Standards for noticing and conducd ng a required public hearing. Grants and Loan Programs Although the Specific Plan does not explicitly call for using grant and loan programs to implement the public realm improvements, the City may tap into various federal, state, local, and private grants to provide additional funding for public improvements. In particular, the projects focus on increasing transit ridership, promoting pedestrian -and bike - friendly environments, and relieving traffic Congestion may help the project qualify for various grants dedicated ta these goals. The fallowing list provides a few examples of state and federal programs currently available and relevant to the Harbor Corridor Plan. State n Transit - Oriented Development Housing Program • Housing Related Parks Program • Infill Infrastructure Grunt Program • Land and Water Conservation Fund • Active Transportation Program • Highway Safety Improvement Program • Transportation Enhancement Program • Infrastructure State Revolving Fund Program • Public Agency Revenue Bond Program Federal n Economic Development Initiative Grant a Community Development Block Grant n Section 108 Loan Guarantee Assessment Districts The Specific Plan anticipates that development impact fees, Contractual assessments, and City revenues will be sufficient to fund the public realm improvements. Nevertheless, groups of property owners may desire and the City may find that assessment districts could help finance the Construction of public improvements on public property, public rights-ol -way, and public easements. The public must pay for the portions of the improvements that provide general benefit to the public at large, but real property that receives a special benefit may be assessed for the costs, proportional to the level of benefit received. Three different provisions of state law authorize assessment: • Improvement Bond Act of 1915 (Streets and Highways Cade Sections 8500 at seq.) • Improvement Act of 1911 (Streets and Highways Code Sections 5000 et seq.) • Municipal Improvement Ad of 1913 (Streets and Highways Code Sections 10000 at seq.), which contains only provisions for establishing assessment districts Assessment districts are intended to finance construction of physical improvements. They cannot pay for operations and maintenance or additional services. If additional improvements are desired after an assessment district is assets ished, the entire process is required for those additional improvements. Assessment districts may be used to finance improvements in one of two general ways. The assessments may repay the City at an initial developer for the up front costs of infrastructure. The City may also issue bonds pursuant to an assessment district and use the proceeds to fund the infrastructure improvements and use the assessments to repay the bonds. Generally, assessment districts can be used to finance these improvements: a Local streets + Streetlights + Parks r Water supply and distribution facilities + Gas and electric power » Landscaping a Sidewalks + Sanitary sewers Flood Control and drainage improvements + Parking facilities The authorizing statutes referenced above set forth procedures for establishing assessment districts. Under existing State law, however, establishment of an assessment district cannot occur if a majority, of the affected property owners object (weighted by the value of the proposed assessment). Lighting and landscaping Maintenance Districts The Specific Plan anticipates that development impact fees, Contractual assessments, and City revenues will be sufficient to fund the public realm improvements. Nevertheless, groups of property owners and the City may find that lighting and landscaping maintenance districts (LLMD) coultl be an effective way to fund the ongoing maintenance (or even the construction) of public realm improvements. Ll are authorized by the Landscaping and Lighting Ad of 1972 (Streets and Highways Cade section 22500 at seq.). An LLMD requires an annual assessment process for any assessments other than previously approved assessments to pay previously approved and issued debt The annual assessment process is similar to that used to establish assessment dishicts. The improvements and services provided by LLMDs include: a Landscaping n Statuary, fountains, and other ornamental structures • Public lighting, including traffic signals Appurtenant facilities, including grading, clearing, and removal of debris; the installation or construction of curbs, gutters, walls, sidewalks, or paving; or water, irrigation, drainage, or electrical facilities Park or recrettonal improvements x Land preparation + Lights, playground equipment, play Courts, and public restrooms + The maintenance or servicing or both of any of the foregoing • Acquisition of land for park, recreational, or open -space purposes • Acquisition of existing improvements • Acquisition or Construction of any Community center, municipal auditorium or hall, or similar public facility for the indoor presentation of performances, shows, stage productions, fairs, Conventions, exhibitions, pageants, meetings, parties, or other group events, activifies, or functions, whether those events, activifies, or functions are public or private LLMDs can be expanded over time, following a process similar to that used is establish the district. The City may condition development activiy, in the plan area on annexation into a LLMD if one is established for all or a part of the plan area. An LLMD may also be established to generate revenues from throughout the plan area to fund the operation and maintenance of public open space in or around the Specific Plan area. Panting Districts The development standards and Concepts in this Specific Plan envision metered on-street parking and off-street parking (in structures or surface lots). AtlGfionally, parking reduction strategies such as shared parking are explicitly encouraged to provide sufficient space for parking while fostering pedestrian, bicycle and transit friendly design. The design and management of parking is integral to the long tern success of the Harbor Corridor and its surrounding neighborhoods. Nevertheless, groups of property owners and the City may find that it would be beneficial to form a parking management district to fund the construction and operation of additional parking facilities. 7 -10 City of Santa Ana 11 A -73 nn l t- r- Jurisdictions may form a parking district and levy assessments per Streets and Highways Code Section 31500 et seq.. to finance the: • Acquisition of land • Construction, operation and maintenance of parking facilities and garages n Associated project costs, including professional staff • Streets and Highways Code Section 11000 at seq. also permit parking districts to fund pedestrian improvements including: • Street paving • Water lines, flood control facilities, sewer, and drainage works s Street lighting • Fire protection, • Statues, fountains, and decorations, r Landscaping and tree planting • Child care facilities • Pudic assembly facilities • Other improvements associated with pedestrian facilities Special assessments under the 1911 Act may be levied to replace the use of fees and charges to repay outstanding bonds. Other revenue sources may include user fees, parking meter charges, and property taxes. One w more parking districts could cover part of or the entire Specific Plan area, as well as adjacent neighborhoods. Within a parking district, funds collected from parking charges are poured directly into improvements that make the district more attractive, such as sidewalks, landscaping, and other amenities or aesthetic improvements. New parking meter technologies have improved customer convenience (customers can pay remotely by credit card or cell phone), increased pricing flexibility (rates on be changed in real -time based on location, time of day, day of week, or level of occupancy), reduced 5treetscape clutter, and reduced operating costs. A parking district could be responsible (and contract out) for the following operations associated with managing parking within the area: • Enforcement of parking regulations • Parking permits • Parking meter operations (including revenue collection) • Day -to -day management of shared parking • Researching parking usage and developing parking pricing strategies a Staffservices Infrastructure Financing Districts Recent legislation enabled the formation of Infrastructure financing Districts 0FDs) in former redevelopment projectareas. An IFD diverts new local property tax revenues to either pay directly for the construction of infrastructure and public facility improvements, or to issue bonds to finance those improvements. However, IFDs cannot divert property tax increment revenues from schools and can only pay for public facilities like roads, sewer, water, libraries, and parks – not routine operations and maintenance or, except in limited cases, affordable housing or economic development projects. However, onerous approval requirements may limit the formation of an IFD: two -thirds of property owners or voters must vote in favor of forming the district, and all affected taxing entities (e.g., counties, special districts) must approve the contribution of their portion of the tax increment to the ED. Cap- and -Trade Auction Proceeds California established a cap- and -trade program to limit allowable greenhouse gas emissions. Be ®nning in late 2012, the state began regular auctions of greenhouse gas emission allowances. The revenue produced by these allowance auctions may be available to fund transportation and sustainability improvements in the Harbor Corridor Plan. However, the amounts, uses, and means of distributing the revenue are still evolving and will continue to change as state agencies finalize programs and rules for their use in the context of the state budget process. CHAPTER 7: Administration and Implementation October 2014 11 A -74 7 -11 a a m 0 z 3 X m 0 c N m ti A n z N -1 C7 O A A O O N S m r z A Place for Pqq 1 0 RO H —10/21 /14 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADDING CERTAIN PROPERTIES TO THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (SP -2) BOUNDARIES; AND, REMOVING CERTAIN PROPERTIES FROM THE SP -2 ZONING DESIGNATION AND CHANGING THE ZONING FOR THOSE REMOVED PROPERTIES (AA NO. 2014 -01) 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. On August 25, 2014, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: 1. Adopt a resolution certifying the Final Environmental Impact Report No. 2014 -01, to approve the mitigation monitoring program, findings of fact, and statement of overriding considerations for the Harbor Mixed Use Transit Corridor Specific Plan. 2. Adopt a resolution approving General Plan Amendment No. 2014- 02. 3. Adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -01. 4. Adopt an ordinance approving Amendment Application No. 2014 - 01. B. The City Council of the City of Santa Ana held a duly noticed public hearing on the above said actions for the Harbor Mixed Use Transit Corridor Specific Plan (SP -2) on September 16, 2014. At that meeting, the City Council continued the matter to October 7, 2014, so that the plan could be revised to reflect the City Council's new policy decisions. The October 7, 2014 City Council meeting was postponed, and all matters were continued to the next meeting. On October 21, 2014, the City Council resumed the public hearing, and at that time considered all testimony, written and oral. C. Amendment Application No. 2014 -01 has been filed with the City of Santa Ana to remove 120 acres from the SP -2 zoning designation, primarily in and around the Willowick Golf Course, and change the zoning district for those properties to Single Family Residential (R1), Two - Family Residential (132), or Open Space (0). These proposed zone changes are generally in keeping with the existing land uses and subdivision lot patterns. In addition, a few properties along Fifth Street currently zoned Community Commercial (C2) Ordinance No. NS -xxx Page 1 of 5 11 A -76 are proposed to be added to SP -2 boundaries. D. Approval of Amendment Application No. 2014 -01 supports the City's efforts to meet Goal #3 Economic Development, Objective #2 Create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies), Goal #5 Community Health, Livability, Engagement and Sustainability, Objective #3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and Objective #4 (Support neighborhood vitality and livability). E. The City Council also adopts as findings all facts presented in the Request for Council Action dated September 16, 2014, and the Request for Council Action dated October 7, 2014, accompanying this matter. F. 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. G. At the duly noticed public hearing held on October 21, 2014, the City Council, by resolution, certified that Final Environmental Impact Report No, 2014 -01, prepared for the proposed Harbor Mixed Use Transit Corridor Specific Plan (SP -2), was completed in compliance with the California Environmental Quality Act (CEQA) (Public Resources Code § 21000 et seq.), was presented to the City Council for review and consideration, and reflects the City of Santa Ana's independent judgment and analysis; and, approved the Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations. At the October 21, 2014, meeting, the City Council also adopted a resolution amending the City's general plan (GPA No. 2014 -02), and adopted an ordinance approving amendments to various zoning provisions of Santa Ana Municipal Code Chapter 41 (ZOA No. 2014 -01). This ordinance incorporates by reference, as though fully set forth herein, the ordinance, resolutions and the Final Environmental Impact Report, Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations, and all of their respective findings and conclusions in support of this ordinance. Section 2. Pursuant to the adoption of the Harbor Mixed Use Transit Corridor Specific Plan, 120 acres from the SP -2 zoning designation, primarily in and around the Willcwick Golf Course, is hereby reclassified from SP -2 to Single Family Residential (R1), Two - Family Residential (R2), or Open Space (0). In addition, a few properties along Fifth Street currently zoned Community Commercial (C2) are hereby reclassified to be added to the SP -2 boundaries. Amended Sectional District Map numbers 9 -5 -10, 10 -5 -10, and 15- 5 -10 showing the above described changes in use district designation, are hereby approved and attached hereto as Exhibit "A" and incorporated by this reference as though fully set forth herein. (AA No. 2014 -01). Section 3. This Ordinance shall not be effective unless and until Resolution No. 2014 -xxx, Resolution No. 2014 -xxx, and Ordinance No. 2014 -xxx become effective. Ordinance No. NS -xxx Page 2 of 5 11 A -77 If said Resolutions and Ordinance are for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise do not go into effect for any reason, this is Ordinance shall be null and void and have no further force and effect. Section 4. 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 4 —_ day of 2014 APPROVED AS TO FORM: Sonia 5,tAryalho, City Attorney BY•__ Ryan AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor 11 A -78 Ordinance No. NS -xxx Page 3 of 5 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: Ordinance No. NS -xxx Page 4 of 5 Clerk of the Council City of Santa Ana 11 A -79 Exhibit "A" Ordinance No. NS -xxx Page 5 of 5 11 A -80 11 A -81 LU LU N Z T x RxoxoPAV i onv WESTMINSTER AV JIII�111� R, I �` ■ ■� �I � -- : I sT R1 o ■ W � gRRRR�J Rt � Rt OO .0 V rnv stwsvre v Y BoT Ill.. IN Rt R1 R1 R1 �6aRn SIOEAV MQ, _ EAV FRi Rt R1 °yoFR� Rgyw 6vOenvw ■ RtV — r, ~ IN m PEAXYAV R1 : R1 "',11 IN 1339 YNE PV SJ R1 1 - OEORCiNE6i ' y IN mnuwE Env S R1 WESTMINSTER AV J m IY G m K a I RA'RYgR JBYSEA4— °' d IN Av R1 91 Rt Mary nrt —_1.. ... 1¢ ,CF R1 AIMIEIn AV AV IN - ._ oAXEIF4n R1 9c4 III Rt 3 I— r £ R1 R1 YaP L� _ 1 HJ xEAV 4 - Rt G rouru C. 0 R1 ,. p Rt Q� 0 Rt 2R1 R1 .. W ELSUF CE\ESrCAT 3G n ff 3 2 i, � T s FU C RI x,vgim nv i R1E Si mill NAUroPv LACCAICAV \1111 � G ■ R2 S�—J 111 \1 � � G evF i Rl bpi _ kkks � ]rx lllll� R1 @ , i � � II ■ w. r ]] RoosEVEI nTUiwl EVEiTAV / 3 e 2 R3 R1 RL ® R1 RI --i mST yz Rt r _. s¢VEROR a R/ Xy* I v C oa. _ ° � I AU 'I R1 v R1 OEM � „ aTx sr ■R3 N sNSr A� rtx sr sr Rl R1 - 6m . r vxosr ! R1 R3 j AZ %: 3liosr `I Al Al 6 R1.. R15 At ■ J R1 I. Km K DO t S. xxosi J w 0 ®� R lololmIIoi Lis R2 ` m I 1 ST ST 1ST ST SECTIONAL DISTRICT MAP 9 -5 -10 P A. US R R • 1 AK 567 ADOPTED BY THE SANTAANA CITY COUNCIL, JULY 20,1959 BY ORDINANCE AS 381 1 AA IKA I AA.418 AA, BM 1 AA. WA AA. 035 1 q 60. MINIMUMFRONTAGE Al GENERAL AGRICULTURAL CSM SOUTH MAIN STREET COMMERCIAL DISTRICT PD PLANNED DEVELOPMENT 5000 AI wr uTEA -B PARKING MODIFICATION F FLOORAREARATIO PRO PLANNED RESIDENTIAL DEVELOPMENT UIS APISmE OFFICIAL SECTONAL Cl COMMUNITY COMMERCIAL GC GOVERNMENT CENTER R1 SINGLE-FAMILY RESIDENCE o Is � C140 COMMUNITY COMMERCIALIAUSEUM DISTRICT M1 LIGHTINDUSTRIAL P2 TWO - FAMILY RESIDENCE JAS.TF.A`E.UC— COJSCA NEEMYTON FO, 11 - 186.OATE011 -16111 C2 GENERAL COMMERCIAL M2 HEAVY INDUSTRIAL R3 MULTIPLE - FAMILY RESIDENCE C3 CENTRALBUSINESS MO MILITARY OPERATIONS R4 SUBURBAN APARTMENT caTOFrxEWCNAtsECnMUL01sTwT NAPNO.SS]0. C3 -A CENTRAL BUSINESSARTISTS' VILLAGE O OPEN SPACE RE RESIDENTIAL ESTATE Osw C4 PLANNED SHOPPING CENTER -0Z OVERIAY ZONE ED SPECIFIC DEVELOPMENT AVIREmxO C5 ARTERIAL COMMERCIAL P PROFESSIONAL SP SPECIFIC PLAN w.XASSUCS .ABww CR COMMERCIAL RESIDENTIAL PCD PLANNED COMMUNITY DEVELOPMENT 1.1 1 13 NASUAICale mava.mm RES. IAA .IAAC AO n'. X11]6 .6666 A. NS6W XS1365 X 53 NS IAU NS1186 S"oC N6 -15W Ns -1515 N6 -1538 N515W X AOOTEO60ffgR %50 31Po .1 6>. 13 -1. U 6)0 .1365 1311 -]6 IO. l ILILII 1NG]] IS 1.11 11361 63116 .11S 1016)8 III 1B I 61618 I 11 -1818 Eo DATE I 6318 REVISED BASS; P A. US 1 AAW 1 AK 567 AA AU 1 AA IKA I AA.418 AA, BM 1 AA. WA AA. 035 1 q U111 N6 -1]0! NSIIOB HSI]i6 X6-IM3 Xfi -I 161 USLU NS -1]M H I N6 -1]60 X I111m. 1 N85 1. 61865 113-1.3 H11.1 5 BNdI IRIS IAA IANX NOI 5111 1 .1 1. 1.1 1 13 n'. X11]6 .6666 A. NS6W XS1365 X 53 NS IAU NS1186 S"oC N6 -15W Ns -1515 N6 -1538 N515W X AOOTEO60ffgR %50 31Po .1 6>. 13 -1. U 6)0 .1365 1311 -]6 IO. l ILILII 1NG]] IS 1.11 11361 63116 .11S 1016)8 III 1B I 61618 I 11 -1818 1 Ula I 6318 SECTICONoAL DISTRICT MAP 9-5-10--i PREPARED BY THE PLANNING DIVISION CITY OF SANTA ANA, CALIFORNIA REVISED BASS; 3 ,b WESTMINSTER AV w.swxcox nv _ _ ;a11 ® R2 R] In% � rq all n =r RI � R2 111■ v �■ SF3 j �.. i 117 ["1�1 1; ?I UIIIA III III'll 9s [ii =I ® 11%231 KIM 1CSP211 ems: II i I „IRD I� SOg R: .i R2 R2 i�R2I R].= '= o 0.. R1 < =� 05 1 11 0031 CR, q�PA 1;xB2� 1 ST ST WESTMINSTER AV r 1 rn G�Q e4��� to RI 8 LL s,QIOG G RI Is y d R1 rvonx �xsr 1 ST ST SECTIONAL DISTRICT MAP 105-10 uplE IN FEET R ADOPTED BY THE SANTAANA CITY COUNCIL, JULY 20,1959 BY ORDINANCE NS -381 9 PREPARED BY CITY OF SANTA ANA, CALIFORNIA rrg AZr 3EOV ' IoTxsr R1 i' SO. m MGRONrpGE -SOLD MI N:MUMLOLAREA Al GENERALAGRICULTURAL R] sr11—T RI <Nic ExEROR 7TH IT 1 ST ST REVISED SECTIONAL DISTRICT MAP 105-10 uplE IN FEET R ADOPTED BY THE SANTAANA CITY COUNCIL, JULY 20,1959 BY ORDINANCE NS -381 9 PREPARED BY THE PLANNING DIVISION CITY OF SANTA ANA, CALIFORNIA SO. m MGRONrpGE -SOLD MI N:MUMLOLAREA Al GENERALAGRICULTURAL CSM SOUTH MAIN STREET COMMERCIAL DISTRICT PD PLANNED DEVELOPMENT -B PARKING MODIFICATION -F FLOORAREARATIO RED PLANNED RESIDENTIAL DEVELOPMENT Cl COMMUNITY COMMERCIAL GC GOVERNMENT CENTER Ri SINGLE-FAMILY RESIDENCE Is swreuu a �c�.w C1-MD COMMUNITY COMMERCIAL- MUSEUM DISTRICT Mt LIGHTINDUSTRIAL R2 TWO - FAMILY RESIDENCE aweERerary caxal flESUYIIOH HO. ]4100, �MEB l l 10I<, C2 GENERAL COMMERCIAL M2 HEAVY INDUSTRIAL R3 MULTIPLE- FAMILY RESIDENCE nluE C3 CENTRAL BUSINESS MO MILITARY OPERATIONS R4 SUBURBAN APARTMENT sECnoxumsmlcr wRxo. roam. C3A CENTRAL BUSINESS- ARTSTS'VJ"GE O OPEN SPACE RE RESIOENTIALESTATE R C4 PLANNED SHOPPING CENTER -OZ OVERLAY ZONE SO SPECIFIC DEVELOPMENT lAYM NO C5 ARTERIAL COMMERCIAL P PROFESSIONAL SP SPECIFIC PLAN wul:wsa Rinax wacx CR COMMERCIAL RESIDENTIAL PCD PLANNED COMMUNITY DEVELOPMENT Mef9 p0i .NOirEO wrE REVISED 9 PREPARED BY THE PLANNING DIVISION CITY OF SANTA ANA, CALIFORNIA REVISED 1ST ST _ 1ST ST OMAN -1 s aER IMF pAl\ — E 4s E. z SORte aeoE�1 luuu�.. C] z A � I� OHI\A\rn.\C i j Rl J N IN IS 0.t N RY �x CBE SiryUiaV g I W I 1 I AT R] IWE 1 1 j c _s` 1 1 a SIG ]f cnmiL RNSr _ cnm s _ u'xEnv N R- aE. OLUTSST Rl SPl ]F] O INR AI P sr Rt R] I RE, .�K,. A o .aax=r R1 ff g Rt AG',A E `p Rl oil ISONx a �xa p eq� R.t xm sr a] RMNInV a 5 gR' 3 1. € g Rt Rt R1 0.1 R1 'a c SROCR xsT 3 y J{' Rt st eR = RoeEgis Rf .R1 3 RI ;$ Ri uReM'si wx . eeox sr �r xEM AY_ fµcyyL" yi O �< Rt x Rl Rt OS vo R1•v L5 OT sR MIH _ [Y �R carsrutN 3 �y xcn - Rt Na<x Ix Q =o Nvx' uR1 x _. PH z N w Rt M1 LENHARDT AV g xt �s° T — Al O y°q¢ Ri Rt Al a R1 x Z c A. y IN OJtl N t PN IMNIw ,y 0.. o x R1 w J AN Rt IN w,"'NEVC N I kv 4vExxsnv � EsxlREav 4vtRN[ c � uveRUEnv uvENIEAV SECTIONAL DISTRICT MAP 15.540 11 a Edo 11M ADOPTED BY THE SANTAANACITY COUNCIL, JULY 2D, 1959 BY ORDINANCE AS 381 SOLI IN FEET 6B- MINIMUM FRONTAGE b 00 MINIMUM LOT AREA Al GENERAL AGRICULTURAL CSM SOUTH MAIN STREET COMMERCIAL DISTRICT PD PLANNED DEVELOPMENT -B PARKING MODIFICATION F FLOORAREARATIO PRO PLANNED RESIDENTIAL DEVELOPMENT Cl COMMUNITY COMMERCIAL GC GOVERNMENTCENTER R1 SINGLE - FAMILY RESIDENCE UISN IS TME CmcIU SECTI a aTSxECm Cr SwinPW. M'MCn�TM°RIZEO C1-MD COMMUNITY COMMERCIAL- MUSEUM DISTRICT M1 LIGHTINDUBTRIAL R2 TWO - FAMILY RESIDENCE IN an<axal REStl.NIOXHO.)4161, UA1EO111E]n.l C2 GENERAL COMMERCIAL M2 HEAVY INDUSTRIAL R3 MULTIPLE - FAMILY RESIDENCE TMuE C3 CENTRAL BUSINESS MO MILITARY OPERATIONS R4 SUBURBANAPARTMENT cIMoP xaETME giI6W0. s5cnaxumsmlm um. C3.A CENTRAL BUSINESS- ARTISTS' VILLAGE O OPEN SPACE RE RESIDENTIAL ESTATE CI PLANNED SHOPPING CENTER 0Z OVERLAY ZONE SD SPECIFIC DEVELOPMENT g C5 ARTERIAL COMMERCIAL P PROFESSIONAL SP SPECIFIC PLAN BRIG PpRECroz RAxxwoamunrnNA.NGY CR COMMERCIAL RESIDENTIAL PCD PLANNED COMMUNITY DEVELOPMENT OnaeMA8M1 nnm oar AWN f- • • DISTRICT • • PREPARED BY THE PLANNING DIVISION CITY OF SANTA ANA, CALIFORNIA CITY OF SANTA ANA LEGISLATIVE CITY COUNCIL COMMITTEE MEETING CANCELLATION NOTICE The regularly scheduled Legislative City Council Committee meeting scheduled for Wednesday, September 24, 2014 at 12:00 p.m. has been cancelled. The next meeting is scheduled for Wednesday, October 15,12:00 p.m. W If you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647 -5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for l� accessibility to this meeting. [Americans with Disabilities Act, Title II, 28 CFR 35.102] Santa Ana City Council Miguel A. Pulido, '' Sal Tinajero, j Vincent F. Sarmiento, Mayor Mayor Pro Tem, Wartl 1 MRNiEO� same -ena wo ',i Ward vsem'emomzseme -aneom ', srn�ero ®same -ane om City Hall, 20 Civic Center Plaza Mayor 5. Council Telephone: 714. 647 -6900 • A Michele Martinez, Angelica Amezcua, j P. David Benavides, i Roman Rayne, Ward 2 Ward 3 Ward 4 Ward 5 Ama MnezaESenlaane . om w4maznuamseme.ana om OBenev Oes®seme -ananm RRevnaIDSemo-aneo • P.O. Box 1988 • Santa Ana, California 92702 Benda Item Inquiries: 714 -647 -6520 • Website: www.santaana.orc 13A -1 13A -2 MINUTES OF A REGULAR MEETING OF THE CITY COUNCIL COMMITTEE ON PARKS, RECREATION, EDUCATION AND YOUTH July 28, 2014 CALL TO ORDER The regular meeting convened at 5:33 p.m. at Santa Ana City Hall Ross Annex Room 1600; 20 Civic Center Plaza, Santa Ana, California 92702. ATTENDANCE Council members Present Mayor Pro Tem, Sal Tinajero (Chair) Angelica Amezcua Roman Reyna Staff Present: David Cavazos, City Manager Gerardo Mouet, PRCSA Executive Director Ron Ono, Administrative Services Manager Jeannie Jurado, Community Services Manager Enrique Marban, Community Services Supervisor Juan Lara, Community Services Supervisor Hiram Uribe, Graphic Designer Public Speakers Barbara Lamere, Windsor Village Steve McGuigan, Riverview West Edgar Vazquez, Interamerican Sports • PUBLIC COMMENTS: o Public comments will be requested when item of interest is discussed. • APPROVAL OF MINUTES o Minutes of April 28, 2014 accepted as presented. Mayor Pro Tern Tinajero arrived at 5:44pm. PREY Regular Meeting Page 1 July 28, 2014 13B -1 • PARKS AND RECREATION DEFERRED MAINTENANCE UPDATE .o o Ron Ono presented how deferred maintenance is prioritized, managed, funded and its current funding challenges. Deferred Maintenance is classified in two areas: 1) Minor deferred maintenance (addressed by staff) and 2) Major deferred maintenance (addressed under contract). In the past General Fund provided $500,000 for deferred maintenance repairs. Currently, the General fund provides $100,000 for deferred maintenance that is spent within 3 months. Cell tower revenues is another funding source used for repairs parks with cell towers. Staffing consists of six (6) full time and two (2) part time staff devoted to addressing deferred maintenance in parks. Two (2) additional part time staff is needed to assist with repairs, provide safety back up and be part of a strike crew to address needed repairs. Currently a backlog of 500 service request is pending for minor deferred maintenance repairs totaling $1.5 million. Major deferred maintenance is estimated at $22.4 million. In addition, vandalism and theft to obtain recycle materials has added to the service request for repairs. o Mayor Pro Tern Tinajero indicated the city should look into a rewards program to reduce recycling of stolen property. • DISCUSSION ON SPORTS FIELD PROGRAMMING o Enrique Marban presented how the agency delegates sports field to the various sports organizations. Priority on field usage is based on which organization has the most participants that live within the ' /z mile radius of the park. This method is allowing neighborhood residents priority use of their neighborhood park and to encourage participants to walk to the park. The second part of the presentation was on sports field maintenance. Fields are closed for renovation based on the optimum time to grow turf and reduce down time to the participants. Unfortunately, the best time of the year is during the hot summer months when children are out of school and need the open park space for recreational play. The purpose of the renovation is to provide fields that are playable during the peak spring season. Renovation also facilitates ease of maintenance year round and provides a safer for the participants. The agency intends to introduce a pilot program to help manage the impact field closures have on sports organizations. The pilot will first focus on youth and softball diamonds. There are 16 registered baseball /softball youth organizations that are registered with the City of Santa Ana. The pilot will look '"o PREY Regular Meeting Page 2 July 28, 2014 13B -2 at providing alternative fields during closure and other practices for turf yr, maintenance. • Councilmember Reyna asked if the Willard playground, basketball courts and synthetic turf field are being used. Do we have staffing when the fields are being used to enforce field regulations on the synthetic turf field? • Mr. Marban indicated Willard Intermediate Park facilities are well used by the youth organization and residents. There are 8 youth soccer league that use the field, and residents use the rubberized track, basketball court and play equipment area daily, when school is not in session. • Councilmember Reyna indicated the purpose of developing Willard Intermediate Park is to encourage families to walk to the park. • Councilmember Reyna indicated he is concerned about the 8 week closure of the field during the summer months. Fields should be open for kids to play in the park during the summer. • Mayor Pro Tern Tinajero agreed and indicated the best time to close the fields is during November and December. • Mr. Mouet indicated staff will program field closures to accommodate the users, but the months available may not be the ideal time for grass to grow. We will also look into providing substitute fields. • Mayor Pro Tern indicated we should not close the field for complete renovation if we only need to mend a spot or portion of the field. We need to provide options for the organizations. McFadden Intermediate School has baseball fields. We should approach the SAUSD to Joint Use McFadden Intermediate sports field. • Councilmember Reyna reminded staff that as we expand field usage for city youth programs, there may not be enough fields available for other organizations. NEW YOUTH SPORTS, AFTERSCHOOL AND WELLNESS PROGRAM UPDATE o Jeannie Jurado presented the Recreation Programs; the Ten City produced events and staffing level. Indicated the Strategic Plan allocated $840,000 for 1) Year -round Youth Sports & After School Program ($600,000); 2) Health and Wellness Program ($200,000) and 3) the Catalina Camp ($40,000). These additional programs will require the addition of two full time staff, one recreation Program Coordinator and one Recreation Leader. 18 part time positions are being recruited to implement the Year Round Youth Sports Program and After School Program. PREY Regular Meeting Page 3 July 28, 2014 13B -3 o Juan Lara presented the current Youth Programs and the new programs that will be added with the additional funding. o Councilmember Reyna asked how were the 8 park sites selected, what do we do with kids during the summer? o Mr. Lara indicated the sites were selected based on the area where new programs are needed. The City still provides summer programs for the kids, such as aquatic programs, recreation swim, and other programs during the summer. DISCUSSION ON YOUTH SPORTS SCHOLARSHIP PROGRAM o Mr. Mouet indicated City Council approved $200,000 for the Scholarship Program. City Council requested PREY to review how the Scholarship Program would be implemented and the type of program. After a consensus, PREY will discuss the concept with the entire City Council on September 2, 2014. o Discussion focused on using $100,000 of the Scholarship Program funding for Youth Sports. The remaining $100,000 would help address deferred maintenance repairs (50 %) and part time general maintenance staffing (50 %). o Councilmember Reyna indicated he supported this proposal since addressed all areas of need (Scholarship program and Deferred Maintenance). o Mayor Pro Tern Tinajero also indicated this would be a good compromise to address both needs. o David Cavazos indicated we need to identify the maximum number of participants that would be eligible to receive scholarships per household. • CENTENNIAL ADULT EDUCATION CENTER STATUS UPDATE o PUBLIC COMMENTS Steve McGuigan reminded council that the land conversion also required the site be of equivalent recreational value. The 2.6 acre college site has more recreational value than 5 smaller sites. The college needs to be away from parks. They should be looking at other sites such as the site next to the Digital Media, the OC Register site, etc. The college will eventually out grow this site and will be asking the city for additional park space in the future. They need to find a site like the OC Register site where they have room for expansion in the future. PREY Regular Meeting Page 4 July 28, 2014 13B -4 • Barbara Lamere indicated Centennial Park was open to the public on May 1980. The college has increase traffic into the park. We don't have any more land to give away. The City is overcrowded. The college impacts parking for the park. Edgar Vasquez indicated soccer organizations need to work with Parks and Recreation to make the city a better place to live. $400,000 was collected in surcharge fees for field improvement. We need to make improvement to the fields or build new fields. Godinez parking structure is available to accommodate the additional field usage. Councilmember Amezcua indicated staff look at Joint Use of the Kennedy Elementary School site for field usage. • Mayor Pro Tern Tinajero indicated the surcharge is to maintain facilities. Mr. Mouet explained the surcharge was collected for field improvements, but the collection of this fee was frozen by City Council several years ago and will not grow. An alternative is to partner with the SAUSD to install synthetic turf on the Godinez football field. The $400,000 will pay a portion of the project and the SAUSD would need to come up with the balance. ■ Mayor Pro Tern Tinajero indicated the city needs to be good stewards and the surcharge needs to be re- established. o CENTENNIAL ADULT EDUCATION CENTER UPDATE • Ron Ono presented a status update of the land conversion. Mr. Ono provided a history of the college land lease, 5 year extensions and approval of a reimbursement agreement to begin the land conversion planning process. On March 2013 the National Park Service accepted the 1.4 acre McFadden /Orange site as new park property, but indicated additional property is needed to fulfill the land conversion requirement of equal value. On February 2014, City Council approved a five year lease extension and requested an update in 6 months (Aug 2014) and 12 months (Feb 2015). This presentation is the 6 month update. Five additional sites were presented to the College and the National Park Service: 1) Old Rescue Mission site; 2) Old Water Well site; 3) Memory Lane /SA River site;4) Property adjacent to Chepa's Park; 5) Old Fire Training Site at Centennial Park. Property #4 was sold to a developer and #5 is not eligible as replacement property. PREY Regular Meeting Page 5 July 28, 2014 13B -5 The following sites will still be short to match the college 2.6 acres. • McFadden /Orange site 1.4 acres • Old Rescue Mission site 0.38 acres • Old Water Well site 0.20 acres • Memory Lane /SA River site 0.46 acres Total 2.45 acres (0.15 areas short) Staff will be looking for additional properties as replacement property. On November 2014 the Reimbursement agreement with SA College will expire and needs to be amended. • MAJOR CITY PRODUCED EVENTS UPDATE o Jeannie Jurado presented the 10 City Produced Events for 2014. ■ Plaza Primavera (Sat. March 22) Dia del Nino (Sat. April 26) Cinco de Mayo (May 2, 3, and 4.) 4th of July Celebration (Fri. July 4th) Shakespeare's Midsummer Night's Dream (Thur July 31) Plaza Wellness at Santa Ana Plaza (Sat. Sept 6th) ■ Fiestas Santa Ana (Sept. 12, 13, and 14) SOMOS (Sun Oct. 5) ■ Plaza Founders at Santa Ana Plaza (Sat Oct 25) • Plaza Navidena at Santa Ana Plaza (Sat Dec 13) o Mr. Mouet indicated the Fiestas Santa Ana parade route will be reversed this year. Starting at the stadium and disbursing at 15th Street. Judging will still take place at Civic Center /Ross. o Mayor Pro Tern Tinajero indicated we need more transparency on participant selection for the parade. Disney will be in the parade this year. ARTS AND CULTURE UPDATE o Gerardo Mouet presented various sculptures and murals located at city facilities, parks and the library. Indicated the selection of an artist for a new art piece at Flower Street Bike Trail and Sunflower to reflect the history of the Japanese American farmer is being finalized. In addition, Rebuilding Together OC has terminated their lease at Cypress Center and the Center is being proposed as an Art Gallery to be run by the City. We are currently working with Planning and Building to identify improvements needed to operate the center. • NEW RESTROOM AT PLAZA SANTA ANA o A concept to place a unisex restroom at Plaza Santa Ana was presented. Proposed location is on the northeast corner of the Plaza. This location is close to water source, visible from the street and plaza, and away from the PREY Regular Meeting Page 6 July 28, 2014 13B -6 main entertainment area. If approved staff will identify type of structure `, and funding. STAFF MEMBER COMMENTS o A list was provided identifying the various activities and improvements in Parks and Recreation. COMMITTEE MEMBER COMMENTS o Councilmember Reyna indicated he is looking forward to the Catalina Campout and is pleased with the pilot program on Sports Field Programming and Maintenance. o Councilmember Amezcua indicated she is pleased with the Sister City Program and the proposed Cypress Legacy Gallery. o Mayor Pro Tern Tinajero thanked everyone on providing input, the forward thinking and problem solving process. He also indicated Valley Ballfields are no longer available for joint use because of the Sports Complex Construction. FUTURE AGENDA ITEMS c Next PREY meeting Monday, October 27, 2014 at 5:30pm. Room 1600, Santa Ana City Hall Ross Annex. ADJOURNED: 7:17 p.m. Gerardo Mouet Executive Director, PRCSA *.. PREY Regular Meeting Page 7 July 28, 2014 13B -7 13B -8 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT MINUTES June 16, 2014 CALL TO ORDER: Santa Ana Police Department 60 Civic Center Drive, Police Community Room Santa Ana, California 5:30 PM ATTENDANCE: Council Committee members: David Benavides Michele Martinez Roman Reyna STAFF PRESENT: David Cavazos, CMO Carlos Rojas, PD Devin Leonard, OCFA Laura Rossini, CAO Chris Revere, PD Ken Gominsky, PD Tanya Lyon, CMO Karen Haluza, Planning & Building Margarita Macedonio, CDA Scott Kutner, CDA Eileen F. Greene, Recording Secretary PUBLIC SIGN -INS: Alfredo Amezcua, Attorney PUBLIC COMMENTS Attorney [and resident of Santa Ana] Alfredo Amezcua gives his perspective on community oriented policing. He believes we need a new strategy developed whereby community leaders, residents and even the youth of Santa Ana become significant members working with the police towards public safety. He also believes that we do not need medical marijuana dispensaries in the city of Santa Ana. 13C -1 AGENDATTEMS 1. Approval of Minutes of 3 -31 -14 Meeting Motion: Approve the Minutes of 3 -31 -14 meeting. MOTION: Benavides SECOND: Martinez VOTE: AYES: Benavides, Martinez, Reyna NOES: None (0) Motion carries. 2. Patrol Deployment Modeling (SAPD will be joining the University of North Texas in a patrol deployment strategy.) Commander Chris Revere gives a Power Point presentation entitled "Police Staffing — MAPP" The Police Department is entering into a partnership with the University of North Texas to conduct a patrol staffing study. Specifically, the study will show how many officers are needed to adequately police the city of Santa Ana. The Model for Allocation of Patrol Personnel (MAPP) is an Internet -based software program. This is the only model built and statistically validated since the early 1990's and is used by over 50 law enforcement agencies. It takes into account 35 agency- specific variables such as response time goals, degree of visibility with the public, proactive activity, etc. which can be controlled to a certain degree. There are two phases to the model — 1) develop base MAPP using variables from 2013 data, and 2) develop a 3 -5 year staffing plan that allows alteration of the base MAPP plan to reach desired objectives. This model is reliable, scientifically valid, and fiscally responsible and efficient as we move forward. 3. Strategic Plan Update (Review of preliminary efforts regarding Goal No. 1: Modernize the community policing philosophy to improve customer service, crime prevention and traffic /pedestrian /bicycle safety.) Commander Ken Gominsky gives a presentation on community policing. The Police Department will be sending out a survey to see what the community believes community- oriented policing is and their wants and needs. Beginning on July 0, the Police Department will partner with various community groups and different entities of the City to come up with this survey in order to reach Goal No. 1 of the Strategic Plan. The survey will be a tool whereby the Police Department can work towards engaging with the community and improving the current community policing effort. The Department is looking at programs already in place such as Coffee with a Cop, Teen Academy, H.E.A.R.T. program, Junior COP, etc. There are currently over 30 different programs; some may need fine - tuning to become more effective. 13C -2 4. Drowning Prevention Awareness (Discuss proper pool safety guidelines and review water safety tips.) OCFA Division Chief Leonard provides a handout and presents a short video to discuss water safety. Most drowning occurs at community pools where everyone thinks that someone else is watching the children. OCFA has asked all their cities, including Santa Ana, to issue a proclamation in support of drowning prevention. OCFA has also presented public education with a program called "Children Drown without a Sound" or "Watch the Water." OCFA distributed necklaces to communities so that everyone is aware that someone is watching the water. Chief Leonard shows a Public Service Announcement (PSA) video to the Committee. The PSA was worked on with the City's Communications Manager for it to have the most impact for the citizens of Santa Ana. It is now being shown at different community and neighborhood association meetings, as well as to managers of large residential properties that have community pools. 5. Mobile Food Vendors (Update and recommendations on mobile food vending vehicles.) Sr. City Attorney Laura Rossini explains that City Attorney Cavalho sent an e -mail to the City Council in April outlining the background on litigation as it relates to mobile vending trucks, making recommendations, and waiting for City Council direction. Chairman Benavides says this item will be put back on the Agenda for the next meeting to have a discussion and presentation on what the items are in that e-mail. Council Member Martinez states that the issue needs to leave Public Safety. She makes a recommendation to Chairman Benavides: 1) address the litigation issue at the Closed Session of the next City Council meeting; 2) create a task force between the County Health Agency, the City's Code Enforcement Team, and the Police Department to collectively address the issue. Committee Member Reyna seconds the recommendation made by Committee Member Martinez. Chairman Benavides agrees to bring the item to the July I" City Council Agenda, Closed Session. City Manager Cavazos approves. 6. Medical Marijuana Dispensaries /Collectives (General overview of ordinance and enforcement.) Chief Rojas gives a brief synopsis of the Police Department's enforcement efforts regarding illegal marijuana dispensaries. The Police Department plays an assistance role to Code Enforcement due to zoning issues. The Department handles calls for service regarding loitering, trespassing, and various quality of life issues. Interim Executive Director, Planning & Building, Karen Haluza explains that the zoning ordinance in Chapter 41 of the SAMC makes marijuana dispensaries a prohibited use; currently there are approximately 55 illegal dispensaries in 13C -3 operation. The dispensaries are worked aggressively by both Code Enforcement (citing property owners as well as business operators) and legally (City Attorney's Office filing injunctions). City Manager Cavazos states that the City does have additional revenue to have an enforcement plan to deal with this issue in the future, as it is a priority with the City Council. Sr. City Attorney Rossini advises the Committee that the City Attorney's Office currently has over 30 medical marijuana nuisance abatement cases pending. COMMITTEE MEMBER COMMENTS Chairman Benavides questioned the Model for Allocation of Patrol Personnel (MAPP) as far as if it could provide a 3 -5 year staffing plan. He asks for a follow -up on the patrol staffing plan and recruitment of new officers. Committee Member Martinez speaks about the General Plan and how as policymakers, they need to be cognizant that most calls for service to the Police Department are from residences. As Santa Ana is going through a growing phase with housing, more officers will be needed. Committee Member Reyna likes that we are embracing technology and a new delivery system for getting out information regarding the recruitment process. Likes idea of the pipeline process whereby recruitment includes Santa Ana high school students, explorers, and cadets. Chairman Benavides wants the PD to work with the City's new Communications Manager when doing outreach to the community. Chairman Benavides suggests putting the PSA regarding water safety up on all social media outlets that the City has and also promote the necklaces. Police Chief Rojas offers to coordinate with Communications Manager Lyon to put the PSA on the Police Department's YouTube channel and Facebook. Committee Member Reyna suggests using Santa Ana park facilities in the PSA. Committee Member Martinez states that an enforcement plan is needed to deal with the medical marijuana dispensaries. She also suggests creating an ordinance making a certain amount of dispensaries legal in a designated area. Committee Member Martinez requests a report on deaths in regards to people converting garages to living spaces and the health conditions it poses. She also wants OCFA to work with the City's Planning Department to address this issue. Chairman Benavides would like to discuss what happens when property is transferring ownership at point -of -sale in reference to garage conversions. 13C -4 Committee Member Reyna wants to talk about Restorative Justice; the SAUSD is looking to embrace this idea. Feels it should be part of the Strategic Plan. He would also like to see the street sweeping issue back on the Agenda, and a solution to the problem of citing residents dropping off their children at area schools. FUTURE AGENDA ITEMS ➢ Garage Conversion Discussion ➢ Recruitment Process ➢ Patrol Deployment Modeling ➢ Restorative Justice ➢ Transgender Community ➢ Street Sweeping ➢ Towing Contracts ➢ Myrtle /Townsend, the area around KidWorks ADJOURNMENT — 7:40 P.M. CARLOSROJAS Acting Chief of Police 13C -5 13C -6 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT MINUTES July 22, 2014 CALL TO ORDER: Santa Ana Police Department Ross Annex, Room 1600 City Hall, 20 Civic Center Drive Santa Ana, California 5:30 PM ATTENDANCE: Council Committee members: David Benavides Michele Martinez Roman Reyna STAFF PRESENT: David Cavazos, CMO Carlos Rojas, PD Devin Leonard, OCFA Laura Rossini, CAO Ken Gominsky, PD Tanya Lyon, CMO Karen Haluza, Planning & Building Alvaro Nunez, Planning & Building Pete Semelsberger, PD Phil Kraft, PD Eileen F. Greene, Recording Secretary PUBLIC SPEAKERS: Carolyn Torres Irma Macias Madeleine Spencer Rose Finnegan Albert Castillo Gabriela Hernandez Olivia Arzate 13C -7 PUBLIC COMMENTS Carolyn Torres, resident, directs several questions to the Committee reference item No. 4 (Community Oriented Policing) and how effectiveness is measured. Irma Macias, resident, is concerned with homeowners being allowed to convert garages to living quarters. She believes it causes other problems such as parking for vehicles. Madeleine Spencer, resident, is concerned about the history of community- oriented policing and what structural changes will occur under the new Chief of Police. Rose Finnegan, resident, says many homeowners are not paying homeowner insurance because single - family dwellings are not allowed to have people living in the garage. Homeowners and home renters put as many families in a home to make money to pay rent /mortgage. This is abusive, need to work together to find a solution for these people. Albert Castillo, resident, speaks on two issues: living in garages and community policing. Mr. Castillo said at one time, he was lived in his parents' garage. He said he also lived in garages of other family members, it isn't always other people. Families help each other out. Mr. Castillo says residents want to work together with the police. He believes the gang injunction is doing the reverse. The community needs a voice in the process, not just the DA's Office. Gabriela Hernandez, resident, says that regarding community oriented policing: same goals whether police, community organizers or therapists — we want a safe, healthy community. Community policing can be an empty promise. No transparency on the injunction. 'Dlivia Arzate, resident, is upset about an incident when her son was arrested and how he was treated by the police. She said that he was beat up by four officers. Chief Rojas responded and said the Police Department does have video of the incident. He assured Mrs. Arzate that the Professional Standards Unit is investigating the conduct of the officers. i,,,ZsEND,: -TE, MS 1. E;.pprcval of Minutes of 6 -16 -14 Meeting Motion: Approve the Minutes of 6 -16 -14 meeting. MOTION: Martinez SECOND: Benavides VOTE: AYES: Martinez, Benavides NOES: None (0) 13C -8 Motion carries. 2. Briefing on Garage Conversions, Illegal Residential Construction and Pre -Sale Inspections — Interim Executive Director, Planning & Building, Karen Haluza (Strategic Plan No. 5, 4D). Ms. Haluza provides a handout with background information about garages and the laws the City has on the books as it relates to garage conversions. She explains that Planning & Building has been doing research and analysis with OCFA and Code Enforcement regarding garage conversions and illegal occupancy. There have been five fires since April 20, 2012, to June 19, 2014 with no history of deaths or injuries from garage conversions. Ms. Haluza states that garage conversions create an unsafe situation, and this topic is a top priority of the City's community preservation program. Garage conversions also affect the quality of life in areas as it relates to parking issues, overcrowding, and deteriorated landscaping. Code Enforcement responds when the City gets complaints, however, some neighborhoods don't complain due to the percentage of illegally occupied garages. Community Preservation Coordinator Alvaro Nunez explains the process the City takes: 1) receive complaint; 2) letter sent to property owner; 3) educate them on requirements; 4) schedule an inspection; 5) they are given due notice; 6) apply fines. 3. Recruitment Efforts (Update on Hiring at the Police Department) — Police Admin. Manager Robert Carroll (Strategic Plan No. 1, 111) Police Admin. Manager Robert Carroll has a handout updating recruitment efforts for the Police Department. Currently there are 24 police officer vacancies, primarily the result of retirements and promotions. A subcommittee has been developed to identify best practices and improve processes when recruiting police officers. One change is to run continuous recruitments for police recruits /officers on -line and to have a strong web presence. The Department is also working on a recruitment video, marketing material, and holding job fairs. The long term strategy is to create a recruitment pipeline using the Police Department's own explorers, cadets, and other personnel. The number of Background Investigators has increased to assist with the amount of applicants. 4. Community Oriented Policing Overview (Police Department's Current Policing Program) — Commander Gominsky (Strategic Plan No. 1, 1A) Commander Gominsky gives an update on current efforts regarding the Police Department's community oriented policing strategy. Although the Police Department can check on what best practices are nationally, we need to go out and engage with the community to see what they believe community oriented policing should be. We heard about restorative justice; a lot of 13C -9 people believe it centers around the cop on the street. We will be using a survey that we send out to the community, with the timeline using the same process that the City used for the Strategic Plan. The outreach process will begin in approximately one month. Resources available currently are the Jose Vargas Community Affairs office in the City Hall building, the teen/parent academy and junior COP academy. The two academy programs were in jeopardy because of budget cuts. We partnered with Latino Health Access, who by way of the California endowment funded those programs. We are at the end of the Grant but looking at ways to keep those programs and extend them City -wide instead of just in the endowment areas. GRIP program: we no longer have one officer assigned, but our directed teams have moved forward with it. As was mentioned with the previous item on recruitment efforts, we are putting together a pipeline with our Explorers program which builds character. Our Cadet program is the beginning stages for possibly becoming a dispatcher or cop in our city. 5. Homeless Effort Overview — Interim Executive Director, Planning & Building, Karen Haluza (Strategic Plan No. 5, 3D) Ms. Haluza introduces Alma Flores who has been spearheading the staff working group at City Hall regarding the City's plans for addressing the homeless issue. Ms. Flores explains that on July 15th, the County Board of Supervisors approved the acquisition of a shelter site at 1217 E. Normandy which is in the vicinity of McFadden/Grand, a 23,000 square foot facility located in an industrial area for a homeless shelter. Moving forward with community outreach regarding this project with a meeting scheduled for July 28th. This is part of a larger regional approach in alignment with the City's Strategic Plan and the County Commission to End Homelessness. 6. Marijuana Dispensary Enforcement Plan - Staff (Strategic Plan No. 5, 4E) Interim Executive Director Karen Haluza says there have been some new developments, and the City Council authorized funding for active enforcement as it pertains to medical marijuana dispensaries. A task force comprised of members of Planning & Building, Code Enforcement, the Police Department, and the City Attorney's Office met last week. A decision was made that no matter what happens in November even if voters decide to allow a certain number of dispensaries, enforcement efforts will continue with illegal dispensaries. Chief Rojas explains that one of the missing components in dealing with the dispensaries was that previously the Police Department was not enforcing criminal statutes of the municipal code and prosecution of that enforcement. The Department is now doing enforcement, and Chief Rojas asks Commander Gominsky for an update on these enforcement efforts. Commander Gominsky explains that enforcement efforts were conducted mainly at those dispensaries operating illegally on E. Garry and E. Edinger Avenues. Citations were given for owning, managing, conducting, operating or being an employee, contractor, agent, or volunteer. Two security guards were also cited for working out of compliance with the Business & Professions Code. The Police 13C -10 Department and Code Enforcement conducted a second operation with dispensaries that were operating near schools. Both of these enforcement efforts yielded 42 people taken into custody. A few items of interest: looking on -line at Weed Maps.com, the dispensaries that were targeted were listed as being closed but that they would re -open the next day. A review of the 42 arrestees' addresses indicated that only five lived in Santa Ana. There are no medical clinicians on the premises of any of these dispensaries. Commander Gominsky also talked about Dabs, which is a concentrated form of cannabis/hashish. The appellate courts, as well as an Attorney General guideline, say it is legal to possess Dabs. New case law addresses how it can be concentrated. Dabs are either manufactured by butane, like methamphetamine, or a water system. The courts have ruled that if you are manufacturing dabs using the same procedure for methamphetamine, you can shut down the operation. However, it is not illegal to possess, sell, or smoke a dab. Only to manufacture because of Health & Safety concerns about butane, open containers, explosions, fires. Reyna if you come across somebody that is not supposed to be manufacturing, are they required to let us know where they acquired it? COMMITTEE MEMBER COMMENTS On Recruitment Efforts: Michele Martinez suggests using Tanya Lyon, the new Communications Manager for the City, to assist with marketing strategies for recruitment. Also to use wrap - around ads on buses, billboards. I ;I ' I , Roman Reyna feels some of the recruitment tools being used are standard, we need to see what young people today are looking at, even if we need to reach out to college students to ask them what that is. Roman Reyna concerned with residents in garages who have no family ties have little resources that's why they are there. Benavides want people to have a dignified to live besides converted garages, best practices, other options, look at Costa Mesa, look at pre -sale requirements. On Community Oriented Policing: Chairman Benavides says there are many programs available in reference to community oriented policing; however, this item needs to be brought back to Council once the survey is completed with feedback from the community. The idea of community oriented policing involves training, developing a culture. The vision of community oriented policing should show how we are defining it. A philosophy and a culture will dictate what programs you should have. As a City, 13C -11 we will strive to provide excellent customer service no matter what the circumstances of the contact with the public are. In the future, Chairman Benavides would like to see how we measure the effectiveness of some of the programs offered by the Police Department. He also wants the Police Department to work with the City's new Communications Manager when doing outreach to the community. Michele Martinez wanted to know how some of our programs are funded, from grants or Department - funded? She said we want to be sure we are allocating funds strategically, and we should make assessments on current ones to see which are successful. Perhaps we can keep some or merge them together. We may also want to partner with other agencies. Committee Member Roman Reyna agrees with community oriented policing, but we need to have that trust factor with the community or the program will not be effective. On Homeless Efforts Overview: Chairman Benavides states that there will be an RFP process in hiring an operator, and the City needs to be on board from the beginning. He says there has been talk of a check -in center, a transitional housing area possibly at the Transportation Center, before going over to the approved site at Normandy. We want people to have a dignified place to live besides converted garages. Look at best practices, other options, pre -sale requirements. The City of Costa Mesa did something recently regarding this issue, need to look at what they have done. Michele Martinez comments that the community forum in the beginning of July was not appropriate because all the non - profits that attended were speaking, without giving the actual residents an opportunity to give their own input. Residents don't want to hear about the programs the non - profits have to offer, they are concerned with this issue being in their own backyards. As the City moves forward with true community engagement, Ms. Martinez believes the residents should have time to voice their concerns instead of setting up a bunch of presentations from other groups. She also wants to make sure we provide dignified housing for residents in Santa Ana. Homeowners can take advantage of those people who live in converted garages, and we do not want these people to become homeless. We should be using people like Scott Kutner and Margarita Macedonio from the Community Development Agency as a resource. Committee Member Roman Reyna said he believes that some of the residents were upset that so much of the process had already taken place prior to their involvement. 13C -12 FUTURE AGENDA ITEMS ➢ Garage Conversion Discussion ➢ Recruitment Process ➢ Patrol Deployment Modeling ➢ Restorative Justice ➢ Transgender Community ➢ Street Sweeping ➢ Towing Contracts ➢ Myrtle /Townsend, the area around KidWorks ADJOURNMENT — 7:40 P.M. CARLOS ROJAS Chief of Police 13C -13 13C -14 REQUEST FOR COUNCIL ACTION_ -. CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: BOARDS AND COMMISSIONS BIANNUAL ATTENDANCE REPORT APRIL 2014 THROUGH SEPTEMBER 2014 (STRATEGIC PLAN NO. 5, 1) CITY MANAGFJZ RECOMMENDED ACTIONS CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file Boards and Commissions Biannual Attendance Report (April 2014 through September 2014). 2. Declare two seats on the Workforce Investment Board vacant. 3. Instruct the Clerk of the Council to post notice of the vacancies. DISCUSSION The Boards and Commissions Attendance Report is prepared biannually to inform the City Council of member attendance at Board or Commission meetings. Pursuant to Council policy, the City Council may remove board or commission members who incur four unexcused absences within the six -month reporting period. Additionally, City Charter Section 901 provides that three consecutive unexcused absences would result in the vacancy of a board or commission seat. Examination of attendance reports revealed that the Youth Commission has not been able to establish a quorum in the past 6 months. Staff is currently reviewing the role and responsibilities of said commission and will bring back recommendations for Council consideration in the near future that will better meet the goals and objectives of said the Youth Commission and the City Council alike. Also, two members of the Workforce Investment Board had four consecutive unexcused absences for the period March, 2014 through September, 2014. Therefore, per Council policy, the seats should be declared vacant. 13D -1 Boards and Commission Biannual Report November 18, 2014 Page 2 STRATEGIC PLAN Approval of this agreement allows us to meet Goal #5. Community Health, Livability, Engagement & Sustainability, Priority #1, Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities. FISCAL IMPACT There is no fiscal impact associated with this action. Maria D. Huizar, Clerk of the Council Attachments: Biannual Attendance Reports 13D -2 J_ U z D 0 U F ua aON QMLU Fa 22 NLUa LL VW LU Ozo I F_Q_J Uzi wa Q Q J z Q m .o E ui a z z 0 U) y 0 U Q a m �m W m Q L c °r° X X W w X X ad w m N d F I fn c Q C N X X X X X X 7 :7 ad N R � Q j C w X X X X X X M d d d W Q 7C d m R Q m Y d d Jp IM CL c am m LU O a) 0 '� a 0 z 0 7 U N co - N w 0 N 0 cL0 U o m c Y 0 U o cn Mn co w U) J 13D -3 0 m a V c m N a a d N 7 K d C J d c m N a a V N K W W d v c w Y W z a Q z W H a Q W 7 Z F Z O U .a O LL Wd m d Q � W OI a� W N N � N d F- R N Q C7 c H d d } Q J 7 C d H W Q 7 c Y d d D rn cQ G C Yry N tl! d N Jp W c ¢ d d W 2 CY W M 2 W O N V r 0 7 O) 3 c O d c C O d N H UJ a ¢ E V E U x N c 7 U O 06 d y d m Q a L¢ Y d E 3 O` d x c W 0 I I w W c <T d N C L d O Q L I I � x E a 0 W N Y E U @ Z f6 ¢ c Q W W 2 Q V U 13D -4 f ^ CI A d \` Y C d E a d Q w c N a J U z 7 0 U U aON QIW <1 2 S i zww NLUa LL VN W oz I FQJ UWE La �g a J Q 7 z Q m Y a C O co U CD w 0 O Ka w Q z z 0 N H U O K Q O m W � m p W c N X X X X X W X X W y U) d U a = p Y Y Y Y Y Y Y Y n p O p p Q d m 0f d R }p C N X X X X W X X X Y d cd G m Wp Z O W X X X X X X X X 7 c N M d N a y a m a d d d m uai y Q 01 N V V V V U V V C C C C c U U U U U U U U H A Jp a. m a c M w X X X X X X W Q i ) V 01 N 0i Q7 z m a a U J W L H d U 07 C C .t. R C A Y co W W 13D -5 N `o m a V c CD N a Q d N 7 d K d C 4) c d a Q d N 7 d x W W d a c Y Y Q I K Y O W W Ym WZ Z2 OU Z� W Ix QLL Ld W � m � L W W d N d F A fA O 7 0 tm 7 Q w d Y d J D C d d N d Y {Q WO Z CM Z C d w D a � c Y d d N d Y Jp nom. c Q cd C W Q Z d' W m f W d V C d N Q 9 d N i U d C I 7 v C d a Q d w 7 V x W W 'O d v c Q II X W Y W U 6 F W Z W Q U 13D -6 M N 0 d 0. N D M A d x J V z 7 0 V V� aON aQ'w Fam NWd y, VW 0ZW �QJ V W E Wa �g Q J z z Q m L O N �E E V e 'm 0 x 0 L W L O E 6 YO W m 9 E s E E 0 v ui z z O U) N_ f O U D Q O tG W NU m 0 L W LU ar m W � o V A N X z X X W W X H UO t7 c a�cn r x z x x x x x x z x x x x x m >o J � C NU my WD Z C v x z x x x x x 'm N V 0 as M r- U x x x z W x x Jp d c a� N x x x Z K x x A v r A m z U m O H Q N W. A f m ) J C V t C W m m C m 13D -7 N Ln O W A a V m a Q V m X d C d m C d N a Q 7 W L FS V d Q I x Yuj W U F DU W Q O W V f0 � C m f IM Q F c N N 7 x g d C 11 �m d V t7 c C Q� N a 3 Y Q C K O W J 0 11 C c «d � w E E c N ¢ To r II « WO � C 24 co d N J W N m Y Y d m LU CL ¢ a �j m Z f f C G W z i O N ¢ U F J d 0 d c a� W z w W m W d V C m a Q N 7 x d C 11 d V C d N a 3 C K O W 0 11 C W «d d E E c ¢ r II « 24 co d N J W v Y m LU CL U �j m Z f C G W z i O N ¢ U F 13D -8 0 m m a. J U z 0 0 U` Ua o O �- N Lu 0 IL Z Lu Lu alma LU LL U LU 0 z 0) FpJ 6ZR LU jL J z z O O iii z z 0 O O 13D-9 W 4) V 11 x w x LU Q z z LU 0 CL rn z W 2 2 0 0 ai Yi 777,777 IN th Lu w Lu X -AR"i c CL vtr: tr:7 ................ X U) CD c ad 0 co X X w X w C U) 0 WC Z am 2 E- (A co X LU 2 to -j In — Im IL c am Am z Ix E (D LU L) a) 0 ca a) O E 0 0 0 1 2 13D-9 W 4) V 11 x w x LU Q z z LU 0 CL rn z W 2 2 0 0 ai Yi 13D -10 J_ U Z 0 U� aON aVw dam NLUd LL VW OZN I FQJ UZ� wa �Q Q J Q Z Z Q m Z O W N_ O V N W V O N W 0 N W a z z 0 N M O U D Q O m Wm OI a m o W m N to m H A U c Q m m o � J J CM 7 W z d U Q Q Q Q Q Q Q Q rL c+1 Z Z Z Z Z Z Z Z m WG Z c Lo x x x w x x x x d }D Y � c � m m H M R J 0 IL W a c a m w 0 R O c A a Q w y V 'c G R i C = Q d Q m C t W U a W co LU H V i (� •� N OG = 13D -11 0 m a u c m w a a v d w 7 U x d c d U c d w a a m N 7 U M W W d c m n X W W Y WZ 2Z p U Z� LU QO w m N w m O N p L w A l CL w p U� Q w d H R yp 7 C Q d d U) m Y R rp 7 c d d w m Y R wp 7, of c M cd G w d Y R }p a rn �5 Y d d w d Y R Jp 0. r a c Q4) d FLij L�L c m w a Q a d w 3 U d c m U C m w a a d w 7 U W W m V c m r W Y W U 6 H p W Z W Q U 13D -12 c Cd yC L R CL m O N O N A l R p Q c Cd yC L R CL m O J U z 7 0 U } Ua Q Oo QY.W � Om ZWw NUjd LL L) 0ZN I �QJ 5ZR LU Fa �a Q J z z Q m a m O m ui z z O U O U O O D7 W 4) W m0 W CD W y W y w d G � C � m d A J � � C �w x x x x x x x awi wo w Z X X X X X x X c m d� x x x x x x x x X x x x x x w� A a0 N x x x x x x x Ste, r N d d x x x x x x x N N x x x x x x x }w �o cm Y. y a� w f z d d w > W R z V N C w v a A w a o 3 w °' ¢ R rt H C G L .` C C W cm ' d vi 2 -°� f o w 13D -13 0 v a d V C d w a a d w 7 V X W W L d a c 0 YLU Ym w Z U F �O FO aU- Wd m Q L LU CL W d w d F A N � 7 f7 c a; w d R }O J � C d d w d R wo � C y cd C w d w R ¢ rn 2 c w d d w d % Jp � rn a c d w Z cr W m 2 W d V C d U) a a V d w 7 V k d C d V C d w a a a d U) 7 V X W W d a c } w Y W U Vj Z F z w W Q U 13D -14 N O N bdD a J_ V Z 0 0 yV r Ua QON Q�w �O m (L NLUd p, VW 0zN FpJ VZ- w/a Q Q J Q 0 Z W O (A fA 0 u 0 Z Z Z I cw C a Z Z 0 O U p a O m 13D -15 N 0 v a. d V C d d a d N 7 X d c 7 W d c H a a d N x W W m a c d a 1 K W Y W U 2 a p 2 W F a N2,CO W x X x x ixx X x X X X N m H A Np C N x x x x x x x Y ad x x x x x w w M }p D c N X x x w x x x i+ m r d Wp Z C N X x X x X x X rn x x x x x x x d D Q a N x X x X x x x � r d d N x X X x X x X T N w Jp Q N °D N X x X x X x X d X x x x x w x T � Y V V s d d lY0 a z W a m a K .d. c y > LU m ) d GI m C d W Q m m M } 13D -15 N 0 v a. d V C d d a d N 7 X d c 7 W d c H a a d N x W W m a c d a 1 K W Y W U 2 a p 2 W F a Q W 7 Z F 2 O U O LL U) W N m Q W C1 ~ate w d N H d F A to p � C � r ad H d R } Q J � C d d N d w A W Q 2 0) 7 C d d d d w d }Q a of � c d d w d Y J_ Q IL Q IL c a d W a 2 Ix W CO LU W d d C d N ¢ 4) d N 7 d N c 7 d V C d tlJ a d) d N 7 V x w V d C .d+ Q x } W Y W U uj H Q W Z W F O a 0 13D -16 Is 0 9 A d 2 N O N A a J_ V Z 7 0 u } V� QON �0m ag ZWW NLUa LL VW 0zU) �QI FpJ 5z� UJa Fa Q J Q 7 Z z Q m ° z a O m z w f wW z W U z O LL Y K O w a z Z O y f� O U ° a O m 13D -17 r� 0 v ro a d c d Q s d w X d c n G d c d a a d N 7 X W W a d c z a w Y w U z a ° Z W F a LLJ Lil z X x x N d F- A ° D q C ¢ ° Y ¢ a Y d M X X z X X W X W X X W d W D X ¢ � c ° Y d f d m a° � � c d d r N J p Y Im o ¢� d g d °. 1 m Q Z R c m m d a V o A ° CL o d c d pG N C d W m 0 C d W d d R U ° J ° W W 2 Q m U 0 w 13D -17 r� 0 v ro a d c d Q s d w X d c n G d c d a a d N 7 X W W a d c z a w Y w U z a ° Z W F a i 0 w 7 Z_ F Z O U O U. d w W � a" d y` X W X W W X X X X X X w d (A p Y O � K C9 c Q Y ad d w d a+ A ro J 7 C � r X j W X X W LLI X X X X X w d r W D Y K � � d O w d M A Y13 am M d w W W W X L X W X X W O e w d Y Jp Y IL c Q d Q o ui N A C Q d c Y �. R c O1 w c R d z 0 m° R m - E o A r a O d $ c7 w R z m o O O N r m d' t N d o w c E c T 2 N LL N C Z i C r t 3_ h a 0 E Y Y J A z 13D -18 d d C d w Q 9 d U) 7 d x d C d d c d w Q d w i d x w W '6 d c d O w Y W U Z Q 0 z W F Q M 0 N ro d § 2 / u } E® § 0 § (\ LLJ / b£ a u g x x u k 6 § - ) k ( ■ S } \E «& »k \f & � § x x \E ; £k . ,( e x g x x /k ■ %o � ui a § k E � k w£ / t 2 } k . § � D ) ] w 12D.19 § § / L LU u k 6 § - ) k ( ■ S } 12D.19 13D -20 J_ U Z 7 0 } C Q�N F.. Q1W m ZLuLW Q {% r NwW LL 0z UZ� wa �Q Q J Q 7 Z Z m a O E 8 0 U 7 O ui a z z O U) fA 0 U a c a w d WA t� p I I H C I I I I I I I CLd w m fA w d F "a 7p as m w Y Jp �1 m d W A W p I Z 01 I I I I I I c Y d c� C w m p I I I Q ai I I I I I I I I I �w m d w d Y m J p a c a m m m c m c w m c N c 4 O N Z N N Q ' J L V > Y a W p N N Y ,i N O O c m £ C m R V y m = i O ONi N 'O d m 2' d s N U o W y E as o U' '_ d .� o a E m m m U +V+ C 7 N U � H 13D -21 d r c m s d w 7 x x d c D II 7 d U c m a a d N 7 x W w d a c Q I x W Y w z Z a z Z W F a N G A G C d d Q d A t N L d E d E 3 d c 0 Z a d CL at c 0 0 a d L V r rn c M 0 a E L 0 3 Q 0 0 0 U A O d N cc 7 0 U d « d d E O Y d a m c N a 3 c 0 N N E E 0 iri U Z W 0 r o U H T L yd L ad O CL d L N R a d r Y r m 3 c m L 0 13D -22 N O N N oA q G REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: CERTIFICATION AND APPROVAL BY CITY ENGINEER — FINAL TRACT MAP NO. 17546 (4226 WEST FIFTH STREET) (STRATEGIC PLAN NO. 3, 2) CITY MANACIdR RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 161 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Pursuant to Section 34 -183 of the Santa Ana Municipal Code, this memo provides notice that the City Engineer has received Final Tract Map No. 17546 (City Tract Map No. 2013 -05), for 4226 West Fifth Street (Exhibit 1), from the owner, Pulte Home Corporation, a Michigan Corporation and is in the process of reviewing the map for final approval. The lot of this map is zoned for residential use. The Tentative Tract Map No. 17546 was approved by the City Council on March 18, 2014. The City Engineer shall approve or disapprove this map within 10 days after the City Council meeting of November 18, 2014. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There is no fiscal 'impact associated with this action. Executive Director Public Works Agency FM:AC Exhibit 1: Map 17A -1 17A -2 17A -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: STRATEGIC PLAN MONTHLY REPORT FOR OCTOBER 2014 (STRATEGIC PLAN NO. 5, 1) 1 CITY MANAGVIR RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15` Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the Strategic Plan Monthly Report for October 2014. The October 2014 monthly report provides departmental activity in alignment with the stated goals of the Strategic Plan. The report includes tasks, next steps, outcomes and percentage completed for each strategy. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this item. Attachments: Strategic Plan Monthly Report - October 2014 19C -1 19C -2 City of Santa Ana Strategic Plan Summary - October 2014 This summary overview provides the current status of strategies within each goal. Additional details are included in the Monthly report. Goal #1 Community Safety 20 17 m 15 m n 10 8 z 5 ' 2 0 0 0 -24% 25 -49% 50 -74% 75 -100% Goal #3 Economic Development 0 9 W 8 6 v 6 A 4 2 1 z D 0 0 -24% 25 -499/ 50 -74% 75 -100% Goal #5 Community Health, Livability, Engagement & Sustainability 20 17 m 15 v m N 10 6 0 5 4 4 z 0 ■ ■ 0-24% 25 -49% 50 -74% 75 -100% Goal #7 Team Santa Ana 8 7 6 m 6 5 w T 0 4 2 6 2 z 0 0 -24% 25 -49% 50 -74% 75 -100% SUMMARY 19C -3 Goal #2 Youth, Education, Recreation s 12 eo 0 m 5 3 0 z° ■ 0 D 0 0 -24% 25 -49% 50 -74% 75- 100 °F Goal #4 City Financial Stability 6 5 5 4 en 4 a A 3 2 0 2 1 Z 1 ■ 0 0 -24% 25 -49% 50 -74% 75 -100% Goal #6 Community Facilities & Infrastructure 8 7 y 6 m 4 3 0 2 z° ' 0 0 0 0 -24% 25 -49% 50-74% 75 -100% Percentage Completed Color Key: O0 - 24% Necessary steps to accomplish the strategy are in early development. •25 - 49% Work efforts are underway to begin implementation of the strategy. O 50 - 74% Strategy is currently being implemented. 75 - 100% Significant progress has been made towards the completion of the strategy or strategy has been fully implemented. SUMMARY 19C -3 d N O N C � Q O A O Y I N w G O N N � s c 0 OE 19C -4 g c R o 0 0 a` o` o k v` LL Ti L Ea' = c v t L £E m ° t °b E A A Z t E q o o ° G C i q 9 u Y 6 N in Y N O g N n O O a °. o E l_ o E° c '^ E E t o O t a a ✓ G Z' 00 y)�' �. 9 9 C I 4 c q O v m olo TE E E o a >O rc n r kil 0 N E N E T cc a E ° t 1 mm v n ? o n E 9 c C a° c ° E E £ y. N E .m m q i E m o E y a Z. `mo v d P= �C zc c' c aEi E L• n o E °c� L m v ca c° E 5 v' e c 5 m eug ' t °R 00 M w�o��o avy� =d "m ovaaa s > 'S =a�`auoa rrivN rri a °N n i�.i «° $m36 ND .iC o A ° W aL' n L Y E L U S A O a C 9 L L T V W 6 s .c-° CC .V ' too 19C -4 10 C {v M C 10 H O Y u a O N a O V u Q d Q T L C O x kj 19C -5 o _ m O o 0 0 C v d e E 8 S 6 F 0 o- u A` - w E i 9 q EE E c t a $ °a E' 0 f g b c Q$ E La °F � c -'7'°" Aa $ c -'° ° c i3 °G a''`^ a- iY V: rc m =n 0 a a E E ..°i. E i°r ii gb e .lzrvm ° wE 'o $ > 0 E V y `OIi p E v �' °� q o a 5 r m u 3 E +E m r$ °. i `o E E o .. E q a 3 B u E° o G E o w v O® ° m $ m C m u 'r E N c Y y u i a E c E x E u F- .q E z° a a rii rvry ry ni d.n 'in s w� En E d c ry �c c a c L S �x C o d " � c o £ y d ° — y v 5 N o > m w u E c o 5 E E, oE60>' «5 A v °-CC e°oa ,j a nm m L. cm d „ ° q H v L✓ 2 'c y 600 19C -5 O N R 61 C � Q Y R Q Y c R Y N i w S O d Y U > s C O 0 19C -6 <N � LLN o o � o d N O O O ry N v N LL LL E Ilk m d 0 V e f N u ym V y d Y m i° E$ a '°" E f E o i o o d Q o ° ` ° c fi °u, y c i 5 E 3 °u 7Ej In d y N ... o E i s c E m E $ y E E 'o a y i° .o m C v y v « oN °u v c c C 9 a 2 C «. �y n g a G o no IZ I - N C ppE p q= O «C G O n y n c° 2 G CEO. H .. a E a `o_ V C- o u o d ° m s 0¢ a H o o f c° c S m i A ° ° IN c .. t$ $ v y v v v s o E u E a '. o n p —_ o o '^ y o ° E E 3 .- v q m '� u E m ° o 3 3 00 i d g u o o'p nv n r d d= i°'"fiN £ a c u a E u o° A m E o a E Li a l d Y R a « E vv 0 V; v5 vi v5 u E °? v _ w ? - Eo E IS '> E Ij ° c v cn n n O tR H L w0 O X Y o cd `m o ° 'V E « n fi IL u o i 3 @ v ice ° £c " _n d 6 C W d �« 0 C c o v fi ° G= `a 00 U u'L u' 5 o m 19C -6 N O N � v c � o � 0 Y � O O � T a. Y V ?' L C 0 19C -7 ° 9 ` m ° C M a e e a `a E a vi N LL ry L � ry n E_ - c T V pp L W w p D n a s O° O q d a W E a_ E p q i c° a L TJJ1I u V j C j y C m 3 W w m f L i a W LL E= `a m r E lw E A 3 L _ q 2 m E E c a n a _ 00 v y `u '. c m - � E ,°t i Ev' far L j V y a a L Y x A E � n v� e °s N 6 L° V E « t o E o q o W u va; a a d� boo v €2 �n p i a« 19C -7 TT N O N C � Q Y �o O Y C � to i w � O � U ? L C O 1 t 19C -8 a o 0 o v w 0 0` o ry � Y o d C N Vry N N E � e M b W � „� '2 � �• b H C m a x tQl a Ary E E 9 c E v c '^ E _ v =0 °e° _ c�a v o v cD V im.si i Vv nidN u¢m _..i ni o aq ga m r 3 E Q 2 d w o E c 00 m g `# Sc c A 5 § E a a n y O a L N � vQi C O N o m n „ °_ A c a v c E a E v y p$ r o ° b i E z 3 i`o o m a c c E � o a 0 � D `° i O `p E A m i b G o° O ry E r ° 19C -8 V N O N i t0 d C L Q H � Q Y C � N Y 0 G O � Y 1.1 T L C O NLY 19C -9 w o m e E_ ° IL bo v� « g c c' E E u `m, 9' n Mq 'uc3mu o'� °m �dE 18+ -d .. «cEa d 3 E 1O - 13 a« z c G •• v E in c '� ` E t - t E c° a E' a 6 v u ,% ° ° o ° w o r E m °n o c v a V '^ W ry c— a n o a i 3 `o E n —00 ° o x°P v° a c 6 E .r 9 y c a IF e0 n t ry E a m 'a' to E 00 v Y E i m a : o LL � LL a uLL N „ o i $ o u 0 n o u a 9 E E E 'o t «° oT o o £ a qL y m W m W i '00 E 8 E$ m E° E o f ° .~: a i 19C -9 R N O N Q) m v c 0 a O C i O � Y V ?` L C O ►� 0 as a c E ° d cn E a L a L v v o } Nm a° ^ o 00 c � V y a m ° > v y L L C y D L q V C m V m n d m $ a o n T oy ry u° e a = D V n d 0 i 3 u m� � N � t s V e 0 a 2 w a g D � a o r v E m V q V c y° w o.� a ` a = n y3� � Z i 0 3 E T J O n a O R a 0 �aN — o y G D x ood „s aa`3c p n o C c n 3uS 4p c c i v C r s E E y E > > r E A S o o` � W n V s” O O ° r m m w O t a m V V q d O oyo° O O O O a 0 ~ m ~ m o n Z C � O E o ? 3 0 L° `o h N 5 E R N ry ry C s V e 0 a 2 w a g D � a o r v E m V q V c y° w o.� a ` a = n y3� � Z i 0 3 E T J O n a O R a 0 �aN — o y G D x ood „s aa`3c p n o C c n 3uS 4p c c i v C r s E E y E > > r E A S o o` � W n V s” O O ° r m J S « Y L t a O V V q d 6 J ¢c i E EL �e A EE a T y i ZT c E E ° q a °o v r° t1 ' z E _ < n c m u - E o � o c o E L � c V } O Y a E 0 = V apgp d V N _ n n C n 3 u m m g j a a S A � W n 0 0 V O ° r m S « Y L t a ° A a m o E n xm oyo° 5 `o 6 V 6 a 0 ~ m ~ m o n Z ffi Tj `d o° a O E o ? 3 0 L° `o s> 5 E s S 19C -10 i `o G 0 e z A � W n 0 0 V O ° r m S « Y L o E GV 5 E 6 V 6 0 ~ m ~ 19C -10 i `o G 0 e z W n C d V n O ° S « Y L o E 5 E m o n Z ffi Tj `d o° a E o ? 3 0 s> 5 E s C a E r a c n a C V o ~ � �• a C � C tl m 0 E a L w E 19C -10 i `o G 0 e z N O N i f0 � C L Q V C H O O N Y V T L C O t 19C -11 9 ° Q O C b e r a .mi r i n E VN s O � « a cLL 3 u n v E a 16 E a o o f 3 r c c 3 E 3 o E c N; p w v ac A° o° un oC£ a m _« 12 x ° E i u n 00 E y E i o x ry E E E° E LL a LL - E n ° o i r x x x o 3 3 z� av c c o i v E E v o v R v c r c m T E 5.° ° a d N L r p n u D � y O` d N✓ N n ° _ E - > o 00 g E = 'o O a v 19C -11 a N O N A � C � Q Y O C L O N T i+ V ? t C O 19C -12 O o O 0 0 y N o o N p o 0 N �i ri u Ti E ° V o ? T N e Q o0 N m?i u — t y a o �oZ ° a E m o w L .m y °° ' G E $ °$ 3 �� a_ c c o S ° c «° v o '� . C b 20 ° ° 3 o a' m E 0 o .o 00 m E Y d oa �° 0 ° o° �°, n° — 6 u c r E E t E Wd g E o 0 ` o° �d a V d d 9 9 4mi a O C O 2 n R j d ° o C d n o G `o — 3 0 co_ E o q E 4 c i c_ ` v; FF t o Q E c o 5< E ti LA BaE p u z u .` V y °' ,a E 0 o 19C -12 C N O N L IC � Q N f0 Q Y_ y7 i O O � Y V ?' L O OC � 7 19C -13 0 v 2 n e d i e s v E LL s Q E i 0 _ " CO d V a v o r m % E =E ,gCQ °oE - E ; nTa ' _ n °E ; V 3 Y ; ° V pZo° °; mSo'o 9 a•� y N d d D d C` 3 y -_ R a °., m'> = n 3 `o .a m c? c 'd _ 9 s d m c c c v o u o m_ °> w o °- `Y « e o n c Eo v c « E 5 B«' a No E b c o vR `m u Y. 2 « sR - r t9 i`u ° E n aR _- r Y i i$ a E _ 5 iJ H Rn a r° c v n « - d v w m $_ b m 3 Y W C C> d p E b c _ WR o c d m o n a a i m :E Y E £ E 'o w d E w_ o y s 00 O i Y Y T O p 6 6 O d °_ C Y b d 6 L N v c E E 'c e v`oa _� w a T R 72 w vo a ° R ig n o E z 3 « u d aF as d L« d 10 O E E a i a' E m 19C -13 0 v 2 n e d i C N O N L a f0 Q Y cu 10 Y Ul O N Y v ? L C O i 19014 co 9 6 s m � o pc p 0 n c Y e fi e E H 8 n n N � E E ry +1 ry N W V e ° E l p � o « m .G 3 �° °c °; m c m c E g& E A S a E E'o o d Z @ o EEtVE AtC°n°v3 °`-' ELg u 'o rv_00o M uN c E E,c_u n"NV,° ap'�_ .u.c y F O ✓ i C .. v s E Y. E Pl .= Y E c :: $ -° '; _ v g a c E ° �• - 3 c E n - 3; > Y 'c_ o° E i a m` » o? E 00 = o° ° a `_ N c. E g a u ,2 _ - o o E o LE E c .2 E €+ m m m m a a c ¢ b L - N L � E 8 A V E Y o is Y° E E E° o E o r Y S = rv¢ N C N n m3 t� V N O cc > 22! u Y W " C 'a d c ul -00 19014 co 9 6 s a N O N L R C a O Y C � O 0 � L C O L a 19C -15 W d n m m SS ry c n r m w r vw r .ai d e e d m m n E E IOU N s m r a __. 8 E o v E E o O ~ i G LL b A >yE E E 3 g z c= .o 4. E u E g E - c E i o c' o b you u `a bu - a n o a £ o a E I Em q v bco b V > �yy a a v'Ory xbw n° 3 3 e a E 0 v c t a p W E ti O t9 E V C m n f q u T u�i O O 9 ti Q _yy 2 r L b N m b O p V p V? ig a o c u� `b T r - E= A _ c '^ r o .q c L c ,M o c i i v i y._ o u E d � i a E.. N T aE v'1 n 2 C- C . 3 'A u" 8 Z ., $` °? ' a 31 50 n0_ 00® 3 a c o'a' :? tE n n u E ° x ne A So n+v vi i and re o £nib S co : u o v u u c 5 - _ o u ca lJ N « m b p %6 u.3 u t T y C t .� O m o Ts N t n N r 4 ii c a s c m p w 6 Z 3 o c 5 m �' `� v E i p`qj n' 42 p �° Y8 c o a Y q N O a aps l7 d 3 n' 19C -15 N O N Q) A Q) 0 a Y C A tr N O N t C O 0 19C -16 s 0 s s s n n C d as > i C E T d O O v c d = C u E ry c o ° b . r ° � aw 19 ¢ ,2 9 e d £ o c a 3 E a «ry g E N a i z m & m e ap «p ? o E o w r £ 42 N r a E $ v w q c n y °� E° .E m C c o° m y 0® A E€ a c ' a g c y 'oa 12 cc` o cv�c`Q a wzv°i a V uj m m 12 c u a n y _O C 9 ` d y O V v ? v rfi S i ° y r w cc m = Fo c N a nN °c� fiv t° 2 00 at o m 2 M M O 19C -16 f0 C Q f0 Y C R H O Y U R N O N L O u rx O Q d L C O ,l 19C -17 b C°D ° w p O O c w n ry n � v L n E r � _ n 0 V e N L - o Y Z-5 c c- c EE a z y a$ p 8 y o ry E u o C 6 d .� C O d O N �I Y 6 m m W E c a °� y c ° E° ti o L c c 'c V E g c a` a c� °�« i .E E« o n a c G$` n �' n° ^' E � � a E t a' 15 2 ca M N E z m o tj m� D® E o 6° 9 m a Cn 2 T Y N O o _ d t d � V « y d v loE 7E E E «$ E o @ u E 8% 6 a o° eu $ E . i i o °n OEO n OO V m V u 6° N 19C -17 a N O N L m C 0 Q u 6 O Y C 1 f6 tl LO O N V ? t C O G 19C -18 m W v a T d d d E L d n E y u � o T m a V M o o v 2 EE b c E a?� w s C N E u q N N a c .. y u a a° a c c ££ u 3 u V `o 'u E o E £ g 5n2 °a E .0 3.1 o c wu$a « ES ova �S._ b y i Y a O o c c fi O r v a E °- - E i °m '� E a o° o N ry i dppEC a c c u w_C` n u S• ° C c` 6 o m n E: i « p L 0 a a j a °°^. N L 9 q< E q._ E n c° Z n q v v L m o o W E °° �? ° c °8 ° a a G tj c ry c 2 j, °3> ncGa c E E d a '^ i o t ,Ea U v x q .°.S a ry i ` .y L a— v« « a m N O ® a c A IT a L .a � : ° O O C ' a u — j. - u m i o O y lo 2 E z u° E 4 o° � A 2 Oo 6 19C -18 Q N O N f0 N C 0 a m 0 Y C i A t H w Q_ O 41 Y_ u ? s Y C P 19C -19 s v y t o o n J o n o E a N LL G n E u 0 V 75 2 ME o a o. o ° v 'g c u c a t, a ��.r w 5 a i o c q� A n V o w- E E g o e c 3 i a .. l° 2� v E 3 .. w .'u' fit, Y� Y "a c o N '°` A c o o° o f o E a° n FC o m m E V c n y a ? « t o 0 o a Y ¢ ¢ b qi u6 L�6 �'y9 Yu� A m n .3 � ` .E •• iO o ry u y E u£ vu We g o o 19C -19 a O N L m W C .O Q u f0 O Y y H L o a T W L O (3) 19C -20 0 0 0 a y a E d d r° 4 s i v ry u° 1p G ° u 5 a m q no L `o E c E E o c E o V �. m: E g c d w a$ A y .r`d. o° o d o? °o `o a m 's o 3 u r Ea E 4° o Y o E m a b c E a - e o v 2 m= n m A pod V s� 4n a awn V d _ z 3 L N u° _° £' « E w m E T m • u j 3 u_ a V "is E a.a o o n E$° E E E E E a p E Ld' o E o A b a `a by E o ®• C Y a ��> 7 i l O O_ D V ° O O ' ° e 3 `n E o4 E o E p E o t o c Y d a x E d_ « v y ,X x v £ a n d d b C 4 a r ^ a `m o $ t m m v E E =a4. _ s> > m `n t% t m ti° ac E - » a > 9 3 EE o Y v wrv° .Q z p'E u O a d `e o m m y O O v a_ ry > w °aG gL v N C H 4 a0 u a v 'd` < _-° O Bi u m 3 H C Y d v E .= '^ _ 6n v„ Z i A i fl q c a a 3 9 m u 2° m& a :°. .. 'a 'a = >c E °i O a a i a0 c° e G J E° v .� O° c t c_ c c` ° o 0 o o n `o ` ° d a' 19C -20 O N 10 � C � Q V 10 � Y yI (A L O � Y U > L Y C O i 0 19C -21 e m ti z as c LL LL s s s L v r m e e m d JI d N N ry N N O O d n E � c o � y � i r O ° V p O < L 46 C _ api t4 5 $ a m c 0'S K m c n 9 z ac a o yac- m 8 q Q a m 0 n r E E w d o° a 0 G 5 n ti m a 0 ��$ � q = t u a 3^ V a sE i c o v _ O T Ca �'a Y .ry n°—' N.E r c v nm ota c Ta ¢` Y u.> y - E o c i c °c 9 q 9 9 d 6 aVC Y C V C � � y a OR M d ° E a A q — = 00 E^ i7 ac °c d o Ac d V u ° N V V N 9 Y i 9 a V Y u U n ; H n L C c n E a OO v x ^ a O .i m rv� s 3 iu 19C -21 R C Q I6 Y tA N 0 O T Y U v O N L O O u u Y O G d C T t C O ►] 0 19C -22 < m m r m o < w 0 E T d X H d e d o E a " ° o 9 d N _ d r p o o=. '° °m v u r= 6�a o c d d O q s 3 c t 3x o A ° u c � ✓, A � ° J " °1 « c c v E n ° y E i t c D m V ° d °� C a O L N A •°' U Q r 12 .5 E A u s u P u b m E° z 3 "A V_ °_ `.,- �e Ewa$ '" "____° 2 3 n ow 00 .i u ° " o .P s 3 n o 19C -22 f7 C Q Y C N O T a+ M N O N d L O u u O Q T L C O ►, 0 19C -23 C tit C O N N C Q' O n E g d n V d E 4 Q y 4 O O V v a L N t v c T £ Z « Y £ n 2 q 4 t v s" a m E a m i c n n vii % E Ee w o o s_ tj E mod O v c E c v o — c " E n V "�� E E fl E $ O® m t r 72 E E g v$ G u a E g 1 -2 c ° ° _o to u' s a g n 22 °c xx p a E c £ `o nn d o G p E$ i „ =? :: c° d l E m s= _`o nE, 0 Vvo p�v q Evc E�ca '` o m`mo m �,� cSc \u v`mc Ed ° >> idn En,2 o L' Eoduetl gn °c �'nt yii'a o z u o° 19C -23 N Cl N m C 0 Q a0+ m V O Lnc m „ L o m >1= 'u ? L C O W 1 �fT � 19C -24 m m mom+ O o o O i N °n ry ° ry ry n a 0 am v E � 0 u Y L y ry c d oB E o a 5 c N E b E F, E Z _c c c L' ili 3 bv, Y n b y - ?' c E E E' E ° w E c v a „ ° b E WCY V- m,� _ �`- a o� m o m 00 m5 a o n Y "_° o E u E 9 Y y O V V y V V c � E YY T •YV « a0i Ei „ T c Y a & ate` GGu ca a m a Y a _ '-00 E E Y o m E 19C -24 a O N f0 4! c � Q V N 0 C i H O M � L C O 0 19C -25 m •� m C C 9 'O � ee1 O O S~ ei m W m N N m N v 5 E > n w 3 ;e s E Y � n i ° V g 2 d n C$ .'_° o 0= E Y E i. E f ° i ° L c 3 E n G£ E E E o ac -- i u o 6 E a A o o E G ^' y g p q - E w E o ° y E a > - E m > L - y E- E i _ A c m Y c c° E° D a E y E 6 'o E E£A E 8+ c n o E v 6 c a Z g o n Z y o o E o Bi o o b c o i v n y J N i J C c A C C E w a — m w> L o m c ° on E 9 d t c � o c a F c A o c A Y o o _ u C "p o p E co_ b_ E o d o Fo i a t v °- r m n u E y00 19C -25 R C Q f4 C H O Y u N O N Ol Q V A 0 O O. d L C O o 19C -26 i. `o 9 `o Z o` o` o` a` a o` a` o` A d d d d b d d o n o 0 0 a E g 'm v E v � . E E v u i Q q A q> nv N 2 E - Eo c °c c c a c $ E E a q o V o m 'Ee E c° E e EE c w � n c a o a u c Y m° o a O c E o_ v C o_ ° m $ N o 3 E o` o o« m p •0 D O pnp V o' a u fie' 7 �• � C �° $ w W � n L .15 C i Z a c 9 2 d 2 u> >> u; y n= u . m o c °p ° o W .m`. ,_ L '° Z o .; .s 6 N ` ° A{ d b c w T ?° ° v r °a E L a v °' E v d E d n d m; $' H 00 pn E . n' c _o' ° n E c Y o �i `o b i n 9 E °a 'm V E - y c o m u v o° c o° A _o' q ry �E° 9 V V G E 9 O a N V Y i 3 •• ' m v m "m w °° '$ n u o z 5L` . m n N Z E = G C "• u o .. o .2 n C. : � o $. E En Y° a u ¢ P ` S w °' E � v 00 O J° u E o o c O ri° d E i 19C -26 i. `o 9 `o Z REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: QUARTERLY REPORT FOR HOUSING DIVISION PROJECTS AND ACTIVITIES JULY 2014 — SEPTEMBER 2014 (STRATEGIC PLAN NO. 5,3) CTrY MANAGE RECOMMENDED ACTION Receive and file. 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 COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting on October 8, 2014, by a vote of 4 -0 (Sandoval and Verino absent), the Community Redevelopment and Housing Commission recommended that the City Council receive and file. DISCUSSION This status report for the quarter ending on September 30, 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 total for the fiscal year. 1901-1 Quarterly Report for Housing Division Projects and Programs November 18, 2014 Page 2 Table 1: Applications Sent Out, Received & Approved Program Inquiries Applications Sent Out Applications Received Applications App roved Q1 Total FY Q1 Total FY Q1 Total FY Q1 Total FY Single-Family Rehabilitation 26 26 18 18 1 1 2 2 Mobile Home Rehabilitation 4 4 2 2 1 1 1 1 Homeownership 44 44 41 41 3 3 2 2 Rehabilitation Loan Underwriting and Approval 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 rehabilitation projects out to bid, four under construction, and two were completed. Homeownership Marketing and Approval Process During this quarter staff presented three workshops which were attended by 97 individuals, the majority being Santa Ana residents. 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 19D-2 Quarterly Report for Housing Division Projects and Programs November 18, 2014 Page 3 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. 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 $108,979,734. This is comprised of 439 loans of which 418 are deferred or residual receipt payment loans. As shown in Table 2, the loan portfolio generated $379,625 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, 26 owner occupancy recertification letters were mailed; 23 were returned and processed. Staff conducted code compliance inspections for 47 units in six projects. Regulations require that only a sample be selected for inspection. Staff also inspects the grounds and common areas to ensure they also meet code requirements and property standards adopted by the City of Santa Ana. 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 deficiencies including loose toilets, inoperative bumers, 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. 19D-3 I 't Quarter Total FY Loan Payoffs $334,669 $334,669 Residual Receipts Payments 0 0 Amortized Loan Payments $44,956 $44,956 Total $379,625 $379,625 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, 26 owner occupancy recertification letters were mailed; 23 were returned and processed. Staff conducted code compliance inspections for 47 units in six projects. Regulations require that only a sample be selected for inspection. Staff also inspects the grounds and common areas to ensure they also meet code requirements and property standards adopted by the City of Santa Ana. 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 deficiencies including loose toilets, inoperative bumers, 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. 19D-3 Quarterly Report for Housing Division Projects and Programs November 18, 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. The acquisition of a single - family home located at 1235 S. Cypress closed in escrow in August 2014; rehabilitation is expected to commence in October. Multi - Family Acquisition / Rehabilitation Proiects 940 Minnie, LP completed the acquisition of a multi - family property located at 940 S. Minnie Street and is currently in the process of relocating their tenants. The rehabilitation is expected to commence in the fall of 2014. Once the rehabilitation is complete, the property will yield eight affordable rental units consisting four 1- bedroom units, two 2- bedroom units and two 3- bedroom units. In -Fill Development Proiects Habitat for Humanity of Orange County The construction of four single - family dwellings located at 1314 N. Eastwood, 793, 797 and 812 Concord is nearly complete. The homes are expected to be sold to qualified homebuyers in the next quarter. The construction of two single - family dwellings at 4106 and 4110 W. McFadden is expected to begin in the winter of 2014. Depot at Santiago (70 -Unit Affordable Rental Housing Development) The developer has worked through planning entitlements and is planning to apply for a tax credit allocation in the spring of 2015. Construction is anticipated to begin in the fall of 2015. 815 N. Harbor (70 -Unit Affordable Rental Housing Development) The conceptual site plan was approved. The Harbor Corridor Specific Plan is expected to be approved in October 2014. Santa Ana Station District — For Sale (25 Affordable Homes) All of the units are currently under construction. The units located at 806 E. Santa Ana Blvd. are framed; rough plumbing and electrical is progressing. Foundations are complete for the units located at 609 N. Garfield and 620 E. Fifth Street; framing is expected to commence in October 2014. 19D-4 Quarterly Report for Housing Division Projects and Programs November 18, 2014 Page 5 STRATEGIC PLAN ALIGNMENT The activities covered by this report allow the City to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #3 - Facilitate Diverse Housing opportunities and Support Efforts to Preserve and improve the Livability of Santa Ana Neighborhoods. FISCAL IMPACT There is no fiscal impact associated with this action. Kelly Re d Executiv Director Community Development Agency KR/sk/rl 19D -5 19D-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AMENDMENT TO THE CITIZEN PARTICIPATION PLAN (STRATEGIC PLAN NO. 5) crrY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: •:• o, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Recommend that the City Council approve the Amendment to the Citizen Participation Plan and authorize the submittal to the U.S. Department of Housing and Urban Development. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting on October 8, 2014, by a vote of 4 -0 (Sandoval and Verino absent), the Community Redevelopment and Housing Commission recommended that the City Council approve the Amendment to the Citizen Participation Plan and authorized the submittal to the U.S. Department of Housing and Urban Development. DISCUSSION The Community Development Agency receives funding from various formula grant allocation programs through the Department of Housing and Urban Development (HUD). These programs include the Community Development Block Grant (CDBG), the HOME Investment Partnership Grant (HOME), and the Emergency Solutions Grant (ESG). HUD requires the submission of the Consolidated Plan, which is a five -year comprehensive planning document and application for these programs. It describes a strategy to meet the needs of the community and identifies resources and programs that can be used to address them. The Citizen Participation Plan (Exhibit 1) is a component of the Consolidated Plan that describes the means that the City will use to involve the public in the creation of the Consolidated Plan, Annual Plan and Performance Reports. With city departmental relocation and the Housing Opportunities for Persons with AIDS ( HOPWA) Program changes, the current Citizen Participation Plan needs to be modified to reflect a change in public posting locations and to exclude HOPWA funding which has been reallocated to the City of Anaheim by HUD. 19E -1 Amendment to the Citizen Participation Plan November 18, 2014 Page 2 HUD regulations requires that the Citizen Participation Plan Amendment be available for a 30 -day public review period prior to being finalized to provide the residents of the jurisdiction the opportunity to offer comments. On September 20, 2014, notification was published in the Orange County Register that the draft plan was available for review beginning September 21, 2014, and that the public hearing would be held on October 8, 2014. It was also noticed in the La Opinion and the Nguoi Viet News as well as the City's website. The 30-day public comment period concluded on October 21, 2014. In accordance with Federal regulations, all neighboring jurisdictions were also informed of the draft's availability for review. All comments received will be included in the final document, which will be submitted to HUD. STRATEGIC PLAN ALIGHNMENT Approval of this item supports the City's effort to meet Goal #5: Community Health, Livability, Engagement & Sustainability. The Citizen Participation Plan describes the strategies to provide access and create opportunities for stakeholders to engage in the Consolidated Plan, Annual Update and Performance Report process. FISCAL IMPACT There is no fiscal impact associated with this action. K Ily L. ders Executiv Director Community Development Agency KLR/nv Exhibit: 1. Citizen Participation Plan 19E -2 CITIZEN PARTICIPATION PLAN The City of Santa Ana's Citizen Participation plan has been prepared pursuant to federal regulations and the City's desire to encourage and support public participation in the development of the Consolidated Plan, Annual Action Plans, Amendments to the aforementioned plans, and year -end performance reports (i.e., the Consolidated planning process). It is important to note that the actions delineated in this Citizen Participation Plan are only applicable to the planned use and expenditure of entitlement grants awarded to the City by the U.S. Department of Housing and Urban Development's (HUD) Office of Community Planning and Development (CPD). CPD entitlement funds received by the City include the Community Development Block Grant (CDBG), Home Investment Partnerships Grant (HOME), and Emergency Solutions Grant (ESG). APPLICABILITY AND ADOPTION OF THE CITIZEN PARTICIPATION PLAN As required by HUD, the Citizen Participation Plan has been developed to ensure Santa Ana's residents participate in the development of a strategy to meet the housing and community needs of the City and the use CPD entitlement funds to meet these needs. Citizen representation and input has been, and will continue to be a major element in the decision - making process culminating in the adoption of Santa Ana's Consolidated Plan. As outlined in this plan, citizen involvement will be encouraged in the development of the Consolidated Plan and annual updates to the Consolidated Plan. The Citizen Participation Plan will also have an impact on the process by which community stakeholders are included 19E -3 in the assessment of program performance and amendments to the Consolidated Plan. The City will ensure citizen participation through the use of community wide notices in the form of newspaper advertisements announcing public workshops, meetings, and /or public hearings. Other methods of communication will also be utilized to encourage citizen participation. These methods may include the use of surveys, special mailings and the utilization of video /electronic communication (e.g., cable TV notices and City's web page, etc.). The Santa Ana City Council's authorization to submit the Consolidated Plan to HUD will constitute the adoption of this Citizen Participation plan. ENCOURAGEMENT OF CITIZEN PARTICIPATION Santa Ana's Citizen Participation process places an emphasis on the needs of low- and moderate - income, minorities, non - English speaking persons, persons with disabilities, recipients of federal housing rental assistance, and agencies whose programs focus on the needs of these individuals (including the Santa Ana Housing Authority). The following elements of the City's Citizen Participation Plan are designed to ensure Santa Ana resident involvement and representation in the Consolidated Plan process. • Participation in the Consolidated Planning process is open to any person wishing to attend any of the meetings, hearings, and /or workshops sponsored by the City regarding HUD CPD programs. • Public hearings will be held before the City of Santa Ana Community Redevelopment and Housing Commission (or a similar standing City Commission). The primary purpose of public hearings will be to obtain public comments at various stages of the Consolidated Plan planning process including the City Council's authorization to submit the subject documents to HUD. Comments received during public hearings will help the City establish priority housing and community needs and help guide the use of HUD CPD funds. Direct stakeholder participation in the allocation of federal funds will also be utilized by the City to further encourage citizen participation. Existing boards /commissions and ad hoc committees will be utilized for this purpose, for example: 19E -4 • An ad hoc committee may be empanelled for the sole purpose of reviewing applications for CDBG public service funding. The composition of the committee may vary from year to year; however, in general it may include representatives from City commissions, nonprofit organizations, other government agencies, and City staff. • The priority needs identified in the Consolidated Plan will provide a guide for funding recommendations. If practical, the ad hoc committee may interview grant applicants. Grant recommendations developed by the ad hoc committee will be submitted to the City Council for consideration and final approval. • The same ad hoc committee empanelled to review CDBG public service funding requests may also be used to evaluate ESG grant applications. Homeless Needs Assessment priority needs found in the Consolidated Plan will provide guidance for funding recommendations and if practical, the committee may interview applicants prior to rating applications. The ad hoc committee's funding recommendations will be presented to the City's Redevelopment and Housing Commission during a public hearing; however, final funding recommendations will be approved by the City Council. ■ Utilizing the priority housing needs delineated in the Consolidated Plan, City staff will develop a funding recommendation for HOME - funded activities. Final HOME - funded activities will be approved by the City Council. ■ The Housing Authority of the City of Santa Ana (SAHA) will be critical partner in the Consolidated Plan planning process. Housing Choice Voucher program participant input is aimed to ensure continuity between the Consolidated Plan and the Housing Authority's HUD - required 5 -year Agency Plan. CITIZEN COMMENTS ON THE DEVELOPMENT OF THE CITIZEN PARTICIPATION PLAN AND AMENDMENTS TO THE CITIZEN PARTICIPATION PLAN Santa Ana residents will be provided an opportunity to review and comment on draft versions of the Citizen Participation Plan and any subsequent amendments to the Citizen Participation Plan. The review /comment period shall be for less than 30 days prior to the 19E -5 submission of the document to HUD. The Citizen Participation Plan and amendments (if applicable) will be available to the public for review at the following locations: • Santa Ana Main Library • Office of the Clerk of the Council • Community Development Agency, 6" Floor Reception Area These locations are accessible to persons with physical disabilities; however, if a disability would further limit a person's ability to review the plan at one of the listed locations, upon request, the City will attempt to make a reasonable accommodation and make the plan (or amendment) available in an appropriate format. DEVELOPMENT OF THE CONSOLIDATED PLAN Before the Consolidated Plan (and annual updates) is adopted by the City Council and submitted to HUD, the City will make the plan available to citizens, public agencies, neighboring jurisdictions, and other interested parties for review, and will also establish a means by which these parties can submit comments. Information made accessible to the public will include the amount of CPD grant funds the City expects to receive (including program income), the range of activities to be undertaken, and the anticipated number of low- and moderate - income persons to benefit from funded activities. Information will also include the steps the City will take to eliminate the need for displacement of persons. If displacement will occur due to any planned actions, the City will comply with the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (and implementing regulations in 49 CFR part 24). The City will publish its proposed Consolidated Plan (and annual updates) so that all affected residents will have sufficient opportunity to review and comment on the plan. A summary describing the contents and purpose of the Consolidated Plan will be published in one or more newspapers of general circulation. To the extent feasible, the draft document will be posted on the City's website (www.santa- ana.org). Additionally, the entire proposed plan will be made available for review at the following locations: • Santa Ana Main Library • Office of the Clerk of the Council —Santa Ana City Hall 19E -6 • Community Development Agency, 6th Floor Reception Area —Santa Ana City Hall • On the City's website, www.santa- ana.org A reasonable number of free copies will be available at the Community Development Agency 6th Floor location. During the development of the Consolidated Plan (and annual updates) there will be at least one public hearing to obtain comments from persons affected by the use of CPD funds, other community stakeholders, and interested parties. Additionally, as required by program regulations, there will be a 30 -day public comment period prior to the submission of the Consolidated Plan to HUD. The City will consider all comments received from residents, public agencies and other interested parties as it prepares the final Consolidated Plan (and annual updates). A summary of public comments will be included with the final submission. The summary of public comments will include a synopsis of the City's response to written public comments, and an explanation of public comments not accepted, including the reasons why these comments were not accepted. AMENDMENTS TO THE CONSOLIDATED PLAN The City will amend the Consolidated Plan and subsequent annual plan whenever one or more of the following decisions is made. • A change is made in the original relative priority designation of a housing or community need, or in the purpose, scope, location, grant funds allocated, or beneficiaries of an approved activity. If the City undertakes a substantial amendment to the Consolidated Plan (or subsequent annual plans), Santa Ana residents and stakeholders will have reasonable notice and opportunity to comment on the proposed amendment. The following criteria will be utilize to determine if a substantial amendment to the Consolidated Plan (or subsequent annual plans) is proposed, and is subject to a public hearing and 30 -day public comment period: • Changes in the use of CDBG funds from one eligible activity to another. • An activity is undertaken that was not previously included in the Consolidated Plan or subsequent annual plans. 19E -7 • More than 30 percent of the most recent annual federal grant allocation is reallocated to other eligible program activities within the fiscal year. (Amended amounts will not be cumulative, that is, each amendment will stand on its own for purposes of determining the 30 percent threshold.) The City will publish proposed amendments to the Consolidated Plan and /or annual update so that all affected residents and interested parties will have sufficient opportunity to review and comment on the amendment. A summary describing the purpose of the amendment will be published in one or more newspapers of general circulation. A reasonable number of free copies will be available upon request. Additionally, a copy of the proposed amendment will be made available for review at the following locations: • Santa Ana Main Library • Office of the Clerk of the Council • Community Development Agency, 6th Floor Reception Area • On the City's website, www.santa- ana.org A public hearing will be held to obtain comments from persons affected by the use of CPD funds, and other interested parties. There will be a 30 -day public comment period prior to the submission of the amendment to HUD. The City will consider all comments received from residents, public agencies and other interested parties regarding the amendment prior to HUD submittal. A summary of public comments will be included with the final submission. The summary of public comments will include a synopsis of the City's response to written public comments, and an explanation of public comments not accepted, including the reasons why these comments were not accepted. PERFORMANCE REPORTS The City is required to submit a consolidated annual performance report for its CPD programs to HUD no later than 90 days from the end of a program year (i.e. late - September). This performance report is known as the Consolidated Annual Performance and Evaluation Report (CAPER). Prior to submitting the CAPER to HUD, the City will solicit and consider the comments of residents, public agencies, and other interested parties. 19E -8 The City will publish a notice that its CAPER is available for review so the public will have sufficient opportunity to review and comment on the report. The notice will be published in one or more newspapers of general circulation. There will be a 15 -day public comment period prior to the submission of the CAPER to HUD. A reasonable number of free copies of the CAPER will be made available for review at the following locations: • Santa Ana Main Library • Office of the Clerk of the Council • Community Development Agency, 6t" Floor Reception Area • On the City's website, www.santa- ana.org A public hearing will be held be held by the Community Redevelopment and Housing Commission, to obtain comments will, with the City Council authorizing the submission to HUD. The City will consider all comments received from residents, public agencies and other interested parties. A summary of public comments will be included with the final submission. The summary of public comments will include a synopsis of the City's response to written public comments, and an explanation of public comments not accepted, including the reasons why these comments were not accepted. PUBLIC HEARINGS So that a full range of public comments and ideas are brought to bear during the development of proposed activities and program performance, at least two public hearings will be held each year. Meetings will be conveniently timed and held at locations where people who might or will benefit from program funding may attend. The purpose of public hearings is to obtain the views of residents, public agencies and other interested parties, and to provide a forum to respond to comments. Public hearings will be held during two different stages of the consolidated submission process. Specifically, public hearings will be held to: 19E -9 1. Address housing and community needs and review the proposed use of funds. This meeting will be held prior to the publishing of the final Consolidated Plan (and annual plans) for public comments. 2. Review program performance. Rules for all public hearings include the following: • Notice of each hearing will be made at least 14 days in advance, and will be published in a local newspaper of general circulation. All notices will be of a size and type to draw the attention of casual newspaper readers and will state the time, date, location and topics to be discussed. • Where a significant number of non - English speaking residents can be reasonably expected to participate, translators will be available. • These meetings will be held at locations that are accessible to persons with disabilities. MEETINGS Adequate and timely notification to allow citizens an opportunity to attend and participate in making recommendations at local meetings, community workshops, and public hearings, will be provided by way of newspaper notices, special mailings, posted notices, the City's web site, and other forms of communication. AVAILABILITY OF INFORMATION TO THE PUBLIC As previously stated, the City will publish an announcement as to the availability of its proposed Consolidated Plan (and annual updates), amendments, and performance reports, so that affected residents and other interested parties have sufficient opportunity to review documents and provide comments. A summary describing the contents and purpose of the Consolidated Plan, amendments, and performance report will be published in one or more newspapers of general circulation. In addition, a sufficient number of free copies of the entire proposed plan, amendments, and performance reports will be made available for review at the following locations: ■ Santa Ana Main Library 19E -10 • Office of the Clerk of the Council • Community Development Agency, 6th Floor Reception Area • On the world -wide web, www.santa - ana.org Upon request (and within reason), the plan will be made available to persons with disabilities. ACCESS TO RECORDS The City will provide access to information and records relating to the Consolidated Plan to residents, public agencies, and other interested parties. The City's use of assistance for programs covered under the plan for the preceding five years will also be available. Requests for information and records must be made in writing to the Community Development Agency. The written request must delineate the specific information that is being requested. Community Development staff will have 15- working days to respond to these requests. TECHNICAL ASSISTANCE The City will provide technical assistance to groups representing low- and moderate - income persons that request help in developing proposals for funding under programs covered by the Consolidated Plan. The City will determine the type and level of assistance that City staff will be able to provide for each group. Assistance does not include nor assure the provision of funds. COMPLAINTS Written complaints regarding the preparation of the Consolidated Plan (and annual updates), amendments and /or performance reports must be submitted to the City's Community Development Agency. The City will provide a written response to complaints within 15- working days from the date the complaint is received. USE OF CITIZEN PARTICIPATION PLAN 19E -11 The City will comply with the process and policies established in the City Council- adopted Citizen Participation Plan when operating programs covered by the Consolidated Plan. Amendments to the Citizen Participation Plan will be subject to the substantial amendment requirements outlined in this document. JURISDICTION'S RESPONSIBILITY The requirements for the Citizen Participation Plan will not restrict the responsibility or authority of the City in the development and execution of the Consolidated Plan. SECTION 108 LOAN PROGRAM CITIZEN PARTICIPATION PLAN This section of the Citizen Participation Plan is only applicable if the City applies to HUD for the CDBG Section 108 Guaranteed Loan Funds. HUD regulations state that the Section 108 Loan Citizen Participation Plan may be incorporated into the City's existing citizen participation plan for the Consolidated Plan provided that it complies with the requirements delineated in 24 CFR 570.704 (A) (2). Note that HUD regulations state that the City is not required to hold a separate public hearing for its Consolidated Plan and for the Section 108 Loan process to obtain citizens' views on community development and housing needs. To the extent that it is feasible, it is the City's intent to combine these two processes as allowed by federal regulations. This Section 108 Loan Citizen Participation Plan sets the following policies and procedures to ensure residents and stakeholders are provided an opportunity to provide comments on actions related to a potential Section 108 Loan application and use of such funds: • Notices and Meetings - Santa Ana residents and stakeholders will be provided timely notice of local meetings and reasonable and timely access to local meetings, information, and records relating to the City's proposed and actual use of guaranteed loan funds. The means that will be utilized to provide notices will be same as outlined previously in the Citizen Participation Plan. Information that will be provided include, but is not limited to: • The amount of guaranteed loan funds expected to be made available as a result of an 19E -12 application for Section 108 Loan funds, including program income anticipated to be generated by the activities carried out with guaranteed loan funds; • A list of the range of activities that may be undertaken with guaranteed loan funds; • The estimated amount of guaranteed loan funds (including program income derived there from) proposed to be used for activities that will benefit low- and moderate- income persons; ■ The proposed activities likely to result in displacement and the City's plans, consistent with the policies developed under § 570.606, for minimizing displacement of persons as a result of its proposed activities. Technical Assistance - The City will provide technical assistance to groups representative of persons of Low- and Moderate - income that request assistance in developing proposals for the use of Section 108 Loan funds. The level and type of assistance to be provided is outlined in the Citizen Participation Plan. This technical assistance need does not include the provision of funds to such groups. Public Hearings - The City will hold at least two public hearings at a different stage of the application process. Public hearings will be held by the Santa Ana City Council. • One public hearing will be held for the purpose of obtaining the views of citizens regarding a proposed application for Section 108 Loan funds. • A second public hearing will be held to formulate or respond to proposals and questions. • Together the hearings will address community development and housing needs, development of proposed activities and review of program performance as they relate to the receipt and use of Section 108 Loan funds. • At least one hearing will be held before submission of the application to obtain the views of citizens on community development and housing needs as they relate to the application for Section 108 Loan funds. • Reasonable notice of the hearing will be provided and the hearing will be held at times and locations convenient to potential or actual beneficiaries, with accommodation for the handicapped. The means that will be utilized to notify interested parties of hearing times, locations and potential beneficiaries will be same as outlined previously in the 19E -13 Citizen Participation Plan. ■ Language translation services will be provided at meetings, such as public hearings, where a significant number of non - English speaking residents may reasonably be expected to participate. Substantial Amendments - The City will provide affected residents with reasonable advance notice of, and opportunity to comment on, proposed activities not previously included in a Section 108 Loan application and activities which are proposed to be deleted or substantially changed in terms of purpose, scope, location, or beneficiaries. For the purpose of the Section 108 Guarantee Loan program, the City has determined that following situation(s) will constitute(s) a substantial change thus triggering the requirement for a public hearing and 30 -day public comment period: • Changes in the use of Section 108 Loan funds from one proposed eligible type of activity to another that was not identified in the Section 108 Loan application to HUD. • More than 30% of the Section 108 Loan Fund awarded to the City is reallocated to one or more eligible activities. Complaints and Grievances - The City will respond to citizens' complaints and grievances. Procedures for addressing complaints will be the same as outlined previously in the Citizen Participation Plan. The City will encourage citizen participation, particularly by low- and moderate- income persons who reside in slum or blighted areas, and other areas in which guaranteed loan funds are proposed to be used. 19E -14 INTENTIONALLY BLANK 19E -15 19E -16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: QUARTERLY REPORT OF INVESTMENTS AS OF SEPTEMBER 30, 2014 {STRATEGIC PLAN NO. 4, 1} ::/ CITY MANAGER RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER In 1995, the State of California enacted legislation revising the reporting requirements relative to investment of funds by governmental agencies. State statutes require that a quarterly report be submitted within 30 days following the end of the quarter covered by the report; however, our office continues to provide this information to the City Council monthly. Quarter- ending reports continue to be presented at a City Council meeting. The legislation dictates that this quarterly report contain the seven major elements listed below: 1. Type of investments, 2. Date of maturity, 3. Par and dollar amounts invested in each security, 4. Weighted average maturity of the investments, 5. Market value as of the date of the report, 6. Source of the market value information, and 7. Any funds, investments or programs, including loans, under the management of contracted parties. These requirements, which became effective on January 1, 1996, mandate that a statement outlining the ability of the City to meet the budgeted expenditures for the subsequent six months be submitted to the City Council on a quarterly basis. Staff performs an end -of -month expenditure analysis to comply with the expenditure requirement and a statement confirming the ability to meet this requirement in the monthly -and quarter- ending Treasurer's Report. The information is in compliance with State law and the City's Investment Policy. 19F -1 Quarterly Report of Investments November 18, 2014 Page 2 The attached report (Exhibit 1) accurately reflects all pooled investments held on behalf of the City as of September 30, 2014. The following table represents percentage policy limits set by the City's Investment Policy and State Law and respective types, amounts and percentages, as of September 30, 2014. Type of Investment in $ in % COSA Policy Limits State Law Limits Certificate of Deposit (CD) $0.00 0.00% 30% 30% Commercial Paper (CP) $0.00 0.00% 25% 25% Federal Farm Credit Bank (FFCB) $54,925,600.00 18.36% None None Federal Home Loan Bank (FHLB) $67,927,190.63 22.71% None None Federal Home Loan Mortgage Corp. (FHLMC) $54,655,563.34 18.27% None None Federal National Mortgage Association (FNMC) $60,130,000.00 20.10% None None Overnight Sweep (CP) $35,000,000.00 11.70% 25% 2S% Local Agency Investment Fund (LAIF) $26,476,034.64 8.85% None None Treasuries $0.00 0.00% None None Total $299,114,388.61 100.00% The following graph represents percentages within the respective investment types, as of September 30, 2014. 8.85% STRATEGIC PLAN ALIGNMENT • Federal Farm Credit Bank (FFCB) • Federal Home Loan Bank (FHLB) • Federal Home Loan Mortgage Corp. (FHLMC) • Federal National Mortgage Association (FNMC) ■ Overnight Sweep (CP) ■ Local Agency Investment Fund (LAIF) Approval of this item allows the City to meet Goal #4 City Financial Stability, Objective #1 (Maintain a stable, efficient and transparent financial environment). 19F -2 Quarterly Report of Investments November 18, 2014 Page 3 FISCAL IMPACT There is no fiscal impact associated with this action. Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit 1 Treasurer's Report 19F -3 Quarterly Report of Investments November 18, 2014 Page 4 CITY OF SANTA ANA TREASURER'S REPORT as of September 30, 2014 EXHIBIT 1 19F -4 <©Em f� §# #° L U2a2 ma8 ;s ) �( �\ CIL k ! \k\ \ )�\\} \\ \ k k!ƒƒ ! \\)) ) k ! {k \ k � ! �91 !\£ 0> 4!± : }2 0 CO }\} � k\ {jk \ \) )kk k)\ ,s =Lq _ !`! ( j/k �\k\ co Lumq k \ � k }} ! ;E! ! k> {)/ f ! «`® }|k ®m®= w to Z. ;{;/; . - §m 2,`f! kt 0 } / {m2 � (0 0 /k } \ { j wc \k\ \ k!ƒƒ ! \\)) ) {k \ k � ! �91 !\£ 0> 4!± : }2 0 CO }\} � k\ {jk \ \) )kk k)\ ,s =Lq _ !`! ( j/k �\k\ co Lumq k \ � k }} ! ;E! ! k> {)/ f ! «`® }|k ®m®= w to Z. ;{;/; . - §m 2,`f! kt 0 } / {m2 � (0 0 /k } \ { j wc W a C W df C E y Q j N cc O I{0 NN _y d VI C 0 O d d O d U0.. ;y O IL m Q a o °n O O O O O O O O O O O O O O N LV N_ N � a o m N y O o i ❑ i N � O 0 ❑ A f NI N N O M 17 �m O O O C O O 0 �m o e cI o 0 y N N M A H 8 O O m O d N N M M A d O O O O O O O O Y� L N N M 4"1 O O N N A m m O O N N M M A ❑ N tL1 ` O M e= A yy o O O O N O n N O m M C N ' V � m � N a e m e Q e J - iJ � a LL Q U LL > m n U m y T Y a4 C A E S a m u r N E 0 N U J S U n U d b m m m m m m m m b b m b m m m b n n n r n Q a o °n O O O O O O O O O O O O O O N LV N_ N � a o m N y O 0 0 0 0 0 0 0 0 0 0 0 i i w m m o O m o P o p O o o r o mQp M y oy o m N W o m o LQ m b 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O b m O O O b O O O O O O O O O O O O O O b O P P m N m m m b b n m w m m m c 0 0 0 0 0 0 0 0 0 o c o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o m o 0 o a 0 0 0 0 0 0 0 0 o a o 0 0 0 0 0 0 o r a 0 0 0 O O O O O N O O O O O O O O O O O O m O O O O mM�p O O O O n N O O O O O O co b O O b m O O O O W O O O O W O� O O O O O O W W O O W b W O r P � m N M d d N M N N N N P d N N N Q 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 in, a o 0 0 0 0 0 0 0 0 0 0 0 0 0 o m O O O O O N O O O O O O O O O O O O b b O O N N d O m N b m O N m d m m N O N d N N M O m Q n N n O O O M r N m m O d M n M O w M m o w w O m m° m O1 w w m m m m W w w w w d a w W o o w o W W W W w w w W W W w o v W W n 0 0 0 0 0 0 o a o 0 0 0 0 0 0 0 0 0 0 0 o a o o a o 0 0 0 o a o 0 0 0 0 0 0 0 0 0 0 0 o a o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o a o 0 0 0 0 o a o 0 0 0 o O o a o 0 o O 0 0 o a o 0 0 a o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O O O O 0 O O° O O O O O O O O O O O O O O O O O O O O o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 b 0 0 0 0_ o a o 0 0 0 0 0 o a o 0 0 0 � m o a n M P d N M P M M M M M d d N N m M P m d M d d 0 0 0 0 0 0 0 0 0 0 0 0 o a o 0 0 0 0 0 0 0 0 C) �f1 O O m m N VI i0 N m W O O N N i7 � m m N b O O O 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O O O O U U U U m m m m m E m mm CY Y O Y m C Y Y Y « Y c m O Y w C C L C C C u C C C C C C C i z A A A O A A m A A O A A A A A A A O A O O m m m i m_ m� m_ m m y m_ m m tq m m m m g m�2 eB�JdBw ee��edBBBJVJ3 U m m m U m Quo U U U U U m m m m U m m E E E€ E—@@@_ €€ E E E E€ E E IL S i m w i z LL I LL z l 2 2 IL LL 2 S S i IL m i ypw� prym pw w v a p amry ayyei pry pw pv d d `m m pryw 9w pry pw aei u `m LL LL LL 11 IL 11 LL LL LL LL LL IL IL IL IL LL LL LL 11 lLL IL 11 lLL m dp C ro � N r w ry m rn w Omi w C'J � w m A W � ro M W N N ' r U c m m OI b N m b m m W m r w ry b d r w a m M W J 3iomY 3 zrz mm3°c".� b U U U ❑❑ U w w w �U' w w w m m 0 w U' 0 n a'� m n M M n n m m m ro e d 0 C d w d. O O O O O b O O O O O O O O O O O O O O O O O O O O O m O O O O O O O O O O O O N O O O O O O N O O O O O O O O O O O O O O M O m O O W O O O O O O O b O O O O W O M O O O O m O O P O O O O N w m P n O W O W O M n O W O N pp p W O W O W W b n N" n O N O W .5 m b O W O N O m b M N N nW P O b m W W w W n co W 6 n b O W P M O N w W w O w W w W W w W 0 w W w W P (7 - y 0 0 0 O O O O 0 O O 0 O O O O O O O 0 O O O O O o O O O O O O O O O O 0 0 0 0 0 w o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o w 0a000o00000000000c00000000000000000 0 0 0 0 0 o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 p o 0 0 0 0 0 0 0 p o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o a 0 0 0 0 0 w o o m 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 vi 0 0 0 0 0 0 0 0 a 0 0 0 0 0 0 0 0 0 0 0 a 0 0 0 0 0 vi 0 0 0 0 0 0 o w o 0 0 0 0 0 0 o m o p o a 0 0 0 0 0 0 0 0 M o w p 0 0 c O O O O O W O O O O �0 0 0 0 r 0 0 o p o 0 0 0 0 0 0 0 N m o 0 0 a o w m N M � m M N m N N m m N W m m m m b m m b m b m b N N N m N b �� Y P Q M P M M P P M Q P N N N N N M M P M M V M M M M P P a P P V O C P 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 d C G V U U U U U U U m W v 0 U C C 0 c C c c C C C O O p 8i J o° J J 1p 10 0 o� o o m m m o o m o o m o B o 0 0 o BB `6 i0 U 0 .� J J 0 J J i 0 W WE € E€ E E E E E E— —- — E s= E x. E — s=. E E E E E E E E E— w o m o 0 io 0 0 0 0 o m m n �a m 0 m 0 0 m 0 0 is W 0 0 0 0 0 0 0 0 0 'm LL LL Z LL Z Z Z Z Z S 2 S LL Z Z Z m Z LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL b d 7 U d w m P m N N O M W M p b n m W N p b P m b M b O b m b N N M N- 6 7 O U T V C m _ W C N O G v U' U U on 8 P o` N v 0 rc m N M_ o b z N N C C ;B Z6 N_ N N N O M {Oj O m O O N o2- O _p O O O c Q E w d N { C C C p M > y o as E d V m OOi o O N m m O O O p O O o M O N N p m Om O N N N N T O 00+ M m O N O m O O CL Yo O N N N N N N CL O a b N M 0 A 0 T b T P m N m 0 O m b m W tN0 O r m a' VIOD n m O O o Y OOi N N O N 9 W W w Y W O OOi N n p m m O O N O O O O N o O O N p O O N N N N O o N �N N r n O o m O m W n O m n b m n b n n O n m m m M m m n b O 0 - m 0 m o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 C 0 0 0 0 0 0 c c o 0 vi c 0 00 0o wo o ww o 0 o o 0 °o o YO1 00 o p0 o 0 N h o n o o o oo o oo 66 ra 0 o a o 0 0 r � 0 0 0 0 o a 0 vi 0 0 0 0 0 m o 0 0 a o 0 0 g 0 a e o of w M o c 0 0 0 o w o o w o 0 o w o 0 0 o b o w w o w p o 0 o p o O o w N m o o V O o o o O N O w w o w O o 0 O m o O W O o m O O o m m M N m m P N N d w d. O O O O O b O O O O O O O O O O O O O O O O O O O O O m O O O O O O O O O O O O N O O O O O O N O O O O O O O O O O O O O O M O m O O W O O O O O O O b O O O O W O M O O O O m O O P O O O O N w m P n O W O W O M n O W O N pp p W O W O W W b n N" n O N O W .5 m b O W O N O m b M N N nW P O b m W W w W n co W 6 n b O W P M O N w W w O w W w W W w W 0 w W w W P (7 - y 0 0 0 O O O O 0 O O 0 O O O O O O O 0 O O O O O o O O O O O O O O O O 0 0 0 0 0 w o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o w 0a000o00000000000c00000000000000000 0 0 0 0 0 o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 p o 0 0 0 0 0 0 0 p o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o a 0 0 0 0 0 w o o m 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 vi 0 0 0 0 0 0 0 0 a 0 0 0 0 0 0 0 0 0 0 0 a 0 0 0 0 0 vi 0 0 0 0 0 0 o w o 0 0 0 0 0 0 o m o p o a 0 0 0 0 0 0 0 0 M o w p 0 0 c O O O O O W O O O O �0 0 0 0 r 0 0 o p o 0 0 0 0 0 0 0 N m o 0 0 a o w m N M � m M N m N N m m N W m m m m b m m b m b m b N N N m N b �� Y P Q M P M M P P M Q P N N N N N M M P M M V M M M M P P a P P V O C P 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 d C G V U U U U U U U m W v 0 U C C 0 c C c c C C C O O p 8i J o° J J 1p 10 0 o� o o m m m o o m o o m o B o 0 0 o BB `6 i0 U 0 .� J J 0 J J i 0 W WE € E€ E E E E E E— —- — E s= E x. E — s=. E E E E E E E E E— w o m o 0 io 0 0 0 0 o m m n �a m 0 m 0 0 m 0 0 is W 0 0 0 0 0 0 0 0 0 'm LL LL Z LL Z Z Z Z Z S 2 S LL Z Z Z m Z LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL b d 7 U d w m P m N N O M W M p b n m W N p b P m b M b O b m b N N M N- 6 7 O U T V C m _ W C N O G v U' U U on 8 P o` N v 0 rc C C c Q E w d N { C C C p M > y o c d E d � od 0 CL Yo CL O a a' d w d. O O O O O b O O O O O O O O O O O O O O O O O O O O O m O O O O O O O O O O O O N O O O O O O N O O O O O O O O O O O O O O M O m O O W O O O O O O O b O O O O W O M O O O O m O O P O O O O N w m P n O W O W O M n O W O N pp p W O W O W W b n N" n O N O W .5 m b O W O N O m b M N N nW P O b m W W w W n co W 6 n b O W P M O N w W w O w W w W W w W 0 w W w W P (7 - y 0 0 0 O O O O 0 O O 0 O O O O O O O 0 O O O O O o O O O O O O O O O O 0 0 0 0 0 w o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o w 0a000o00000000000c00000000000000000 0 0 0 0 0 o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 p o 0 0 0 0 0 0 0 p o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o a 0 0 0 0 0 w o o m 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 vi 0 0 0 0 0 0 0 0 a 0 0 0 0 0 0 0 0 0 0 0 a 0 0 0 0 0 vi 0 0 0 0 0 0 o w o 0 0 0 0 0 0 o m o p o a 0 0 0 0 0 0 0 0 M o w p 0 0 c O O O O O W O O O O �0 0 0 0 r 0 0 o p o 0 0 0 0 0 0 0 N m o 0 0 a o w m N M � m M N m N N m m N W m m m m b m m b m b m b N N N m N b �� Y P Q M P M M P P M Q P N N N N N M M P M M V M M M M P P a P P V O C P 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 d C G V U U U U U U U m W v 0 U C C 0 c C c c C C C O O p 8i J o° J J 1p 10 0 o� o o m m m o o m o o m o B o 0 0 o BB `6 i0 U 0 .� J J 0 J J i 0 W WE € E€ E E E E E E— —- — E s= E x. E — s=. E E E E E E E E E— w o m o 0 io 0 0 0 0 o m m n �a m 0 m 0 0 m 0 0 is W 0 0 0 0 0 0 0 0 0 'm LL LL Z LL Z Z Z Z Z S 2 S LL Z Z Z m Z LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL LL b d 7 U d w m P m N N O M W M p b n m W N p b P m b M b O b m b N N M N- 6 7 O U T V C m _ W C N O G v U' U U on 8 P o` N v 0 rc b W IL D s A i 5 U_ '3 w a Q .� m N 1 � m om 0 i m 0 'a e > S °o b r N N `u a e Fb Aa C a u b N 6 e .N N v v v l:3 b ss�N N Cl CJ N N N N O O O 0 n N N U U ` b b m m A Am p C a m C C C J O J O B J b b b b m 2 0 0 > a v v m a A b LL LL LL m S b 'C N U b N D T b ¢p m N y m m m N n m n N n 0 °n c m M a m N n pO V 0 N N n N Ib N m N i b m d Q c 9 H 19F -8 ¢ate OUM U � o � a a° s LL T a C a 0 rc b M m i` M M A d C Y N N d c E a Q d N 3 00, R C C c O °e U) W (Q L d d N r N Q O d E o U 0 m y a. O a i b b 0 A C M m p A j A Q m M m N a N `u a e Fb Aa C a u b N 6 e .N N v v v l:3 b ss�N N Cl CJ N N N N O O O 0 n N N U U ` b b m m A Am p C a m C C C J O J O B J b b b b m 2 0 0 > a v v m a A b LL LL LL m S b 'C N U b N D T b ¢p m N y m m m N n m n N n 0 °n c m M a m N n pO V 0 N N n N Ib N m N i b m d Q c 9 H 19F -8 ¢ate OUM U � o � a a° s LL T a C a 0 rc a w IL () N m �m w� N cc �+ L C V Q d"N T { N N C > C n W {4 O O o d V 0 d a, O a a y W W a w d m� dq ¢m N m N 0 l O O O O O O O O O O O O O O O O O O O O O p O O N W n m m m n n m o a N Q m N r N m m pm W n m Y W W N W m n N m N O Q N Q m N r N m m io W r m O O N rm W N m m a a N Q m N r Q Q Q N N N o so n � n W W p 0 W 0 0 c 0 m U w N pN w L L L W C U U U u• w C C C w o N w w C m 0 0 ¢ d O O O � O a a a N m N O N c W W LL r D Z m N 00 A Q Q m J C L W J U V U' 2u i V Q a r r ry m m n e� 0 N N 01 N b n a 0 m i C N b f 19F -9 O Lo U O o a. O LL 0 a o � a a a O O K N ti V C �f �t C. U r N N r Z N D o d W ~ N N � M T W F=dEd £ Q- v0 U (n U) W C N N N Q V T C A CL N E 0 U # N Cd � D ~ y E c Y Z z z m d 6 y N 7 U F ci r ig r r N O r N N r O N W W r N m a m r n N O h N r 0 N N N r O N W W r N V) e � T �I C N O N N N N q O A J J m > > N N LL LL Z Z g m 0 0 N ry 2' 2'y z mZ F r c Z Z � Ov 0 O ❑ E 22 i crt o m Q A X 0 0 O O O C A d 3 e W W N ~ Y Z Y Z U U QQ U QW � U Uy 0 Nf1 O ? z a Z O Z o 0 W LL m LL m m Z > a > a w Q U U U U m LL LL lei. LL Q Y o a o 0 0 0 0 0 0 0 0 0 C m m m m m m m m m m m m O 0 Q a C W m m W w W � Q F o r O OI > fL o h ¢ d O p io a a v tt L y b ro m N ro O m m m f� m m m r2 woo N N Owl N y U Q m 0m N N N V'�_1 � Q F o r O OI > fL o h ¢ d O p io a a v tt REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: QUARTERLY REPORT OF CONTRACTS UNDER $25,000 ENTERED INTO BY THE CITY MANAGER AS PERMITTED BY CHARTER SECTION 421 {STRATEGIC PLAN NO. 4, 1} J CITY MANA R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on1s'Reading ❑ Ordinance on 2ntlReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the Quarterly Report of Contracts entered into between July 1, 2014 to September 30, 2014 valued at $25,000 and less. DISCUSSION On November 7, 2006, the voters approved a Charter Amendment increasing the authority of the City Manager to enter into contracts and agreements up to a value of $25,000. Section 421 of the Charter requires the City Manager to report to the City Council quarterly on the contracts entered into under his authority for informational purposes. The report is required to include the names of contractors and the amounts of each contract. Exhibit A is a listing of all purchase orders and agreements entered into between July 1, 2014 to September 30, 2014 valued at amounts between $500 and $25,000. Unless included under a blanket contract, the City as a general rule does not purchase goods or services valued at under $500 through either a purchase order or an agreement. Purchase orders and service agreements valued at greater than $25,000 require approval by City Council. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City's to meet Goal #4 City Financial Stability, Objective #1, Maintain a stable, efficient and transparent financial environment. FISCAL IMPACT There is no fiscal impact associated with this action. Exhibit A: Quarterly Report of Contracts 19G -1 0 u c u w W w a W d N a U W Z > G Q Y w N N N a ° Z O n N V m N n ? N m a en n U o ° U Z a a a> c m W N > W z m a 0 n a= m Q m n'DNz W3so6 '^ u mz 4 WN�a $p aw a zw a Q im6'~^wi we > Q N N -,n„ wU' N¢ �>a+J ti Qmr Z z0Oawc¢ V m w w NU' Q O m 2¢ 6 m W w z Y 'O m Z W w u U 6 y W> E m z O Q° Z J O Z N m O N °¢ F G W Z F- ✓i - F C > 0> W N m W w° J H 2 Y r m Z w° N H F w m U Q U a"uox a °`- 'dn.wz Wv;� Wa Betz'_°z f- zo6mQoF - "Mo wadNi zp ¢ Z O O H d d s c° O c -000 N ��i, N¢ i m 0 ¢ w Z iJ a ° m "' 'N" 0 m s n N O p N `o i s° a a w z a w i? 9 a z G a ¢z 3 z o o Y$ W °a > a i a s w G z Q o z¢< N g a m o m u o °N° g g u w �? z o z o a m w m w c w o w r z = °= r G m u a w u c m 3 5- i w °z G m> LL G a d W G x w z o a z a o w W> o °= a w N$ w `> w o G o S N 'a w> a 5 g i m c 'm a m z a w> o > N 3 S u w m 0 E?> 3 w r t9 ? LL x m m w 88gq8asoga. 3 °O O N ry Vf ry N ti aN So o ry `N $ gqQQ og o o g o g 0 o $o R¢ o g $ E o o S og q o o 0 S o Y N J N N O O d ao 8o 8 T N N ° a N N N N N N V! Vr N N N N N aT N N N N N N N N N N N UY Ll N N VL 1M1 N M N N N N V1 VL N N N h N N H VY N u u u n U a u u u u a u u u u u u u a u a n u u V u u u u m o � e 2 N N N N N N N N N M N M N N N N N lmV N N N T T N N N 1°iV N m T N N N N N N N N N N N N N T n V V n U U u u u> u u u U U u u U U> u u u U u> u u u u u u u u u u u u u u u u U U u u u U U m m ? m m m m m ? m m m? m m m m m m m m m m m m m m m m m m m m m m m m m m m m mm m m m m m F U U Z w O Z z Z Z O Z V_ Z U' > 0 p V U ° N a p z ymj U Z U C 3 Q m z O A 6 d z w ° w w? _ r z 'a^ m Q O 0¢ Z w m G" 2 ° J Q _ w z z m O w rc m r w ¢ O O m x N a y an x z m 0 6 O Z w d G Z O z o z 0 3 z °� w¢ m x x r z v a z u w to o z o d r =a W f o u zu 20 z oUm�wi ��., a =33n zw zu0ONm o °O z �i x O�Q a °.a., d N z `-' w o ;, x 0 u x 3 u u o z p m Q p O O o" 0 w z N z 6 o G F- N Q 3 rc m h LL i °z_ a G G F& c a= z t- p z o" o u gu 3 00 w p N p o m ° d w ozza w° „ ww zamo° oo occ iNw oz a oNc 3 m> x �' F J z 3 z z j a a tg z z z m x 'c ¢> x o m m m 0 5 J z$ m m m m m a a a m a s o 0 0 0 0 0 0 0 o x a 3 o > m Q a Q a 6¢ 0 0 0¢ a a¢ 6 m m m m m m m U u u u U u u V v V u u U U u° w LL l7 > o v a a v a e v v a e v a a a v v e e o a a a v e a< v v a d O O O O O O N O a « a e O O O O O O O O o< v a ti o a a O O O O N O O O O O O O O O O O N N - `v O e O a O \ N _ N \ \ \ - - \ \ \ \ \ \ \ \ \ \ \ \ n h h r r r h r r h n r n n h r r h n r n n n r r n. r r h r r r n h n r r i.+ N �.+ o N N n m m° ,•.: ,. ,^] ,°i �... ,^. °,.° °: °ry n ry ry n ry n ry °m mmm - n T- m m my c o 19G -2 O z Q N w V 2 w N U Z w LL j a w z N o a a V F = N w p N d p W = V Z N 2 a p w C 6 4 2 C> m N K U' U O V' Z a O¢ m 2 '� c m r 3 u w Q a m a ¢¢ i x ° N a z a N¢ a¢ ¢ U z f O¢ a m w r c z r O z c N¢ i `x^ LL o k_ F u¢ c a¢ s z z z w O¢ x Q M 2> d. n 6 Qd w a K d O V1 r2 cy U d > td O m V 6 ° p p W 2 > W N N K F' ° Z p N 7 N l7 F J> F- z w O d 6 w C w K Z 7 O O M F Q> h vl H N N 1 a 6' Q V- F LL z N w x N a d p o Q o k o° p m z w W a m m w z m p w o z z w w v°i a o W i x o N m a° m z 2 c m i p z a u° N m a u o F z J `g- z N z u a o z z 0 3 w i i i 5 N z LL w m-° w 0� g 2 w g m- O z. z _u e � u d u a u w 2 ° N o w zGGoxa W aoza °co 1oa °o 'p". >"°'zx oa C,xt >x >_ owo <zo ° w> 3 5 m x N d u u S o E > 3>> a x> r x w m w ° z❑ o g$ S S? g g S? o o S S g o S S o S S S o o S m ssss oo oo $ s oo oo J N O o tV N tVI N H N lV g a 6 0 dss m oO o L rO °O N 0 oao cw� O O Q N N N N N N N N N N N N N N N N N N N N N N N N N N N M N VIN N N N N N N N N N H N N N N N N N p p p p p y� )O p p ? ps2si zsp 1/� y� V� p ° ?spzsy p Yp d K w w a N V F F N V U N lJ F F N 6 V V U 6 U U d U K d V 6 d V V U d d d U d U U V U d 2 p, u >> H u U U u U u U U u u> u u u u u u> u U U u u u u u U u u u u u u> U u u u> u u> u u m==mmmmmmmmmm=m mmm mm� mmmmmmmmmmmmmmammmm2mm =mmm _ ° u m `u E m a ° a u V U 6 J z 6 2 } Y p O z u a m U Z F Z taJ z z ° u U 2 j Z N > ¢ Ou N u W H J o� u z F> J O¢ Z N w vi z z w OU OV 3°= a° O o m w N N Q O a N a Q w N j w V O O _ i i i w Q `$ Z U O U W m [G p 2 Q U N a Z V V z z a w w x m wo u N z a o r o == W w °a rc k= �_ °'� N z o z° o N W z '^ C J 3° 3¢ d N N o vii O j° z O n n z w° rc° etl m N s O O m~ F a z w LL o z w p O i ° z z i d 0 °w ¢ Z¢¢ o o x z z g o o r o° H x x p w u u z o m z p N o LL o Z vui vui p w w m m w a p N m° G z? o N° o° a w m °> z z a x a a" a Y° 3 N k k r 'J' 'z z i¢¢ o a u °u u 3 z rc 6 6 x 6 o e°t N N u ou N o > o o c a a p w o z z N- a o g y > ° °° m x x x x x x x Y Y s i p p d d o m a v In a o v a o v v a a v v v o< v a a v v a a o v e e< a a e o o a a a v a a a v v v e o v a d O O O O O O N O O O O O O O N N O O O O O O N N O O N O O O O O O O O O O O O O O O O N O O O N 19G -3 `o m rc 3 i a w o ° z ¢ n c= °o v ari z c= r = z a J= a r c N z ° i H I p a u U w a w U w c n i u u i °c Z z x? LL p 0° 2 N O z y J ¢ W O c r o °� '^�'nr UD'v'i z x �>,u r z z z� Quiz N a"a' =zwda a U r w a a w j m z a 6 a °c c a H w z 0 a a p u w W a W z N rc c J c a 2 t9 Z Y aU u w z z O o u z c g _ O o z° ° w¢' U ? Z '> z Y 60 'Y c a 0 0 z z = z a P cp z z¢ x V r x w° ? '^ w m o Q¢ a i° N z s o W w z z G i> $ °o K 3 z W '^ '� =$ �J o z° d rp w z a= x z °° i W a r d ° W z P Q¢ w v'i r N s u 2 u 7 7= K F f j z j c o>> U' u z z c wV' w W a LL¢ o a w o O r ¢a ¢ Q �` ¢ m z c O u° g w v'i U m m r r¢ c z w x .0 2 H 4y 0 ,= N �n ¢ 2 z y¢ c >° s°. a u u w v'i w s ¢ w °' 3 a a >)) u m 3 6 w° °' S S W a a o 'a o x <� F z p r Q a o u i z a F a3 W W Z W 'r^ K Q VV1 2 O N vUi j H 2 p 2 7° z K ru O n Q Z Q r U Q Z j O C i °w r O w �j a r a °z a° 3 E> z 5 i 2 5 v ? rc z e o z o° c a u yr °° S g O o W z 2 no 0 0 0 o g g o 0 8 0 0 0 0 0 °o, o o S S o n , 40i °o, .°n, °o, 0 0 m m 8 0 0 °o, 0 0 0 0 0 0 0 Q g Q p g °o No OO $Soou ooS S oS oog mwe m n.P. S 25 D,N NOD e.°p+,mn inim "' m °o 9 N N '1 H N ti N O O O O O O V1 O N N T v1 ^ N C1 N P Q N ti b N ti N eQi N Q O Q N N N N N N N N N N N N N N N N N N N N N N N N N A N N N N N N N N H N N N N N N N N N N N N N N zs u� o s F E c f 3 F p 3 c¢ 3 3 6 a o 3 0 0 0 c o c 0 c z c a c °° F a o d u a a u u U u a n u u u a d a a a a a n i n n a a s a s 8 a m 9 o co mQNrv4O ry °.Q. ti.°i .ai 00 m.°imMPOev E � P °�� P P m m o ry ry o g P N o P� �+ P P P P m o� o o m m m n Q O] Q n T I� v) P ti ti N e40i N ePi N H N N ti ti eb1 P ti .y P Z ry r M m N N N N N N N N T N .�i .~i 2 2 2 Z .� 2 2 .i n ti .y .i .i ey .� .+ 2 ."+ Z 2 d U U V> U U> V U V V U> U V V H m 6 m m °........ ° ° m m m 6 °6 6 6 6 d d¢ 6 a¢ a 6¢ a 6 6 6 6 d 6 6 6 a d a a 6 6 d p a z U O r i 0 z Z 6 a O vi r z r i z a U Q P V z O Z W a p ? 2 a Q O O w = O w F U P w u °n ° Ci r c O c r aE z x r a n N N N u u u a P Y Z 6 W p z o u z o z u S p a u N a z z z N a Y o c r w rc rc° z i z E o o r P F a z z a z= z o c '� ou c z i a a¢ a U w c O a 6 r 0 r u 2 rc O Y H > i s z o 3 m i z 3 a a z S a° z r. a o a °z G i o G z o m i >a z w c 'o o 0 w a as c c ¢ z o .n a r> rc d W w 3 z c p p a u¢ 2 `o a N O m 4d J w Vwr' _ N a s O z w �' w Z w?> u° z s c 2 �' O i p s c °c > N �n .rn z z a a g d a a '� x a 6 s o i c o x p N z a a u N° t¢9 i x a° o w< m m > o N r > > >° >> >> 3 3 3 3 3 a r r o r a¢ x S m m o a aQ QQQQQQQQ Q 1QaQ8QQQe Q a Q � -- - - - - - - - - - - - - o o 0 0 0 o N o 0 0 0 0 o a o 0 o ry o 0 0 0 o r ry o o ry N o 0 0 0 0 0 0 0 0 0 0 ----- 0 0 0 0 0 p n �i n �i \ \\ n n\ �-. iv \ m m m^ n m. m� m m m w o 0 0 0 0 n n n n n n n n n n n n n n n n n n n n n n n n n- n n -- n n n n n n n n n n n n n n r n o r m o 000 o tio00 °.+ m e n ti n m ti N u+w n ry ry ° m- m m - - -- Q - N ai of 19G -4 n e z O 3 $ o z w Z r p m z Q w> z v� d z ° dxJ 6' > 2 S O m w> S r o m 0 z z �' w NF >z z xwa >�n�aa9'W"� ou r a F i>.,a w W wa z ¢.n Nu�zz 3 SLL z m N z o a 0 i 4 N o 2 2 u< i 6 0 m z n u a z c° a o m w z z u N ¢ m LL¢ a r W N a ¢ z vi o J ?� a w m> a o N, Z z z E 5 ° j a aN z O w z w n OJ w? > °S c Or vOi 0 z z v�'i 0� 6 m° 'p^ LL Z W m¢¢ w r m w m z G a W¢ p ¢ a ° c o z o o a Q z > z ,e u wf a ;c F u S 2 N u x m w u U �n w� 2 > F> m p Q m 0 o p W ?i O i W > 2 Q U 3 ae l7 m W wiz, °1u"uo"'NQ �a5�W. <- aC,rwu ��z °ago W QNQOZa'^u, i x o z? G Q u i w a c a z w u u G W z c z_ z N z u p OW O z U m> O w m 6 H a r �J O m a "' o W m> 2 0 0 z Q° p Q° '^ '^ n 6 z 6 m N c g- G a vui x e u r¢ O t- u a .�i N r> 'J a �i -¢ O 0 ormmom0 0 000 °ao 0NO0o00� °m, rPn.SgngSggo.m+0ss000oo0 °0,$ °0,00000 o vrvi �o m 0 in Q QQ °omm� mn wmo o°-4 "$ n m g ° 0 n $00025 oo SogeEr o -i -i m m m o m ° Q NNNNNNNNNNNNNNNVM1NNVl VY V /YNNNNNNNNNNNNNNNNNNNNNV�NNNNV� "J bau "J 3 3 a a a n n u d d u n u n u u u a n a n d a u a e m m 0 0 0 0 0 0 0 E o m m m 0 m m- m m m m. m o m m I m m m S S S o O g S a o m m N n m v o m o 0 0 0 iz."i .i .. .'{. .'iiz.�. r.�'�".�. .�+�+� i.:.'"..y.y .'". .m. .�. .�. ,y .i .�."+.�. .�+m I z m m °m°T m°m m m °T m z z i.'"+ d U u U U U U U u U U u 0 0 0 O O O 0 0 0 0 0 0 0 0 0 0 0 0 O 0 0 0 0 n n O 0 0 0 O 0 0 0 m 0 0 0 0 0 0 0 0 0 0 l9 t9 p O r ¢ a a a a a a a a a a a a n a a c a a m a¢ m m m m m m m m m m a a a z 3 > a z r z z = z ° m J N p w u 2 U ar 0 Z O U p u Z Z> S = z U u° Ua N O J 5 z o W w o> N a o a o z p ¢ u O w .O. U u H w 6 r u a c O u a ¢ O n ° 'Y H z m n O w W w 60 ¢ u m w m p u y o u i u z° w u y s u N U� r g> J 0 0 w 0 °U O z z u 0 w z z N N w z z o�moo�zvJi o°i °w ,>z, za w��upp °a m�"m'�xwjaauF3inm�zm,r,���y z a w p u o N 0 ¢°?�¢ w r Q a z a¢ z o p z? a�� O w a w u =o J o ... z a O x am d m 1 z z u w g = '�" s 3 i z¢ m a ? 3" 3 a r w z 3 Z 3 p z o Q z `-' i t� ° w z z F¢ y O Q m m c OLL O O y 0,� rc r° r m w a Q j a `n a z¢ a a "- ° s o a 6 o W o u> m '"-' °° a a m N C a a o 0 3° o° a? W w w a zo m o a j o O x? r u 3 u? z >i m N° z a x z N v v e e v v v a v e e e v e e v v v e v e e e e v v v e e v v e v v v v v e e v a v a v v v e v y 0 0 0 0 0 N 0 0 0 0 0 0 0 0 0 o a o 0 0 0 0 0 0 0 0 0 0 0 0 0 ry 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 m- O � .+ .ni .ni .n. m m m m ti m m m .n m m m m 19G -5 `o a z z z w 5 z a a 6 y d z Q Z U 2 F w z 6 w N ' d Z Q w H W 6 d z a d LL z d 3 M o LL a W G z c a z c a 3 r z ->m >o LL W a m z W N m z w G m- o$ a o o a w a a �o °d °u G <�o y omo �z'U^,o�G Wed oim0 UU0 uG� 2 '�a'"m.n�N z'"> ?'Oa W�� r - zzwrz Www N° 3 o z o_ a a a z z '�^ i z 5 °o d w w z z o z a a a r z a Q m rw oig¢i -az03z 'Q^, zH iz2°w a °m °zama~w ,��,z tzmaG°a >uoc t LL N z oy G z o 3 i o m a o W z o w W a m W i a ,°„ o o yo o z g z z F z w o z N Q F o s 3 Q3 o w in LL> i n rc i o r w z" t- ¢ u< u° Q z m i r °m a s t 5 LL z x o S z i a c z .3., z G a rc p z °0 m o G N z° o N o 0 0 o o" aa� °zgr�000�a >m�, uu �r o �., Swf3Qf ao> 50 a m 00 SAS °m, vrim °o,nm�o qu rNi,o °o,oS °o�ngmoo$g8g�amg°r, 0 0 e 8 QQ O ti O O m O m O N O N S S n GI r n Cj N N VO, !mV Q S ~ S Qri O N VI � S O H m O N emevNi .c �cnenmNOmomm nm o.+,crm.+.noe.imomg�?..mmn �u .+v'ri 'i .6r4 e N m r e1 C Q Q Q m m Q Q a a u ma 0 3 Q a 0 0 d 3 a o 3a U a V m U a s a d n g d vtitimrmmNmnmao end mo .nem mmm nuvm'm'{o u, m.+Nemme a N m a e v m �+ m m �u S n r n r m m m m ao E o 0 0 0 0 0 o S o 0 o g o 0 0 N o 8 S S S o o '8 S o 0 0 0 p o 0 o S 0 0 0 0 0 0 0 0 0 o a o 9 N n r ti n ti N fl fl ti r ti ti r n ti ti er1 O r n r N 'I 'I n n n ti 2 z z r r .� r .� .v r r .y .i .+ .v .i r Z .v .i .v .� ti r r .� .� .� .� .y r r m n .� .`�i z r z .i r z .�+ d r '0000000000000000 0 0 °o°° °o° o o°° a o° O o o°° o o°° o 0 O o o 0 Q a n a s n n a n a a s 0a m a n a a a n n Q a a a r a � x Q O 0 w z 4 = w ra z Z J u rc u Q z S= z z z - o a ru z ou a K � z o o a Z u > z z 'o z z G o p �a z o o N a = 0 z o o c u u z o Z o z a w W LL= w z> z o o z W LL w Q o a o ? o d zu o0ND a NOm r- 6F¢a oQzF"' -u c>5 ca'wn za ¢ �'„ou i ? u w o LL z 3 J 'c LL 3= Q u u o o z z m a p s-= o o g N Q a z z a i o Z o 0 z o z z v" o u w O r W z w t9 m z Q°> I t I N F a - o ou o W o o W e s= 'x- z< G -° a 3 o w z° .z„ > m z °0 m a o _ d o a a p o w o J o° z z w a o? W° F Q m m m w m o z W a o o p p > z r a n u �, 3 S u c x a 3> m m o F o r 0¢ 0 m e e< e e e e e v e e e v D d a O m O e O N O N \O N vi O N n O N Po n N n N m N s N a w O N O .i O O e o o o O O O O O a a O m e O v ry N i -------------- v \ m m \ m m N r e O N n m\ m m m m m\ m m\ m m w m m m m m m m m m ro w m m w m m m m m m m m m m m m m m m m m m m m c e+ °m m.mi .mi m.°i. °ry rvrvry o m m m LLw LL LLwwLLLL w LL S O O O O O „'� 2 �y �y ,y N N N ry N N N N N N N g E R R 4 R R E E R iF E# 19G -6 a K K U E o m r 6 6 H 1 V' °_ 2 t w a° a 2 2 W O d> ed w Z V m n m w m m Z U V s r a 6 a a u O m o d> o a w 3 >> x z m h m m w w o °a r o a w °i' w ° w w J m Z Y m V W y Q Q V °U vi w-d• m0 JRz" w`^ G wr a'^o iu zcao Wdwi3rr Ww zmzo o m° ° d LL 2 . z r z g °� o u G i o w 0 w °u a 0 o w z ou a u p U' > O Qn W W W V Y z w u '� O Z Z J 2_ z Y C U' a m m Z° p m W 3 a 1a- 6 m z z rc c J ap 2 m O C la- C U U 2 G m m Q 6 Z m y r w F m 'a^ e m m z r m i a OW w OV c a> O m w z w Z a ¢ o > w a° s z w z 4 w a= ° N qw m i ¢< z "' > r> u 6 Z m> m u G o z u n "' u u° i u r o 3 vi u a d d z ea W G F r a g °u O¢° o LL J G° w o i i ° 1 °m 2 z w o z s JWU ° 8 °r w m 2 z t a G 0 < „°, G G> o o Z g d a n i z z a W z z o a x Yz Yz > G c c m G a o o z N z v rc w i Q N¢° i '= >p u a r o w a m J°° m w u O Z O N r ° O Z N rc° c` c? u u r¢ 3 u a¢ i F ? �+ >> u z u .n O a 0 0 0 0 N o o °o, r m m o o m Q o 0 o 0 0 o 0 0 p o m n o? 0 0 o ro o n oq a o °o, o 0 0 ?^ m o 0 0 m� $�� o o Y` do m g< g 6 m g�� n g v n o m S ai o.nn v+e .+ m vi ai o.+tin o ti n ry arv.+m .+�+i .y ry r7r ry o m n r ry m o vi a Q N N N N N N N N N N N N N N N N N N N N N N N N Vr N N N N N N N N N N N N N N N N N N N N N N N d u U U U H 6 a d ¢ 6 6 a 6 6 d 6 d 6 6 a a Q? m °N °N m= p 6 6 6 6 >00000000000000000000 ¢ a Q a a a Q r x U K � a u ° z m z m z U Z ON U K z w G 2 v U' Z Z Y= G ° a Q u' z Q z x u m m u f m a r ' o a 3 n E �” w w o 3 y F o m z a o a w Q N z Z p ? 0 O Q z x z a w ° z¢ ° z 6 u o -O O C I N z 0 z Z a ^ z z u j Q z z Z z F a. z J G w x z m i i a ° 0 ° a o z z i a i G w i a °jj z zm g w 0 m m a _ f z a 2F Y o a >o i z a a i o ° o a i o s p o ° d 2 c o g w a o w m r ° m a o o a °> o > D w z > a Q m x m Q x ---° 0 0 0 0 o vi a e a a a 0 ry N o 0 0 o ry o ry n N o n o o ry r o 0 0 o N o N o 0 ----------- ry rvrvrvn ry rmi rv�'\�. �i \.. n n n n m e u�i .n .n ------------ mm m m° .^.\\" m ao m m w m m �m eo m ro m m ro m m m m m m m m m m m m m m m m m m m m m m m m m m m m m i t¢ w w a¢ w rc w w z c w E R R E R R E# R E# E R R R# R R E R R# R R # E R R S# R R# R R E# R# R R E R R E# 19G -7 ° a i a i n a a n u a u a a a s a u u a a a u u a 0 0 n n n n ry n n n rvni .ni .ni .ni n .ni .ni n ry O m m O .ni .ni n .ni .ni .ni .ni .ni .ni .ni z z H z z i i .ni z.+.i z.� i z z z m .+�+�+�+.+n �+�+.`i I I r.+.+.i d u U U U H 6 a d ¢ 6 6 a 6 6 d 6 d 6 6 a a Q? m °N °N m= p 6 6 6 6 >00000000000000000000 ¢ a Q a a a Q r x U K � a u ° z m z m z U Z ON U K z w G 2 v U' Z Z Y= G ° a Q u' z Q z x u m m u f m a r ' o a 3 n E �” w w o 3 y F o m z a o a w Q N z Z p ? 0 O Q z x z a w ° z¢ ° z 6 u o -O O C I N z 0 z Z a ^ z z u j Q z z Z z F a. z J G w x z m i i a ° 0 ° a o z z i a i G w i a °jj z zm g w 0 m m a _ f z a 2F Y o a >o i z a a i o ° o a i o s p o ° d 2 c o g w a o w m r ° m a o o a °> o > D w z > a Q m x m Q x ---° 0 0 0 0 o vi a e a a a 0 ry N o 0 0 o ry o ry n N o n o o ry r o 0 0 o N o N o 0 ----------- ry rvrvrvn ry rmi rv�'\�. �i \.. n n n n m e u�i .n .n ------------ mm m m° .^.\\" m ao m m w m m �m eo m ro m m ro m m m m m m m m m m m m m m m m m m m m m m m m m m m m m i t¢ w w a¢ w rc w w z c w E R R E R R E# R E# E R R R# R R E R R# R R # E R R S# R R# R R E# R# R R E R R E# 19G -7 \ - _ § }§ _- - - }\\\ \\ - `_ °( \}\ \(j( !) ;E, §&;:�r «;§E: ���� !;!l���;;� „ rte,■ �[ ;2332 ® §(! <�������E��� ! !l�� = = #:�l� #�; =E_����� ! aEaE:; )(\ /2El5= ;! „ ;§§ ,��,_ =!*¥@wwl;;m;m&�eae! |0 § \ \ \ \ / \ } \ \ / \} \ /\ \ \\� + / * \\ \ ^o6 :22)22 §=IEKEK;t -2 2El2; § §2 §Ee ! :20 7220 2 »E 0 E»0 , 000000000000000 \ E 2 ,�) \ - i \ - | ()!\) Zw( ) ! ( !\ > §§ \ / < \ §!\(a !\ 0 \ \ § ) �� ; / 0-- __\ §[ § �� > !§n!: | §\ \ ;! / § i § §!!u»-ff - - :a: i °§ ! \ 2 E>Ll § 3!� §, > \ §0 a !r > o 1§G- REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: INCLUSIONARY HOUSING AGREEMENT BETWEEN THE CITY OF SANTA ANA AND 1901 E. FIRST STREET OWNER, LLC —1901 E. FIRST STREET (STRATEGIC PLAN NO. 5,3B) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: F11 »:100A01 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the Inclusionary Housing Agreement with 1901 First Street Owner, LLC. DISCUSSION On November 28, 2011, the City Council adopted the Housing Opportunity Ordinance ( "Ordinance ") to encourage the development of affordable housing by requiring the inclusion of affordable units within developments that involve either an increase in the density otherwise available under applicable zoning and development standards; a change in land use designation from a zoning regulation that does not permit residential uses to one that does permit residential uses; or, the conversion of rental units to condominium ownership. This ordinance applied to all projects entitled after November 2011, with the exception of any project that had an approved development agreement. Lyon Communities, developer of the 1901 E. First Street project, was intending to comply with the affordable housing provisions of a previously approved development agreement for a project that was entitled on the site in 2007. This agreement did not require the construction of affordable units but required an in -lieu fee in the amount of $3,000 per unit. Prior to the approval of the new entitlements for the Lyon project, the issue of providing on -site units at the project was raised. After discussions with the applicant, on November 18, 2013, the City Council adopted Ordinance No. NS -2850 and amended Development Agreement No. 2007 -01. The revised agreement modified the inclusionary housing requirements for the Project and mandated the construction of ten (10) low- income affordable units within the project. The developer has been working with staff to complete the documents required by the Housing Opportunity Ordinance. The Inclusionary Housing Agreement (Exhibit 1) satisfies the inclusionary housing requirement of the Project and is consistent with the standards set forth in the Ordinance. 19H -1 Inclusionary Housing Agreement — 1901 E. First Street November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #313 (Ensure compliance with the City's Housing Opportunity Ordinance by requiring rental and ownership housing projects that meet specified criteria provide a minimum of 15% affordable units). FISCAL IMPACT There is no fiscal impact associated with this action K Ily R d Executi Director Community Development Agency Exhibit 1: Inclusionary Housing Agreement KR/nv /vf 19H -2 RECORDING REQUESTED BY AND WHEN RECORDED MAIL TO: City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: City Clerk To be recorded without fee. (Space Above This Line For Recorder's Use Only) (Government Code, §§ 6103 and 27383) INCLUSIONARY HOUSING AGREEMENT 1901 E. FIRST STREET -- — THIS INCLUSIONARY HOUSING AGREEMENT is dated as of October 15, 2014, by and between the CITY OF SANTA ANA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (the "City "), and 1901 FIRST STREET OWNER, LLC, a Delaware limited- iiability company- ("Property- Owner "). RECITALS A. The City's Housing Opportunity ( "Ordinance ") was adopted by the City Council on November 28, 2011 and is codified in Article XVIII.1 Section 41 — 1900 of the City's Municipal Code. B. The Property Owner is the fee owner of the Property located at 1901 E. First Street, Santa Ana, California. C. The Property Owner desires to, at the Property Owner's sole cost and expense, develop a two hundred and sixty -four (264) unit Project on the Property. D. On November 18, 2013, the City Council approved Vesting Tentative Map No. 2013 -04 and Site Plan Review No. 2013 -03 (the "Site Plan "). On that date, the City Council also adopted Ordinance No. NS -2850 approving an amendment to Development Agreement No. 2007 -01(as amended, the "DA "), which collectively set forth the City Approvals for the Project. Incluslonary Housing Agreement — Rental Project Page 1 City of Santa Ana Exhibit 7 September 18, 2014 19H -3 E. Development Agreement No. 2007 -01, as originally approved and effective, was in effect at the time of the adoption of the Ordinance and addressed the affordable housing requirements for the Project, Therefore, pursuant to Section 41- 1903(b) of the Ordinance, the Project was exempt from the requirements of the Ordinance. F. The DA, however, provides, among other things, as follows: "5.9 Inclusionary Housing, Owner shall produce and incorporate a total of ten (10) low- income affordable units, including five (5) one bedroom units and five (5) two- bedroom units, within the Project pursuant to the terms and regulations of Article XVIII.I of Chapter 41 of the Santa Ana Municipal Code," G. Prior to the signing of this Inclusionary Housing Agreement, the Program Director, acting on behalf of the City, approved an Inclusionary Housing Plan that was prepared by the Property Owner in accordance with the requirements of the DA and consistent with the standards for inclusionary units set forth in Section 41 -1906 of the Ordinance. H. This Inclusionary Housing Agreement, when fully executed by the City and the Property Owner and recorded, is intended to satisfy the requirement that the Property Owner enter into an Inclusionary Housing Agreement as contemplated by the DA. NOW THEREFORE, in consideration of the mutual promises set forth in this Inclusionary Housing Agreement and other good and valuable consideration, the receipt and sufficiency of which is acknowledged by the City and the Property Owner, the Parties, agree as follows: DEFINITIONS OF TERMS The following words, terms and phrases are used in this Inclusionary Housing Agreement unless the particular context of usage of a word, term or phrase requires another interpretation. Affordability Covenants shall mean the Gross Household Income and Affordable Rent standards that will be applied to the Inclusionary Units Incrus ion ary Housing Agreement— Rental Project Page City of Santa Ana 19H-4 September 18, 2014 throughout the Affordability Period. The covenants are defined in this Inclusionary Housing Agreement. Affordability Period shall be set at 55 years from the Recordation Date. Affordable Housing Cost means the maximum costs that can be borne by Low Income Households based on the requirements imposed by HSC Section 50053. The calculation methodology is described in Exhibit 7. Affordable Rent shall mean the Affordable Housing Cost minus the applicable Utilities Allowance for each Inclusionary Unit. Applicable Provisions means those provisions of the Ordinance which shall apply to the Project. Because the Project was otherwise exempt from the Ordinance, it is necessary to clarify which sections of the Ordinance have been made applicable to the Project by Section 5.9 of the DA. Those provisions are Sections 4T 1901,1905 (a), (c), and -(d)1, 1906(a), (d), (e), (f), and (g), and 1910. Should the rental units in the Project be sold as ownership units at any time during -the AffordahilitVPeriod; then (i ec I n "I- c shall become an "Applicable Provision" and (ii) Section 41- 1906(d) shall no longer be an "Applicable Provision." California Health and Safety Code ( "HSC ") provides definitions of household income and affordable housing costs that are used in this Inclusionary Housing Agreement. City means the City of Santa Ana, California. City Approvals are defined as the entitlement approvals and the Inclusionary Housing Plan that has been approved by the Program Director prior to the issuance of building permits for the Project. City Council means the City of Santa Ana City Council. Default means the failure of a Party to perform any action or covenant required by this Inclusionary Housing Agreement within the time period provided herein following notice and opportunity to cure, as set forth in Article 3 — Section I of this Inclusionary Housing Agreement. 1 For purposes of this Inclusionary Housing Agreement, the words "fully implemented," as used in Section 41- 1905(d) shall mean only that this Inclusionary Housing Agreement, including the Inclusionary Housing Plan, has been approved by the City. Inclusionary Housing Agreement — Rental Project Page 3 City of Santa Ana 19H-5 September 18, 2014 Draft Manual is the draft Affordable Rental Housing Draft Manual dated August 8, 2014, which has been prepared by the City for the implementation and enforcement of the Ordinance (the "Draft Manual "). The Draft Manual is attached as Exhibit 12 to this Inclusionary Housing Agreement. As used within this Agreement, "Draft Manual' refers only to the Draft Manual attached as Exhibit 12 and not to any revised or final version of the Draft Manual. Except as agreed to in writing by Property Owner, the only Affordable Rental Housing Draft Manual that will be applicable to the Project is the Draft Manual. Effective Date means the date on which this Inclusionary Housing Agreement is approved and executed by appropriate authorities of the Property Owner and the City; and this Inclusionary Housing Agreement is delivered to the Property Owner. Eligible Tenant shall mean a tenant who meets the eligibility criteria set forth in this Inclusionary Housing Agreement and in the Housing Plan. Executive Director is the Executive Director of the Community Development Agency of the City. Exhibits means the exhibits to this Inclusionary Housing Agreement, which are listed in Article 1 - Section V. Gross Household Income means all income from whatever source from all Adult Household members, which is anticipated to be received during the 12- month period following the date of the determination of Gross Household Income. The applicable sources of income are defined in California Code of Regulations Title 25 Housing and Community Development Section 6914. The definition includes the following specific requirements: 1. Except as provided in Subdivision 2, all payments from all sources received by the head of Household (even if temporarily absent) and each additional member of the Household who is not a minor shall be included in the annual income of a Household. Gross Household Income shall include, but not be limited to: a. The gross amount, before any payroll deductions, of wages and salaries, overtime pay, commissions, fees, tips and bonuses; b. The net income from operation of a business or profession or from rental or real or personal property (for this purpose, expenditures nclusionary Housing Agreement — Rental Project Page City of Santa Ana 19H-6 September 18, 2014 for business expansion or amortization of capital indebtedness shall not be deducted to determine the net income from a business); C. Interest and dividends; d. The full amount of periodic payments received from social security, annuities, insurance policies, retirement funds, pensions, disability or death benefits and other similar types of periodic receipts (but see subdivision (2)(c)); e. Payments in lieu of earnings, such as unemployment and disability compensation, worker's compensation and severance pay; f. Public Assistance. If the public assistance payment includes an amount specifically designated for shelter and utilities which is subject to adjustment by the public assistance agency in accordance with the actual cost of shelter and utilities, the amount of public assistance income to be included as income shall consist of: - i. The amount of the allowance or grant exclusive of the amount specifically designated for shelter and utilities, plus ii. The maximum amount which the public assistance agency could in fact allow for the Household for shelter and utilities, g. Periodic and determinable allowances such as alimony and child support payments, and regular contributions or gifts received from persons not residing in the dwelling; h. All regular pay, special pay and allowances of a member of the Armed Forces (whether or not living in the dwelling) who is head of the Household or spouse or domestic partner (but see subdivision (2) (e)); Where a Household has net assets in excess of $5,000, income shall include the actual amount of income, if any, derived from all of the net Household assets or 10 percent of the value of all such assets, whichever is greater. For purposes of this section, net Household assets means value of equity in real property other than the Household's full -time residence, savings, stocks, bonds, and -- — Incluslonary Housing Ayreemont — Ronal Project Pages City of Santa Ana 19H-7 September 18, 2014 other forms of capital investment. The value of necessary items such as furniture and automobiles shall be excluded. 2. The following items shall not be considered as income: a. Casual, sporadic or irregular gifts; b. Amounts which are specifically for or in reimbursement of the cost of medical expenses; C. Lump -sum additions to Household assets, such as inheritances, insurance payments (including payments under health and accident insurance and worker's compensation), capital gains. and settlement for personal or property losses; d. Amounts of educational scholarships paid directly to the student or to the educational institution, and amounts paid by the government to a veteran for use in meeting the costs of tuition, fees, books and ipment, An➢ afrraants -of--srrcl>—scholarships, or payments—to veterans not used for the above purposes of which are available for subsistence are to be included in income; e. The special pay to a serviceman head of a Household away from home and exposed to hostile fire; f. Relocation payments made pursuant to federal, state, or local relocation law; g. Foster child care payments; h. The value of coupon allotments for the purchase of food pursuant Jo the Food Stamp Art of 1964 which is in excess of the amount actually charged the eligible Household; Payments received pursuant to participation in the following volunteer programs under the ACTION Agency: National Volunteer Antipoverty Programs which include VISTA, Service Learning Programs and Special Volunteer Programs. lndusionary Housing Agreement— Rental Project Page City of Santa Ana 19H-8 September 18, 2014 ii. National Older American Volunteer Programs for persons aged 60 and over which include Retired Senior Volunteer Programs, Foster Grandparent Program, Older American Community Services Program, and National Volunteer Program to Assist Small Business Experience, Service Corps of Retired Executive (SCORE) and Active Corps of Executives (ACE). Household means all the persons who will occupy the Inclusionary Unit. A child who is subject to a legally- binding shared- custody agreement, in which the child resides with the Household at least 50% of the time, is counted as a mernber of the Household. Excluded from the definition of Household are live -in caregivers /caretakers, foster children, unborn children and children being pursued for legal custody or adoption that are not currently living with the Household. HCD means the California Department of Housing and Community Development. HUD means the United States Department of Housing and Urban Development. Inclusionary Housing Plan means a plan submitted for approval to the Program Director that details the manner in which the Inclusionary Housing obligations will be fulfilled by the Project. The approved Inclusionary Housing Plan (i) is attached as Exhibit 4 to and incorporated in its entirety within this Inclusionary Housing Agreement and (ii) shall be deemed a substantive part of this Inclusionary Housing Agreement. Inclusionary Unit means a rental unit in within the Project that is made affordable by covenants or conditions restricting occupancy and rental rate charged as set forth within the Inclusionary Housing Plan and which is occupied by an Eligible Tenant. Low Income refers to Households whose incomes meet the standards defined by the H &SC Section 50079.5. Generally, Low Income means household income that does not exceed 80% of the County Median Income, as adjusted for Household size. However, the maximum household income amount for Low Income Households shall be set at the amount published by HCD annually. Low Income Household means individuals or Households who have an adjusted Gross Income that does not exceed Low Income. Inclusionary Housing _Agreement— Rerital Project —Page-7 City of Santa Ana 19H-9 September 18, 2014 Market Rate Unit means any unit in the Project that is not restricted for rental and occupancy by Eligible Tenants. Median Income is calculated by HCD using non - aggregated census income data and applying trending factors for metropolitan statistical areas (MSA) throughout the country. The MSA for Santa Ana is Orange County. Ordinance means the Housing Opportunity Ordinance adopted by the City Council on November 28, 2011, which is codified in Article XV111.1 Section 41- 1900 et seq. of the City's Municipal Code. Party and Parties mean the City and the Property Owner as parties to this Inclusionary Housing Agreement. Program Director has the day -to -day authority for making determinations related to the Ordinance and the Draft Manual. The Program Director will be appointed by the Executive Director. Project means the rental housing project proposed to be developed on the Property at the Property Owner's sole cost and expense. Property means the real property on which the Project is to be developed, for which the legal description is provided in Exhibit 1 to the Inclusionary Housing Agreement. Property Owner shall mean the owner of the Project that includes Inclusionary Units. Recordation Date means the date of recording in the Official Records of the County of Orange, California of this Inclusionary Housing Agreement. Utilities Allowance shall mean the Utility Allowance Schedule published annually by the Orange County Housing Authority. — — — — _.— .._.__......------- ....._._. Inclusionary Housing Agreement — Rental Project Page 8 City of Santa Ana September 18, 2014 19H -10 D ; AND EXHIBITS I-A. City. The City is a municipal corporation. The address of the City, for the purposes of this Inclusionary Housing Agreement, is: City of Santa Ana Community Development Agency 20 Civic Center Plaza, M -25 Santa Ana, California 92701 Attention: Program Director Facsimile Number: (714) 667 -2225 # =f� P y Owner. tie Prosy �r is a Delaware limited liability company. The principal office and address of the Property Owner, for the purposes of this Inclusionary Housing Agreement, is: 1901 FIRST STREET OWNER, LLC 4901 Birch Street Newport Beach, CA 92660 Attention: Chief Executive Officer Facsimile Number: (949) 252 -9202 The representations and warranties of the Property Owner contained in Article 1 — Section II shall be based upon the actual knowledge of the Property Owner as of the Effective Date, and are true and correct as of the Effective Date. The Property Owner's liability for misrepresentation or breach of warranty, representation or covenant, wherever contained in this Inclusionary Housing Agreement, shall survive the execution and delivery of this Inclusionary Housing Agreement. Inelusionary Housing Agreement— Rental Project J Page 9 City of Santa Ana 19H -11 September 18, 2014 The Property Owner hereby makes the following representations, covenants and warranties, and Property Owner acknowledges that the execution of this Inclusionary Housing Agreement by the City has been made in material reliance by the City on such covenants, representations and warranties: II -A. The Property Owner is a Delaware limited liability company, lawfully entitled to do business in the State of California and the City. The Property Owner has the legal right, power and authority to enter into this Inclusionary Housing Agreement and the instruments and documents referenced herein and to consummate the transaction contemplated hereby. The persons executing this Inclusionary Housing Agreement and the instruments referenced herein on behalf of the Property Owner hereby represent and warrant that such persons have the power, right and authority to bind the Property Owner. II -13. The Property Owner has taken all requisite action and obtained all requisite consents in connection with entering into this Inclusionary susingATeement - and —t-he- nstraments—and- documents reference-' herein and the consummation of the transactions contemplated hereby, and no consent of any other party is required for the Property Owner's authorization to enter into this Inclusionary Housing Agreement Il -C. Neither the execution of this Inclusionary Housing Agreement nor the consummation of the transactions contemplated hereby shall result in a breach of or constitute a default under any other agreement, document, instrument, or other obligation to which the Property Owner is a party or by which the Property Owner may be bound, or to the best of the Property Owner's knowledge, under any law, statute, ordinance, governmental regulation or any writ, injunction, order or decree of any court or governmental body applicable to the Property Owner or to the Property. II -D. This Inclusionary Housing Agreement is, and all agreements, instruments and documents to be executed by the Property Owner pursuant to this Inclusionary Housing Agreement shall be duly executed by, and to the best of the Property Owner's knowledge, are or shall be valid and legally binding upon the Property Owner and enforceable in accordance with their respective terms. Inclusionary Housing Agreement— Rental Project Page 10 City of Santa Ana 19H-12 September 18, 2014 Ill. Effective Date This Inclusionary Housing Agreement is dated ' October 15 _, 2014, for reference purposes only. This Inclusionary Housing Agreement shall go into effect on the Effective Date. IV. Recitals The Recitals set forth above are true and correct. The Recitals are incorporated into this Inclusionary Housing Agreement in their entirety by this reference. V. Exhibit List The following is a list of the exhibits attached to this Inclusionary Housing Agreement. Each of the exhibits is incorporated by reference into the text of this Inclusionary Housing Agreement. Exhibit I Legal Description of Property Exhibit 2 Site Map Depicting Property and Zoning Designations Exhibit 3 Property Owner's Phasing Map Exhibit 4 Inclusionary Housing Plan Exhibit 5 Schedule of Performance for Release of Inclusionary Units Exhibit 6 Household Income Limits - 2014 Exhibit 7 Calculation of Affordable Housing Cost — 2014 Exhibit 8 Utilities Allowances - 2014 Exhibit 9 Annual Tenant Recertification Form Exhibit 10 Annual Rental Housing Compliance Report Exhibit 11 Notice of Affordability Covenants on Transfer of the Property Exhibit 12 Draft Affordable Rental Housing Administrative Procedures (the "Draft Manual") ndu5i onary Mousing Agreement—Rental Prated t P age 11 City of Santa Ana September 18, 2014 19H-13 ARTICLE 2 INCLUSIONARY HOUSING COVENANTS I. Property Owner Compliance with the Applicable Provisions The Property Owner acknowledges that the City has provided the Property Owner with copies of the Ordinance and the Draft Manual. The Property Owner is familiar with the requirements of the Applicable Provisions. Property Owner shall ensure that the Project complies in all material respects with this Inclusionary Housing Agreement, including the Applicable Provisions, the Inclusionary Housing Plan attached as Exhibit 4, and the Draft Manual. However, any inconsistency between one or more of the Inclusionary Housing Agreement, the Inclusionary Housing Plan, and /or the Draft Manual shall be resolved in favor of the terms of this Inclusionary Housing Agreement Any inconsistency solely between the Inclusionary Housing Plan and the Draft Manual shall be resolved in favor of the terms of tuft Manual. Without limiting the range of inconsistencies which now or potentially may exist between those documents, specific inconsistencies exist at the time that the City and the Property Owner entered into this Inclusionary Housing Agreement which shall be controlled by the terms of this Inclusionary Housing Agreement are noted and addressed as follows: None of the provisions of the Draft Manual pertaining to Very Low Income and /or Very Low Income Households shall apply to the Project. • None of the provisions of the Draft Manual pertaining to In Lieu Fees shall apply to the Project. • Modifications to the Draft Manual or to Draft, as defined in the Draft Manual, shall not apply to the Project. • The number, location, and type of Inclusionary Units shall be governed exclusively by this Inclusionary Housing Agreement. • The number of bedrooms in the Inclusionary Units shall be governed exclusively by this Inclusionary Housing Agreement. • Using the income formulas required by this Inclusionary Housing Agreement, Property Owner shall determine tenant eligibility based upon Inclusionary Housing Agreement — Rental Project Page 12 City of Santa Ana 19H-14 September 18, 2014 the "Tenant Criteria" and "Final Determination of Qualification" provisions set forth in the Inclusionary Housing Plan. The City shall monitor program compliance on an ongoing basis. I -A. Sale as Ownership Units. This Inclusionary Housing Agreement shall not preclude Property Owner from selling the Project's individual units during the Affordability Period. Before selling any individual unit within the Project, Property Owner shall provide the City with ninety (90) days' notice of its intent to sell the units individually and the City and Property Owner shall enter into a revised Inclusionary Housing Agreement and a revised Inclusionary Housing Plan which shall comply with the Applicable Provisions addressing units for sale and comply with those provisions of the then - effective Affordable Housing Administrative Procedures pertaining to units for sale. in that case, the Affordability Period in effect for the rental units under Section 41- 1906(d)(1) shall be credited toward a modified period of affordability consistent with the period of affordability for units for sale under Section 41- 1906(c)(1) of the Ordinance. Further, the number, leeatiorfi and — bedroom coFunts —set forth -� the 7 vt ual Unl s shall not change in a new "for sale" Inc[usionary Housing Agreement without Property Owner's consent. 11. Affordability Covenants 1. The Property Owner covenants and agrees that ten (10) of the units to be developed on the Property shall be Inclusionary Units rented to Eligible Tenants at the Affordable Rent throughout the Affordability Period. This covenant and agreement shall be binding on the successors and assigns. of the Property Owner. 2. The Inclusionary Units shall be reasonably dispersed throughout the first four floors of the Project subject to the provisions and limitations set forth in the Inclusionary Housing Plan. Those provisions include the following: "Reasonable Dispersal. The Inclusionary Units to be developed on the Property shall be reasonably dispersed throughout the first four floors of the Project. The Inclusionary Units will not include any "townhouse" units located within the Project. Initially, the first Inclusionary Units to be occupied will occur at the locations identified on Exhibit A to this Housing Plan (the "First Ten Inclusionary Units ") as soon as possible after those units are constructed and ready for occupancy. Going forward after the Inclusionary Housing Agreement —Rental Project Page 13 City of Santa Ana 19H-1 5 September 18, 2014 First Ten Inclusionary Units have been occupied by Eligible Tenants, as each of those initial affordable tenancies ends, the next Inolusionary Units to be occupied need not be the same units as the First Ten Inclusionary Units and may be selected by Property Owner provided that those next Inclusionary Units otherwise comply with the requirements of the Regulatory Agreement and this Housing Plan. This selection process will continue throughout the term of the Regulatory Agreement." 3. The Inclusionary Units shall be comparable to the Market Rate Units as set forth in the Housing Plan, which provides, among other things: "Characteristics of Inclusionary Units. The Inclusionary Units shall be comparable to the Market Rate Units in terms of design, materials, finished quality and appearance. However, not all of the units within the Project will be of the same size, have the same amenities, or have the same views. Therefore, while all one and two - bedroom units will have comparable characteristics to other one and two - bedroom units, they may not be identical. Residents of the Inclusionary Units will_have theca ne access as all other tenants to Project amenities and recreational facilities." 4. Phasing of the Inclusionary Units shall be as set forth in the Housing Plan, which provides, among other things: "Phasing. All units within the Project shall be constructed in a single construction phase. No specific units within the Project shall be permanently designated "Inclusionary Units" to allow for the most efficient implementation of the Housing Plan during the term of this Inclusionary Housing Agreement. Although the Project will be constructed in a single phase, the release of units within the Project shall occur in phases. The exact number of "rental phases" is within the sole discretion of Property Owner. The First Ten Inclusionary Units shall be made available for occupancy to Eligible Tenants as their respective phases are released. The current phasing plan for the release of units is included as Exhibit 3 to this Inclusionary Housing Agreement. Property Owner may change the timing andfor phasing of the release of units provided that the phasing of the release of First Ten Inclusionary Units is not unreasonably deferred." 5. Five (5) of the Inclusionary Units shall be one - bedroom units and five (5) of the Inclusionary Units shall be two- bedroom units. I nclusionary Housing Agreement— Rental Project Page 14 City of Sane Ana 19H-16 September 18, 2014 inspection of the Inclusionary Unit so that the City may conduct code compliance andlor code enforcement inspections of the Inclusionary Units at reasonable times and upon not less than 48 hours prior notice to the Property Owner. If such notice is provided by the City to the Property Owner, the Property Owner or property manager shall immediately advise any affected tenant of the inspection, and cause access to the Inclusionary Units to be made available. The lease for the Inclusionary Units shall include an express advisement of these inspection rights. IV. Covenants Running With the Property All conditions, covenants and restrictions contained in this Inclusionary Housing Agreement shall be covenants running with the Property, and shall be, to the fullest extent permitted by law and equity, enforceable by the City. The City shall be deemed the beneficiary of the covenants of this Inclusionary Housing Agreement. In the event the Property Owner wishes to sell or transfer the Project during the �ff w orda I y eriod, the i y an he Prope y weer s a execute ande into escrow the Notice of Affordability Covenants on Transfer of the Property in the form provided in Exhibit 11 to this Inclusionary Housing Agreement. V. Enforcement of this Inclusionary Housing Agreement The Property Owner irrevocably stipulates and agrees that breach of the Inclusionary Housing Covenants set forth above in Article 2 will result in great and irreparable damage to the City, and will result in damages to the City that are either impracticable or extremely difficult to quantify. Accordingly, upon the breach of the covenants set forth above in Article 2, the City may institute an action for injunctive relief and/or specific performance for the remedy of such breach. Inclusionary Housing Agreement — Rental Project Page 17 City of Santa Ana 19H-17 September 18, 2014 ARTICLE 3 DEFAULTS AND REMEDIES Default If either Party defaults with regard to any provision of this Inclusionary Housing Agreement, the non - defaulting Party shall serve written notice of such default upon the defaulting Party. If, after the service of written notice of such default, the defaulting Party does not cure such default within thirty (30) calendar days after service of the notice of default (or, if such cure reasonably takes longer than thirty (30) days, if such cure has not been commenced within the thirty (30) day period or is not diligently completed within a reasonable time, not to exceed an additional sixty (60) calendar days), the defaulting Party shall be in Default of the terms of this Inclusionary Housing Agreement, and shall be liable to the other Party for damages caused by such Default. Alternatively, the non - defaulting Party, at its option, may institute an action for specific performance of the terms of this Inclusionary I lousing Agreement. - - II. Legal Actions In the event of a breach or potential breach of program requirements, in addition to any other rights or remedies, either Party may institute legal action to cure, correct or remedy any Default, to recover damages for any Default, or to obtain any other remedy consistent with the purposes of this Inclusionary Housing Agreement. II -A. The City's actions may include, but are not limited to, the following: 1. The following legal actions: a. Actions to enforce compliance with the program requirements and to enjoin any actions by the Property Owner that violate program requirements; and b. Injunctive relief and damages. 2. If the Property Owner receives rent revenue in excess of the Affordable Rent for any Inclusionary Unit, the Property Owner shall forfeit all excess monetary amounts obtained through the rental of the Inclusionary Units. Inclusionary Piousing Ayreamont— Rental Project Page 98 City of Santa Aria 19H-18 September 18, 2014 3. All such restitution shall be made to the City. Any funds received by the City under this provision of this Inclusionary Housing Agreement shall be placed in the City's Inclusionary Housing Fund. II -B. The laws of the State of California shall govern the interpretation and enforcement of this Inclusionary Housing Agreement. II -C. In the event that any legal action is commenced by the Property Owner against the City, service of process on the City shall be made by personal service upon the Clerk of the City Council, or in such other manner as may be provided by law. II -D. In the event that any legal action is commenced by the City against the Property Owner, service of process shall be made by personal service on the Property Owner's designated agent at such address as may be specified in written notice to the City, or in such other manner as may be provided by law, and shall be valid whether made within or outside of the State of California. III. Rights and Remedies are Cumulative The rights and remedies of the Parties are cumulative and the exercise by either Party of one or more of such rights or remedies shall not preclude the exercise by it, at the same or different times, of any other rights or remedies for the same Default or any other Default by the other Party. Induslonary Housing Agreement —Re ntal ProJact Pane 19 City of Santa Ana 19H-19 Septernber 18, 2014 ARTICLE 4 GENERAL PROVISIONS I. Notices, Demands and Communications Between the Parties Any and all notices, demands or communications submitted by any Party to another Party pursuant to, or required by, this Inclusionary Housing Agreement shall be proper if in writing and dispatched by messenger for immediate personal delivery, or by registered or certified United States mail, postage prepaid, return receipt requested, to the address of the City and Property Owner, as applicable, as designated in Article 1 — Section I of this Inclusionary Housing Agreement. Such written notices, demands and communications may be sent in the same manner to such other addresses as either Party may from time -to -time designate as provided in this Section. Any notice, demand or communication shall be deemed to be received by the addressee, on the day that it is personally delivered, if dispatched by messenger, or two (2) calendar days after it is placed in the United States mail. In addition to the submission of notices, demands or communications to the Parties via United States mail, copies of all notices shall also be delivered by facsimile to the facsimile numbers designated in Article 1 — Section I. II. Conflict of Interest No council member, official, contractor, consultant, attorney or employee of the City having any conflict of interest, direct or indirect, related to this Inclusionary Housing Agreement, or in the development of the Property, shall participate in any decision relating to this Inclusionary Housing Agreement. The Parties represent and warrant that they do not have knowledge of any such conflict of interest. III. Non - liability of City or City Officials and Employees No council member, official, contractor, consultant, attorney or employee of the City shall be personally liable to the Property Owner, any voluntary or involuntary successors and assignees, or any lender or other party holding any interest in the Property, in the event of any default or breach by the City, or for any amount which may become due to the Property Owner or to its successors or assignees, or on any obligations arising under this Inclusionary Housing Agreement, Inclusionary Housing Agreernent —Re ntal Project Page 20 City of Santa Ana 19H-20 September 18, 2014 IV. Indemnification The Property Owner agrees to indemnify and hold the City, and their officers, employees and agents, harmless from and against all damages, judgments, costs, expenses and fees arising from or related to any negligent or wrongful act or omission of the Property Owner in performing its obligations hereunder. The City agrees to indemnify and hold the Property Owner and its officers, employees and agents, harmless from and against all damages, judgments, costs expenses and fees arising from or related to any negligent or wrongful act or omission of the City in performing its obligations hereunder. V. No Waiver Failure to insist upon strict compliance with any of the terms, covenants, conditions and restrictions hereof on any one occasion shall not be deemed a waiver of such term, covenant, condition or restriction. Any waiver or relinquishment of rights or powers hereunder at any one time or more times shall not be deemed a waiver or relinquishment of such other rights or powers at any other time or times. VI. Attorneys' Fees and Costs If either Party hereto files any action, or brings any action or proceeding against the other arising out this Inclusionary Housing Agreement, the prevailing Party shall be entitled to recover its reasonable attorneys' fees and costs. The recovery shall be treated as an element of its costs of the suit, and not as damages. The amount of the recovery shall be fixed by the court in such action or proceeding, or in a separate action or proceeding brought to recover such attorneys' fees and costs. VII. Jurisdiction and Venue Any legal action or proceeding concerning this Inclusionary Housing Agreement shall be filed and prosecuted in the appropriate State of California court in Orange County, California. Each Party hereto irrevocably consents to the personal jurisdiction of that court. The City and the Property Owner each hereby expressly waive the benefit of any provision of federal or state law or judicial decision providing for the filing, removal, or change of venue to any other court or jurisdiction, including without implied limitation, federal district court due to any of the following: — — — - Inclusionary Housing Agreement Fental Protect Page 21 City o` Santa Ana 19H-21 September 18, 2014 1. Any diversity of citizenship between the City and the Property Owner, or 2. The fact that the City is a party to such action or proceeding; or 3. That a federal question or federal right is involved or alleged to be involved. Without limiting the generality of the foregoing, the Property Owner and the City specifically waive any rights provided to it pursuant to California Code of Civil Procedure 394. The Property Owner acknowledges that the provisions of this Article 3 — Section VII are material consideration to the City for its entry into this Inclusionary Housing Agreement, in that the City will avoid the potential cost, expense and inconvenience of litigating in a distant forum. VIII. Inspection of Books and Records To enforce its rights under this Inclusionary Housing Agreement, the City shall have the right at all reasonable times and upon reasonable advance notice, at the City's cost and expense, to inspect the books and records of the Property Owner that are not privileged, confidential, trade secrets or otherwise protected from disclosure and that pertain to the rental of the Inclusionary Units at the Property. Matters discovered by the City shall not be disclosed to third parties unless required by law, or unless otherwise resulting from or related to the pursuit of any remedies or the assertion of any rights of the City hereunder subject to, however, any right of the Property Owner to seek a protective order to prevent the disclosure of any confidential or privileged information. IX. Successors and Assigns This Inclusionary Housing Agreement shall be binding upon, and inure to the benefit of, the Parties hereto and their respective heirs, executors, administrators, legal representatives, successors and assigns. X. No Third Party Beneficiaries The performance of the City's and the Property Owner's respective obligations under this Inclusionary Housing Agreement are not intended to benefit any party other than the City or the Property Owner, except as expressly provided otherwise herein. No person or entity not a signatory to this Inclusionary Housing Agreement shall have any rights or causes of action against any Party to this Inclusionary Housing Agreement as a result of that Party's performance or non- - - - - -- InclusionaryNousinyAyreement— Rental Project Page 22 City of Santa Ana 19H-22 September 18, 2014 performance under this Inclusionary Housing Agreement, or for the enforcement of any provisions of this Agreement, except as expressly provided otherwise herein. XI. Subordination. At Property Owner's option, this Inclusionary Housing Agreement shall be subordinate to the lien of the deeds of trust and other financing documents which secure the financing needed to acquire, construct, and /or operate the Project. The City Manager or designee is authorized to execute such subordination agreements and /or such other documents as may be necessary to evidence such subordination. XII. Entire Agreement This Inclusionary Housing Agreement integrates all of the terms and conditions mentioned herein or incidental hereto. This Inclusionary Housing Agreement supersedes all negotiations or previous agreement between the Parties with respect-ts all of -ary- portion of-the-Property-and#h> ,—Project thereof- XIII. Recordation The Developer and the City agree to permit recordation of this Inclusionary Housing Agreement, against the Property in the Office of the County Recorder of Orange County, California. The legal description for the Property is provided in Exhibit 1 to this Inclusionary Housing Agreement, XIV. Termination Except as set forth elsewhere, this Inclusionary Housing Agreement shall be effective until the termination of the Affordability Period. At that time, this Inclusionary Housing Agreement shall automatically and immediately terminate and shall have no further force and effect. Upon the termination of this Inclusionary Housing Agreement, the Property Owner shall have no further obligations or liability hereunder, or any responsibility with respect to the Inclusionary Units. The City and the Property Owner agree to promptly execute, acknowledge and deliver for recordation any documents that may be necessary to remove this Inclusionary Housing Agreement as encumbrance against title to the Property. I nclusionary Housing Agreement— Rental Project Page 23 City of Santa Ann 19H-23 September 18, 2014 IN WITNESS WHEREOF, the Parties hereto have duly executed this Inclusionary Housing Agreement as of the dates set forth below. InoluslonaTy Housing Agreement— City of Santa Ana [Signatures on Following Pages] 19H -24 September 16, 2614 SIGNATURE PAGE TO INCLUSIONARY HOUSING AGREEMENT APPROVED AS TO LEGAL FORM. By Lisa E. Storck City Attorney City of Santa Ana CITY: CITY OF SANTA ANA A California Municipal Corporation By: Name: Kelly L. Reenders Executive Director Its: Community Development Agency Date: October 15, 2014 ATTEST," MARIA D HUIZAIR C ERI< OF T I-IF C()UNCII Inclusionary R, OLIsing Agreement— Rental Project Page 25 City of Santa Ana September 18, 2014 19H-25 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT „grcrs,,rwr .'e�ruY;.rK �rikr.: sY.' FwY .'�r.�t,.'r.���,.5t';.e:.�s:c�� N �t��z�rcn�t�c, �i'' � £��n�5��Y`S.S.,S,:t.�rTr�srk_r, u•,t..�r- 4r?�Y`:tin State of California County of - -//� \../'@. On ._ /�a!/�"�l y before me, &hvie he � -t _ Oat. e N u Insert N: .nr., u,,I Title of the Officer personally appeared who proved to me on the basis of satisfactory evidence to be the Rerson(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that JEANETTE MARIE PALMA he /sFje /they executed the same in his /her /their authorized Ca�nieai 20yt88S caoacity(ies), and that by his/her/their si nature(s) on the Nil IsW10c- CaIUO[nh instrument the pe son(s), or the entity upon behalf of Los �Angelas which the epyson(s) acted, executed the instrument. Comim. E Iran Jm t t. 2018 I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS m nd and officials adt Signature a �` Place Notary Seal Above OPTIONAL p°y splatnre oI Votary Prblo w.,..�...., OPTIONAL «....�:�.�..... .. ...............�e..�....,....d )"tough the infannalion below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another docennent. Description of Attached Docu Title; or Type of Document: ,! Document Date: C_f / /.Y.......... Signer(s) OtherThan Named Above: Capacity(ies) Claimed by Signer(s) Signer's Name: ...::., Individual 'iA Corporate Officer -- Title(s): — 1.I Partner --.-.Limited _J General Attorney in Fact Trustee Guardian or Conservator Other: Signer Is Representing: Asti Number of Pages: Signer's Name: -.I Individual :...I Corporate Officer— Title(s): _ Partner Limited General ) Attorney in Fact _1 Trustee -i Guardian or Conservator '...J Other: Signer Is Representing: ?7�1 vF% inY` X. Ftrxob tt(,{ `l%Cvt 14NUL1 `%L7C' rr02009 National Notary AsewatuJn•9350 be Soto Ave, PO. Fox ?_40R• Ghatswoilh, GA 91313 -2402 -. NafiooalNotary.o, It.ma'i901' Reorder'. Oat Toll - Free IWJO- 896 "6529 19H -26 SIGNATURE PAGE TO INCLUSIONARY HOUSING AGREEMENT PROPERTY OWNER: 1901 FIRST STREET OWNER, LLC, a Delaware limited liability company By: 1901 First Street Associates, LLC, a Delaware limited liability company, its Sole Member By: 1901 First Street Investors, LLC, a Delaware limited liability company, its Sole Member By: Lyon Housing (1901 First Street) 1-111, LLC, a Delaware limited liability Company, its Managing Member By: Name: rank ryan, Jr Title: President Date: u /`L --Jn— ry clusiona —HousingAgreement– Rental-Pno—ject Page 26 City of Santa Ana 1 19H-27 September 8, 2014 CIVIL CODE § 1189 State of California County of Cl f cy—)(1 k',. _ m T ' On (_)c �'sc before me.,.� _ r "t t J aV r' Hate ore lunnot Namu qcdYrilv of ba Of6aer personally appeared t' eme(s) of Slynegs) who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is /are subscribed to the within instrument and acknowledged to me that he /she /they executed the same in his /her /their authorized capacity(ies), and that by his /her /their signatures) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature. I,9 GyrCaA% f)Cx ✓(/)n ,4p.. Plane Natary Saul Above Signature of M' ry Public OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Document Title or Type of Document:% r "YC:. �U 1PL +�` d� ,� ✓'tR.1.; I �,f (:�rda"" ° r ) "` S (,� "ae-h Document Date: Signer(s) Other Than Named Above: _ Capacity(ies) Claimed by Signers) Signer's Name: ❑ Corporate Officer -- Title(s): ❑ Individual ❑ Partner — ❑ Limited ❑ General ❑ Attorney in Fact ❑ Trustee J Guardian or Conservator I Other: Signer Is Representing: a1GHT THUMBPHIM Number of Pages: Signer's Name: ❑ Corporate Officer — Title(s): C Individual 0 7 Partner — - Limited - General Top of mt,lrr,e here ❑ Attorney in Fact • Trustee • Guardian or Conservator ❑ Other: Signer Is Representing: LO 2010 National Notary Association • NatlonolNOirsry_ora - 1- 800 -US NOTARY (1- 800 -876 -8927) 19H -28 Item #5907 Inclusionary Housing Agreement — Rental Project 19H-29 September 18, 2014 City of Santa Ana EXHIBIT 1 LEGAL DESCRIPTION THE LAND REFERRED TO HEREIN BELOW IS SITUATED IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AND IS DESCRIBEDAS FOLLOWS: THAT PORTION OF LOT 15 OF THE MAYBURY TRACT, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 36, PAGE 65 OF MISCELLANEOUS MAPS, RECORDS OF LOS ANGELES COUNTY, CALIFORNIA, DESCRIBED AS FOLLOWS: PARCEL NO. 1 AS SHOWN ON A MAP FILED IN BOOK 98, PAGE 30 OF PARCEL MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF ORANGE COUNTY, CALIFORNIA, AS AMENDED BY A CERTIFICATE OF CORRECTION, RECORDED OCTOBER20, 19771NBOOK12424 ,PAGE5430FOFFICIALRECORDS. EXCEPTING THEREFROM THAT PORTION OF PARCEL 1, AS SHOWN ON A MAP FILED IN BOOK98, PAGE 30 OF PARCEL MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF ORANGE COUNTY, CALIFORNIA, SITUATED IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF, CALIFORNIA, DESCRIBEDAS FOLLOWS: BEGINNING AT THE SOUTHWESTERLY CORNER OF SAID PARCEL 1; THENCE ALONG THE SOUTHERLY LINE OF SAID PARCEL 1 NORTH 890 31'52" EAST 34.14 FEET; THENCE NORTH 450 19,14" WEST 38.26 FEET TO A LINE PARALLEL WITH AND 7,00 FEET EASTERLY FROM THE WESTERLY LINE OF SAID PARCEL 1; THENCE SOUTH 89° 49' 39" WEST 7.00 FEET TO SAID WESTERLY LINE; THENCE -LONG SAID - WESTERLY LINE- SOUTH-0 1,0 21" EAS7`27:18 FEET -rOTHE P01NT OF BERG, AS GRANTED TO THE CITY OF SANTA ANA, IN DEED RECORDED SEPTEMBER 18,1980 AS INSTRUMENT N 0.90 - 493896, DF 0 FFICIALRECO RD S. APN: 400- 081 -08 CLTA PreliminaryRepmtForm— Modified (11 /17/06) 19H -30 I nclusionary Housing Agreement— Rents I Project September 18, 2014 City of Santa Ana 19H-31 EXHIBIT 2 SITE MAP DEPICTING PROPERTY AND ZONING DESIGNATIONS 19H -32 EXHIBIT 3 I avue ;1:1 A WAOITITI 0 14 :1�� Inclusionary Housing Agreement — Rental Project September 18, 2014 City of Santa Ana 19H-33 �I EXHIBIT 3 PROPERTY OWNER'S PHASING PLAN A2r 19H -34 Inclu5ionary, Housing Agreement — Rental Project September 18, 2014 City of Santa Aria 19H-35 EXHIBIT 4 TO INCLUSIONARY HOUSING AGREEMENT 1901 E. FIRST STREET HOUSING PLAN PURSUANT TO FIRST AMENDMENT TO DA 2007 -01 Purpose of Housing Plan This Housing Plan is intended to implement the "Inclusionary Housing Agreement)" for 1901 E. First Street (the "Regulatory Agreement ") entered into between the City of Santa Ana (the "City") and 1901 First Street Owner, LLC, a Delaware limited liability company ( "Property Owner "). The Regulatory Agreement and this Housing Plan pertain to Property Owner's approved development located at 1901 E. First Street in the City (the "Project "). Pursuant to Section 5.9 of the First Amendment to DA 2007 -01, ten (10) residential units within the Project shall be made available for rental to low income Households (the "Inclusionary Units "). Project Description The Project is located on a 5.1 acre parcel within the Metro East Mixed Use Overlay Zone and consists of 264 residential units, a four level parking structure, a leasing office, and approximately- 2;424 - square feet of- retail- space. ThL-Prolect— wilra �incTude a club ---house and recreation deck with pool to be added over the southern half of the existing parking structure and public open space fronting Cabrillo Park Drive, Definitions The terms defined in the Regulatory Agreement shall have the same meaning when used within this Housing Plan Number of Inclusionary Units (a) Number of Units. Ten (10) of the units to be developed on the Property shall be Inclusionary Units rented to Eligible Tenants at the Affordable Rent throughout the Affordability Period, (b) Bedroom Count. Five of the Inclusionary Units shall be one- bedroom units and five of the Inclusionary Units shall be two - bedroom units. Maximum Number of Occupants (a) The maximum number of occupants in the one- bedroom Inclusionary Units shall be three (3) and in the two- bedroom units shall be five (5). 19H -36 Location of Inclusionary Units (a) Reasonable Dispersal. The Inclusionary Units to be developed on the Property shall be reasonably dispersed throughout the first four floors of the Project. The Inclusionary Units will not include any "townhouse" units located within the Project. Initially, the first Incluslonary Units to be occupied will occur at the locations identified on Exhibit A to this Housing Plan (the "First Ten Inclusionary Units ") as soon as possible after those units are constructed and ready for occupancy. Going forward after the First Ten Inclusionary Units have been occupied by Eligible Tenants, as each of those initial affordable tenancies ends, the next Inclusionary Units to be occupied need not be the same units as the First Ten Inclusionary Units and may be selected by Property Owner provided that those next Inclusionary Units otherwise comply with the requirements of the Regulatory Agreement and this Housing Plan. This selection process will continue throughout the term of the Regulatory Agreement. (b) Characteristics of Inclusionary Units. The Inclusionary Units shall be comparable to the Market Rate Units in terms of design, materials, finished quality and appearance. However, not all of the units within the Project will be of the same size, have the same amenities, or have the same views. Therefore, while all one and two- bedroom units will have comparable characteristics to other one and two - bedroom units, they may not be - -ldent +cal Residents ofthe-Inclusionary- Unit " wtlthave the same access as all of er tenants to Project amenities and recreational facilities. (c) Phasing. All units within the Project shall be constructed in a single construction phase. No specific units within the Project shall be permanently designated "Inclusionary Units" to allow for the most efficient implementation of the Housing Plan during the term of this Housing Plan. Although the Project will be constructed in a single phase, the release of units within the Project shall occur in phases. The exact number of "rental phases" is within the sole discretion of Property Owner. The First Ten Incluslonary Units shall be made available for occupancy to Eligible Tenants as their respective phases are released. The current phasing plan for the release of units is included as Exhibit 3 to this Housing Plan. Property Owner may change the timing and /or phasing of the release of units provided that the phasing of the release of First Ten Inclusionary Units is not unreasonably deferred. Lease Form. The Property Owner shall submit to the Program Director for approval a standard lease form to be used for the Inclusionary Units. The Program Director shall reasonably approve the lease form upon finding that the lease form is consistent with the requirements of this Housing Plan. The Property Owner shall enter into a written lease, in the form approved by the Program Director, with each Household that occupies an Inclusionary Unit. 2 19H -37 Affordable Rent. The Affordable Rent may be re- evaluated once annually based on changes in the Gross Household Incomes (usually updated during the first quarter of each year). Any changes in the rents charged for the Inclusionary Units must first be approved in writing by the Program Director. The Property Owner, or property manager, must provide written notice to each Household renting an Inclusionary Unit at least 30 days in advance of any rent increase. Tenant Criteria (a) Determination of Income Qualification. Property Owner shall make the determination that a Household qualifies as a Low Income Household. All prospective Inclusionary Unit tenants must provide supporting documentation to substantiate that, among other requirements set forth in this Housing Plan, their Gross Household Income establishes them as a Low Income Household. The supporting documentation shall include: I. Copies of income tax returns for each member of the proposed Low Income Household certified by the applicable Household member as true for the most recent tax year in which a return was filed. ii. At least one of the following for each Household member providing income information: .two pay-checkstubs_ from -the membee -s- most- recentfsay periods.— • An income verification certification from the member's employer. • An Income verification certification from Social Security Administration and /or California Department of Social Services if the member receives assistance from either of those agencies. (b) Standard Resident Qualification Criteria. An income - qualified Low Income Household remains subject to all other criteria used by Property Owner for the screening and selection of tenants within the Project (the "Standard Criteria"), with the sole exception of the standard income requirements for Market Rate Units. Examples of the Standard Criteria include, but are not limited to, credit history, number of occupants, and pet restrictions. The current Standard Criteria is set forth in Exhibit B and may be changed from time -to -time at Property Owner's discretion, provided that (1) all Standard Criteria are applied equally to all tenants within the Project and (ii) the sole income qualifications for a Low Income Household are those set forth in Paragraph (a) ( "Determination of Income Qualification ") above. Final Determination of Qualification (a) Sequencing of Determinations. Subject to the provisions below addressing "Priorities Among Applicants," to the extent practicable, the qualification of applicants for Inclusionary Units will be determined in the chronological order of the dates of their completed applications. An application is not deemed complete until all Information 3 19H -38 which may be required pursuant to this Housing Plan has been submitted, if that information is not included with the initial application submittal. (b) Qualification Approved, Prior to renting or leasing an Inclusionary Unit, Property Owner will certify the eligibility of the prospective Low Income Household tenant. The certification shall be made on forms substantially similar to those attached as Exhibit C. Where there are more Eligible Tenants than there are available Inclusionary Units, a waiting list shall be created (the "Waiting List "), (c) Qualification Denied. If an applicant for an Inclusionary Unit is rejected, that applicant will be given prompt written notice of the rejection and the reasons forthe rejection. (d) No Discrimination. In making its determination, Property Owner shall not discriminate against any person or group of persons, on account of race, color, religion, sex, sexual orientation, marital status, natural origin, ancestry, familial status, source of income or disability. Priorities Among Applicants Where there is more than one Eligible Tenant for an available Inclusionary Unit or where an — Eligible T- enalit -is —on th—eWaitin�ist, first priority will be given to qualified Low Income Households with one or members who, at the time the application is complete, (1) live in the City of Santa Ana or (2) is a veteran of the United States Armed Forces, Recertification of Tenant Eligibility (a) Annual Review, The Property Owner or property manager must establish an annual schedule to recertify that each tenant in an Inclusionary Unit remains an Eligible Tenant. All tenant recertifications for the Inclusionary Units must be performed at the same time each year. (b) Continued income Qualification and Vacated Inclusionary Units. If the recertification demonstrates that a previously Eligible Tenant's Gross Household Income exceeds the Low Income standard applied to the Inclusionary Unit, the pertinent actions from the following list must be taken: 1. The Property Owner may offer to rent the unit to the previously, but no longer, Eligible Tenant as a Market Rate Unit without any limitations on rental rates. In that case, the property Owner must then make available for rent to an Eligible Tenant another unit within the Project that meets the size and location requirements for Inclusionary Units under this Housing Plan. If there are no vacant units meeting those requirements, then the next available unit within the Project which does meet those requirements must be rented to an Eligible Tenant. 4 19H -39 ii. If the no longer Eligible Tenant either moves to another unit within the Project or leaves the Project altogether, then the vacated Inclusionary Unit or, at Property Owner's election, any other unit within the Project which meets the size and location requirements for Inclusionary Units under this Housing Plan and has the same number of bedrooms as the vacated unit shall be rented as an Inclusionary Unit to an Eligible Tenant. Determination of Affordable Rent (a) Definition of Affordable Rent. All Inclusionary Units shall be rented at an Affordable Rent, The Affordable Rent for an Inclusionary Unit shall be as defined in the Regulatory Agreement. (b) Utilities Allowance. Affordable Rent shall be adjusted to reflect a reasonable Utilities Allowance. The Utilities Allowance shall be as defined in the Regulatory Agreement. (c) Re- evaluation of Affordable Rent. The Affordable Rent may be re- evaluated once annually based on changes in the Gross Household Incomes (usually updated during the first quarter of each year). Any changes in the rents charged for the Inclusionary Units must first be approved in writing by the Program Director. The Property Owner, or property manager, must provide written notice to each Household renting an Inclusionary Unit at least 30 days in advance of any rent increase. Tenant Protections (a) Rental Agreement /Lease. All rental agreements /leases must be consistent with the Regulatory Agreement and this Housing Plan. (b) Identification of occupants. The written rental agreement /lease must name all members of the Low Income Household who will be occupying the Inclusionary Unit. (c) Identification of Income Restrictions. The rental agreement /lease must state that the Eligible Tenant's right to occupy the Inclusionary Units is subject to the Gross Income Household requirements set forth in the Regulatory Agreement, Termination of Tenancy (a) Any termination or refusal to renew a tenancy must comply with all applicable California laws. Affirmative Marketing The Property Owner shall affirmatively market the Inclusionary Units to Low Income Households. Property Owner must comply fully with all federal, state, and local non- 5 19H -40 discrimination laws, Specifically, Property Owner shall not discriminate on account of race, color, sex, religion, sexual orientation, creed, ancestry, national or ethnic origin, age, family or marital status, handicap or disability, or deny any Household or individual the opportunity to apply for or participate in the Affordable Rental Housing Program. Maintenance and Service Obligations The Property Owner shall maintain the Property and the Project in good condition, free of debris, waste and graffiti, and in compliance with all applicable provisions of the City's Municipal Code. Property Owner agrees that, upon written request by the City, Property Owner will accompany the City on an inspection of the Inclusionary Unit so that the City may conduct code compliance and /or code enforcement inspections of the Inclusionary Units at reasonable times and upon not less than 48 hours prior notice to the Property Owner. if such notice is provided by the City to the Property Owner, the Property Owner or property manager shall immediately advise any affected tenant of the inspection, and cause access to the Inclusionary Units to be made available. The lease for the Inclusionary Units shall include an express advisement of these inspection rights. 6 19H -41 INDEX OF EXHIBITS Exhibit ]. First Ten Inclusionary Units Exhibit 2 Standard Resident Qualification Criteria Exhibit 3 Income Certification Form 19H -42 EXHIBIT 1 FIRST TEN INCLUSIONARY UNITS 19H -43 `• lTf� - -7--77- _ - C): 4 f 83 �14 1 p rsoA z 3 MR j 40 cc Q �y s� Tt� z ffJaaa F3 fR LLU Z_ z W jie E vpi FU ON � t� O. I LL .W R' o i i I I LL N I I I I n Y a a z a M 19H -44 EXHIBIT 2 STANDARD RESIDENT QUALIFICATION CRITERIA 19H -45 LYON COMMUNMES FUTURE RESIDENT INFORMATION Rental Qualification Criteria for Application Approval Thank you for choosing a Lyon Apartment Community for your new home! We are an Equal Housing Opportunity Provider and we abide by all federal, state and local fair housing laws. A rental application must be processed on all prospective residents 18 years of age or older- An application fee of $35.00 must be paid for each applicant. Approval for rental cannot be made without a completed application. Applications that do not have all areas completed or an acceptable explanation of omissions (according to management's approval) will not be processed and will be returned to the applicant. 1. Applicant must provide a valid government issued photo I.D. 2. Current Income - Applicant must be able to provide proof of income that Is legal, verifiable and paid directly to the applicant or the applicant's representative. A combined gross income of 2.7 times the rent is required. Therefore the Current Income requirement can be evaluated by combining the income of all applicants that are applying togeth er-for- a- particulaFUnit. • Employed Applicants must provide their four most recent pay stubs (or a current pay stub that reflects year -to -date income). • Applicants with new positions may provide an offer letter signed by the employer on company letterhead. • Self employed /unemployed applicants must provide other sources of current, verifiable income. All other sources of income must be verified. Such sources and verification could include, but are not limped to, tax returns, applicant's four most recent bank statements, 1099's, proof of government payments, proof of investment or trust fund income, student loan or grant award documents, Court Orders for child or spousal support, etc. 3. Rental History - Appllcant(s) must have one (1) year of verifiable rental and/or payment history from a landlord, apartment community or mortgage company, (including a prompt payment record and compliance with all community policies) within the last three years. Acceptable rentallpayment history would include no more than 2 late payments and /or returned checks peryear of residency, exceptwhen incurred in connection with a foreclosure. Reference information from family members or friends will not be considered- In the event applicant(s) have less than one (1) year of verifiable rental and /or payment history from a landlord, apartment community or mortgage company, applicant(s) may pay an additional security deposit equal to "/ month's rent. 4. Occupancy standards— Lyon occupancy standards are 2 persons per bedroom plus one. For example: a maximum of three (3) persons per one (1) bedroom and five (5) persons per two (2) bedroom. In the event the number of occupants exceeds the maximum number for that floor plan due to the birth, adoption, custody or guardianship change of a minor child, residents will be permitted to stay in the existing unit through the and of their lease term or six (6) months, whichever is longer. At the end of the lease term (or the above time period, if the lease would expire before that time or V the residents are month -to- month), resident must transfer to an appropriate (larger) floor plan (subject to availability of the alternate floor plan and resident's compliance with the existing lease agreement), or vacate the unit subject to the terms and conditions of the lease agreement and supporting addenda. 5. Credit Requirements -A credit report will be processed on each applicant. All applicants will be evaluated on a point system according to negative /positive credit accounts. If applicant takes exception with credit findings, he or she is responsible for contacting the credit bureau. • In the situation where there is more than one applicant applying together for a unit, credit will be Rssuant Ctl@tla No Co Sign CR CA IS -13) Gie.. o. 1 of 2 19H -46 evaluated based on the combined credit history of all applicants that applied together for that unit. ME Credit Requirements (continued) • In the event that sufficient verification of credit information cannot be produced from the identification documentation provided by applicant(s), or if applicant(s) has limited credit history with predominantly negative account status, applicant(s) may pay an additional security deposit equal to one month's rent. • No credit is consideredas meeting the credit requirements, however, applicant(s) must meet all other qualifying criteria listed including the current income criteria, (as noted in item2) and provide averifiable Rental /Payment History (as noted in item 3). 6. Pets — Some communities and /or buildings may not allow pets. An additional security deposit will be required for authorized pets to be maintained on the premises. Breed restrictions do apply. Please consult management for details. Applicant(s) will Automatically be Denied for the Following Reasons: • Applicant has an eviction from another residency within the last seven (7) years. • Applicant has falsified information on the Rental Application. • Applicant has filed a bankruptcy petition that has not yet been discharged. • Applicant has a criminal history that does not meet the criteria noted in Section 8 below. • Applicant has provided an application that does not meet managements standard for completion. Applicant has unresolved debts from another apartment community, landlord or mortgage holder (except when incurred in connection with a foreclosure, or the debt is paid prior to approval of rental application- Verification of payment is required). Applicant(s) will automatically be denied for the following reasons unless an additional applicant that meets the Rental Criteria and all other applicable Criteria accompanies their application for Lease: • Applicant has a credit score that does not meet credit requirements. • Applicant has three (3) or more late payments or returned checks in a 12 month period (except when incurred in connection with a foreclosure).. • Applicant has not provided proof of verifiable income. 8. Criminal History -All occupants over 18 must have a clear criminal history according to our requirements. The history must reflect; a) no felony convictions; b) no convictions of the manufacture or distribution of controlled substances; c) no pending indictment or deferred or withheld adjudication for a felony; d) no conviction or pending indictment or deferred or withheld adjudication for a misdemeanor crime against a person or property. In order to be approved for rental, Applicant must complete all forms and provide all documentation requests without amending or deleting any information from the provided documents and forms. Applicant may not choose to apply any of the additional security deposit options in place of providing the requested information and /or documents lithe Applicanttruly has this information. M ore specifically, Applicant will be considered to have falsified information if Applicant states that they do not have information such as, but not limited to, Social Security number, copy of Government ID and historical financial and /or rental history when Applicant truly does have knowledge of such information. To ensure prompt processing of your application, the above items must be presented within 48 hours of reserving your apartment. If the information is not forwarded to our attention within this time frame, we may return the apartment to the open market and your Holding Deposit may be retained by management and become non- refundable for the pro -rated amount of daily market rent for the time thatthe apartment is withheld from the market. My signature below confirms that I have read the above and understand the criteria from which this application will Resident Cnteda No Co Sig, CR CA (443) .....�. 2 oft 19H -47 be approved. Res dent Cntana No Co 51Dn CR CA (313) 3 oft 19H -48 EXHIBIT 3 INCOME CERTIFICATION FORM to 19H -49 ❑ New Certification ❑ Recertification INCOME COMPUTATION AND CERTIFICATION I/We the undersigned state that I/we have read and answered fully, frankly and personally each of the following questions for all persons who are requesting to occupy the apa rim ent# in 1. 2, 3. 4. 5. First and Last Name of Members of Relationship of Age Current city of Current city of the Household head of residence Employment Household HEAD Income Computation 6. The total anticipated income, calculated In accordance with this paragraph, of all persons (except minors under 18 years) listed above for the 12 -month period beginning the earlier of the date that Ilwe plan to move into a unit or sign a lease for a unit is $ Included in the total anticipated income listed above are: a) the full amount, before any payroll deductions, of wages and salaries, overtime pay, commissions, fees, tips and bonuses and other compensation for personal services; b) the net Income from the operation of a business or profession. Expenditures for business expansion or amortization of capital indebtedness shall not be used as deductions in determining net income. An allowance for depreciation of assets used in a business or profession may be deducted, based on straight line depreciation, as provided in Internal Revenue Service regulations. Any withdrawal of cash or assets from the operation of a business or profession vAI be included in income, except to the extent the Withdrawal is reimbursement of cash or assets in vested in the operation by the family; c) interest and dividends and other net income of any kind from real or personal property. Expenditures for amortization of capital indebtedness shall not be used as deductions in determining net income. An allowance for depreciation is permitted only as authorized In paragraph (6)(b) of this section. Any withdrawal of cash or assets from an investment will be included in income, except to the extent the withdrawal Is reimbursement of rash or assets Invested by the family. Where the family has net family assets, annual income shall include the greater of the actual income derived from all net family assets or a percentage of the value of such assets based on the current passbook savings rate, as determined by the Department of Housing and Urban development; d) the full amount of periodic payments received from Social Socurity, annuities, retirement funds, pensions, disability benefits, and other similar types of periodic receipts, including any lump sum amount except deferred periodic amounts from supplemental security income and social security benefits that are received In a lump sum amount or in prospective monthly amounts; a) payments in Ilse of earnings, such as unemployment and disability compensation, workers' compensation and severance pay; I) welfare assistance. If the welfare assistance payment Includes an amount specifically designated for shelter and utilities that Is subject to adjustment by the welfare assistance agency in accordance with the actual cost of shelter and Office, the amount of welfare assistance g) periodic and determinable allowances, such as alimony payments, and regular contributions or gifts received from organizations or from persons not residing in the dwelling; h) all regular pay, special pay and allowances of a member of the Armed Forces except the special pay to a family member serving In the Armed Forces except the special pay to a family member serving In the Armed Forces who is exposed to hostile fire; Excluded from such anticipated income are: i) income from employment of children (in duding foster children) under the age of 18 years; J) payments received for child support anchor the care of foster children or foster adults (usually persons with disabilities, unrelated to the tenant family, who are unable to live alone) k) lump sum additions to family assets, such as inheritances, willed or monetary gifts, Insurance payments (including payments under life, health and accident insurance), capital gains and settlement for personal or property losses except payments in Ileu of earnings, such as unemployment and disability compensation, worker's compensation and severance pay; I) amounts mceNed by the family that are specifically for, or In reimbursement of, the cost of medical expenses for any family member; income of a live -in aide, m) the full amount of student financial assistance paid directly to the student or to the educational institution (including but not limited to financial aid, scholarships and grants) 19H -50 7. Do the persons whose income or contributions that are included in Item 6 above have any savings, equity in real property, or other form of capital investment (but do not include necessary items such as furniture or automobile), enter the following amount: a) The total value of all such assets owned by such persons: $ b) The amount of income expected to be delivered from such assets in the 12 month period commencing with the occupancy of the apartment $ 8. Neither myself nor any other occupant of the unit I /we propose to rent is the owner of the rental housing project in which the unit is located (hereinafter the "Owner"), has any family relationship to the Owner; or owns directly or indirectly any interest in the Owner. For purposes of this paragraph, indirect ownership by an individual shall mean ownership by a family member, ownership by a corporation, partnership, estate or trust in proportion to the ownership or beneficial interest in such corporation, partnership, estate or Trustee held by the individual or a family member; and ownership, direct or indirect, by a partner of the individual. 9. This certificate is made with the knowledge that it will be relied upon by the Owner to determine maximum income for eligibility to occupy the unit; and 1/we declare that all information set forth herein is true, correct and complete and based upon information Ilwe deem reliable and that the statement of total anticipated income contained in paragraph 6 is reasonable and based upon such investigation as the undersigned deemed necessary. 10. I/We will assist the Owner in obtaining any information or documents required to verify the statements made herein, including providing copies of my /our income tax returns, certified by melus as true, for the most recent tax year in which a return was fled and at least one of the following: (a) Two paycheck stubs from my /our most recent pay periods. (b) An income verification . certification from my /our. employer- (c) An income verification certification from Social Security Administration and/or California Department of Social Services if I/we receive assistance from such agencies. (d) An alternate form of income verification reasonably requested by Owner if none of the above forms of verification are available. 11. Me acknowledge that Uwe have been advised that the making of any misrepresentation or misstatement in this declaration will constitute a material breach of my lour agreement with the Owner to lease the unit and will entitle the Owner to prevent or terminate my /our occupancy ofthe unit by institution of an action for ejection or other appropriate proceedings. Me declare under penalty of perjury that the foregoing Is true and correct. Executed this day of California Applicant/Resident 20 (year) in the City of Applicant/Resident Applicant/Resident Applicant/Resident (Signature of all persons except minors under the age of 18 years listed in number 2 above required) 19H -51 FOR COMPLETION BY APARTMENT PERSONNEL ONLY: 1. Calculation of eligible income: a) Enter amount entered for entire household in & b) Enter amount entered in 7(b) c) TOTAL ELIGIBLE INCOME line a) plus line b): 2. The amount entered in 1 c above): ❑ Qualifies the applicant(s) as a Lower- Income Resident(s) ❑ Qualifies the applicant(s) as a Moderate - Income Resident(s) 3. Apartment number: Bedroom size: 4. Method used to verify applicant(s) income: ❑ Copies of tax returns And ❑ Employer Income Verification Form ❑ Two most recent consecutive pay stubs ❑ SSI statement or letter ❑ Un- employment statement or two pay stubs ❑ Other Property Director 19H -52 Date Rent: 3 I, apartment at My Business Name /Address /Phone Business Name city /state /zip have submitted an application to rent an Phone _.. _. Type of Business: I am Self - Employed and hereby certify that my anticipated annual income for the next twelve months will be $ . Attached is a copy of my Individual federal income tax returns for the preceding calendar year. Comments: Applicant /Resident's Signature Date 12 -10 19H -53 LYON COMMUIVMES Support Verification ApplicanVResident Release Statement hereby authorize the release of the following Information in order to determine my eligibility for the Affordable Housing Program. Please complete the form in full and return It to Lyon Management Group, Inc. d /b /a Lyon Communities at your earliest convenience to fax (562) 491 -5223. Signature: Date: Name/Source of Income: source's Mailing- Address - City, Phone #: Fax #: State Zip Please complete the following. If the monies are based on a percentage of your income, please indicate the average amount per period. Type of Benefit Amount Frequency ❑ Family Support ❑ weekly ❑ monthly ❑ yearly ❑ Alimony ❑ weekly ❑ monthly ❑ yearly ❑ Other ❑ weekly ❑ monthly ❑ yearly (Please list type) Do you anticipate any changes In the next 12 months? ❑ Yes ❑ No Comments: Signature of Party Authorized to Verify the above Information: Title: Date: (11 -10) 19H -54 0 COMMUNITIES Income Verification for UNEMPLOYED Persons I, have submitted an application to rent an apartment at nI itiai and complete if applicable (a) I am not presently employed and do not anticipate becoming employed within the next twelve months. (b) I am not presently employed but anticipate becoming employed within the next twelve months. Based on my past work experience, skills, and Income history as reflected In my income tax return for the most recent tax year (COPY ATTACHED) and with adjustment to reflect circumstances anticipated within the next twelve months, I expect to earn per year when I become employed. (c) I am receiving Unemployment Compensation benefits In the amount of $ (Benefits —statemen Fat fached). (d) I will be living off my savings of $ until employment Is found (Statement attached). _ (e) I will be receiving support from (source) in the amount of $ every (Letter of support attached or statement). _ (f) Declaration of No Income I, , do hereby certify that I do NOT receive income from ANY source. I understand source of income includes, but is not limited to the following: Employment AFDC General Assistance Unemployment SSI Disability Compensation Retirement Funds Union Benefits Workers Compensation Alimony Family Support Study Income from Assets Annuities Self Employment Pensions I certify that the foregoing information is true, complete and correct to the best of my knowledge. Inquiries may be made to verify statements herein. I also understand that false statements or omissions are grounds for dlsqualiflcation. Applicant/Resident's Signature 12 -10 19H -55 Data EXHIBIT 5 SCHEDULE OF PERFORMANCE FOR CONSTRUCTION OF INCLUSIONARY UNITS Inclusionary Housing Agreement — Rental Project 19H-56 September 18, 2014 City of Santa Ana EXHIBIT 5 SCHEDULE OF PERFORMANCE FOR RELEASE OF INCLUSIONARY UNITS GL DFSTREET -- -- ---- -------- - - - - -. .. --- -- - - - - -- - — - — - -- CABRILLO PARK DRIVE i 53,074 GSF BLDG 4B IYPE11IA i SPNINNM I I rn 3 -HR FIREWALL 51,652 GSF BLDG 4A 4,114 - S'APoWEA i 33,210 GSF BLDG 4C WEW SPAMMM 56,872 GSF BLDG4D MkA SPAMERM BLDG 33 32,560 GSF M U mEOnsem'ne u 74,920 GSF BLDG 5A TYPEN A SPRRINEAEII 27,657 GSF BLDG 3A iY 148pP1'd1E a) i EXISTING TYPE I-A PARKING GARAGE ,�, lu -BLDG 2A (fH -Z) 1YI'EM &YA SPAIAMEAEO 4 FIRE LANE Release Sequence: 1" Release of Units: Buildings 1A, 2A and 2B 2 "a Release of Units: Buildings 3A, 3B, 4A, 4B, 4C and 4L) 3"a Release of Units: Building SA 19H -57 - C.L. OF STREET w z d Iw -t IQ K F w I� le I N.T.U. EXHIBIT G HOUSEHOLD INCOME LIMITS - 2014 -- _._. Q 2014 Inclusionary Housing Agreement — Rental Project 19H-5$ September 18, City of Santa Ana HOUSEHOLD INCOME LIMITS HOUSING OPPORTUNITY ORDINANCE 2014 HOUSEHOLD INCOME LIMITS TO BE UPDATED ANNUALLY BY THE CITY BASED ON ORANGE COUNTY HUD /HCD INCOME LIMITS The incomes listed below will be used to qualify potential tenants: I Number of Persons Very -Low Income Low Income I 1 $33,750 $53,950 2 $38,550 $61,650 3 $43,350 $69,350 4 $48,150 $77,050 5 $52,050 $83,250 6 $55,900 $89,400 X59;750 $95551X 8 $63,600 $101,750 NOTE: The figures above shall only apply to calendar year 2014. Annual adjustments made to the above figures shall be made by the City when the updated household incomes are published by the State of California Housing and Community Development Department. The updated figures shall then be applicable to all prospective tenants of Inclusionary Units for that specified calendar year. 2014 Household Income Limits Page 1 City of Santa Ana August 8, 2014 19H -59 In clusio nary Housing Agreement— Re nta I Project September 18, 2014 City of Santa Ana 19H-60 AFFORDABLE HOUSING COSTS - 2014 HOUSING OPPORTUNITY ORDINANCE TO BE UPDATED ANNUALLY BY THE CITY BASED ON ORANGE COUNTY HCD INCOME LIMITS The Affordable Housing Costs will be applied to Inclusionary Units in 2014. These Affordable Housing Costs must be reduced by the applicable Utilities Allowances to arrive at the Affordable Rent for the Inclusionary Units: Number of Bedrooms Very-Low Income Low Income Studio Units $763 $916 One - Bedroom Units $872 $1,046 Two - Bedroom Units $981 $1,178 Three - Bedroom Units $1,090 $1,308 Four-Bedroom Units $1,178 $1,413 NOTE: The figures above shall only apply to calendar year 2014. The City will update the Affordable Housing Costs each year when the updated household incomes are published by the State of California Housing and Community Development Department (HCD). The updated Affordable Housing Costs shall then be applicable to the Inclusionary Units for that specified calendar year. Affordable Housing Costs - 2014 Page 1 City of Santa Ana August 8, 2014 19H -61 UTILITIES ALLOWANCES - 2014 I riclusimary -Housing Agreement- Rental Project September , - , - 18, 2014 City of Santa Ana 19H-62 MAYOR Miguel A. Pulido MAYOR PRO TEM Sal Tlnajero COUNCILMEMBERS Angelica Amezcua P. David Benavides Michele Martinez Roman Reyna Vincent F. Sarmiento CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P,O. Box 22030 Santa Ana, California 92702 www santa -ana ora UTILITY ALLOWANCE SCHEDULE EFFECTIVE DATE: January 1, 2014 CITY MANAGER David Cavazos C ITY ATTORN EY Sonia R. Canealho CLERK OF THE COUNCIL Maria D. Huizar BEDROOMS 0 1 2 3 4 5 GAS COOKING 2 6 6 9 11 15 HEATING 11 14 17 25 31 32 WATER HEATING 6 7 8 14 17 19 -- —_ ELEer- arc— — BASIC 11 16 20 34 34 34 COOKING 4 7 8 11 15 17 HEATING 9 13 17 22 28 32 WATER HEATING 13 18 23 31 32 32 WATER 16 19 23 32 38 43 TRASH 16 SEWER 7 REFRIGERATOR 9 STOVE 7 MOBILE HOME FLAT RATE 62 SANTA ANA CITY COUNCIL Miguat A. Pulldo i Sal 71n4 wo Vlri.t F. Sa enb Mlchele MaN.a } Angelica Amezcua R David aenavidos Romnn Reyne Mayor Mayor Pm Tem,WeM6 I ward 1 Ward2 Warda ward Wards �GPuI'do�sanfa- oneora ST'neer,l,r,nla- areoraI V$armlantcA'anlalna on Mtda in 5-nfe -ana or APmexcueMentamaara OBenavidea®sarta- ana am RRavnansanta.anaoto EXHIBIT 9 ___.._...._. Inclusionary Housing Agreement— Rental Project 19H-64 September 18, 2014 City of Santa Ana ANNUAL TENANT RECERTIFICATION CITY OF SANTA ANA AFFORDABLE RENTAL HOUSING PROGRAM Date: Tenant Name: Unit Address: Dear In accordance with the requirements imposed by the City of Santa Ana (City) Housing Opportunity Ordinance, and your lease, the City requires that we review your income and family composition every year. To complete our review, the Property Owner or Property Manager will set up a meeting with you to receive the necessary information. — When-you attend -the meeting with -the Property Owner or Property Manager you must bring documents that verify the income of all the adult members of your household. This information can include income tax returns, employment verification, wage statements, interest statements, and /or unemployment compensation statements. Cooperation with the recertification requirement is a condition of continuing tenancy in an Inclusionary Unit. You must report the required information to enable the Property Owner to process the recertification by Month /Day. Sincerely, Property Manager/ Property Owner Annual Tenant Recertification Form Santa Ana, California 19H -65 Page 1 August 8, 2014 TENANT INCOME VERIFICATION FORM Head of Household (Print Name): Address: Telephone Number: Home: Work: Cell: Date of Birth: Social Security #: Household Composition List All Household Members Living in the Inclusionary Unit Dependent Name Sex Age (YIN) Social Security# List additional household members on a separate sheet of paper. Tenant Income Veriflcation Form Page 1 Santa Ana, California 19H-66 August 8, 2014 TENANT INCOME VERIFICATION FORM Monthly Gross Income List All Sources of Income of All Household Members Living in the Inclusionary Unit Part 1: Earned Income Other Adult Head of Household Household Members Total 1. Gross amount, before payroll deductions of wages, $ $ $ salaries, overtime pay, commissions, fees, tips and bonuses. 2. Net income from business. $ $ $ 3. Social security, annuities, insurance policies, $ $ $ pension/retlrement funds, disability or death -- benefits rived periodically. 4. Payment in lieu of earnings, such as $ $ $ unemployment, disability compensation, worker's compensation and severance pay. 5. Public assistance, welfare payments $ $ $ 6. Alimony, child support, other periodic allowances $ $ $ 7. Regular pay, special pay and allowances of $ $ $ members of the Armed Forces 8. Other $ $ $ Subtotal: Monthly Earned Income $ Total Monthly Earned Income x 12 = $ Total Annual Household Gross Earned Income Tenant income Verification Form Page 2 Santa Ana, California 9 ��� August 8, 2014 TENANT INCOME VERIFICATION FORM Monthly Gross Income* List All Sources of Income of All Household Members Living in the Inclusionary Unit Part 2: Investment Income Head of Household Other Adult Household Members. Total Household Investment Income 1. Interest paid on Bank and Savings accounts $ $ $ 2. Dividends and other payments from stocks and bonds $ $ $ 3. Income from real property (i.e. rental property) $ $ $ 4 — Other(descrtbe)— Subtotal: Monthly Investment Income: $ Total Monthly Investment Income x 12 = $ Total Annual Household Investment Income *Note: The following items are not considered Income: casual or sporadic gifts; amounts specifically for or in reimbursement of medical expenses; lump sum payments such as inheritances, insurance payments, capital gains and settlement for personal or property losses; educational scholarships paid directly to the student or educational institution; special pay to a serviceman head of family away from home and under hostile fire; relocation payments under federal, state or local law; foster child care payments; value of coupon allotments for purpose of food under Food Stamp Act of 1964 which is in excess of amount actually charged the eligible household; payments received pursuant to participation in the following programs: VISTA, Service Learning Programs, and Special Volunteer Programs, SCORE, ACE, Retired Senior Volunteer Program, Foster Grandparent Program, Older American Community Services Program, and National Volunteer Program to Assist Small Business Experience. Tenant Income VeriRcation Form Page 3 Santa Ana, California 19H-68 August 8, 2014 TENANT INCOME VERIFICATION FORM * *Note: Necessary items, such as furniture and automobiles, used for personal use are excluded from household assets. Collections of items for hobby, Investment or business purposes must be included in household assets. If the total value of household assets exceeds $6,000, the calculation of the household's annual income shall include the greater of the actual amount of income, if any, derived from all of the household assets; or 10% of the total value of the assets. Tenant Income Verification Form Page 4 Santa Ana, California 19H-69 August 8, 2014 Assets List the Current Value of All Assets of All Household Members Living In the Incluslonary Unit If the Asset generates income, that income must be specified In Park 2 above Head of Household Other Adult Household Members Total Value of Value Value Assets 1. Bank and Savings accounts $ $ $ 2. Stocks and bonds $ $ $ 3. Real property (i.e. rental property) $ $ $ 4. Other (describe) $ $ $ Total Asset Value $ * *Note: Necessary items, such as furniture and automobiles, used for personal use are excluded from household assets. Collections of items for hobby, Investment or business purposes must be included in household assets. If the total value of household assets exceeds $6,000, the calculation of the household's annual income shall include the greater of the actual amount of income, if any, derived from all of the household assets; or 10% of the total value of the assets. Tenant Income Verification Form Page 4 Santa Ana, California 19H-69 August 8, 2014 TENANT INCOME VERIFICATION FORM If the total asset value exceeds $5,000, perform the calculations in the following table. If the total asset value is less than $5,000, the amount of investment income to be included in annual household income is $0. Calculation of Investment Income to be Included in Annual Household Income 1. Total Annual Household Investment Income $ 2. Total Asset Value $ x 10% $ The Greater of #1 or #2 = Investment Income to be Included in Annual Household Income $ Calculation of the Household's Total Annual Income Total Annual Household Gross Earned Income $ Total Investment Income to be Included in Annual Household Income $ Total Household Income $ Attach True Copies of the Relevant Documents Listed Below most recent pay periods Employment verification Income tax return Social security verification Alimony /child support verification other (Describe) Bank/Savings account verification Self- employment verification Unemployment verification Welfare verification Disability income verification Tenant Income Veriflcation Form Page 5 Santa Ana, California 19H-70 August 8, 2014 AFFIDAVIT This Affidavit is made with the knowledge that it will be relied upon by the City of Santa Ana, our landlord and the owner of our apartment building, to determine maximum income for eligibility. (]/we) warrant that all information set forth in this document is true, correct and complete and based upon information (1 /we) deem reliable and based upon such investigation as (1 /we) deemed necessary. (I/We) acknowledge that (Uwe) have been advised that the making of any misrepresentation or misstatement in this affidavit will constitute a material breach of (my /our) rental agreement with the property owner to rent the unit and will additionally enable the property owner to initiate and pursue all applicable legal and equitable remedies with respect to the unit and to me /us. (I/We) do hereby swear under penalty of perjury that the foregoing statements are true and correct and that this affidavit has been executed as of the date specified below by each adult member of the household which intends to occupy an Inclusionary Unit located at Santa Ana, California. Printed Name Executed at Signature Printed Name Executed at Date Santa Ana, California Date Santa Ana, California Santa Ana, California 19H-71 August 8, EXHIBIT 10 ANNUAL RENTAL HOUSING COMPLIANCE REPORT Inclusionary Housing Agreement — Rental Project 19H-72 September 18, 2014 City of Santa Ana F O a LLA O' 1 W d u W Q C° C v CL z � C O J u a W u O aV^ Z v N O Z Z Q � W O 9L O ; O z Z C M O Z ,i n L G fV �+ O y p a` e C E a m C O O u -E c v p w tl v p > o a # WN .o a` u d 'o a N t C .N :C O # 0 F- m �i N 8 E U u O S .. U1 � u E N 2 �n m c 0 4 19H -73 W 0. x W N d w E yo m Q a `v g� ai v} d a w v w a u 3 R L E « O V y L � N L N 2 E u u O 0 0 p ;= v c C G v 5 ti 3 Y � O� u N Z N � u 3 j o Q N p Y c E 0 0 v m Ys v d £ 0 O c — 2 O Z U! N N N O O y t N � 3 O (O Z 2 19H -73 W 0. x W N d w E yo m Q a `v g� ai v} d a w v w a u EXHIBIT 11 NOTICE OF AFFORDABILITY COVENANTS ON TRANSFER OF PROPERTY Inclusionary Housing Agreement — Rental Project September 18, 2014 City of Santa Ana 19H-74 NOTICE OF AFFORDABILITY RESTRICTIONS ON TRANSFER OF =i17J1_40 NOTICE IS HEREBY GIVEN that the CITY OF SANTA ANA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, has entered into an Inclusionary Housing Agreement with ('Property Owner "). The Inclusionary Housing Agreement imposes income and affordability covenants on designated Inclusionary Units within the Project located at _, Santa Ana, Orange County, Assessor's Parcel Number , and further described in the legal description provided in Exhibit 1 to the Inclusionary Housing Agreement. The Inclusionary Housing Agreement was recorded as Document/instrument Number , and shall remain in effect until 20 (Insert date of the termination of the Affordability Period). The Inclusionary -- — - Housing Agre-ement-imposs the following income and affordability restrictions on the Inclusionary Units: Very-Low Income Low Income Number of Bedrooms Households Households Studios Units One - Bedroom Units Two - Bedroom Units Three - Bedroom Units Four - Bedroom Units In the event the Property Owner wishes to sell or transfer the Project during the Affordability Period, the City and the Property Owner shall execute and deposit into escrow this Notice of Affordability Covenants on Transfer of the Property. The sale or transfer of the Property shall not be effective unless and until the City and the transferee execute the documents necessary to transfer the Inclusionary Housing Agreement obligations from the Property Owner to the transferee. Notice of Affordability Restrictions on Transfer of Property Page 1 City of Santa Ana August S, 2014 19H -75 This Notice of Affordability Covenants on Transfer of the Property in no way modifies the provisions of the Inclusionary Housing Agreement. In the event of any conflict between this Notice of Affordability Covenants on Transfer of the Property and the Inclusionary Housing Agreement, the terms of the Inclusionary Housing Agreement shall prevail. IN WITNESS WHEREOF, the Parties hereto have duly executed this Notice of Affordability Restrictions on Transfer of Property as of the dates set forth below. [Signatures on Following Pages] Notice of Affordability Restrictions on Transfer of Property Page 2 City of Santa Ana August 8, 2014 19H -76 SIGNATURE PAGE TO NOTICE OF AFFORDABILITY RESTRICTIONS ON TRANSFER OF PROPERTY APPROVED AS TO LEGAL FORM: 13 City Attorney City of Santa Ana CITY: CITY OF SANTA ANA A California Municipal Corporation Name: Its: Date: Notice of AffordablRy Restrictions on Transfer of Property Page 3 City of Santa Ana August S, 2014 19H -77 SIGNATURE PAGE TO NOTICE OF AFFORDABILITY RESTRICTIONS ON TRANSFER OF PROPERTY PROPERTY OWNER: u A -----Name:------ _ -- Its: Date: M Name: Its: Date: Notice of Affordability Restrictlons on Transfer of Property Page 4 City of Santa Ana August 8, 2014 19H -78 EXHIBIT 12 DRAFT AFFORDABLE RENTAL HOUSING ADMINISTRATIVE PROCEDURES Inclusionary Housing Agreement — Rental Project - SeptembeH 8, 2014 City of Santa Ana 19H-79 ltklo" ulM • m � m L, (. „ni xi ,,.,,.e ,. yie, ,,,, ,., .n,r .n,,,e .z6� l n _— e.Ynr4 .. ,.,,. .,r n., e „Pf ..✓v✓�/2✓r�� �iln✓P]l:.Vn'eGrudn�rT�'] The City of Santa Ana 5 � 19H -80 TABLE OF CONTENTS A. Affordable Rental Housing Program ..... ............... ......................... U11" PROGRAM ADMINISTRATION ~~.~~~.—.,^. ..^..............^"""^^..'."^^. 1 "^~°,^.`"^,"^,."...~0 —,,.—.....O ~~.......�8 ^....—""",.."^.~~~10 /\ Qennny.....^..~....--..`..,`.~.....~..,.....,^.......~.~i0 S. Fair Housing Policy ............................................................. .. ....... ................................... 1O C. Privacy Rights ............ ....... ........ ............. ........................................................................ 10 D. Authorization ................ ....... ............. ............... ................. ........................................... i0 IV. DETERMINATION OF TENANT ELIGIBILITY &AFFORDAB[.E RENT .... 12 A. General Policy ....................... ................... ............... ............ ...... .................................. 12 EL Applicant Eligibility Criteria ........................................................................................ ....... 1% {, .......... .................... ................ —.~^,",", ....... "",". ........... D. Affordable Rent Calculations ...... ...... .................. .... ........ ................. . ....................... 18 V. COMPLAINTS AND APPEALS ^^"~^,,..—~.^~".~.,,^~^.~.^~^."".^"^~,...,."^,..^^"^. 15 A. General Policy '`~~~,,.' ....................................................... .' B. Program Audits ............................................................................. 19H401 --.,.^..—~~.,iO `^~~^.~^.~^.~.1O ..........,.��8 ATTACHMENTS Attachment A Housing Opportunity Ordinance - Article XVIILI Section 41 -1900 of the Santa Ana Municipal Code Attachment B Housing Opportunity Ordinance — Affordable Rental Housing Program Summary Attachment C Inclusionary Housing Plan Attachment D Household Income Limits - 2014 Att achment E Affordable Housing Costs - 2014 Attachment F Utility Allowances — 2014 Attachment G Annual Tenant Recertification Form Attachment H Annual Rental Housing Compliance Report Attachment I Inclusionary Housing Fund Attachment J In -Lieu Fee Calculation Worksheet__ 19H -82 DEFINITIONS OF TERMS Adjusted Household Size Appropriate for the Unit is based on the H &SC Section 50053 definition, and is only used in the Affordable Housing Cost calculations. For Affordable Housing Cost calculation purposes, the household size is set at one person in the case of a studio unit, two persons in the case of a one - bedroom unit, three persons in the case of a two- bedroom unit, four persons in the case of a three - bedroom unit, and five persons in the case of a four - bedroom unit. This household size standard is used in the Affordable Housing Cost calculations; it is not an occupancy limit. Administrative Procedures means the Affordable Rental Housing Administrative Procedures promulgated by the Executive Director pursuant to the Ordinance. Administrative Procedures Manual is the Affordable Rental Housing Administrative Procedures Manual dated 2014, which has been prepared by the City for the implementation and enforcement of the Ordinance. A copy of the Administrative Procedures Manual shall be maintained on file with the City, and shall be provided to each Property Owner that is subject to the Ordinance requirement. Adult means a person 18 years of age or older. Affordability Covenants shall mean the Gross Household Income and Affordable Rent standards that will be applied to the Inclusionary Units throughout the Affordability Period. These covenants will be defined in an Inclusionary Housing Agreement. Affordability Period shall be set at 55 years from the Recordation Date. Affordable Housing Cost means the maximum costs that can be borne by Very-Low Income Households and Low Income Households based on the requirements imposed by H &SC Section 50053. The calculation methodology is described in Section IV of the Administrative Procedures Manual. Affordable Rent shall mean the Affordable Housing Cost minus the applicable Utilities Allowance for each Inclusionary Unit. Affordable Rental Housing Administrative Procedures Page 1 1407003.SNA August 8, 2014 19H -83 Affordable Rental Housing Program shall mean rental units developed under the Ordinance. Applicant means a Household that is applying to rent an Inciusionary Unit. City means the City of Santa Ana, California. City Council means the City Council of the City of Santa Ana. County means the County of Orange. County Median Income shall mean the Median Income adjusted by actual household size as published annually by HCD for the County. Eligible Tenant shall mean a tenant who meets the eligibility criteria set forth in the Inclusionary Housing Agreement for the Project. Executive Director is the Executive Director of the Community Development Agency of the City. The Executive Director, or designee, has the ultimate authority to evaluate appeals submitted in relation to the Administrative Procedures. Gross Household Income means all Income from whatever source from all Adult Household members, which is anticipated to be received during the 12- month period following the date of the determination of Gross Household Income. The applicable sources of income are defined in California Code of Regulations Title 25 Housing and Community Development Section 5914. The definition Includes the following specific requirements: Except as provided in subdivision (2), all payments from all sources received by the head of Household (even if temporarily absent) and each additional member of the Household who is not a minor shall be included in the annual income of a Household. Gross Household Income shall include, but not be limited to: a. The gross amount, before any payroll deductions, of wages and salaries, overtime pay, commissions, fees, tips and bonuses; b. The net income from operation of a business or profession or from rental or real or personal property (for this purpose, expenditures Affordable Rental Housing Administrative Procedures Page 2 1407003.SNA August 8, 2014 19H -84 for business expansion or amortization of capital indebtedness shall not be deducted to determine the net income from a business); C. Interest and dividends; d. The full amount of periodic payments received from social security, annuities, insurance policies, retirement funds, pensions, disability or death benefits and other similar types of periodic receipts (but see subdivision (2)(c)); e. Payments in lieu of earnings, such as unemployment and disability compensation, worker's compensation and severance pay; Public Assistance. If the public assistance payment includes an amount specifically designated for shelter and utilities which is subject to adjustment by the public assistance agency in accordance with the actual cost of shelter and utilities, the amount of public assistance income to be included as income shall consist of. The amount of the allowance or grant exclusive of the amount specifically designated for shelter and utilities, plus ii. The maximum amount which the public assistance agency could In fact allow for the Household for shelter and utilities. g. Periodic and determinable allowances such as alimony and child support payments, and regular contributions or gifts received from persons not residing in the dwelling; h. All regular pay, special pay and allowances of a member of the Armed Forces (whether or not living in the dwelling) who is head of the Household or spouse or domestic partner (but see subdivision (2)(e)Y Where a Household has net assets in excess of $5,000, income shall include the actual amount of income, if any, derived from all of the net Household assets or 10 percent of the value of all such assets, whichever is greater. For purposes of this section, net Affordable Randal Housing Administrative Procedures Page 3 1407003.SNA - August S, 2014 19H -85 Household assets means value of equity in real property other than the Household's full -time residence, savings, stocks, bonds, and other forms of capital investment. The value of necessary items such as furniture and automobiles shall be excluded. 2. The following items shall not be considered as income: a. Casual, sporadic or irregular gifts; b. Amounts which are specifically for or in reimbursement of the cost of medical expenses; C. Lump -sum additions to Household assets, such as inheritances, insurance payments (including payments under health and accident insurance and worker's compensation), capital gains and settlement for personal or property losses; d. Amounts of educational scholarships paid directly to the student or to the educational institution, and amounts paid by the government _ _ to a_veterar- for-use -in- meeting -the costs -of tuition, fees, books -and - equipment. Any amounts of such scholarships, or payments to veterans not used for the above purposes of which are available for subsistence are to be included in income; e. The special pay to a serviceman head of a Household away from home and exposed to hostile fire; Relocation payments made pursuant to federal, state, or local relocation law; g. Foster child care payments; h. The value of coupon allotments for the purchase of food pursuant to the Food Stamp Act of 1964 which is in excess of the amount actually charged the eligible Household; Payments received pursuant to participation in the following volunteer programs under the ACTION Agency: Affordable Rental Housing Administrative Procedures Page 4 1407003.SNA August S. 2014 19H -86 National Volunteer Antipoverty Programs which include VISTA, Service Learning Programs and Special Volunteer Programs. National Older American Volunteer Programs for persons aged 60 and over which include Retired Senior Volunteer Programs, Foster Grandparent Program, Older American Community Services Program, and National Volunteer Program to Assist Small Business Experience, Service Corps of Retired Executive (SCORE) and Active Corps of Executives (ACE). HCD means the California Housing and Community Development Department, H &SC shall mean the California Health and Safety Code. HUD shall mean the United States Department of Housing and Urban Development. — Household means all- the- persons-who will- occupy the—lnduslona y Unit—.A child who is subject to a legally- binding shared- custody agreement, in which the child resides with the Household at least 50% of the time, Is counted as a member of the Household. Excluded from the definition of Household are live -in caregivers/caretakers, foster children, unborn children and children being pursued for legal custody or adoption that are not currently living with the Household. Inclusionary Housing Agreement means a legally binding agreement between the Property Owner and the City, in a form and substance satisfactory to the Executive Director and City Attorney. The Inclusionary Housing Agreement must contain those provisions necessary to ensure that the Ordinance requirements are satisfied, whether through the provision of Affordable Rental Housing Units or through an approved alternative method. Inclusionary Housing Fund means a separate fund of the City which is codified in Article XVI11.1 Section 41 -1909 of the City's Municipal Code. The fund was established for the specific purpose of providing the City with funds to assist in the development of housing that is affordable to low and moderate income Affordable Rental Housing AdministmOve Procedures Page 5 1407003.SNA August 8, 2014 19H -87 households. The allowable uses of Inclusionary Housing Funds, and the related reporting are described In Attachment I of the Administrative Procedures Manual. Inclusionary Housing Plan means a plan submitted for approval to the Program Director that details the manner in which the affordable housing obligations will be fulfilled by the Project. The Inclusionary Housing Plan form is presented in Attachment C of the Administrative Procedures Manual, and also attached as Exhibit 4 to the Inclusionary Housing Agreement. Inclusionary Unit means a rental unit in Santa Ana that is made affordable by covenants or conditions restricting occupancy and rental rate charged as described in this Administrative Procedures Manual. In -Lieu Fee refers to a fee that may be paid by the Property Owner in specific circumstances in lieu of providing Inclusionary Units within a Project. These circumstances are identified in Section II -A of the Administrative Procedures Manual. The In -Lieu Fee calculation worksheet is updated annually. The current Affordable Housing In -Lieu Fee calculation worksheet schedule is presented in Attachment J of this Administrative Procedures Manual. Low Income refers to Households whose incomes meet the standards defined by the H &SC Section 50079.5. Generally Low Income means household income that does not exceed 80% of the County Median Income, as adjusted for Household size. However, the maximum household income amount for Low Income Households shall be set at the amount published by HCD annually. Low Income Household means individuals or Households who have an adjusted Gross Household Income that does not exceed Low Income. Median Income is calculated by HCD using non - aggregated census income data and applying trending factors for metropolitan statistical areas (MSA) throughout the country. The MSA for Santa Ana is Orange County. Ordinance means the Housing Opportunity Ordinance adopted by the City Council on November 7, 2011, which is codified in Article XVI11.1 Section 41- 1900 of the City's Municipal Code. Affordable Rental Housing Adminlstrative Procedures Page 1407003.SNA August 6, 2014 19H -88 Program Director has the day -to -day authority for making determinations related to the Ordinance and this Administrative Procedures Manual. The Program Director will be appointed by the Executive Director. Project means the rental housing project proposed to be developed on the Property at the Property Owner's sole cost and expense. Property means the real property on which the Project is to be developed, for which the legal description Is provided in Exhibit 1 to the Inclusionary Housing Agreement. Property Owner shall mean the owner of the Project that includes Inclus €onary Units. Recordation Date means the date of recording in the Official Records of the County of Orange, California of the Inclusionary Housing Agreement. Utilities Allowance shall mean the Utility Allowance Schedule published annually by the Orange County Housing Authority. Very-Low Income refers to Households whose incomes meet the standards defined by the H &SC Section 50105. Generally Very-Low Income means household income that does not exceed 50% of the County Median Income, as adjusted for Household size. The maximum household income amount for Very- Low Income Households shall be set at the amount published by HCD annually. Very-Low Income Household means individuals or Households who have an adjusted Gross Household Income that does not exceed Very-Low Income. Affordable Rental Housing Administrative Procedures Page 7 1407003.SNA August 8, 2014 19H -89 II. INTRODUCTION A. Affordable Rental Housing Program The Ordinance applies to housing developments that involve an increase in the density otherwise available under applicable zoning and development standards; a change in land use designation from a zoning regulation that does not permit residential uses to one that does permit residential uses; or the conversion of rental units to condominium ownership. For those Projects, at least 15% of new housing construction of five or more units to be affordable for Very Low or Low Income Households. Property Owners are typically required to meet their Inclusionary Units obligation within the market rate residential development. With approval from the City, a portion of Inclusionary Units may be provided at alternative locations. Property Owners may designate newly constructed units as affordable to meet their requirement, or they may substantially rehabllitatel existing housing units and designate them as affordable. In -Lieu Fees can be paid by right for Projects with between five and 20 units, and for fractional unit obligations. An In -Lieu Fee — — calcuTation worksheet is presented in Attachment J to this Administrative Procedures Manual. Property Owners of Projects subject to the Ordinance must submit an Inclusionary Housing Plan to the Program Director for approval prior to the award of discretionary approvals for the proposed Project. The Inclusionary Housing Plan must demonstrate how the Project will comply with the pertinent Inclusionary Housing obligations. The Property Owner must fulfill all the requirements identified in the Inclusionary Housing Plan before the City will issue a certificate of occupancy for the Project. B. Purpose of these Administrative Procedures The primary objective of the Affordable Rental Housing Program is to provide affordable housing to residents who would otherwise have difficulty renting a t Defined as rehabilitation of a dwelling unit that has substantial building and other code violations, that has been vacant for at least 90 days, and the cost exceeds 25% of the market value of the unit after rehabilitation. Affordable Rental Housing Administrative Procedures Page 8 1407003.SNA August 8, 2014 19H -90 home in Santa Ana. Persons interested in renting an Inclusionary Unit through the City's Affordable Rental Housing Program, must comply with tenant eligibility. requirements imposed by the City. The principal mechanism the City uses to establish restrictions on Inclusionary Units is the Inclusionary Housing Agreement recorded against the Project. While the individual terms of the Inclusionary Housing Agreements are controlling, this Administrative Procedures Manual addresses the following: The eligibility criteria to be imposed on prospective tenants; 2. The methodology for setting the maximum rental rates; 3. The complaints and appeals process available to program participants; and 4. The monitoring and enforcement activities that will be undertaken by the City. In_the_event there is an irreconcilable conflict between the- Inclusionary Housing— Agreement and the Administrative Procedures, the Inclusionary Housing Agreement will control. Affordable Rental Housing Administrative Procedures Page 9 1407003.SNA August B, 2014 19H -91 III. PROGRAM ADMINISTRATION A. General The City defines the requirements that are imposed by the Affordable Rental Housing Program. The Program Director oversees the Inclusionary Units upon their completion, which includes calculating the Affordable Rents, determining tenant eligibility, and monitoring program compliance on an ongoing basis. B. Fair Housing Policy Property Owners must comply fully with all Federal, State, and local non- discrimination laws, Specifically, Property Owners shall not discriminate on account of race, color, sex, religion, sexual orientation, creed, ancestry, national or ethnic origin, age, family or marital status, handicap or disability, or deny any Household or individual the opportunity to apply for or participate in the Affordable Rental Housing Program. C. Privacy Rights All eligibility applications are held in strict confidence and are not considered public records (H &SC Section 34332). Requests for the City to release information involving an Applicant must be accompanied by a written release request from the Applicant and /or a court order, unless disclosure is authorized under Federal or State law. D. Authorization The Program Director and /or a designee are authorized to sign all documents requiring approvals related to the development, waivers, subordinations, and any non - substantial changes to these Administrative Procedures. E. Administrative Procedures Each Property Owner participating in the Affordable Rental Housing Program will receive a copy of the Administrative Procedures Manual. The Administrative Procedures may be updated from time to time to increase the programs' effectiveness; modifications will require City Council approval Affordable Rental Housing Administrative Procedures Page 10 1407003.SNA August B. 2014 19H -92 Each transaction will include an Inclusionary Housing Agreement that will be executed by the City and the Property Owner. In the event there is a conflict between the Inclusionary Housing Agreement and the Administrative Procedures, the Inclusionary Housing Agreement will prevail. Affordable Rental Housing Administrative Procedures Page 11 1407003.SNA August 3, 2014 19H -93 IV. DETERMINATION OF TENANT ELIGIBILITY & AFFORDABLE RENT A. General Policy Applicants will be required to provide documentation demonstrating that they are eligible to rent an Inclusionary Unit. Applicants unable to provide satisfactory evidence of income, assets, Household composition, or other qualifying criteria will not be considered an Eligible Tenant, and will not be allowed to rent an Inclusionary Unit. B. Applicant Eligibility Criteria United States Citizenship /Legal Residency Applicants and all Household members must be United States Citizens or have the right to permanently reside in the United States. Acceptable citizenship documentation includes a birth certificate or a Permanent Resident Card. Household and Unit Size Compatibility The size of the Household occupying the Inclusionary Unit must be compatible with the size of the Inclusionary Unit to be occupied. The maximum number of occupants is set as follows: Maximum Number of Number of Bedrooms Occupants Studios Units 2 One - Bedroom Units 3 Two - Bedroom Units 5 Three- Bedroom Units 7 Four - Bedroom Units 9 Verifiable income /Annual Recertification All Adult Household members listed on the tenant application must provide income documentation to the Property Owner or properly manager. This documentation can include income tax returns, employment verification, wage Affordable Rental Housing Administrative Procedures Page 12 1407003.SNA August 8, 2014 19H -94 statements, interest statements, and/or unemployment compensation statements to determine eligibility to reside in the Inclusionary Unit. Once per year, over the life of the Affordability Period, the Property Owner or property manager will recertify each tenant in an Inclusionary Unit's annual Gross Household Income. The Property Owner or property manager will establish an annual recertification schedule and perform all tenant recertifications at the same time. Each tenant will be required to provide the appropriate documentation to certify their Gross Household income. Composition of Household Any alteration to the Household composition must be disclosed during the annual recertification process. C. Income Eligibility Criteria Gross Household Income The Property Owner or property manager will-consider Gross Household Income— - for all Adult Household members when determining Applicant eligibility to reside in an Inclusionary Unit. The funds included in Gross Household Income are detailed in the definitions section of these Administrative Procedures. Maximum income The maximum allowable income is set forth for each Project and /or unit by the affordable housing agreements recorded on legal title to the property. Income levels include, but are not limited to Very-Low and Low Income as defined in these Administrative Procedures. The 2014 household income limits are presented in Attachment D to this Administrative Procedures Manual. In the case of conflict among the agreements, the most stringent requirement must be applied. D. Affordable Rent Calculations Rental rates for the Inclusionary Units must be set at levels affordable to Very- Low Income Households and Low Income Households as set forth in the Project's Inclusionary Housing Agreement. The Affordable Rent is equal to the Affordable Rental Housing Administrative Procedures Page 13 1407003.SNA August 8, 2014 19H -95 Affordable Housing Cost minus the applicable Utilities Allowances. The 2014 Affordable Housing Cost calculations and Utilities Allowances are presented in Attachments E and F, respectively. The Program Director will calculate the allowable rental rates based on the standards imposed in the Project's inclusionary Housing Agreement. In the case of conflicts in the requirements imposed by the City and other funding sources used to finance the Project, the most stringent requirement must be applied. The Affordable Rents may be re- evaluated once annually based on changes in the Gross Household Incomes (usually updated during the first quarter of each year). Any changes in the rents charged for the Inclusionary Units must first be approved in writing by the Program Director. The Property Owner, or property manager, must provide a Notice of Rent Increase to each Household renting an Inclusionary Unit. Affordable Rental Housing Administrativo Procedures Page 14 1407003.SNA August 8. 2014 19H -96 V. COMPLAINTS AND APPEALS Complaints concerning the City's Affordable Rental Housing Program should be made in writing and addressed to the Program Director. Complaints will be accepted only if they are in writing and are received within 30 days from the event giving rise to the complaint. The Program Director will contact the complainant to attempt to resolve the matter. A written response from the Program Director will be made to the complainant within 10 business days. If a complainant is not satisfied with the written response, a request for an appeal may be filed with the Executive Director. The written request must set forth the reasons for the appeal and must be received by the Executive Director within 15 days from the date of the Program Director's written response. In the event the request does not meet these requirements, the complainant will be notified that the request is denied; otherwise, the complainant will be invited to meet with the Executive Director. The Executive Director will provide the complainant with an opportunity to advocate his /her position and to resolve the matter. The Executive Director's response will be made in writing within 10 business days following the — meeting. - -- —— -- — - -- Affordable Rental Housing Adminlstrative Procedures Page 15 1407003.SNA August 6, 2014 19H -97 VI. MONITORING AND ENFORCEMENT A. General Policy At the time of initial occupancy, and annually thereafter, the City will monitor the Project to ensure that the income verifications are correct and in compliance with these Administrative Procedures. The City is committed to assuring that its affordable housing resources reach only Eligible Tenants so that program integrity can be maintained. Property Owners are required to cooperate with the City in promptly providing all information requested by the City in monitoring compliance with program requirements. B. Program Audits City staff will maintain a high level of awareness to indicators of possible abuse and fraud by Property Owners and tenants living in Inclusionary Units. The City will conduct periodic random quality control audits of Inclusionary Units to assure compliance with program rules and requirements. Such audits may include verification of continued occupancy in Inclusionary Units by Eligible Tenants,__ compliance with the Affordability Covenants, and physical inspections of the Project. C. Program Abuse and Fraud Protections City staff will investigate suspected program abuse and fraud as appropriate. City staff will take all steps necessary and appropriate, both administrative or legal, to enforce program requirements. Referrals, Complaints, or Tips The City will follow up on referrals from other agencies, companies, or individuals that are received by mail, by telephone, or in person, which allege that a Property Owner or tenant of an Inclusionary Unit is in non - compliance with or otherwise violating program rules. Such follow up will be made providing that the referral contains at least one item of information that is independently verifiable. A copy of the written allegation or a summary of the verbal allegation will be placed in the Property Owner's file. Affordable Rental Housing Administrative Procedures Page 18 1407003.SNA . - August 8, 2014 19H -98 Internal File Review The City will investigate instances where it discovers, as a result of administering the program, information or facts that conflict with previous file data or any knowledge of the Property Owner or tenant, or are In any way discrepant with statements made by the Property Owner or tenant. Referrals to the City Attorney In the event of a breach or potential breach of program requirements, the City may institute legal action to enforce compliance with the program requirements, and to enjoin any actions by Property Owners that violate program requirements. The City's legal remedies may additionally include the following: Actions to disapprove, revoke or suspend any permit, including a Building Permit, Certificate of Occupancy or other discretionary approval; 2. Injunctive relief and damages; 3. _ - Civil-citations with - monetary penalties - for violations-of the Administrative Procedures; and 4. Recovering any excess rent that a tenant may have paid to a Property Owner. Affordable Rental Housing Administrative Procedures - Page 17 1407003.SNA August 8, 2014 19H -99 ATTACHMENT A HOUSING OPPORTUNITY ORDINANCE ARTICLE XVIII.1 SECTION 41 -1900 OF THE SANTAANA MUNICIPAL CODE Affordable Rental Housing Administrative Procedures 1407003,SNA August 8, 2014 19H -100 ATTACHMENT B HOUSING OPPORTUNITY ORDINANCE AFFORDABLE RENTAL HOUSING PROGRAM SUMMARY Affordable Rental Housing Admintstretive Procedures 1407003.SNA August 8, 2014 19H -101 CITY OF SANTA ANA HOUSING OPPORTUNITY ORDINANCE AFFORDABLE RENTAL HOUSING PROGRAM SUMMARY The following document is meant to provide Property Owners that wish to construct rental housing projects with a basic summary of the City of Santa Ana's (City) Housing Opportunity Ordinance (Ordinance) requirements. This summary only identifies the basic characteristics of the program. Persons interested in learning more about the affordable housing obligations imposed by the Ordinance may request an Administrative Procedures Manual from the City. Key Housing Opportunity Ordinance Requirements A primary objective of the Ordinance is to provide affordable rental opportunities to residents who would otherwise have difficulty owning a home in Santa Ana. The Ordinance applies to residential projects with five or more units, under the following conditions: 1. The conversion of commercial or industrial land to a residential use; or A zone change that increases the allowable residential density from the level that was permitted by the zoning in place as of the date of the application; or The conversion of a hotel to a residential use; or 4. An increase In the percentage of residential development included in a mixed -use development above the amount allowed by the zone; or 5. The conversion of rental units to ownership condominium units. Rental projects that are subject to the Ordinance are provided with the following alternatives for fulfilling the affordable housing requirements: Fifteen percent (15 %) of the units within the market rate project can be rented to Very-Low Income Households and Low Income Households at the defined Affordable Rents; or 2. The required number of Inclusionary Units may be provided in a newly constructed project located in an off -site location; or Housing Opportunity Ordinance — Affordable Rental Housing Program Summary Page 1 City of Santa Ana August 8, 2014 19H -102 3. Existing rental units can be acquired, substantially rehabilitated and then income and affordability covenants can be placed on the units. In order to exercise the acquisition and substantial rehabilitation option, the existing units must exhibit substantial building and other code violations, the units must have been vacant for at least 90 days, and the rehabilitation costs must be equal to at least 25% of the market value of the unit after the rehabilitation is completed; or 4. An In -Lieu Fee can be paid by right for projects with between five and 20 units, and for fractional unit obligations. In addition, projects with more than 20 units can fulfill the obligation by paying an In -Lieu Fee if the City Council determines that the cost of providing the Inclusionary Units on site would substantially exceed the applicable In -Lieu Fee. Other key requirements are as follows: 1. The Inclusionary Units must be: a. Reasonably dispersed throughout the market rate project; b. Proportional in the number of bedrooms to the market rate units in the project; C. Comparable to the market rate units in terms of design, materials, finished quality and appearance; and d. Permitted the same access to project amenities and recreation facilities as the market rate units. The Inclusionary Units must be constructed at the same time or before the construction of the market rate units. The Property Owner must accept recorded income and affordability controls that will remain in place for 55 years from the date the Project is placed in service. Administrative Procedures Manual The requirements that are imposed on rental housing projects are detailed in the Affordable Rental Housing Administrative Procedures Manual adopted by the City Council, The Administrative Procedures Manual provides Property Owners with the following information: Housing Opportunity Ordinance— Affordable Rental Housing Program Summary Page 2 City of Santa Ana August B, 2014 19H -103 The eligibility criteria to be imposed on prospective tenants; 2. The methodology for setting the maximum rental rates; 3. The complaints and appeals process available to program participants; and 4. The monitoring and enforcement activities that will be undertaken by the City. City Contact For additional information, please contact the City's Program Director: Contact Person Email Address Telephone Number Housing Opportunity Ordinance —Affordable Rental Housing Program Summary Page 3 City of Santa Ana August 8, 2014 19H -104 ATTACHMENT C INCLUSIONARY HOUSING PLAN Affordable Rental Housing Administrativa Procedures 1407003.8NA August B, 2014 19H -105 INCLUSIONARY HOUSING PLAN RENTAL PROJECT APPLICATION NUMBER: City of Santa Ana, Planning Division 20 Civic Center Plaza Santa Ana, California 92701 714.667.2700 Project Address: Assessor Parcel Number(s): Site Dimension and Square Footage: Property Owner's Name: Contact Person: Work Telephone: Street Address: City: Applicant's Name: Contact Person: Work Telephone: Street Address: City: State: State: Email: Mobile Phone: Email: Mobile Phone: Zip: Zip: Inclusionary Housing Plan — Rental Project Page 1 Santa Ana, California August B, 2014 19H -106 I. INCLUSIONARY HOUSING ALTERNATIVES Select the applicable alternatives to indicate how the project will comply with the inclusionary housing requirement: On -site construction of inclusionary units In -lieu fee payment for entire obligation In -lieu fee payment for fractional unit 1 Land dedication Note: Alternatives other than "on -site units" require City Council approval. IL PROJECT DESCRIPTION Describe the project in the following chart: Number of Bedrooms Unit Size (Square Feet.) Number of Market Rate Units Number of Low Income Units Number of Very-Low Income Units Total Number of Units Studio 1 2 3 4 8 -- 'If the calculation of the number of required inclusionary housing units results Ina fractlon, the developer has the option to (a) provide an additional Incluslonary housing unit or (b) pay an In -Lieu Fee equal to the percentage represented by the fractional inclusionary housing unit multiplied by the applicable In -Lieu Fee, Incluslonary Housing Plan — Rental Project Page 2 Santa Ana, California August 8, 2014 19H -107 A. Identify the gross livable area of the proposed project (including private balconies, decks and patios. square feet B. Will the project be constructed in phases? Yes No C. Is a density bonus being requested in accordance with Municipal Code Section 41 -1600 Yes No III. REQUIRED EXHIBITS TO THE INCLUSIONARY HOUSING PLAN A. A narrative description of the entire project; B. A site plan that depicts the entire project (minimum 11" x 17"); C. A depiction of the location of the inclusionary housing units; and D. If applicable, a phasing plan that provides for the proportionate number of the total inclusionary housing unit requirement to be built within each phase of the project. Inclusionary Housing Plan — Rental Project Page 3 Santa Ana, Califomia August S, 2014 19H -108 IV. PROPERTY OWNER'S AFFIDAVIT I hereby certify that I am the legally authorized owner of all property involved in this application or have been empowered to sign as the property owner on behalf of a corporation, partnership, business, etc., as evidenced by separate instrument attached herewith. I herby grant to the applicant submitting this form full power to sign all documents related to this application, including any conditions or litigation measures as may be deemed necessary. I declare under penalty of perjury that the foregoing is true and correct. Executed on (Date) at California Property Owner's Signature Printed Name V. APPLICANT'S AFFIDAVIT I hereby certify that the statements furnished above and in the attached exhibits represent the data and information required for this initial evaluation and that the facts, statements and information presented are true and correct to the best of my knowledge and belief. Further, should the stated information be found false or insufficient, I agree to the return of this farm for appropriate revisions, understanding the City of Santa Ana cannot process this form until all applicable Information is corrected or provided by the applicant. I herby certify that I have been legally authorized by the property owner to present this application and to sign on behalf of all documents related to this application, including any conditions or litigation measures as may be deemed necessary. Note: When the applicant is a corporation, partnership, business, etc., a separate document verifying the authorization to sign for such applicant is required. I declare under penalty of perjury that the foregoing is true and correct. Executed on (Date) at , California Applicant's Signature Applicant's Printed Name Inclusionary Housing Plan — Rental Project Page 4 Santa Ana, California August 8, 2014 19H -109 ATTACHMENT D HOUSEHOLD INCOME LIMITS - 2014 Affordable Rental Housing Administrative Procedures 1407003.SNA August 8, 2014 19H -110 HOUSEHOLD INCOME LIMITS HOUSING OPPORTUNITY ORDINANCE 2014 HOUSEHOLD INCOME LIMITS TO BE UPDATED ANNUALLY BY THE CITY BASED ON ORANGE COUNTY HUDIHCD INCOME LIMITS The incomes listed below will be used to qualify potential tenants: Number of Persons Very -Low income Low Income 1 $33,750 $53,950 2 $38,550 $61,650 3 $43,350 $69,350 4 $48,150 $77,050 5 $52,050 $83,250 6 $55,900 $89,400 -7 $59,750 $95,550 8 $63,600 $101,750 NOTE: The figures above shall only apply to calendar year 2014. Annual adjustments made to the above figures shall be made by the City when the updated household incomes are published by the State of California Housing and Community Development Department. The updated figures shall then be applicable to all prospective tenants of Inclusionary Units for that specified calendar year. 2014 Household Income Limits Page 1 City of Santa Ana August 8, 2014 19H -111 ATTACHMENT E AFFORDABLE HOUSING COST CALCULATIONS - 2074 Affordable Rental Housing Administrative Procedures 1407003.SNA August 8, 2014 19H -112 AFFORDABLE HOUSING COSTS - 2014 HOUSING OPPORTUNITY ORDINANCE TO BE UPDATED ANNUALLY BY THE CITY BASED ON ORANGE COUNTY HCD INCOME LIMITS The Affordable Housing Costs will be applied to Inclusionary Units in 2014. These Affordable Housing Costs must be reduced by the applicable Utilities Allowances to arrive at the Affordable Rent for the Inclusionary Units: Number of Bedrooms Very-Low Income Low Income Studio Units $763 $916 One - Bedroom Units $872 $1,046 Two - Bedroom Units $981 $1,178 Three- Bedroom Units $1,090 $1,308 Four- Bedroom Units $1,178 $1,413 NOTE: The figures above shall only apply to calendar year 2014. The City will update the Affordable Housing Costs each year when the updated household incomes are published by the State of California Housing and Community Development Department (HCD). The updated Affordable Housing Costs shall then be applicable to the Inclusionary Units for that specified calendar year. Affordable Housing Costs -2014 Page 1 City of Santa Ana August S, 2014 19H -113 ATTACHMENT F UTILITIES ALLOWANCES - 2014 Affordable Rental Housing Administrative Procedures 1407003.SNA August B, 2014 19H -114 ATTACHMENT G ANNUAL TENANT RECERTIFICATION FORM Affordable Rental Housing Administrative Procedures 1407003 -SNA August 8, 2014 19H -115 ANNUAL TENANT RECERTIFICATION CITY OF SANTA ANA AFFORDABLE RENTAL HOUSING PROGRAM Date: Tenant Name: Unit Address: Dear In accordance with the requirements imposed by the City of Santa Ana (City) Housing Opportunity Ordinance, and your lease, the City requires that we review your income and family composition every year. To complete our review, the Property Owner or Property Manager will set up a meeting with you to receive the necessary information. When you attend the meeting with the Property Owner or Property Manager you must bring documents that verify the income of all the adult members of your household. This information can include income tax returns, employment verification, wage statements, interest statements, and /or unemployment compensation statements. Cooperation with the recertification requirement is a condition of continuing tenancy in an Inclusionary Unit. You must report the required information to enable the Property Owner to process the recertification by Month /Day. Sincerely, Property Manager / Property Owner Annual Tenant Recertification Form Page 1 Santa Ana, California August 8, 2014 19H -116 TENANT INCOME VERIFICATION FORM Head of Household (Print Name): Address: Telephone Number: Home: Work: Gall: Date of Birth: Social Security #: Household Composition List All Household Members Living in the Inclusionary Unit Dependent — -Name - Sex Age - (YIN) Social Security# List additional household members on a separate sheet of paper. Tenant Income Verification Form Page t Santa Ana, California August 8, 2014 19H -117 TENANT INCOME VERIFICATION FORM Monthly Grass Income * List All Sources of Income of All Household Members Living in the Inclusionary Unit Part 1: Earned Income Other Adult Head of Household Household Members Total 1. Gross amount, before payroll deductions of wages, $ $ $ salaries, overtime pay, commissions, fees, tips and bonuses. 2. Net income from business. $ $ $ 3. Social security, annuities, insurance policies, $ $ $ pension /retirement funds, disability or death benefits received periodically. - 4 Payment in lieu of earnings, such as $ $ $ unemployment, disability compensation, worker's compensation and severance pay. 5. Public assistance, welfare payments $ $ $ 6. Alimony, child support, other periodic allowances $ $ $ 7. Regular pay, special pay and allowances of $ $ $ members of the Armed Forces 8. Other $ $ $ Subtotal: Monthly Earned Income $ Total Monthly Earned Income x 12 = $ Total Annual Household Gross Earned Income Tenant Income verification Form Page 2 Santa Ana, California August 8, 2014 19H -118 TENANT INCOME VERIFICATION FORM Monthly Gross Income* List All Sources of Income of All Household Members Living in the Inclusionary Unit Part 2: Investment Income Total Other Adult Household Head of Household Investment Household Members Income 1. Interest paid on Bank and Savings accounts $ $ $ 2. Dividends and other payments from stocks and $ $ $ bonds 3. Income from real property (i.e. rental property) $ $ $ 4. Other (describe) $ $ $ Subtotal: Monthly Investment Income: $ Total Monthly Investment Income x 12 = $ Total Annual Household Investment Income 'Note: The following items are not considered income: casual or sporadic gifts; amounts specifically for or in reimbursement of medical expenses; lump sum payments such as inheritances, insurance payments, capital gains and settlement for personal or property losses; educational scholarships paid directly to the student or educational institution; special pay to a serviceman head of family away from home and under hostile fire; relocation payments under federal, state or local law; foster child care payments; value of coupon allotments for purpose of food under Food Stamp Act of 1964 which is in excess of amount actually charged the eligible household; payments received pursuant to participation In the following programs: VISTA, Service Learning Programs, and Special Volunteer Programs, SCORE, ACE, Retired Senior Volunteer Program, Foster Grandparent Program, Older American Community Services Program, and National Volunteer Program to Assist Small Business Experience. Tenant Income Verification Form Page 3 Santa Ana, California August 8, 2014 19H -119 TENANT INCOME VERIFICATION FORM "Note: Necessary items, such as furniture and automobiles, used for personal use are excluded from household assets. Collections of items for hobby, Investment or business purposes must be included in household assets. If the total value of household assets exceeds $5,000, ft calculation of the household's annual income shall include the greater of the actual amount of income, if any, derived from all of the household assets; or 10% of the total value of the assets. Tenant Income Verification Form Page 4 Santa Ana, California August 8, 2614 19H -120 Assets List the Current Value of All Assets of All Household Members Living in the Inclusionary Unit If the Asset generates income, that income must be specified In Part 2 above Head of Household Other Adult Household Members Total Value of Value Value Assets 1. Bank and Savings accounts $ $ $ 2. Stocks and bonds $ $ $ 3. Real property (i.e. rental property) $ $ $ 4. Other (describe) $ $ $ Total Asset Value $ "Note: Necessary items, such as furniture and automobiles, used for personal use are excluded from household assets. Collections of items for hobby, Investment or business purposes must be included in household assets. If the total value of household assets exceeds $5,000, ft calculation of the household's annual income shall include the greater of the actual amount of income, if any, derived from all of the household assets; or 10% of the total value of the assets. Tenant Income Verification Form Page 4 Santa Ana, California August 8, 2614 19H -120 TENANT INCOME VERIFICATION FORM If the total asset value exceeds $5,000, perform the calculations in the following table. If the total asset value is less than $5,000, the amount of investment income to be included in annual household income is $0. Calculation of Investment Income to be Included in Annual Household Income 1. Total Annual Household Investment Income $ 2. Total Asset Value $ x 10% $ The Greater of #1 or #2 = Investment Income to be Included in Annual Household Income $ Calculation of the Household's Total Annual Income Total Annual Household Gross Earned Income $ Total Investment Income to be Included in Annual Household income $ Total Household Income $ Attach True Copies of the Relevant Documents Listed Below recent pay periods Employment verification Income tax return Social security verification Alimony /child support verification Other Bank/Savings account verification Self - employment verification Unemployment verification Welfare verification Disability Income verification Tenant Income Veriflcadon Form Page 5 Santa Ana, Callfornia August S, 2014 19H -121 AFFIDAVIT This Affidavit Is made with the knowledge that it will be relied upon by the City of Santa Ana, our landlord and the owner of our apartment building, to determine maximum income for eligibility. (1/we) warrant that all information set forth In this document is true, correct and complete and based upon information (I /we) deem reliable and based upon such investigation as (Ilwe) deemed necessary. (IMe) acknowledge that (]/we) have been advised that the making of any misrepresentation or misstatement in this affidavit will constitute a material breach of (my /our) rental agreement with the property owner to rent the unit and will additionally enable the property owner to initiate and pursue all applicable legal and equitable remedies with respect to the unit and to me/us. (]Me) do hereby swear under penalty of perjury that the foregoing statements are true and correct and that this affidavit has been executed as of the data specified below by each adult member of the household which intends to occupy an Inclusionary Unit located at Santa Ana, California. Signature Printed Name Executed at Santa Ana, California Signature Date Printed (dame Executed at Santa Ana, California Affidavit - Page 6 Santa Ana, California 19H -122 August 8, 2fi14 ATTACHMENT H ANNUAL RENTAL HOUSING COMPLIANCE REPORT Affordable Rental Housing Administrative Procedures 1407003.SNA August 8, 2014 19H -123 tz 0 Lu a cc w U a z ur Q z :3 v 0. 8 Q LLA d -0 Q v z 0 Ln c z O 0 K W a 0 j Z_ a h_ 0 e 7 E a a E 7E a a m v 3 D e �p c i ' 3 m a ors m m n d G _ n o � c m � v dpi n �I a d n l`Ay d aW m ii d ++ e s a 'o a c a c a y D L D u C D u o G N J GI as a � $ E C p a m m n d G _ n o � c m � v dpi n �I a d n l`Ay d aW e s y D L D u o G N J C a N D a a Y u D E D u t. e d d m N Y y O p Y a a CC a :' ce 7 Q o p 9k � a m 9 o a d � N V � e p — x 'D r° a 01 N p � D 'D o a �z D x xe Y - 4 m m n d G _ n o � c m � v dpi n �I a d n l`Ay d aW ATTACHMENT INCLUSIONARY HOUSING FUND Affordable Rental Housing Administrative Pmosdures 1407003SNA August 8, 2014 19H -125 ATTACHMENT J IN -LIEU FEE CALCULATION WORKSHEET Affordable Rental Housing Adminisfmtive Procedures 1407003.SNA August 8, 2014 19H -126 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING 2014 SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT (AQMD) CLEAN TRANSPORTATION FUNDS (STRATEGIC PLAN NO. 5, 2) �L-eV7 CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1"Reading ❑ Ordinance on 2ntlReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve an appropriation adjustment recognizing 2014 South Coast Air Quality Management District Clean Transportation grant funding in the amount of $244,000 in the MSRC Reimbursement revenue account (no. 03110002 - 52351) and appropriate same to expenditure account (no. 03110102 - 66400). 2. Authorize the City Manager and the Clerk of the Council to execute an agreement with South Coast Air Quality Management District (AQMD) to install six Electric Vehicle charging stations and purchase seven alternative fuel heavy -duty trucks, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Finance and Management Services Agency Facilities, Fleet Maintenance, and Central Stores Division (FFCS) is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. As part of its 5 -Year Alternative Energy Strategic Plan, FFCS routinely searches for grant funding to expand its efforts in alternative fuel technologies. Recently, the City was awarded $244,000 in funds from the South Coast Air Quality Management District's Clean Transportation Mobile Source Air Pollution Reduction Review Committee (MSRC) to purchase and install six electric vehicle charging stations throughout the City and the purchase and conversion of seven heavy duty trucks to propane fuel usage. The purchase of the electric vehicle charging stations will include both public and private access locations. Three stations will be installed at the City Corporate Yard for both public access and City vehicle usage and the remaining stations will be installed specifically for public access use at the Santa Ana Zoo, the Santiago Arts District, and the Santa Ana Train Depot. 20A -1 Appropriation Adjustment and Agreement — 2014 AQMD November 18, 2014 Page 2 The public access locations will provide the community with a low cost alternative to charge electric vehicles at locations that have easy access 24 hours a day. FFCS staff recommends charging $1.00 per hour to cover the cost of electricity and ongoing maintenance and licensing of the charging stations. This amount is consistent with what other jurisdictions currently charge. These locations are also consistent with the overall philosophy of alternative fuel technologies. These two projects require a 50% match, which are available in the Equipment Replacement Fund and the Air Quality Improvement Trust Fund. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #2, Expand opportunities for conservation and environmental sustainability. FISCAL IMPACT The appropriation adjustment will recognize 2014 AQMD Clean Transportation grant funding in the amount of $244,000 in the MSRC Reimbursement revenue account (no. 03110002 - 52351) and appropriate same to expenditure account (no. 03110102 - 66400). The 50% match is available in the Equipment Replacement fund in the amount of $210,000 (no. 07510101 66400) and the Air Quality Improvement Trust fund in the amount of $34,000 (no. 03110101 66400) APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency CL/es Exhibit: Agreement 20A -2 South Coast Air Quality Management District Glom nsportation Funding Nom the MSRC AS 2766IMSRC LOCAL GOVERNMENT MATCH PROGRAM CONTRACT Contract No. ML14012 1. PARTIES - The parties to this Contract are the South Coast Air Quality Management District (hereinafter referred to as "SCAQMD ") whose address is 21865 Copley Drive, Diamond Bar, California 91765 -4178, and the City of Santa Ana (hereinafter referred to as "CONTRACTOR ') whose address is 20 Civic Center Plaza, Santa Ana, California 92701. 2. RECITALS A. SCAQMD is the local agency with primary responsibility for regulating stationary source air pollution within the geographical boundaries of the South Coast Air Quality Management District in the State of California (State). SCAQMD is authorized under State Health & Safety Code Section 44225 (AB 2766) to levy a fee on motor vehicles for the purpose of reducing air pollution from such vehicles and to implement the California Clean Air Act, B. Under AS 2766, SCAQMD's Governing Board has authorized the imposition of the statutorily set motor vehicle fee. By taking such action, the State's Department of Motor Vehicles (DMV) is required to collect such fee and remit it periodically to SCAQMD. C. AB 2766 further mandates that thirty (30) percent of such vehicle registration fees be placed by SCAQMD into a separate account for the sole purpose of implementing and monitoring programs to reduce air pollution from motor vehicles. D. AS 2766 creates a regional Mobile Source Air Pollution Reduction Review Committee (MSRC) to develop a work program to fund projects from the separate account. Pursuant to approval of the work program by SCAQMD's Governing Board, SCAQMD authorized this Contract with CONTRACTOR for equipment or services described in Attachment 1 - Statement of Work, expressly incorporated herein by this reference and made a part hereof of this Contract. E. CONTRACTOR has met the requirements for receipt of AS 2766 Discretionary Funds as set forth 'n CONTRACTOR's Local Government Match Program Application /Proposal dated'October 10, 2011 F. CONTRACTOR is authorized to do business in the State of California and attests that it is in good lax standing with the California Franchise Tax Board. G. Ali parties to this Contract have had the opportunity to have this Contract reviewed by their attorney. 3. DMV FEES - CONTRACTOR acknowledges that SCAQMD cannot guarantee that the amount of fees to be collected under AB 2766 will be sufficient to fund this Contract. CONTRACTOR further acknowledges that payment under this Contract is contingent upon SCAQMD receiving sufficient funds from the DMV, and that SCAQMD assumes no responsibility for the collection and remittance of motor vehicle registration fees. 4. AUDIT AND RECORDS RETENTION A. CONTRACTOR shall, at least once every two years, or within two years of the termination of the Contract if the term is less than two years, be subject to an audit by SCAQMD or its authorized representative to determine if the revenues received by CONTRACTOR were spent for the reduction of pollution from motor vehicles pursuant to the Clean Air Act of 1988. B. CONTRACTOR agrees to maintain records related to this Contract during the Contract term and continue to retain these records for a period of two years beyond the Contract term, except that in no case shall CONTRACTOR be required to retain more than the most recent five years' records. SCAQMD shall coordinate such audit through CONTRACTOR'S audit staff. 20A -3 Contract No, ML14012 C. If an amount is found to be inappropriately expended, SCAQMD may withhold funding, or seek reimbursement, from CONTRACTOR in the amount equal to the amount that was inappropriately expended. Such withholding shall not be construed as SCAQMD's sole remedy and shall not relieve CONTRACTOR of its obligation to perform under the terms of this Contract. 5. TERM - The term of this Contract is for eighty (80) months from the date of execution by both parties, unless terminated earlier as provided for in the TERMINATION clause of this Contract, the EARLY TERMINATION clause, or the term is extended by amendment of this Contract in writing. No work shall commence prior to the Contract start date, except at CONTRACTOR's cost and risk, and no charges are authorized until this Contract is fully executed, subject to the provisions stated in the PRE - CONTRACT COSTS clause of this Contract. 6. SUCCESSORS -IN- INTEREST - This Contract, and the obligations arising under the Contract, shall be binding on and inure to the benefit of CONTRACTOR and their executors, administrators, successors, and assigns. REPORTING - CONTRACTOR shall submit reports to SCAQMD as outlined in Attachment 1 - Statement of Work. SCAQMD reserves the right to review, comment, and request changes to any report produced as a result of this Contract. 8. TERMINATION A. In the event any party fails to comply with any term or condition of this Contract, or fails to provide services in the manner agreed upon by the parties, including, but not limited to, the requirements of Attachment 1 — Statement of Work, this failure shall constitute a breach of this Contract. The non - breaching party shall notify the breaching party that it must cure this breach or provide written notification of its intention to terminate this contract. Notification shall be provided in the manner set forth in the NOTICES clause of this Contract. The non - breaching party reserves all rights under law and equity to enforce this Contract and recover damages. B. SCAQMD reserves the right to terminate this Contract, in whole or in part, without cause, upon thirty (30) days' written notice. Once such notice has been given, CONTRACTOR shall, except as and to the extent or directed otherwise by SCAQMD, discontinue any Work being performed under this Contract and cancel any of CONTRACTOR's orders for materials, facilities, and supplies in connection with such Work, and shall use its best efforts to procure termination of existing subcontracts upon terms satisfactory to SCAQMD. Thereafter, CONTRACTOR shall perform only such services as may be necessary to preserve and protect any Work already in progress and to dispose of any property as requested by SCAQMD, C. CONTRACTOR shall be paid in accordance with this Contract for all Work performed before the effective date of termination under section B of the TERMINATION clause of this Contract. Before expiration of the thirty (30) days' written notice, CONTRACTOR shall promptly deliver to SCAQMD all copies of documents and other information and data prepared or developed by CONTRACTOR under this Contract with the exception of a record copy of such materials, which may be retained by CONTRACTOR. 9. EARLY TERMINATION - This Contract may be terminated early due to the following circumstances: The infrastructure identified in Attachment 1, Statement of Work, becomes inoperable, and is either not technically able to be repaired, or is too costly to repair, and such failure is not caused by CONTRACTOR's negligence, misuse, or malfeasance. 20A -4 Contract No, ML14012 10, STOP WORK - SCAQMD may, at any time, by written notice to CONTRACTOR, require CONTRACTOR to stop all or any part of the Statement of Work tasks in this Contract. A stop work order may be issued for reasons including, but not limited to, the project exceeding the budget, out of scope work, delay in project schedule, or misrepresentations. Upon receipt of the stop work order, CONTRACTOR shall immediately take all necessary steps to comply with the order. CONTRACTOR shall resume the work only upon receipt of written instructions from SCAQMD cancelling the stop work order. CONTRACTOR agrees and understands that CONTRACTOR will not be paid for performing work while the stop work order is in effect, unless SCAQMD agrees to do so in its written cancellation of the stop work order, 11. INSURANCE - CONTRACTOR represents that it is permissibly self - insured and will maintain such self - insurance in accordance with applicable provisions of California law throughout the term of this Contract. CONTRACTOR shall provide evidence of sufficient coverage during the term of this Contract and any extensions thereof that meet or exceed the minimum requirements set forth by the SCAQMD below. The certificate of self- insurance shall be mailed to: SCAQMD, 21865 Copley Drive, Diamond Bar, CA 91765- 4178, Attention: Cynthia Ravenstein, MSRC Contracts Administrator. The SCAQMD Contract Number must be included on the face of the certificate. If CONTRACTOR falls to maintain the required insurance coverage, SCAQMD reserves the right to terminate the Contract or purchase such additional insurance and bill CONTRACTOR or deduct the cost thereof from any payments owed to CONTRACTOR. Minimum insurance coverages are as follows: A. Worker's compensation insurance in accordance with either California or other state's applicable statutory requirements. B. General Liability insurance with a limit of at least $1,000,000 per occurrence, and $2,000,000 In general aggregate. C. Automobile Liability insurance with limits of at least $100,000 per person and $300,000 per accident for bodily injuries and $50,000 in property damage, or $1,000,000 combined single limit for bodily injury or property damage. 12. INDEMNIFICATION - CONTRACTOR agrees to hold harmless, defend and indemnify SCAQMD, its officers, employees, agents, representatives, and successors4n- interest against any and all loss, damage, costs, lawsuits, claims, demands, causes of action judgments, attorney's fees, or any other expenses arising from or related to any third parry claim against SCAQMD, its officers, employees, agents, representatives, or successors in interest that arise or result in whole or in part, from any actual or alleged act or omission of CONTRACTOR, its employees, subcontractors, agents or representatives in the performance of this Contract. 13. DISCLAIMER OF WARRANTY - The purchase or lease of funded vehicleslequipment is the CONTRACTOR's decision, The SCAQMD does not make any express or implied warranty of merchantability, fitness for a particular purpose or otherwise, quality or usefulness of the technology or product. Without limiting the foregoing, the SCAQMD will not be financially responsible, or otherwise liable, for the installation or performance of the vehicle /equipment. 14. PAYMENT A. SCAQMD shall reimburse CONTRACTOR up to a total amount of Two Hundred Forty Four Thousand Dollars ($244,000) in accordance with Attachment 2 — Payment Schedule expressly incorporated herein by this reference and made a part hereof of the Contract. 20A -5 Contract No. ML14012 B. A withhold amount or percentage (if any) shall be identified in the Payment Schedule, and such amount shall be withheld from each invoice. Upon satisfactory completion of project and final acceptance of work and the final report, CONTRACTOR's invoice for the withheld amount shall be released. Proof of project completion shall Include a Final Report detailing the project goals and accomplishments, data collected during project performance, if any, documentation of significant results, and emissions reduction input data needed for calculation of emissions reductions. C. Any funds not expended upon early Contract termination or Contract completion shall revert to the AB 2766 Discretionary Fund. Payment of charges shall be made by SCAQMD to CONTRACTOR within thirty (30) days after approval by SCAQMD of an itemized invoice prepared and furnished by CONTRACTOR. D. An invoice submitted to SCAQMD for payment must be prepared in duplicate, on company letterhead, and list SCAQMD's contract number, period covered by invoice, and CONTRACTOR's social security number or Employer Identification Number and submitted to: South Coast Air Quality Management District 21865 Copley Drive Diamond Bar, CA 917654178 Attn: Cynthia Ravenstein, MSRC Contracts Administrator 1, Charges for equipment, material, and supply costs, travel expenses, subcontractors, and other charges, as applicable, must be itemized by CONTRACTOR. Reimbursement for equipment, material, supplies, subcontractors, and other charges, as applicable, shall be made at actual cost. Supporting documentation must be provided for all Individual charges (with the exception of direct labor charges provided by CONTRACTOR). 2. SCAQMD shall pay CONTRACTOR for travel- related expenses only if such travel is expressly set forth in Attachment 2 — Payment Schedule of this Contract or pre - authorized by SCAQMD in writing. 3. CONTRACTOR's failure to provide receipts shall be grounds for SCAQMD's non - reimbursement of such charges. CONTRACTOR may reduce payments on invoices by those charges for which receipts were not provided. 4. CONTRACTOR must submit final invoice no later than ninety (90) days after the termination date of this Contract or invoice may not be paid. 15. COMPLIANCE WITH APPLICABLE LAWS - CONTRACTOR agrees to comply with all federal, state, and local laws, ordinances, codes and regulations and orders of public authorities in the performance of this Contract. CONTRACTOR must also ensure that the vehicles and/or equipment to be purchased, leased or installed is in compliance with all applicable federal, state, and local air quality rules and regulations, and that it will maintain compliance for the full Contract term. CONTRACTOR shall ensure that the provisions of this clause are included in all subcontracts. 16. MOBILE SOURCE EMISSION REDUCTION CREDITS (MSERCs) A. The MSRC has adopted a policy that no MSERCs resulting from AB 2766 Discretionary Funds may be generated and /or sold. B. CONTRACTOR has the opportunity to generate MSERCs as a by- product of the project if a portion of the air quality benefits attributable to the project resulted from funding sources other than AB2766. These MSERCs, which are issued by SCAQMD, are based upon the quantified vehicle miles traveled (VMT) by project vehicles or other activity data as appropriate. Therefore, a portion of prospective MSERCs, generated as a result of AB 2766 Funds, must be retired. The portion of prospective credits 20A -6 Contract No. ML14012 funded by the AB 2766 program, and which are subject to retirement, shall be referred to as "A8 2766 - MSERCs." C. The determination of AS 2766- MSERC's is to be prorated based upon the AS 2766 program's contribution to the cost associated with the air quality benefits. In the case where AS 2766 Discretionary Funds are used to pay for the full differential cost of a new alternative fuel vehicle or for the retrofitting or repowering of an existing vehicle, all MSERCs attributable to AB 2766 Discretionary Funds must be retired. The determination of AS 2766- MSERCs for infrastructure and other ancillary items is to be prorated based upon the AS 2766 program's contribution to the associated air quality benefits. Determination of the project's overall cost will be on a case -by -case basis at the time an MSERC application is submitted, SCAQMD staff, at the time an MSERC application is submitted, will calculate total MSERCs and retire the AS 2766- MSERCs, CONTRACTOR would then receive the balance of the MSERCs not associated with AS 2766 funding. 11. NOTICES - All notices that are required under this Contract shall be provided in the manner set forth herein, unless specified otherwise, Notice to a party shall be delivered to the attention of the person listed below, or to such other person or persons as may hereafter be designated by that party in writing. Notice shall be in writing sent by email, U.S. Mail, express, certified, return receipt requested, or a nationally recognized overnight courier service. In the case of email communications, valid notice shall be deemed to have been delivered upon sending, provided the sender obtained an electronic confirmation of delivery. Email communications shall be deemed to have been received on the date of such transmission, provided such date was a business day (Tuesday - Friday) and delivered prior to 5:30pm Pacific Standard Time. Otherwise, receipt of email communications shall be deemed to have occurred on the following business day. In the case of U.S. Mail notice, notice shall be deemed to be received when delivered or five (5) business days after deposit in the U. S. Mail. In the case of a nationally recognized overnight courier service, notice shall be deemed received when delivered (written receipt of delivery). SCAQMD: South Coast Air Quality Management District 21865 Copley Drive Diamond Bar, CA 91765 -4178 Attn: Cynthia Ravenstein, MSRC Contracts Administrator, email: cravensteineaomd.gov CONTRACTOR: City of Santa Ana 215 South Center St. Santa Ana, CA 92703 Attn: Rick Longobart, email: RLonoobart(a santa- ana.org 18. INDEPENDENT CONTRACTOR - CONTRACTOR is an independent contractor. CONTRACTOR, its officers, employees, agents, representatives, or subcontractors shall In no sense be considered employees or agents of SCAQMD, nor shall CONTRACTOR, its officers, employees, agents, representatives, or subcontractors be entitled to or eligible to participate in any benefits, privileges, or plans, given or extended by SCAQMD to its employees. SCAQMD will not supervise, direct, or have control over, or be responsible for, CONTRACTOR's or subcontractor's means, methods, techniques, work sequences or procedures, or for the safety precautions and programs incident thereto, or for any failure by them to comply with any local, state, or federal laws, or rules or regulations, including state minimum wage laws and OSHA requirements. 20A -7 Contract No. ML14012 19. SUBCONTRACTOR APPROVAL - If CONTRACTOR intends to subcontract all or a portion of the work under this Contract, then CONTRACTOR must first obtain written approval from SCAQMD's Executive Officer or designee prior to subcontracting any work. Any material changes to the subcontract(s) that affect the scope of work, deliverable schedule, and/or payment/cost schedule shall also require the prior written approval of the SCAQMD Executive Officer or designee. No subcontract charges will be reimbursed unless the required approvals have been obtained from SCAQMD, 20. OWNERSHIP - Title and full ownership rights to any equipment purchased under this Contract shag at all times remain with CONTRACTOR. 21. SECURITY INTEREST - CONTRACTOR hereby grants SCAQMD a security interest in any and at equipment purchased, in whole or in part, with funding provided by SCAQMD pursuant to this Contract. CONTRACTOR acknowledges and agrees that SCAQMD shall have all lien rights as a secured creditor on any and all equipment purchased in whole or in part by the CONTRACTOR, under this Contract or any amendments thereto. The SCAQMD shall have lien rights in effect until the CONTRACTOR satisfies all terms under the Contract, including but not limited to, the use and reporting requirements. Accordingly, CONTRACTOR further agrees that SCAQMD is authorized to file a UCC filing statement or similar security instrument to secure its interests in the equipment that is the subject of the Contract. In the event CONTRACTOR files for bankruptcy protection, CONTRACTOR shall notify SCAQMD within 10 business days of such filing. 22. NON- DISCRIMINATION • In the performance of this Contract, CONTRACTOR shall not discriminate in recruiting, hiring, promotion, demotion, or termination practices on the basis of race, religious creed, color, national origin, ancestry, sex, age, or physical handicap and shall comply with the provisions of the California Fair Employment & Housing Act (Government Code Section 12900, et seg.), the Federal Civil Rights Act of 1964 (P.L. 88 -352) and all amendments thereto, Executive Order No. 11246 (30 Federal Register 12319), and all administrative rules and regulations issued pursuant to said Acts and Order. CONTRACTOR shall likewise require each subcontractor to comply with this clause and shall include in each such subcontract language similar to this clause. 23. CITIZENSHIP AND ALIEN STATUS A. CONTRACTOR warrants that it fully complies with all laws regarding the employment of aliens and others, and that its employees performing services hereunder meet the citizenship or alien status requirements contained in federal and state statutes and regulations including, but not limited to, the Immigration Reform and Control Act of 1986 (P.L. 99 -603). CONTRACTOR shall obtain from all covered employees performing services hereunder all verification and other documentation of employees' eligibility status required by federal statutes and regulations as they currently exist and as they may be hereafter amended. CONTRACTOR shall have a continuing obligation to verify and document the continuing employment authorization and authorized alien status of employees performing services under this Contract to insure continued compliance with all federal statutes and regulations. Notwithstanding the above, CONTRACTOR, in the performance of this Contract, shall not discriminate against any person in violation of 8 USC Section 1324b. 8. CONTRACTOR shall retain such documentation for all covered employees for the period described by law. CONTRACTOR shall indemnify, defend, and hold harmless SCAQMD, its officers and employees from employer sanctions and other liability which may be assessed against CONTRACTOR or SCAQMD, or both in connection with any alleged violation of federal statutes or regulations pertaining to the eligibility for employment of persons performing services under this Contract. 20A -8 Contract No. ML14012 24. ASSIGNMENT AND TRANSFER OF EQUIPMENT A. The rights and responsibilities granted hereby may not be assigned, sold, licensed, or otherwise transferred by CONTRACTOR without the prior written consent of SCAQMD, and any attempt by CONTRACTOR to do so shall be void upon inception. B. CONTRACTOR agrees to obtain SCAQMD's written consent to any assignment, sale, license or transfer of Equipment, if any, prior to completing the transaction. CONTRACTOR shall inform the proposed assignee, buyer, licensee or transferee (collectively referred to here as °Buyer") of the terms of this Contract. CONTRACTOR is responsible for establishing contact between SCAQMD and the Buyer and shall assist SCAQMD in facilitating the transfer of this Contract's terms and conditions to the Buyer. CONTRACTOR will not be relieved of the legal obligation to fulfill the terms and conditions of this Contract until and unless the Buyer has assumed responsibility of this Contract's terms and conditions through an executed contract with SCAQMD. 25. NON- EFFECT OF WAIVER - The failure of CONTRACTOR or SCAQMD to insist upon the performance of any or all of the terms, covenants, or conditions of this Contract, or failure to exercise any rights or remedies hereunder, shall not be construed as a waiver or relinquishment of the future performance of any such terms, covenants, or conditions, or of the future exercise of such rights or remedies, unless otherwise provided for herein. 26. TAX IMPLICATIONS FROM RECEIPT OF MSRC FUNDS - CONTRACTOR is advised to consult a tax attorney regarding potential tax implications from receipt of MSRC funds. 27. ATTORNEYS' FEES - In the event any action is filed in connection with the enforcement or interpretation of this Contract, each party in said action shall pay its own attorneys' fees and costs. 28. FORCE MAJEURE -Neither SCAQMD nor CONTRACTOR shall be liable or deemed to be in default for any delay or failure in performance under this Contract or interruption of services resulting, directly or indirectly, from acts of God, civil or military authority, acts of public enemy, war, strikes, labor disputes, shortages of suitable parts, materials, labor or transportation, or any similar cause beyond the reasonable control of SCAQMD or CONTRACTOR. 29. SEVERABILITY - In the event that any one or more of the provisions contained in this Contract shall for any reason be held to be unenforceable in any respect by a court of competent jurisdiction, such holding shall not affect any other provisions of this Contract, and the Contract shall then be construed as if such unenforceable provisions are not a part hereof. 30. HEADINGS - Headings on the clauses of this Contract are for convenience and reference only, and the words contained therein shall in no way be held to explain, modify, amplify, or aid in the interpretation, construction, or meaning of the provisions of this Contract, 31. DUPLICATE EXECUTION - This Contract is executed in duplicate. Each signed copy shall have the force and effect of an original. 32. GOVERNING LAW - This Contract shall be construed and interpreted and the legal relations created thereby shall be determined in accordance with the laws of the State of California. Venue for resolution of any disputes under this Contract shall be Los Angeles County, California. 20A -9 Contract No, ML14012 33. PRE - CONTRACT COSTS - Any costs incurred by CONTRACTOR prior to CONTRACTOR receipt of a fully executed Contract shall be incurred solely at the risk of the CONTRACTOR. In the event that a formal Contract is not executed, neither the MSRC nor the SCAQMD shall be liable for any amounts expended in anticipation of a formal Contract. If a formal Contract does result, pre- contract cost expenditures authorized by the Contract will be reimbursed in accordance with the Payment Schedule and payment provision of the Contract. 34. CHANGE TERMS - Changes to any part of this Contract must be requested in writing by CONTRACTOR and approved by MSRC in accordance with MSRC policies and procedures. CONTRACTOR must make requests a minimum of 90 days prior to desired effective date of change. All modifications to this Contract shall be in writing and signed by the authorized representatives of the parties. Fueling station location changes shall not be approved under any circumstances. 35. PREVAILING WAGES - CONTRACTOR is alerted to the prevailing wage requirements of Califomia Labor Code section 1770 et seq. Notwithstanding the preceding sentence, CONTRACTOR shall be responsible for determining the applicability of the provisions of California Labor Code and complying with the same, including, without limitation, obtaining from the Director of the Department of Industrial Relations the general prevailing rate of per diem wages and the general prevailing rate for holiday and overtime work, making the same available to any interested party upon request, paying any applicable prevailing rates, posting copies thereof at the job site and flowing all applicable prevailing wage rate requirements to its subcontractors. CONTRACTOR shall indemnify, defend and hold harmless the South Coast Air Quality Management District against any and all claims, demands, damages, defense costs or liabilities based on failure to adhere to the above referenced statutes. 36 ENTIRE CONTRACT - This Contract represents the entire agreement between CONTRACTOR and SCAQMD. There are no understandings, representations, or warranties of any kind except as expressly set forth herein. No waiver, alteration, or modification of any of the provisions herein shall be binding on any party unless in writing and signed by the authorized representative of the party against whom enforcement of such waiver, alteration, or modification is sought. 37. AUTHORITY - The signator hereto represents and warrants that he or she is authorized and empowered and has the legal capacity to execute this Contract and to legally bind CONTRACTOR both in an operational and financial capacity and that the requirements and obligations under this Contract are legally enforceable and binding on CONTRACTOR. (THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK) 20A -10 Contract No. ML14012 IN WITNESS WHEREOF, the parties to this Contract have caused this Contract to be duly executed on their behalf by their authorized representatives. SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT M Dc William A, Burka, Chairman, Governing Board Date: ATTEST, Saundra McDaniel, Clerk of the Board 0 APPROVED AS TO FORM: Kurt R. Wiese, General Counsel By HMSRC Master Boilerplate Revised April 10. 2014 CITY OF SANTA ANA By: _ Name: Title: Date: David Cavazos City Manager APPROVED AS TO FORM LISA E. STORCK Assistant City Attorney 20A -11 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 1. Proiect A. The City of Santa Ana (hereinafter referred to as "CONTRACTOR ") is to purchase seven heavy -duty on -road vehicles, each with a 15 -year life expectancy and gross vehicle weight rating greater than 14,000 pounds and equipped with dedicated liquefied petroleum gas (LPG) engines. Each engine must be certified by the California Air Resources Board (GARB) at, or cleaner than, the 2010 heavy -duty engine emission standards of 0.2 g/bhp -hr for oxides of nitrogen (NOx) and 0.01 g/bhp -hr for particulate matter (PM). B. CONTRACTOR is also to install a total of six "Level II" type EV charging stations at a minimum of three locations within the City of Santa Ana. At least five of the stations shall be publicly accessible. All stations shall meet current Society of Automotive Engineers J1772 standards. Proposed locations are shown in the table below: Street Venue 215 S. Center Street Corporate Yard, Service Port 215 S. Center Street Corporate Yard, General Parking 201 E. 3` Street The Santiago Arts District 1801 East Chestnut Avenue Santa Ana Zoo These locations are understood to be tentative; CONTRACTOR shall notify MSRC staff of any location changes. CONTRACTOR shall be reimbursed according to Attachment 2 - Payment Schedule. 2. Operation Requirements and Reimbursement for Noncompliance - Vehicles Vehicles are required to operate for a minimum of five years, but it is expected that the vehicles will continue to operate for their entire life expectancy. CONTRACTOR is obligated to comply with the geographical restriction requirements as follows: A. Each of the vehicles funded under this Contract must accrue at least 85% of its annual mileage or engine hours of operation within the geographical boundaries of the South Coast Air Quality Management District for a period of no less than five (5) years from the date the vehicle enters service (new vehicles) or returns to service (repowered vehicles). Should CONTRACTOR deviate from or fail to comply with this obligation, for reasons other than those stated in the EARLY TERMINATION clause of this contract, CONTRACTOR shall reimburse SCAQMD for a prorated share of the funds provided for the vehicle as indicated In the table below: 20A -12 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14022 5 year Operations Obligation Termination Occurs Percentage of MSRC Funds to be Reimbursed Within Year 1 100% Between Years 1 -2 80% Between Years 2 -3 60% Between Years 3 -4 40% Between Years 4 -5 20% After Year 5 0% B. The appropriate reimbursable amount shall be paid to SCAQMD within sixty (60) days from the date the vehicle ceases to operate in accordance with the geographical restriction. CONTRACTOR shall not be responsible for any reimbursement to SCAQMD if the obligation is terminated as a result from one or more reasons set forth in the EARLY TERMINATION clause of this contract. C. Should CONTRACTOR sell, lease, transfer, assign or otherwise divest itself of the vehicles during the five year period referred to above, notice shall be provided to SCAQMD no less than 30 days preceding the sale, lease, transfer, or assignment is effectuated. The agreement effectuating the sale, lease, transfer or assignment shall state that the SCAQMD is an intended third -party beneficiary of the agreement and shall include the following requirement: the obligation to accrue mileage within the South Coast Air Quality Management District shall be a continuing obligation of the subsequent purchaser, lessee, transferee, successor in interest, heir or assign and shall remain In full force and effect until the expiration of the five year operation period. This obligation shall be passed down to any subsequent purchaser, lessee or transferee during this five year term and SCAQMD shall be an intended third -party beneficiary of any subsequent agreement. Upon receiving notice of any subsequent sale, lease, transfer, assignment or other divestiture, SCAQMD may elect to either require the reimbursement specified above, or require the subsequent purchaser, lessee, transferee or assignee to comply with the continuing obligation to operate the vehicle for a period of no less than five (5) years from the date the vehicle entered service (new vehicles) or re- service (re- powered vehicles). Notice of SCAQMD's election of remedies shall be provided to CONTRACTOR and any subsequent purchaser, lessee, transferee or assignee in a timely fashion. 3 Ooeration Requirements and Reimbursement for Noncompliance — EV Chareina Stations CONTRACTOR is obligated to comply with the Operational Availability requirements set forth as follows: A. CONTRACTOR commits to ensuring Level II charging stations remain operational in the original location for a period of no less than three (3) years from the date the station begins operations in either its initial or expanded capacity. Should CONTRACTOR desire to deviate from this obligation, for reasons other than those stated in the EARLY TERMINATION clause of this Contract, CONTRACTOR shall reimburse SCAQMD for a 2 20A -13 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 prorated share of the funds provided for fueling/charging facilities as indicated in the table below: perational Availability on Termination Percentage of MSRC Funds to be Reimbursed ear 1 jAfter 100% Years 1 -2 66% Years 2 -3 33% ar 3 0% B. The appropriate reimbursable amount shall be paid to SCAQMD within sixty (60) days from the date the station ceases operation. CONTRACTOR shall not be responsible for any reimbursement to SCAQMD if the obligation is terminated as a result from one or more reasons set forth in the EARLY TERMINATION clause of this Contract. C. The obligations of this section shall survive the expiration of the Contract and continue In full force and effect until the applicable operational availability period set forth above has been satisfied. 4. Display of MSRC Logo CONTRACTOR agrees to permanently display one MSRC decal In a prominent location on each vehicle purchased pursuant to this Contract. Decals will be provided by SCAQMD upon notification that each subject vehicle and /or station becomes operational. Decals are approximately twelve (12) inches in height and eighteen (18) inches in width (Note: a smaller decal may be provided if CONTRACTOR demonstrates that application of the standard decal is not feasible). CONTRACTOR shall maintain decal for life of equipment subject to this Contract. Should any decal become damaged, faded, or otherwise unreadable, CONTRACTOR shall request replacement decal from SCAQMD and apply new decal in the same or other prominent location. SCAQMD shall not be responsible for damage to paint or other surfaces arising from application or removal of decals. S. Promotion CONTRACTOR shall prepare and submit a proposed Public Outreach Plan to promote the MSRC's co- funding of the vehicles and EV charging stations. Acceptable outreach may include, but is not limited to, notices in CONTRACTOR mailings to residents, newspaper notices, flyers, and information Items at CONTRACTOR Board meetings and community events. The Public Outreach Plan shall automatically be deemed approved 30 days following receipt by 5CAQMD staff, unless SCAQMD staff notify CONTRACTOR in writing of a Public Outreach Plan deficiency. CONTRACTOR shall implement the approved Public Outreach Plan in accordance with the Project Schedule below. 3 20A -14 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 6. Reports Quarterly Reports: Until vehicles are placed into service and EV charging stations commence operation, CONTRACTOR shall provide quarterly progress reports that summarize the project results to date including, but not limited to: tasks completed, issues or problems encountered, resolutions implemented, and progress to date. Progress reports that do not comply will be returned to the CONTRACTOR as Inadequate. Final Report: A Final Report shall be submitted by the CONTRACTOR in the format provided by SCAQMD staff. Report shall include, at a minimum: a) an executive summary; and b) a detailed discussion of the results and conclusions at this project. CONTRACTOR will identify any barriers encountered and solutions developed to overcome the barriers, and impact of project on future alternative fuel and electric vehicle projects. 7. Project Schedule CONTRACTOR shall comply with the Increments of progress identified in the following chart. The completion month for each task is based on the date of Contract execution. Task Completion Order vehicles Month 9 Select vendor for EV charging equipment and installation Month 10 Submit Public Outreach Plan Month 13 Complete EV station installations and enter into service Month 13 Place vehicles into service Month 17 Implement Public Outreach Plan Month 19 Quarterly reports Months 4, 7—,10, 13, and —16i Final Report Month 20 20A -15 Attachment 2 Payment Schedule City of Santa Ana Contract Number ML14O12 Cost 8reakdown No funds shall be paid out to CONTRACTOR pursuant to this Contract, until the project described in Attachment 1 is completed and proof of completion is provided to SCAQMD. If the project described in Attachment 1 is not completed and satisfactory proof of completion is not provided to SCAQMD, no monies shall be due and payable to CONTRACTOR. However, reimbursement may be made for vehicles even if EV charging station installation is not yet complete, or vice versa. Proof of completion shall include: • For vehicles: • Proof of vehicle delivery, vehicle acceptance, and placement of vehicle into service • Documentation of the specific engine installed in the vehicle, including the year, manufacturer, and model • For EV charging stations: • Representative photos of completed stations; • a report signed by a responsible official certifying that the station has been completed as described in Attachment 1; and • receipts for equipment and /or invoice(s) from subcontractor(s) performing the Installations, if any. If, at the completion of the Project, the expenditures are less than the Total Cost amount above, the actual amount of AB 2766 Discretionary Funds reimbursed to CONTRACTOR shall be adjusted on a prorated basis, as follows: • For vehicles, the amount reimbursed to CONTRACTOR shall not exceed the actual amount of AB 2766 Subvention and other funds applied, up to a maximum of $30,000 per heavy -duty vehicle; and by 20A -16 aximum AB2766 CONTRACTOR Purchase cretionary TO A82766 Other Funds Additional project Co- Category Funds Subvention Applied to Funding (not Total Cost ayable Funds Match nder this Applied matched) Contract LPG - fueled $210,000 (not heavy -duty to exceed $30,000 per $0 $210,000 $220,000 $640,000 vehicles vehicle) EV Charging $34,000 $34,000 $0 $0 $68,000 Stations Totals $244,000 $34,000 $210,000 $220,000 708 000 No funds shall be paid out to CONTRACTOR pursuant to this Contract, until the project described in Attachment 1 is completed and proof of completion is provided to SCAQMD. If the project described in Attachment 1 is not completed and satisfactory proof of completion is not provided to SCAQMD, no monies shall be due and payable to CONTRACTOR. However, reimbursement may be made for vehicles even if EV charging station installation is not yet complete, or vice versa. Proof of completion shall include: • For vehicles: • Proof of vehicle delivery, vehicle acceptance, and placement of vehicle into service • Documentation of the specific engine installed in the vehicle, including the year, manufacturer, and model • For EV charging stations: • Representative photos of completed stations; • a report signed by a responsible official certifying that the station has been completed as described in Attachment 1; and • receipts for equipment and /or invoice(s) from subcontractor(s) performing the Installations, if any. If, at the completion of the Project, the expenditures are less than the Total Cost amount above, the actual amount of AB 2766 Discretionary Funds reimbursed to CONTRACTOR shall be adjusted on a prorated basis, as follows: • For vehicles, the amount reimbursed to CONTRACTOR shall not exceed the actual amount of AB 2766 Subvention and other funds applied, up to a maximum of $30,000 per heavy -duty vehicle; and by 20A -16 Attachment 2 Payment Schedule City of Santa Ana Contract Number ML14012 • For the EV charging stations, the amount reimbursed to CONTRACTOR shall not exceed the actual amount of AB 2766 Subvention and other funds applied. Additional AB 2766 Discretionary Match Funds will not be available to fund project cost overruns. Any project cost overruns must be funded from other than AB 2766 Discretionary Funds. F 20A -17 20A -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: APPROPRIATION ADJUSTMENT FOR THE INSTITUTE FOR MUSEUM AND LIBRARY SERVICES NATIONAL LEADESHIP GRANT TO FUND THE MEMORIES OF MIGRATION PROGRAM (STRATEGIC PLAN NO. 2, 2A) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to execute an agreement with the Federal Institute for Museum and Library Services in the amount of $495,550 for the term of October 1, 2014 to September 30, 2017, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment recognizing grant revenue in the amount of $495,550 in the IMLS Library Federal Grants Revenue account (no. 15311002 52000) and appropriating funds to the IMLS Library Federal Grants expenditure accounts (no. 15311160 various). DISCUSSION The Santa Ana Public Library was awarded a Federal Institute of Museum and Library Services grant of $495,550 as part of the Institute's National Leadership program, which supports projects that address challenges faced by libraries across the United States and have the potential to create programs and practices that improve library services nationwide. The grant will fund the three -year project, Memories of Migration, which will develop and promulgate techniques for locating, recording and archiving the experiences of immigrant populations. The project will train and utilize immigrant teens and young adults to record oral histories and encourage others in the community to contribute their experiences and artifacts to the project. Once developed, these techniques will be piloted in four areas across the country with significant immigrant populations: Queens, NY, West Hartford, CT, the State of New Mexico, and Santa Ana. The results of these efforts will be made available to the public through the international web presence, Historypin, which specializes in linking historical photos and information to geographic locations. 20B -1 IMLS National Leadership Grant November 18, 2014 Page 2 The program will offer participating libraries meaningful programs and enrichment activities that provide new immigrant communities a voice in the development of library collections and events and create opportunities for civic engagement for both teen historians and their communities. Moreover, the techniques offer participants new access to digital literacy and provide learning in Science, Technology, Engineering & Math (STEM) through digital training in new media and digitization technologies; The bulk of grant funds will pay the salaries of the Teen Historians, the ten peer mentors who will train and guide them, as well as the clerical and operational staff required to support grant activities. All will be recruited from the youth of the community. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #2 Youth, Education, Recreation, Objective #2, Expand youth programming, Strategy a, Focus resources on quality youth engagement, civic awareness, enrichment and educational programs (i.e. youth camping trips) and expand after - school programs during out -of- school hours at the library and community centers. FISCAL IMPACT The appropriation adjustment will recognize grant revenue in the amount of $495,550 in the IMLS Library Federal Grants Revenue account (no. 15311002 52000) and appropriate an equal amount to the IMLS Library Federal Grants expenditure accounts (no. 15311160 various). Gerardo Mouet, Executive Directo Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez, Executive Director Finance and Management Services Agency, 20B -2 September 11, 2014 Fleather Folmar Library Operations Manager City of Santa Ana 26 Civic Center Plaza Santa Ana, CA Grant Award Number: I.,G- 07 -14- 0067 -14 Dear Ms. Folmar: It gives me great pleasure to notify you that the proposal submitted by the City of Santa Ana has been selected to receive a 2014 National Leadership Grant. Congratulations on your award! We received over 140 applications requesting more than $30 million in funding, and have selected 31 proposals, totaling over $7.5 million. The funded projects were identified by reviewers as premier examples that would significantly advance knowledge, generate new practices, support research and the creation of new tools, and have large scale sustainability. The IMLS press release announcing funded projects will be available at: ham: / /www.imis.eov /news / ressvreleases.as. IMLS used a peer review process to evaluate the grant applications. All eligible and complete proposals were sent to an initial group of technical reviewers for preliminary evaluation. The most highly rated proposals advanced to an overview panel. The overview panelists made funding recommendations to the IMLS Director who then made the final funding decisions. Planning grant proposals went through a similar but statistical review process. This PDF file contains useful information you will need to begin managing your award, including: 1. Grant Award Notification 2. Grant Special Terms and Conditions 3. Reporting Schedule 4. Reviewer Comments Qfavailable) The Grant Award Notification and Grant Special Terns and Conditions contain important information about complying with the terms of the award. Please read all of this information carefully. The amount of your award, the dates of the award period and the grant award number we have assigned are provided in the Grant Award Notification. In all correspondence with IMLS about your award, including reports and requests for reimbursement, please reference your grant award number. As specified in the General Terms and Conditions for IMLS Discretionary Awards, available on our webs ite at http /���ww.iinls aov /assets /I /AssetManager /f;TC 0414.udf, you must submit an annual r1- •.a +� INSTITUTE of • M::a MuseumandLibrary SERVICES 4 a p September 11, 2014 Fleather Folmar Library Operations Manager City of Santa Ana 26 Civic Center Plaza Santa Ana, CA Grant Award Number: I.,G- 07 -14- 0067 -14 Dear Ms. Folmar: It gives me great pleasure to notify you that the proposal submitted by the City of Santa Ana has been selected to receive a 2014 National Leadership Grant. Congratulations on your award! We received over 140 applications requesting more than $30 million in funding, and have selected 31 proposals, totaling over $7.5 million. The funded projects were identified by reviewers as premier examples that would significantly advance knowledge, generate new practices, support research and the creation of new tools, and have large scale sustainability. The IMLS press release announcing funded projects will be available at: ham: / /www.imis.eov /news / ressvreleases.as. IMLS used a peer review process to evaluate the grant applications. All eligible and complete proposals were sent to an initial group of technical reviewers for preliminary evaluation. The most highly rated proposals advanced to an overview panel. The overview panelists made funding recommendations to the IMLS Director who then made the final funding decisions. Planning grant proposals went through a similar but statistical review process. This PDF file contains useful information you will need to begin managing your award, including: 1. Grant Award Notification 2. Grant Special Terms and Conditions 3. Reporting Schedule 4. Reviewer Comments Qfavailable) The Grant Award Notification and Grant Special Terns and Conditions contain important information about complying with the terms of the award. Please read all of this information carefully. The amount of your award, the dates of the award period and the grant award number we have assigned are provided in the Grant Award Notification. In all correspondence with IMLS about your award, including reports and requests for reimbursement, please reference your grant award number. As specified in the General Terms and Conditions for IMLS Discretionary Awards, available on our webs ite at http /���ww.iinls aov /assets /I /AssetManager /f;TC 0414.udf, you must submit an annual r1- narrative program report and an annual financial report. All official correspondence must be signed by your Authorizing Official. You will also need to visit the IMLS grant recipients web site for financial and reporting forms, and other guidance you will need to manage your award (http: / /www.imts.gov/ recipients /administration.aspx). Some key documents include: 1. SF 270, Request for Advance or Reimbursement, to be submitted each time you request a payment; 2. SF 425, Federal Financial Report Form, to be submitted annually; and 3. Instructions for Submitting Interim and Final Reports for IMLS Discretionary Awards. You must submit a completed SF 270, Request for Advance or Reimbursement, each time you request a payment. It is a requirement that your institution must acknowledge IMLS support in all materials, websites, and at all events supported by your grant. For helpful tips, downloadable logos, and pre - approved acknowledgment language, please see the Grantee Communication Kit online at 11UR: / /L�_"vV ii_nIST1rov/G(:K. Guidelines for the 2015 National Leadership Grant Program will be available on our website at http: / /www.imis.gov. There are two application deadlines: October 13, 2014, (geared towards identifying projects that address the priorities identified at the IMLS Focus convenings located online: httu: / /www.inrls.aov /news /imIs focus.ast)x), and February 2, 2015. If you have any questions, please reference your IMLS grant number on all correspondence: LG- 07-14- 0067 -14, and contact one of the senior program officers listed below: Sandra Toro (202) 653 -4662 storo4Zimis.aov Tim Carrigan (202) 653 -4639 tcurrikan a imis.-=ov We look forward to following the progress of your grant and sharing information about it with others who will benefit. Sincerely, 40" AA14 Maura Marx Deputy Director Office of Library Services cc: Cheryl Eberly, Project Director e • •.;• +: INSTITUTE of •• °••• MuseumandUbrary °�'•'• SERVICES Official Award Notification for Grants and Cooperative Agreements Date of Award August 22, 2014 Awardee Name and Address National Leadership Grants City of Santa Ana NLG Library Demo 26 Civic Center Plaza M -75 Santa Ana CA 92701 Award Number LG- 07 -14- 0067 -14 Authorizing Official Award Period Heather Folmar 26 Civic Center Plaza From October 01, 2014 Santa Ana, CA To September 30, 2017 Project Director Total Award Amount $ 495,550.00 Cheryl Eberly 26 Civic Center Plaza 08/22/2014 $495,550.00 Original Award Santa Ana, CA 92701 Basic Award Information 1. The Institute of Museum and Library Services (IMLS) provides this grant support pursuant to 20 USC § 9101 at seq. 2. The award is made in support of the purposes set forth in the original application or, if noted in the special terms and conditions of the award, in a revised plan of work that has been approved by IMLS program staff. 3. The administration of this grant and the expenditure of grant funds are subject to the special terms and conditions of this award, which appear on the second page of the award notification, and the General Terms and Conditions for IMLS Discretionary Awards. The latter document incorporates by reference the audit requirements of OMB Circular A -133 and the applicable uniform administrative requirements and cost principles promulgated by the Office of Management and Budget. 4. The first request for payment will indicate the grantee's acceptance of the award, 5. The schedule of due dates for financial and performance reports is attached as the final page of the award notification. IMLS Authorizing Official Name and Title Signature � 4 � r ff4'JVeY_' obert Horton Associate Deputy Director for Library Services Accounting Code: 59140301P0.2014.LP140.75120.41 TIN No.- 956000785 DUNS No. .083153247 CFDA Number: 45.312 59140301 P0.2014.LP140.75120.41 rl- AWARDEE: City of Santa Ana AWARD NUMBER: LG- 07 -14- 0067 -14 GRANT FUNDS: $495,550 COST SHARE: $818,749 IMLS CONTACTS Questions related to changes in project activities, personnel, and budgets or the extension of the grant period should be addressed to either: Dr. Sandra Toro, Senior Program Officer staro@irnls.eov (202) 653 -4662 Tim Carrigan, Senior Program Officer tcarrEanClimis.gov (202) 653 -4639 Questions related to the processing of payments, notices of overdue reports, interest earned on grant funds, or audit requirements should be addressed to Grants Administration at (202) 653 -4737 or grantsadmin@imls.gov. SPECIAL TERMS AND CONDITIONS OF THE AWARD The budget submitted with your proposal is approved. Changes in this budget will be subject to the limitations set forth in the General Terms and Conditions for IMLS Discretionary Awards. The grantee is required to cost share project expenses at no less than the level indicated in the approved budget. The approved budget includes a cost share of $818,749. The grantee is required to secure prior written approval from IMLS to replace or to substantially reduce the level of effort of the Project Director or the Authorizing Official identified on page 1 of this grant award notification, and /or of any personnel named in the List of Key Project Staff and Consultants submitted with the application. All requests for approval of such changes must be submitted as set forth in the General Terms and Conditions for IMLS Discretionary Awards. Official Award Notification, page 2 rI- The award is made in support of the purposes set forth in the original application or, if noted in the special terms and conditions of the award, in a revised plan of work that has been approved by IMLS program staff. The administration of this grant and the expenditure of grant funds are subject to the special terms and conditions of this award, which appear on the second page of the award notification, and the General Terms and Conditions for IMLS Discretionary Awards. The latter document incorporates by reference the audit requirements of OMB Circular A -133 and the applicable uniform administrative requirements and cost principles promulgated by the Office of Management and Budget. The first request for payment will indicate the grantee's acceptance of the award. The schedule of due dates for financial and performance reports is attached as the final page of the award notification SPECIAL TERMS AND CONDITIONS OF THE AWARD The budget submitted with your proposal is approved. Changes in this budget will be subject to the limitations set forth in the General Terms and Conditions for IMLS Discretionary Awards. The grantee is required to cost share project expenses at no less than the level indicated in the approved budget. The approved budget includes a cost share of $818,749. The grantee is required to secure prior written approval from IMLS to replace or to substantially reduce the level of effort of the Project Director or the Authorizing Official identified on page 1 of this grant award notification, and /or of any personnel named in the List of Key Project Staff and Consultants submitted with the application. All requests for approval of such changes must be submitted as set forth in the General Terms and Conditions for IMLS Discretionary Awards. GENERAL TERMS AND CONDITIONSMAY BE OBTAINED AT THE IMLS WEBSITE http://www.imis.gov/assets/l/AssetManager/GTC-0414.pdf 20B -7 •• . INSTITUTE of Institute of Museum and Library Services MuseumandLibrar SERVICES Reporting Schedule i A.% e 2014 National Leadership Grants Award Number LG- 07 -14- 0067 -14 Institution Name Project Director City of Santa Ana Miss Cheryl Eberly Date Due 10/31/2015 Report Type Interim Financial Date Due 10/31/2015 Report Type Interim Narrative Date Due 10/31/2016 Report Type Interim Narrative Date Due 10/31/2016 Report Type Interim Financial Date Due 12/29/2017 Report Type Final Narrative Date Due 12/29/2017 Report Type Final Financial 09/11/20 [4 Printed By: kmitchell Page 22 of 45 411WOO LG -07 -14 -0067 City of Santa Ana LG- Statement of Need IMLS Completed Review Report This proposal focuses on the increasing diversity in four communities and how to connect with those immigrant communities using the library as an anchor. By engaging with the teenagers in immigrant communities to research and record migration stories, Memories of Migration will preserve these important histories and make them available to the larger community. More importantly, the project aims to make immigrants feel more connected to their local community, train them in STEM fields, increase digital literacy, and have libraries serve as community anchors. LG- Impact This project stands to have a significant impact within the four communities taking part-Santa Ana, CA; Queens, NY; West Hartford, CT; and New Mexico. It also is designed to be scalable for other communities that may want to adopt it or parts of it. Its focus on collaboration seems designed to support other communities that might want to implement Memories of Migration. It is less clear that the project can be broadly adapted for other subjects. The applicants may want to consider which parts of this project could be used for a focus besides immigrant communities and their migration histories. It seems that many of the pieces of this project could be used for community engagement based around different topics such as urban development or architectural history. LG- Project Design This is an ambitious project that has many moving parts. I have some concerns about the ability to successfully manage and coordinate a project of this size spread across the county in four different communities. The project management will have to be carefully attended to in order to make sure that the goals are being successfully met and the budget allocations are in line with this proposal. Clearly time and attention went into this very detailed proposal; that same time and attention will be necessary throughout the project to keep its many parts on track. LG- Project Resources: Personnel, Time, Budget The work of the project seems reasonably spread across the four participating communities, and the main people have allotted what seems to be a significant amount of time to handle the work items. The work also seems to be spread across many people, not the responsibility of just a few. Much of the budget is covered through cost share. The participating organizations will need to be mindful that the cost share funds are being appropriately allocated and match with the work being done. Both the amount of money allocated and the number of people involved will need careful oversight. LG- Communications Plan The project has a multi- tiered communications strategy that should help it reach a large audience. It seems ideally suited to take advantage of social media for its communication because it would help target the teenage population they are working with. Tools such as Twitter and Facebook that teenagers are comfortable with would allow them to spread the word about the project and share tips and suggestions. I would suggest that the applicants consider a hashtag that could be used by teenagers in the four communities to communicate with each other about their work and progress. LG-Susta inability I have some concerns about how the individual libraries are going to maintain the digital portion of this project. The proposal notes that the Internet Archive will handle the long -term digital preservation of the material. However, the project will only be hosted on Historypin for a year beyond the grant timeframe; it is unclear what will happen after that time. It is also unclear how new technologies and formats will be integrated into the project over time or how the content might be migrated to different technologies when necessary. The applicants need to give more thought to the maintenance and upkeep of the websites over the long term so the websites do not become abandone�ftu years '• ; + ® °s ••••;: INSTITUTE of tt� 1Y useuma.libriaiy SERVICES e s LG -07 -14 -0067 City of Santa Ana LG- Statement of Need IMLS Completed Review Report This proposal focuses on the increasing diversity in four communities and how to connect with those immigrant communities using the library as an anchor. By engaging with the teenagers in immigrant communities to research and record migration stories, Memories of Migration will preserve these important histories and make them available to the larger community. More importantly, the project aims to make immigrants feel more connected to their local community, train them in STEM fields, increase digital literacy, and have libraries serve as community anchors. LG- Impact This project stands to have a significant impact within the four communities taking part-Santa Ana, CA; Queens, NY; West Hartford, CT; and New Mexico. It also is designed to be scalable for other communities that may want to adopt it or parts of it. Its focus on collaboration seems designed to support other communities that might want to implement Memories of Migration. It is less clear that the project can be broadly adapted for other subjects. The applicants may want to consider which parts of this project could be used for a focus besides immigrant communities and their migration histories. It seems that many of the pieces of this project could be used for community engagement based around different topics such as urban development or architectural history. LG- Project Design This is an ambitious project that has many moving parts. I have some concerns about the ability to successfully manage and coordinate a project of this size spread across the county in four different communities. The project management will have to be carefully attended to in order to make sure that the goals are being successfully met and the budget allocations are in line with this proposal. Clearly time and attention went into this very detailed proposal; that same time and attention will be necessary throughout the project to keep its many parts on track. LG- Project Resources: Personnel, Time, Budget The work of the project seems reasonably spread across the four participating communities, and the main people have allotted what seems to be a significant amount of time to handle the work items. The work also seems to be spread across many people, not the responsibility of just a few. Much of the budget is covered through cost share. The participating organizations will need to be mindful that the cost share funds are being appropriately allocated and match with the work being done. Both the amount of money allocated and the number of people involved will need careful oversight. LG- Communications Plan The project has a multi- tiered communications strategy that should help it reach a large audience. It seems ideally suited to take advantage of social media for its communication because it would help target the teenage population they are working with. Tools such as Twitter and Facebook that teenagers are comfortable with would allow them to spread the word about the project and share tips and suggestions. I would suggest that the applicants consider a hashtag that could be used by teenagers in the four communities to communicate with each other about their work and progress. LG-Susta inability I have some concerns about how the individual libraries are going to maintain the digital portion of this project. The proposal notes that the Internet Archive will handle the long -term digital preservation of the material. However, the project will only be hosted on Historypin for a year beyond the grant timeframe; it is unclear what will happen after that time. It is also unclear how new technologies and formats will be integrated into the project over time or how the content might be migrated to different technologies when necessary. The applicants need to give more thought to the maintenance and upkeep of the websites over the long term so the websites do not become abandone�ftu years IMLS Completed Review Report tY ., 00: INSTITUTE of tt• i�� MuseuimandLibrary • •• SERVICES e� • i t ± Total Score: 4 Additional Comments: This is a very big, very ambitious project that could have great benefits to the involved communities if successful. It will need to be carefully managed, and coordination between the participating communities will need to be strong. If the project management of this proposal is successful in keeping the work packages on schedule and within budget, this project will have a positive, far- reaching impact. 20B -10 IMLS Completed Review Report ' +.4e0= INSTITUTE of Museumanlibrary SERVICES LG -07 -14 -0067 City of Santa Ana LG- Statement of Need The project builds upon an existing model using a known program with Historypin as a collaborator. There is a lot of research, both informal and through Library Services for Immigrants and Civics and Citizenship Toolkit that indicates their target audience and recommendations for moving forward. I like that the innovation is pointed toward online and offline programming, engagement, training, and infrastructure. LG- Impact Pilot programs are evidence that the project will continue to be successful. An advisory group will review the jumpkit, assess other programs, and have a design session. They are going to do extensive interviewing of all involved to evaluate the quantity and quality of success -- count the number of stories, but also interview librarians, immigrant teens and immigrant populations involvement. It is unclear how this will be done and what questions will be asked or if will flow more spontaneously -- the approach. Also, if there is a method by which they will revise in year 2 or 3 based on feedback. However, I think it will have a positive and strong impact. LG- Project Design I think the communication plan is pretty typical and robust. The exception and benefit is the use of REFORMA for greater access to Latinos and Spanish speakers. The advisory panel is also offering additional support into additional avenues like pop culture and music channels. And the communication is incorporated into the work phases in the project design also so I think they bases are covered well. LG- Project Resources: Personnel, Time, Budget Tutors are being paid at a rate of $17 /hour -- good. Eberly and Zepeda are puting a great deal of their time to managing this project which I think is on target given the 4 locations. I like that the budget narrative includes justification that the costs are based on kayak.com and a US Government survey -- which may be low or totally wrong, but good to see uses of national standards for compensation and other costs. The budget looks fairly straight forward to me in that most of the funding goes toward staffing and equipement at the four locations. LG- Commun!cations Plan I think the communication plan is pretty typical and robust. The exception and benefit is the use of REFORMA for greater access to Latinos and Spanish speakers. The advisory panel is also offering additional support into additional avenues like pop culture and music channels. And the communication is incorporated into the work phases in the project design also so I think they bases are covered well. LG- Sustainability The jumpkit is aimed at the public and other libraries who could participate and contribute to Historypin is free which is a great sustainability measure. Thought it's currently scheduled to be hosted one year beyond the grant period, having exhibitions as part of their possible programming to generate income and put back in the project is a great plan. Total Score: 4 Additional Comments: I think this is an ambitious project and one that is warranted for 3 years given the 4 locations. I think the collaborations with HistoryPin and AmeriCorps are smart. This seems to align with IMLS goals for target audience, collaboration, technological infrastructure and innovation, and using existing standards and best practices for intellectual property and digital asset management. 20B -11 IMLS Completed Review Report +`a INSTITUTE of •••:: MuseumandLibrary ° °s •� SERVICES LG -07 -14 -0067 City of Santa Ana LG- Statement of Need The statement of need is only slightly confusing, because it seems these particular organizations already have funding that can be used to serve these populations. What would be nice for the reviewer would be a clearer statement of NEED rather than a statement of "let's keep this thing going." I support this work, but I would wonder what the IMLS sees as its priorities with this kind of grant. Is it for new demonstration projects or for continuing to enhance infrastructure for current successes, or both? What is clear from the Historypin site is that we need more migration stories, and if this enables that, then we should support it. LG- Impact It is clear from the literature and from successes of projects like this that if delivered successfully this demonstration will have great impact. Questions What is a "robotic digitization kit "? LG- Project Design There are models being deployed in the application of this demonstration (e.g., Teen Community Historians Model). What does it mean for a demonstration grant to deploy particular models at particular site when they are not accounted for in the evaluation and assessment explicitly? How do you know these work and these are the ones to chose in the first place? Will the content created at particular sites be shared? If they are entered in the site's particular content management system, how do we guarantee one of your key concerns which is interoperability mentioned in the section above? LG- Project Resources: Personnel, Time, Budget These are small percentages for such an ambitious and complex project, yes? LG -Comm unications Plan Is there any assessment of the Teen Community Historian model in this context? LG- Sustainability Seems fine to me. Seems fine to me. Total Score: 4 Additional Comments: No further comments for this proposal. 20B -12 IMLS Completed Review Report '•:p ®�. g�INSTITUTEof '• ":s IVmuseumandLibrar 1.0. SERVICES LG -07 -14 -0067 City of Santa Ana NIG- Statement of Need This proposal seeks to increase community engagement across multiple partners and users bases. As such, it is very ambitious in its scope. Integrating some pre- existing infrastructure through partnerships (e.g. HistoryPin) is a great way to take advantage of dynamic technology without recreating the wheel. NLG- Project Design The lack or choice not to utilize controlled vocabulary does limit the potential of this project (E1). User created folksonomies are fine in conjunction with some basic, shared framework. Not having an idea of how metadata will be employed prior to generating content is dangerous. There is no mention of IRB protocols involved in the interviewing of third parties. Some work should be put into that component before proceeding (Part III, 2). The main challenge with this grant is coordinating all the moving parts. Having broken it out the way the authors did, however, points to that awareness on their part. What would make this a stronger proposal is a basic articulation of what would happen if there were any major breakdown with one of the partners. How would that impact the overall goal of the project? Would it? Final point - there should be a shared MOU /IRB type document for all of the oral history participants that is documented as part of the effort. Having a clear rights landscape for participants is essential for future sustainability. There should be more specificity as to the nature of the geographic metadata that is created and will be managed. How will that be handled? It is a vital part of the use value of HistoryPin and as such, should be clearly set out in advance. NLG- Impact As a multi -part process, this proposal will reach a wide audience and help develop some mutually - beneficial relationships of training and user community. NLG - Project Resources: Personnel, Time, Budget As mentioned before, there are many moving parts to this grant. The coordination among them will be key. Mr Voss is very capable and setting up point - person leaders in each of the partners helps distribute and inculcate a solid methodology among them. This project could have far - reaching ramifications - especially if it is well documented. There is also a 100% staff member who is dedicated to the project which is a sign that the complexity is not lost upon the authors. NLG - Communications Plan Engaging the UGC and students in the social media that they are most comfortable with is key. Then having a solid brand that they can link to and reference would make this a solid strategy. NLG - Sustainability Some of the preservation concerns are address through backup strategies but given the amount of materials that are going to be addressed, there needs to be a greater attention placed on preservation. Will the digital files be in a preservation environment where they are audited for fixity, bit rot, etc? One cannot assume that each partner has the same level of expertise in this regard. Simply having multiple backups is a good start but given that unique oral histories will be captured, the loss of any of these is permanent. Total Score: 4 Additional Comments: This is a strong grant with a compelling story to tell. This reviewer is thrilled to see partnerships with external agencies such as HistoryPin and AmeriCorps. The danger, of course, is that this is a highly complex partnership with many individuals and moving parts. It will take a very steady hand at the wheel but if success is achieved, it could have a broad impact on library engagement with diverse communities and how we can help tell their stories. 20B -13 IMLS Completed Review Report •.�ae'j INSTITUTE of »� •• psi MuseumandL'brary •`"• SERVICES LG -07 -14 -0067 City of Santa Ana NLG- Statement of Need This project is very creative. It will create a partnership with an established nonprofit (Historypin) to engage the new immigrant community with technology and civic engagement. During the current policy debate climate, this project will provide a positive opportunity to engage the community in meaningful work but it will also position the library as a leader in civic engagement. I am especially impressed by their plan to include national participants in this project Queens, New Mexico, West Hartford, Kudos! Shows that they've done their homework and that they will leverage this project idea in ways that will benefit local public library based community programming, with strong potential to serve as a national model for other libraries (and community based organizations). This is a demonstration project with a technology, community building twist. NLG - Project Design As stated in the previous section, the project design is very well thought out. I especially like the fact that they have stated very specific goals and included several partnerships with libraries that have well developed immigrant programming in place. The idea of a jump kit (a new version of the tool kit ?) is good. I do have some concerns re: the scope of the project. The coordination and communication challenges across the country may pose some challenges for collecting meaningful data (but that's what demonstration projects are all about, right ?). NLG - Impact The strategy for measuring the impact of the project is based on the production and quality of the products (Jump Kit, use of digital tools, etc). There is also an element for measuring local participation. Any thoughts on measuring the impact on the library operations? Library staff? NLG - Project Resources: Personnel, Time, Budget There are a lot of moving parts to this project. Given the national scope (with multiple areas of local focus) it will be a challenge to coordinate all of the activities and complete the major goals. Santa Ana's operating budget looks small when compared to the amount of IMLS and "cost- share" funding needed to support the project. So, I would need to know more about how the actual project might affect the day to day operations of the Santa Ana Public Library. NLG - Communications Plan Social media outlets will be used throughout the project. Each participant will be expected to exploit communications using local media channels. Major partner - Historypin - will also use its media channels to inform their community about the project. They mention an advisory panel, but there the members are not named. MOst of the communications strategy is about promoting the project - which is fine. I'm not sure how they will actually communicate with the people that they want to recruit or the participants once they are on board. Also, how will the communication strategy be evaluated? Because of the national scope, it would be good to capture what works, didn't work for replication in the future. NLG - Sustainability I look at this project as an "event ". Events typically don't need to be sustained but should be looked at as experiments from which larger lessons can be learned and applied to the goals of the organization. So, in that case, I would want to know more about how the lessons learned will be applied to the operations and programs for each of the participants. Total Score: 5 Additional Comments: Creative, bold and timely! Scope could be a challenge. But, overall a solid demonstration project. 20B -14 IMLS Completed Review Report y,ya y.i . jo. INSTITUTE of p� °. 0* IY Iuseumand�ibraV SERVICES LG -07 -14 -0067 City of Santa Ana LG- Statement of Need This is an innovative and ambitious project with many different parts to it. It's an exciting collaboration among 4 very different and geographically disperse libraries, and with Historypin. I love the emphasis on community engagement, programming, workshops, and reaching out to communities in need. It would great to see how many people they want to reach? What is the capacity of the program as it's designed? LG- Impact Project is response to US changing demographics, the need for libraries to anchor communities, and for active engagement with immigrant youth that leverages digital technology and social media in order to advance digital literacy /STEM training and interest. How many people will be targeted? What are the goals? Creation of new content? How much? This was unclear. It's also not convincing that this is a STEM project. It's a digital literacy project, which has its own important merits, but not STEM. LG- Project Design This is a complicated work plan, with multiple parts and with different institutions /entities taking responsibility. Effective communication and project management will be essential for this to move forward smoothly. I would welcome more discussion about how this communication will be accomplished, and how the project will be overseen and coordinated. Given the complexity of the project, with workshops happening simultaneously across the country, I wonder if a planning /pilot phase approach wouldn't be an effective way to roll out this type of programming. That way, the key findings at each site could be a more effective guide to future planning and development. More discussion is needed to discuss more deeply the advisory meetings. LG- Project Resources: Personnel, Time, Budget The allocation of staff time seems light, given the complexity of the project (project director at 50 %, for example). It is encouraging to see the director of Historypin and his staff so committed to the project. The staff at partner libraries is committed at a relatively minimal level (between 7% and 14 %). The grant budget represents only a small part of the total costs of the project. It's surprising that the project manager salary isn't being applied to the grant. As it's envisioned, only part-time staff are paid from the grant and a number of full time staff only have a small percentage of their time committed to the grant. This is somewhat concerning. Further, the budget narrative itself is nearly 30 pages long. This is a clear indication that the project requires significant management time, both financially and otherwise. It is not clear that the project is adequately staffed. At the same time, a significant amount of money ($80k) is being spent on hiring /training student interns. I would love to see more discussion of this decision in terms of how it supports the core objectives of the project (which it seems like it does do)... LG- Communications Plan "Jump Kits" will serve as a natural vehicle for sharing, and it looks as though the partners are well positioned to promote their programs. Historypin isn't included in the communications plan, and I would expect that be an effective partner in that regard. The communications plan generally could be better developed given the nature of the project, and the ambitions to serve as a model for programming and outreach that other libraries would want to replicate /develop. 20B -15 IMLS Completed Review Report •ej�i INSTITUTE of pp "�e %•� IY useu mandLibrary `•• SERVICES LG- Sustainability This is a relatively effective sustainability plan, with Internet Archive leveraged to host/archive the project permanently. The project, generally, is being designed to be scaleable to many other libraries, relieving any one institution of claiming total responsibility. That said, it would be great to see more discussion of how the institutions will contribute to the project once the grant term ends. Also, the proposal notes that Historypin will host content for one year. What happens after that? Are Historypin and Internet Archive hosting the same content? This is unclear. And presumably, the digital content /collection building will continue to grow. How will that be handled? Who will handle it? Total Score: 3 Additional Comments: Given the complexity of the project, with multiple partners and events and workshops happening simultaneously across the country, I wonder if a planning /pilot phase approach wouldn't be an effective way to roll out this type of programming. That way, the key findings at each site could be a more effective guide to future planning and development. It also strikes me that though the guiding theme of the programming (memory, migration) is particularly apt a project like this, the fundamental goals (using the library as an anchor for changing communities, promoting programming that increases digital literacy and STEM skills, engaging the public in an open and empowering way) are much broader. For some communities, memory, immigration, etc., might be the right points of entry, but for others, it will be something else entirely. I would love to see the project create a model for programming that is flexible enough to address the different needs of different communities, using the same basic (exciting, innovative model). I think this is a terrific project, with huge, important potential. I am concerned about the staffing model and think that needs to be reconsidered before moving forward. 20B -16 INSTITUTE of useumandLi rary SERVICES General Terms and Conditions for • IMLS Discretionary Awards • IMLS Native American Library Services Basic Awards • IMLS Native American Library Services Basic Awards with Education /Assessment Option Organizations that receive IMLS grants or cooperative agreements are subject to these General Terms and Conditions for IMLS Discretionary Awards (General Terms and Conditions). The General Terms and Conditions are based on the administrative requirements of 2 CFR Part 215, (Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non - Profit Organizations); 45 CFR Part 1 180 (IMLS grants regulations); 45 CFR Part 1183 (IMLS administrative requirements for grants and cooperative agreements to State, local, and Indian tribal governments); and 2 CFR Chapter XXXI (IMLS debarment and suspension, and drug -free workplace) Organizations that receive grants that are subject to these General Terms and Conditions must be familiar with these regulations and comply with the relevant requirements and with other laws that may be applicable. April 2014 20B -17 Contents Contents ............. Glossary of Terms 1. What do these General Terms and Conditions apply to? ....................................... ............................... 1 2. What are my responsibilities when accepting a grant? ......................................... ............................... 1 3. What are these Terms and Conditions based on? ................................................. ............................... 1 4. Do I have to be registered in the System for Award Management ( SAM)? ............ ............................... 2 5. Do I have to comply with the Federal Funding Accountability and Transparency Act (FFATA) ? ...... ......2 6. What determines allowable costs for IMLS•funded work? ..................................... ..............................2 7. Are extensions of the grant period allowed? .......................................................... ..............................3 8. Are changes in project scope allowed? ................................................................... ..............................3 9. Are changes in key project personnel allowed? ...................................................... ..............................3 10. How do I make changes to the project budget? ................................................... ..............................3 11. What are the cost - sharing requirements? ............................................................ ..............................4 12. What is the process for receiving payment from IMLS? ........................................ ..............................5 13. What are the reporting requirements? ................................................................ ..............................7 14. What are the requirements for my organization's financial management system ? ............................8 15. Do I need to get an audit of my organization's finances? ..................................... ..............................9 16. What are the rules for retaining records after a grant is finished? ....................... ..............................9 17. What rules govern our procurement procedures? ............................................. ............................... 30 18. What are the rules for equipment and supplies? ............................................... ............................... 10 19. What are the rules for travel costs? .................................................................. ............................... 11 22. Are there additional rules for foreign travel? .................................................... ............................... 11 23. Are there specific requirements for your sharing of results and work products, and what may IMLS share? .................................................................................................................... ............................... 11 24. What are the requirements for data collection and data sharing? .................... ............................... 12 41IMFOO 25. What are the rules for Acknowledgment of IMLS support?.. ............................................................ 13 26. What are the intellectual property and data rules for products that result from IMLS grants?........ 14 27. What happens if a funded project earns income? ............................................. ............................... 14 28. What do we do when research misconduct is alleged or discovered? ............... ............................... 15 29. How does a grant get terminated before its completion? ................................. ............................... 16 30. What are the procedures for requesting a review of termination? ................... ............................... 16 31. How do I proceed if this document contradicts other IMLS materials related to grants ? .................. 17 32. What are the government -wide requirements for implementing federal grants ? ............................ 17 AppendixA ............................................................................................................. ............................... 24 1. Procurement Standards ....................................................................................... ............................... 24 1. Contract Provisions .............................................................................................. ............................... 25 Appendix8 ............................................................................................................. ............................... 27 Useof U.S. -Flag Air Carriers ..................................................................................... ............................... 27 ii 20B -19 Glossary of Terms Authorized RepresentativeiAuthorized Organization Representative /Certified Authorizing Official - An official of the institution with the authority, in accordance with applicable law and requirements, to apply for federal support and /or enter into agreements and /or sign grant- related documents. Cash Contributions - The grantee's cash outlay for budgeted project activities, including the outlay of money contributed to the grantee by third parties. Central Contractor Registration (CCR) - See "System for Award Management." Cost Sharing - The portion of the costs of a project not charged to IMLS funds. This would inctudc cash contributions (as defined above), the value of grantee contributions of property and services (valued in accordance with the applicable cost principles), and the value of third -party in -kind contributions. Data Universal Numbering System (D- U -N -S®) Number - The nine -digit number established and assigned by Dun and Bradstreet, Inc, (D &B) to give business entities a unique designation. A D- U -N -S© Number may be obtained from D &B by telephone or the Internet (currently at litux' redxovAnh.com.` web form), Debarment - An action taken by an agency to exclude an organization from participating in Federal grants and contracts. (IMLS debarment and suspension regulations are found at 2 CFR Part 3185 and 2 CFR Part 180). Equipment - Tangible non - expendable personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. FFATA - The Federal Funding Accountability and Transparency Act, as amended (currently at www.fsrs.gov). Grant - A legal instrument of financial assistance between IMLS and a recipient to enter into a relationship that enables the recipient to carry out a public purpose. Grant Period - The span of time designated in the grant award notification or an amendment, during which you, as the grantee, have the authority to obligate grant funds and undertake project activities. Grantee - The organization to which a grant is awarded and which is accountable for the use of the finds provided. Indian tribe - "Indian tribe" means any tribe, band, nation, or other organized group or community, including any Alaska native village, regional corporation, or village corporation (as defined in, or established pursuant to, the Alaska Native Claims iii 20B -20 Settlement Act (43 U.S.C. 1601 et. seq.)), which is recognized by the Secretary of the Interior as eligible for the special programs and services provided by the Unites States to Indians because of their status as Indians. In-Kind Contributions - The value of non -cash contributions provided by non - Federal third parties. In -kind contributions may be in the form of real property, equipment, supplies and other expendable property, and the value of goods and services directly benefiting and specifically identifiable to the project. Intangible Property - Property that includes, but is not limited to, trademarks, copyrights, patents and patent applications. Obligation - The amount of orders placed, contracts awarded, goods and services received, and similar transactions during the grant period that will require payment during the same or future period. Program Officer - The IMLS program staff member designated in the cover letter of the official grant award package as the person responsible for the oversight of the grant. Program Income - Gross income earned by a grantee that is directly earned as a result of the grant. It includes but is not limited to income from fees for services performed and from the sale of items created under a grant, usage or rental fees for equipment or property acquired under a grant, and license fees and royalties from patents and copyrights. Project Funds - Both the federal and non - federal funds that are used to cover the cost of budgeted project activities. Simplified Acquisition Threshold - This term replaces "small purchase threshold," and the threshold is currently set at $150,000 [2 CFR 2.101 ]. (See "Contract Provisions" in the Appendix to these General Terms and Conditions.) State - Each of the 50 States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau. Subgrant - An award of financial assistance in the form of money or property, made under a grant by a grantee to an eligible sub- recipient or by a sub - recipient to a lower -tier sub - recipient. The term does not include the procurement of goods and services. Discretionary program grantees of the Office of Museum Services (ONIS) and the Office of Library Services (OLS) do not have the authority to make subgrants (re- grant) with funds they have received from IMLS (45 C.F.R. §1180.55). Supplies - All personal property, excluding equipment and intangible property as defined in this glossary. iv 20B -21 Suspension of an organization - An action taken by an agency that immediately prohibits an organization from participating in Federal grants and contracts for a temporary period, pending completion of an agency investigation and anyjudicial or administrative proceedings. (IMLS debarment and suspension regulations are found at 2 CPR Part 3185 and 2 CFR Part 180). Suspension of a grant - The temporary withdrawal of federal sponsorship. This includes the withdrawal of authority to incur expenditures against grant funds, pending corrective action or a decision to terminate the grant. System for Award Management (SAM) - The federal repository into which an entity must provide information required in order to conduct business as a recipient. This information was previously collected at the Central Contractor Registration (CCR) repository. Additional inforrnatien about registration procedures may be found at the SAM Internet site (currently at https�m,eov). Termination - Cancellation of federal sponsorship of a project, including the withdrawal of authority to incur expenditures against previously awarded grant funds prior to the planned end of the grant period. 20B-22 1. What do these General Terms and Conditions apply to? These General Terms and Conditions apply to grants that IMLS issues to private nonprofit organizations; institutions of higher education; and state, local, and federally recognized Indian tribal governments (unless we designate in the grant award that a different set of IMLS General Terms and Conditions apply). The IMLS Library Grants to States Program has a separate set of award terms and conditions. 2. What are my responsibilities when accepting a grant? In accepting an award, you assume the legal, financial, administrative, and programmatic responsibility for administering the award in accordance with these General Tetras and Conditions and must comply with applicable laws, statutes, regulations, executive orders, OMB Circulars, and the terms of the award. You must also comply with the specific Assurances and Certifications that are part of a grant application. While these General Terms and Conditions highlight those laws and requirements that apply most frequently to recipients of IMLS awards, you are responsible for following all applicable requirements of all other federal taws, executive orders, regulations, and policies governing this program, whether or not they are listed herein, Failure to comply could result in suspension or termination of the award, IMLS recovery of award funds, suspension/debarment of your organization, arid/or other actions. For reference, laws and requirements that relate specifically to IMLS grants include but are not limited to: • [MLS's authorization statute (20 U.S.C. §9101 etseq.) • IMLS's African American grant program statute (20 U.S.C. §801--5) • IMLS regulations (45 CFR Chapter XI and 2 CFR Chapter XXXI) • IMLS appropriations laws You assume responsibility for the conduct of project activities under an IMLS award, for adherence to the award conditions, for submitting financial and performance reports, and for informing IMLS during the course of the award of any significant programmatic, administrative, or financial problems that have arisen, including allegations of research misconduct. Forms, form instruction, and other guidance for successfully managing an IMLS discretionary grant are available on the IMLS website. You must also maintain documentation, which is subject to audit, of all activities and expenditures affecting the award. 3. What are these Terms and Conditions based on? These General Terms and Conditions are based on the administrative requirements of 2 CFR Part 215; 45 CFR Part 1 180; 45 CFR Part 1 183; 2 CFR Chapter XXXI. The above regulations apply to the majority of IMLS discretionary awards. Organizations that receive IMLS grants or 20B -23 cooperative agreements that are subject to these General Terms and Conditions must be familiar with these regulations and any other applicable laws and follow the relevant requirements. 4. Do I have to be registered in the System for Award Management (SAM)? Grant payments cannot be made to organizations that do not hold current System for Award Management (www.SA'vi.�-,ov) registrations. You must maintain your registration in SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, more frequently if required by changes in your information or by other guidance. S. Do I have to comply with the Federal Funding Accountability and Transparency Act (FFATA)? You must comply with the Federal Funding Accountability and Transparency Act (as implemented in 2 CFR Part 170) and report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if the following criteria are true for your organization — • More than 80 percent of annual gross revenues are From the federal government, and tttose revenues are greater than $25M annually; and • Compensation information is not already available through reporting to the Securities and Exchange Commission (SEC). 6. What determines allowable costs for IMLS- funded work? Allowable costs and cost allocation methods for work performed under an IMLS grant must be determined in accordance with the applicable federal cost principles and the terms and conditions of the grant award. 'The following circulars set forth the federal cost principles that apply to the various types of IMLS grantees: 2 CFR Part 220 - Cost Principles for Educational Institutions (formerly OMB Circular A- 2l ); 2 CFR Part 230 - Cost Principles for Non -Profit Organizations (formerly OMB Circular A -122); 2 CFR Part 225 - Cost Principles for State, Local, and Indian Tribal Governments (formerly OMB Circular A -87). Copies of the cost principles may be obtained from www.omb.go%. 20B -24 7, Are extensions of the grant period allowed? If you determine toward the end of a grant period that additional time is required to complete the original scope of the project with the funds already made available, an Authorized Representative /Authorized Organization Representative /Certifled Authorizing Official of your institution may submit a request to the appropriate hMLS program officer to extend the grant for Lip to a year. Extension requests must be made at least 30 calendar days prior to the original grant ending date and explain in detail the reason for the request. Extensions are not automatic and some IMLS programs do not allow extensions. We will inform you in writing as to whether an extension request has been granted. We do not typically extend a grant more than once. S. Are changes in project scope allowed? Any project that is carried out under a grant must be consistent with the scope of the approved proposal. The scope of a project encompasses the purpose for which the grant is undertaken, the subject matter, the treatment of the subject matter, the historical time frame of the project, the volume of material that will be studied /treated, and the products that are expected to result from grant activities. No changes maybe made in the scope of a project without written approval from IMLS. All requests for a change in the scope of a grant must be signed by an Authorized Representative /Authorized Organization Representative /Certified Authorizing Official and submitted to the appropriate IMLS program officer. 9. Are changes In key project personnel allowed? The replacement of the project director or the co- director or other personnel specifically identified in the grant award notification, or a substantial reduction in the level of their effort (e.g., their unanticipated absence for more than three months, or a 25 percent reduction in the time devoted to the project), requires prior written approval from IMLS. When it is specifically required as a condition of a grant, written approval will also be needed for the replacement or the substantial reduction in the level of effort of other personnel whose work we deem critical to the project's successful completion. All requests for approval of changes in key project personnel must be signed by an Authorized Representative /Authorized Organization Representative /Certified Authorizing Official and include evidence of the qualifications for replacement personnel. 10. How do I make changes to the project budget? The project budget is the schedule of anticipated project expenditures that is approved by IMLS for carrying out the purposes of the grant. When you or a non - Federal third party supports a 20B -25 portion of the project costs, the project budget includes that portion as well as the IMLS share of project expenses. You must obtain prior written approval from the IMLS program officer whenever a budget change is necessary because of: a. a change in the scope or objectives of the project (see Article 8); b. the transfer to a third party (by contracting, or other means) of any work under a grant; I c. the addition o f costs that are specifically disallowed by the terms and conditions of the grant award or for which the applicable cost principles require prior approval, e.g., the purchase of equipment, participant support costs, foreign travel; d. the transfer of funds among direct costs categories, or, if applicable, among separately budgeted programs, projects, functions or activities, when the federal share of project costs exceeds $100,000 and the cumulative amount transferred exceeds l0 percent of the total current approved project budget (IMLS funds plus cost share); or e. the transfer of funds from stipends or training allowances to other budget categories. All requests for budget revisions must be dated and signed by an Authorized Representative /Authorized Organization Representative /Certified Authorizing Official and submitted to the IMLS program officer. Within 30 calendar days of receiving the request for budget revision, we will review the request and notify you whether or not it has been approved. If the budget revision is still under consideration at the end of 30 calendar days, we will inform you in writing of the date by which you may expect a decision. 11. What are the cost - sharing requirements? You are required to share in project expenses at the level indicated in the approved project budget. You must also maintain auditable records of all project costs whether they are charged to grant funds or supported by cost - sharing contributions-. Any proposed change in level of cost share must be submitted to IiIMLS for approval. All cash and in -kind contributions to a project that you or a non- federal third party provide are acceptable as your cost share when such contributions are • verifiable from your records; • not included as contributions for any other federally assisted program; • necessary and reasonable For the proper and efficient accomplishment of project objectives; • types of charges considered allowable under the applicable cost principles; • used to support activities that are included in the approved project work plan; and • incurred during the grant period, t1VtLS approval is not required for third -party transfers that were described in the approved project plan, or For the purchase of supplies, materials, or,encral support services. 20B -26 Contributions, such as property, space, or services that you provide for a project must be valued in accordance with the applicable federal cost principles. When your cost sharing includes non - federal third -party in -kind contributions, the basis for determining the value of volunteer services and donated property or space must be documented and must conform to the applicable federal cost principles. Unless otherwise approved by IMLS, the following items are not eligible as cost share: • other federal funds, including IMLS funds. This includes federal funds that have been sub.-ranted or disbursed to you from another grantor; • resources that have been used as cost share for another IMLS award or other federal program; • contributions or gifts transferred to your organization that are restricted and cannot be used to support the project; • gifts (testamentary or otherwise) that are not available to your organization during the project period. 12. What is the process for receiving payment from IMLS? Grant payments cannot be made to organizations that do not hold current System for Award Managment registrations (SAM.gov). You must maintain the currency of your information in SAM from the time of application until submission of the final financial report required under an award or receipt of the final payment, whichever is later. Generally, you must renew SAM registration annually. You will request payments with form SF270, Request for Advance or Reimbursement, which you can find on the IMLS website at http: /iwww.imis.gov/ recipients /administration.aspx and e- mail it in PDF format to IMLS Grants Administration at grantsadmin t, mis.gov. If you do not have the capability to email PDF documents, forms may be mailed to Institute of Museum and Library Services Attn. Grants Administration 1800 M Street, NW / 9"' Floor Washington, DC 20036 -5802 If your SF270 form is incomplete or inaccurate, your payment will be delayed. The SF270 must be signed by an Authorized Representative /Authorized Organization Representative /Certified Authorizing Official of your institution. You may submit a payment request whenever grant funds are needed. Cmailed payment requests are normally processed within ten business days. Mailed payment requests will take longer. 20B-27 To avoid possible delays in processing a payment request, You should explain unusually high payment requests when they are submitted to IMLS. Advance Payment Unless otherwise stated in the special terms and conditions of the grant award notification (or subsequent action), you are authorized to be paid on an advance basis through electronic funds transfer, provided that the following conditions exist: L Funds for the project period have been obligated in the form of a signed grant award notification; 2. You maintain or demonstrate the willingness to maintain written procedures that will minimize the tirrre elapsing between the transfer of funds to you from the U.S. Treasury and your disbursement of such funds; 3. Your financial management system meets the standards for fund control and accountability prescribed in 2 CFR Part 215 (formerly OMB Circular A -110) or 45 CFR § 1183.20; and 4. Your SAM.gov registration is current and active. Requests for advance payment must be limited to your inanediate cash needs. Advance payments must be fully disbursed (example: checks written, signed, and issued to the payees) within 30 days of the date you receive the advance funds from the U.S. Treasury. Advance payment requests for must be submitted no earlier than 15 business days prior to the beginning of the period for which the funds are requested, Frequency of Requests You may submit a payment request whenever grant funds are needed. Requests for advance payment must be submitted no earlier than 15 business days prior to the beginning of the period for which the funds are requested. Grantees that email payment requests to IMLS can normally expect payment via electronic transfer within ten business days. Mailed payment requests will take longer to process. Limitations on Advance Pates Requests for advance payment must be limited to immediate cash needs. Federal funds advanced to the recipient must be fully disbursed (example: checks written, signed, and issued to the payees) within 30- days of the date you receive the advance funds from IMLS. To avoid possible delays in processing a payment request, you should explain unusualty high payment requests when they are submitted to IMLS. Reporting on Advance Payments You are required to report on the status of funds received from hMLS within 30 days of receiving an advance, using either Section I t or Section 12 of the SF270 form. This form must be submitted for reporting, even if no additional funds are being requested. The next request for payment will not be approved until the outstanding advance has been fully liquidated by the recipient. rl- You must maintain advances of tedera[ Funds in interest - bearing barlL accounts unless you receive less than $ 120,000 per year in advanced grant funds or the most reasonably available interest- bearing account would not cam more than $ [00 (State, Local and Indian Tribal Governments) or $250 (Institutions of Higher Education, Hospitals, and Other Non -Profit Organizations) per year on the federal cash balance, or would entail bank services charges in excess of the interest earned. (You are encouraged to use women -owned and minority -owned banks - banks that are owned at least 50 percent by women or minority group members). Interest in excess of $250 annually that is earned on advanced payments must be remitted annually to IMLS. You must mail a check identified as interest earned on advances of IMLS funds to: Institute of Museum and Library Services Attn, Grants Administration 1800 M Street, NW, 9`h Floor Washington, DC 20036 -5802 13. What are the reporting requirements? You are responsible for submitting interim and final performance and financial reports. A final performance report and a final financial report must be submitted to IMLS Grants Administration within 90 calendar days after the completion date of the grant period. The grant award notification includes a schedule of interim and final report due dates. If a grant is extended, h'v[LS will email a revised reporting schedule. Interim and final report forms and instructions are available on the IMLS website: lugx fwww.imis. nog -rrec ipientsiadminisnation.shtm. Failure to submit reports on a timely basis may result in delayed payments and the suspension of action on pending applications from the grantee organization. Interim and final reports (reports of 20MB or less) should be emailed in PDF format to mLsrenortine %d imis.gos.'rho grant number must be referenced in the `Subject' of the email. If you do not have the capability to email PDF documents, the reports may be mailed to: Institute of Museum and Library Services Attn. Grants Administration 1800 M Street, NW / 9 "' Floor Washington, DC 20036 -5802 Reports that exceed 20MB must be mailed. When a signed report is emailed to IMLS, you are required to retain the original report in accordance with the standards set forth in Article 16 (Record Retention) of these General Terms and Conditions. 20B -29 14. What are the requirements for my organization's financial management system? Your organization's Financial management system must meet the applicable federal requirements (for example, 45 CFR § 1180.53 and 45 CFR §1183.20), consistent with the following standards. Accounting System You must have an accounting system that provides accurate, current, and complete disclosure of all financial transactions related to each federally sponsored project. Accounting records must contain information pertaining to federal awards, authorizations, obligations, unobligated balances, assets, outlays, income, and interest. These records must be maintained on a current basis and balanced at least quarterly. Cash contributions to the project from third parties must be accounted for in the general ledger with other grant funds. Third party in -kind (non -cash) contributions are not required to be recorded in the general ledger, but must be under accounting control, possibly through the use of a memorandum ledger. Source Documentation Accounting records must be supported by such source documentation as canceled checks, bank statements, invoices, paid bills, donor letters, time and attendance records, activity reports, travel reports, and contractual and consultant agreements. All supporting documentation should be clearly identified with the grant and general ledger accounts that are to be charged or credited. The documentation required for salary charges to grants is prescribed by the cost principles applicable to your organization, for example: 2 CFR, Part 220 (Cost Principles for Educational Institutions) 2 CFR, Part 230 (Cost Principles for Non -Profit Organizations), • 2 CFR, Part 225 (Cost Principles for State, Local, and Indian Tribal Governments) Personnel activity reports must account on an after - the -fact basis for one hundred percent of the employee's actual time, separately indicating the time spent on the 1MLS grant, other grants or projects, vacation or sick leave, and administrative time if applicable. The reports must be signed by the employee, approved by the appropriate official, and coincide with a pay period. These time records should be used to record the distribution of salary costs to the appropriate accounts no less frequently than quarterly. Fortnal agreements with independent contractors, such as consultants, must include a description of the services to be performed, the period of performance, the fee and method of payment, an itemization of travel and other costs which are chargeable to the agreement, and the signatures of both the contractor and an appropriate official of the your organization. If third party in -kind (non -cash) contributions are used on a project, the valuation of these contributions must be supported with adequate documentation. 20B -30 Internal Control Effective control and accountability must be maintained for all cash, real and personal property, and other assets. You must adequately safeguard all such property and provide assurance that it is used solely for authorized purposes. You must also have systems in place that ensure compliance with the terms and conditions of each grant award, Budget Control Records of expenditures must be maintained for each grant project by the cost categories of the approved budget (including indirect costs that are charged to the project), and actual expenditures are to be compared with budgeted amounts no less frecuently than quarterly. IMLS approval is required for certain budget revisions (see Article 10). Allowable Costs The applicable OMB cost principles, these General Terms and Conditions, and any special conditions of the grant award shall govern the determination of the reasonableness, allowability, and allocability of project costs. Cash Management You must also have written procedures to minimize the timc elapsing between the receipt and the disbursement of grant funds to avoid having excessive federal funds on hand, Requests for advance payment must follow the guidelines set forth in Article 12 of this document. Grant funds may only be obligated during the grant period, and they must be distributed no later than 90 days after the end of the grant period. 15. Do I need to get an audit of my organization's finances? You must obtain an audit, as required by the Single Audit Act Amendments of 1996 (31 U.S.C. § §750 t- 7507), and comply with the requirements of OMB Circular A433, "Audits of States, Local Governments, and Non -Profit Organizations," if you expend in the aggregate of $500,000 or more in federal funds on financial assistance awards or cost - reimbursement contracts in any Fiscal year ending after December 31, 2003. (Copies of A -133 may be obtained from R'ww Amb. Qov ) 16. What are the rules for retaining records after a grant is finished? You must meet the applicable federal requirements for record retention (for example, see 2 CFR §215.53 and 45 CFR § 1183.42), as consistent with the following standards: You must retain financial records, supporting documentation, statistical records, and all other records pertinent to the grant for three years from the date of submission of the final Federal Financial Status Report Form (SF425 form). Other requirements may apply for program income and indirect cost rate proposals, etc. 20B -31 If any litigation, claim, or audit is started before the end of the three year periocl, you must retain the records until all litigation, claims, or audit findings involving the records have been resolved and final action taken. IMLS, the Comptroller General of the United States, and any of their duly authorized representatives, have the right of access to any pertinent books, documents, papers, and records to make audits, examinations, excerpts, transcripts, and copies. Further, any contract you negotiate in excess of the simplified acquisition threshold for the purposes of carrying out the grant project must include a provision to the effect that you as the grantee, IMLS, the Comptroller General, or any of their duly authorized representatives shall have access for similar purposes to any books, documents, papers, and records that are directly pertinent to the project for the purpose of making audits, examinations, excerpts, and transcriptions (for example, 2 CFR §215.48(d) or 45 CFR § 1183.36(i)(l0)). 17. What rules govern our procurement procedures? You are responsible for complying with the applicable procurement standards, for example set forth in 2 CFR Part 215 (for institutions of higher education, hospitals, and other non - profit organizations) and 45 CFR Part 1183 (for state, local, and Indian tribal governments). You must have standards to ensure that materials and services acquired under federal awards are obtained in an effective manner and in compliance with the provisions of applicable federal statutes, regulations, and executive orders. Written procedures should include, among other things, determining economical approaches; providing for competition; dealing with conflict of interest; efforts to use small businesses, minority -owned firms, and women's business enterprises; and maintaining records sufficient to detail the procurement process. (See Appendix A for further guidance on procurement.) 18. What are the rules for equipment and supplies? The purchase of equipment not included in the approved project budget is allowable only if it is specifically approved by IMLS and there is documentation to support that the purchase is necessary and reasonable to carry out project activities. Equipment records must be maintained that include the description of the equipment; the serial number or other identification number; the source of the equipment; the title holder; the acquisition date; the cost of the equipment; the location, use, and condition of the equipment; and any ultimate disposition data including the date of disposal and the sale price of the equipment. A physical inventory of the equipment must be taken and the results reconciled with the equipment records at least once every two years while the grant is active. to 20B -32 Fitte to equipment purchased or fabricated with IMLS funds belongs to your organization with the understanding that the equipment will be used for the approved project. We reserve the right to request the transfer of title to the federal government or to a third party when the current per - unit fair market value of the equipment is $5,000 or more and the equipment is no longer needed to carry out the purposes of the project or other projects funded by government agencies. Title to supplies and other expendable property belongs to you upon acquisition. If there are unused supplies exceeding $5,000 in total aggregate value upon termination or completion of the project and the supplies are not needed for any other federally sponsored project or program, you may keep the supplies for use on non - Federal sponsored activities or sell them, but must, in either case, compensate the Federal Goverrmient for its share. 19. What are the rules for travel costs? Travel costs are the expenses for transportation, lodging, subsistence, and related items incurred by those cn grant - related official business. Such costs may be charged on an actual basis, on a per diem or mileage basis in lieu of actual costs, or on a combination of the two. The chosen method must be consistent with those normally allowed by your organization, as stated in your written travel policy. Travelers must use the lowest commercial discount or customary standard (coach) airfare unless such accommodations are not reasonably available to accomplish the purpose of travel. 22. Are there additional rules for foreign travel? For the purposes of these Terns and Conditions, foreign travel includes any travel outside Canada, Mexico, the United States, and any United States territories and possessions. All air transportation of persons or property that is paid in whole or in part with IMLS funds must be performed in accordance with applicable law, including but not limited to the Fly America Act (49 U.S.C. §40118). Each separate foreign trip must be itemized in the budget approved by INILS. Foreign travel that is not included in the approved project budget must be specifically approved in writing by the appropriate IMLS program officer. (See Appendix B for additional information on rules for foreign travel.) 23. Are there specific requirements for your sharing of results and work products, and what may IMLS share? Wide dissemination of the results of IMLS- funded projects advances the body of knowledge and professional practice in museum, library, and information services. For this reason, IMLS encourages creators of works resulting froth IMLS funding to share their work whenever 20B -33 possible through forums such as institutional or disciplinary repositories, open- access journals, or other media. All work products resulting from IMLS funding should be distributed for free or at cost unless IMLS has given you written approval for another arrangement. IMLS expects you to ensure that final peer - reviewed manuscripts resulting from research conducted under an award are made available in a manner that permits the public to access, read, download, and analyze the work without charge. Unless otherwise specified in the award documents, IMLS requires that at the end of your project, you provide IMLS at least one copy of any printed or physical distributable products and one copy of any electronic projects produced with INILS funds. Printed or physical products include items such as learning resources, promotional materials, publications like journal articles or book manuscripts, research instruments, and reports from consultants or external evaluators. Electronic products include materials such as research datasets or software tools produced during the project. Generally, at least a beta version of any software developed on an IMLS - funded project must be provided to IMLS as aproduct of the grant. You should consult with IMLS regarding software development projects, IMLS may share grant applications, grant products, and performance and other reports with grantees, potential grantees, and the general public to further the mission of the agency and the development of museum and library services. These materials may be disseminated in a variety of ways and formats, including online. 24. What are the requirements for data collection and data sharing? Data Collection Data collection activities performed under an IMLS grant are your responsibility, and IMLS support of the project does not constitute approval of the survey design, questionnaire content, or data collection procedures. You shall not represent to respondents that such data are being collected for, or in association with, INILS or any other government agency without the specific written approval of the data collection plan or device by INILS. However, this requirement is not intended to preclude mention of IMLS support of the project in response to an inquiry or acknowledgment of such support in any publication of this data; acknowledgement of IMLS support is still required. Data Sharing Research data sharing is an essential component of research and expedites the translation of research results into new knowledge and practices, If you collect and analyze data as part of an IMLS frmded project, IMLS expects you to deposit data resulting from IMLS - funded research in a broadly accessible repository that allows the public to use the data without charge no later than the date upon which you submit your final 12 20B-34 report to IMLS. You should deposit the data in a machine- readable, non - proprietary digital Format to maximize search, retrieval, and analysis. Your project budget may include the costs of prepaying the data for public release and for malting the data publicly available, as long as these activities are undertaken and the costs are incurred during the grant award period. In your final report to IMLS, you will be required to identify where your data has been deposited and can be accessed by the public. IMLS recognizes that data sharing may be complicated or limited in some cases by institutional policies; local Institutional Review Board (IRB) rules; and local, state, and federal laws and regulations, including those protecting confidentiality and personal privacy. The rights and privacy of people who participate in IMLS- supported research must be protected at all times. Thus, data intended for broader use should be Free of anything that could lead to disclosure of the identity of individual participants. For data files containing personally identifiable information (Pll), it is your responsibility to employ a standard and systematic statistical disclosure limitation methodology to limit the risk of PIT disclosure. Additional guidance on statistical disclosure limitation methodology is available at http: = "www imts gyom research, research cuidanc, as7,)x. You should identify and explain the reasons for any limitations in your data management plan. For the purposes of this section, "data" is defined consistent with OMB circular A -I t0. 25. What are the rules for Acknowledgment of IMLS Support? All materials publicizing or resulting from grant activities must contain an acknowledgement of IMLS support, unless you are advised otherwise. This includes items such as invitations, brochures, and signage; audio /video programming for radio, television, or web broadcast; and electronic items such as websites and e -mail announcements. (See htt '�t'wtiv un', �ov�r inienr -in is tck,,iovti led,rement aspx for specific guidance). The type of recognition varies according to the type of activity. Please use the Following guidelines for acknowledgement: • Written materials must inctude a credit line indicating IMLS as a source of support.; • Graphic items such as posters or brochures should include the IMLS logo (available at htto: 'www.imts =ov reciments'togos.aspv:), displayed in accordance with the Logo Standards Guide; • Electronic items should link to the IMLS Web site, hur: AvNw .imis.zov; • Audio /video broadcasts must include a tagline indicating IMLS as a source of support. Video broadcasts should display the IMLS logo. In materials that contain or present substantive project content, such as an exhibition, catalogue, video documentary, or online exhibition, the acknowledgement must also include the following statement: "The views, findings, conclusions or recommendations expressed in this (publication) (program) (exhibition) (website) do not necessarily represent those of the Institute of MnSeurn and Library Services." 13 20B -35 26. What are the intellectual property and data rules for products that result from IMLS grants? a. You may copyright any work that is subject to copyright and was developed, or for which ownership was purchased, tinder the grant. IMLS reserves a royalty -free, worldwide, nonexclusive, and irrevocable right to reproduce, publish or otherwise use the work for Federal purposes and to authorize others to do so (see also, Intangible Property, 2 CFR Part 215.36, and 45 CFR Part 1183.34 Copyrights). You shall also ensure that all publication and distribution agreements include provisions giving the government a royalty -free, worldwide, nonexclusive and irrevocable right to reproduce, publish or otherwise use the work for Federal purposes, and for IMLS to authorize others to do so, and requiring the acknowledgment of IMLS support. b. IMLS reserves a royalty -free, worldwide, nonexclusive, and irrevocable right to: (l) obtain, reproduce, publish or otherwise use the data first produced under the grant; and (2) authorize others to receive, reproduce, publish, or otherwise use such data for Fecleral purposes. c. If you are awarded funds for experimental, developmental, or research work, you are subject to the 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." cL In response to a Freedom of Information Act (FOIA) request for research data relating to published research findings produced under a grant that were used by the Federal Government in developing an agency action that has the force and effect of law, IMLS shall request, and you shall provide, within a reasonable time, the research data so that they can be made available to the public through the procedures established under the FOIA (5 U.S.C. §552). 27. What happens if a funded project earns income? The federal share of program income is determined by the percentage of total project costs supported by IMLS. Income Earned During the Grant Period You will retain the federal share of program income earned during the grant period and, unless the grant award notification specifies how such income will be used, must use it in one or more of the following ways: It may be added to the existing project funds and used to further eligible project objectives. It may be used to meet the grantee's cost - sharing requirement. It may be deducted from the total allowable costs to determine the net allowable project costs that may be charged to the IMLS grant. 14 20B -36 You must be in contact with your IMLS program officer to discuss which of the three ways are appropriate for your grant. A report of program income must be submitted with the final Federal Financial Report Form (SF425) whenever program income is earned during the grant period or when the special conditions of the grant award specifically require such a report. The report must indicate the total amount of program income that was carried and how it was used. Costs related to the generation of income may be deducted from gross amount earned to determine the amount of program income that is subject to the requirements of this article, as long as t:acy are not charged to the grant or included in the grantee's cost sharing. Income Earned After the Grant Period The grantee has no obligation to the federal government regarding program income earned after the end of the grant period, unless otherwise stated in the grant award notification. 28. What do we do when research misconduct Is alleged or discovered? Research misconduct is defined as the fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. You bear primary responsibility for prevention and detection of research misconduct and for the inquiry, investigation, and adjudication of research misconduct alleged to have occurred in association with your institution. If an allegation of research misconduct is first made to your institution, you must notify IMLS if the allegation meets the definition of research misconduct given above, and if your institution's inquiry into the allegation determines there is sufficient evidence to proceed to an investigation. At any time during an inquiry or investigation, the grantee will immediately notify IMLS if • federal resources or interests are threatened, • public health or safety is at risk, • research activities should be suspended, • there is a reasonable indication of possible violations of civil or criminal taw, • federal action is required to protect the interests of those involved in the investigation, • the grantee believes the inquiry or investigation may be made public prematurely so that appropriate steps can be taken to safeguard evidence and protect the rights of those involved, or • the research community or public should be informed. We will make a finding of misconduct or take action on such a finding only after careful inquiry and investigation by your institution, by another federal agency, or by IMLS. In the event of a finding of research misconduct, we will determine what administrative actions are appropriate. 15 20B -37 29. How does a grant get terminated before its completion? Grants may be terminated in whole or in part a) by hMLS, if you materially fail to comply with the terms and conditions of an award; b) by IMLS with your consent, in which case the two parties must agree upon the termination conditions, including the effective date and, in the case of partial termination, the portion of the project to be terminated; or c) by you, upon sending to IMLS written notification of the reasons for such termination, the effective date, and, in the case of partial termination, the portion of the project to be terminated. However, if we determine that the reduced or modified portion of the grant will not accomplish the purposes for which the grant was made, we may terminate the grant in its entirety either unilaterally or with your consent. When we determine that you have failed to comply with the terms and conditions of the grant award, we may suspend or terminate the grant for cause. Normally, this action will be taken only after you have been notified of the deficiency and given sufficient time to correct it. This does not preclude immediate suspension or termination when such action is required to protect the interests of the government. In the event that a grant is suspended and corrective action is not taken within 90 calendar clays of the effective date, we may issue a notice of termination. No costs that are incurred during the suspension period or after the effective date of termination will be allowable except those specifically authorized by the suspension or termination notice or those that, in the opinion of tiMLS, could not have been reasonably avoided. Within 30 calendar days of the termination date, you must provide to IMLS a summary of progress achieved under the grant, an itemized accounting of charges incurred against grant fiords and cost sharing prior to the effective date of the suspension or termination, and a separate accounting and justification for any costs that may have been incurred after this date. Should you fail to furnish this material, we may place your organization on the list of ineligible grantees. The total of IMLS payments under a terminated award cannot exceed the obligated award amount. 30. What are the procedures for requesting a review of termination? If you receive a notice of termination, you may request IMLS review of the decision. The request must be postmarked no later that. 30 calendar days after the date of the termination notice and should be addressed to; EVILS Director Institute of Museum and Library Services 1800 M Street, NW, 9't.' Floor Washington, D.C. 20036 -5802 16 rI- The request for review must contain a £tdl statement of your position and the pertinent facts and reasons that support such a position. The Director will promptly acknowledge the request for review and appoint a review committee of at least three staff members. Pending the resolution of the review, the notice of termination will remain in effect. None of the review committee members may be from the IMMLS program or administrative staff that recommended termination or were responsible for monitoring the programmatic or administrative aspects of the grant. The committee will have full access to all relevant IMLS background materials. The committee may also request the submission of additional information from your organization or IMLS staff. At its discretion, the cotrnnittee may meet with representatives of both groups to discuss the pertinent issues. All review activities will be fully documented by the committee. Based on its review, the committee will present its written recommendation to the Director, who will make the final decision and make it known to the parties involved. 31. How do I proceed if this document contradicts other IMLS materials related to grants? Should there be any inconsistency between these General Terns and Conditions, the special terms of the grant or cooperative agreement award, and any IMLS Program Guidelines, brochures, or other IMLS materials cited or included by reference in the award, contact the IMLS Program Office or Grants Administration Office for guidance. 32. What are the government-wide requirements for implementing federal grants? You are responsible for complying with all laws related to Federal awards, including but not limited to those in the Assurances and Certifications you agreed to when applying for an IMLS award, the ItvILS- specific statutes and regulations referenced in Article 2 of these General Terms and Conditions, and the following U.S. government -wide requirements: (a) Nondiscrimination The grantee must comply with the following nondiscrimination statutes and their implementing regulations and must also comply with the requirements of any other nondiscrimination laws which may apply: (a) Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. §2000 et seq.), which prohibits discrimination on the basis of race, color, or national origin (note: as clarified by Executive Order 13166, the applicant must hake reasonable steps to ensure that limited English proficient (LEP) persons have meaningful access to the applicant's programs (see IMLS guidance at 68 Federal Register 17679, April 10, 2003)); (b) Section 504 of the Rehabilitation Act of 1973, as amended (29 US.C. §701 etseq. including §794), which prohibits discrimination on the basis of disability (note: IMLS 1.7 20B -39 applies the regulations in 45 CFR Part 1 170 in determining compliance with section 504 as it applies to recipients of Federal assistance); (e) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § 1681 -83, 1685 -86), which prohibits discrimination on the basis of sex in education programs; and (d) the Age Discrimination in Employment Act of 1975, as amended (42 U.S.C. §6101 et . seq.), which prohibits discrimination on the basis of age. (b) Debarment and Suspension Grantees are prohibited from doing business with any organization or person (as a recipient, subrecipient, contractor, or key employee) if they have been debarred or suspended by any Federal department or agency, The OMB Guidelines to Agencies on Governrnentuvide Debarment anti Suspension (Nonprocurement) contained in 2 CFR Part 180 and the corresponding IMLS regulations contained in 2 CFR Part 3185 apply to IMLS grants. The grantee, as a primary tier participant, is required to comply with 2 CFR. Part 180 subpart C (Responsibilities of Participants Regarding Transactions Doing Business with Other Persons) as a condition of participation in the award. The grantee is also required to communicate the requirement to comply with 2 CFR Part 180 subpart C (Responsibilities of Participants Regarding Transactions Doing Business with Other Persons) to persons at the next lower tier with whom the grantee enters into covered transactions. (c) Drug -Free Workplace The grantee must provide a drug -free workplace by complying with the requirements in 2 CFR Part 3186 (Requirements for Drug -Free Workplace (Financial Assistance)). In particular, the grantee must comply with drug -free workplace requirements in subpart B (or subpart C, if the recipient is an individual) of 2 CFR Part 3186. This includes, but is not limited to: making a good faith effort, on a continuing basis, to maintain a drug -free workplace; publishing a drug -tree workplace statement; establishing a drug -free awareness program for the grantee's employees; taking actions concerning employees who are convicted of violating drug statu *.es in the workplace; and identifying (either at the time of application or upon award, or in documents the grantee keeps on file in its offices) all known workplaces under the grantee's Federal awards. (d) Trafficking in Persons The grantee must comply with Federal law pertaining to trafficking in persons. Under 22 U.S.0 §7104(g), any grant, contract, or cooperative agreement entered into by Federal agency and a private entity shall include a condition that authorizes the Federal agency (IMLS) to terminate the grant, contract, or cooperative agreement if the grantee, subgrantee, contractor, or subcontractor engages in trafficking in persons, procures a commercial sex act, or uses forced labor. 2 CFR Part 175 requires IMLS to include the following award term, which is made a part of these General Terms and Conditions: a. Provisions applicable to a recipient that is a private entity. t8 rI- -1 1. You as the recipient, your employees, subreeipients under this award, and subrecipients' employees may not-- i. Engage in severe forms of trafficking in persons during the period of time that the award is in effect; ii. Procure a commercial sex act during the period of time that the award is in effect; or iii. Use forced labor in the performance of the award or subawards under the award. 2. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a subrecipient that is a private entity — i. Is determined to have violated a prohibition in paragraph a.I of this award tern; or ii. Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a, I of this award term through conduct that is either— A. Associated with performance under this award; of B. Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Govemmentwide Debarment and Suspension (Nonprocurement)," as implemented by our agency at 2 CFR Chapter XXXI, part 3185. b. Provision applicable to a recipient other than a private entity. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if a subrecipient that is a private entity - 1. Is determined to have violated an applicable prohibition in paragraph a.I of this award term; or 2. Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a.I of this award term through conduct that is either - i. Associated with performance under this award; or ii. Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement)," as implemented by our agency at 2 CFR part 3185. e. Provisions applicable to any recipient 19 20B -41 1. You must inform us irnmcdiatcly of any information you receive from any source alleging a violation of a prohibition in paragraph a, t of this award term. 2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section.: i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. §7104(g)), and ii. Is in addition to all other remedies for noncompliance that are available to us under this award. 1 You must include the requirements of paragraph a. l of this award term in any subaward you make to a private entity. d. Definitions. For purposes of this award term: 1. "Employee" means either: i. An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or ii. Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in -kind contribution toward cost sharing or matching requirements. 2. "Forced labor" means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery. 3. "Private entity ": i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CPR 175.25. ii. Includes: A. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(6). B. A for - profit organization. 4. `Severe forms of trafficking in persons," "convnercial sex act." and "coercion' have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. §7102). (e) Federal Debt Status 20 20B-42 The grantee should not be delinquent in the repayment of any Federal debt. (t) Lobbying The grantee may not conduct political lobbying within the Federally- supported project, In addition, the grantee may not use Federal funds for lobbying specifically to obtain awards, extensions, amendments, or other Federal actions. (31 U.S.C. § 1352) Certain other lobbying restrictions, such as the following, may also apply: Lobbying Activities (Applies to Applicants Requesting Funds in Excess of $100,000) (31 U.S.C. §1352). The I'oliowing provisions, which were part of the grant application, remain in effact ror the award: (a) No Federal appropriated Cunds may be paid, by or on behalf of the grantee, to any person for intlueneing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or crnployee of Congress, or an employee of a i,[cmher of Congress in connection with the awarding of any Federal contract, the making of anv Federal grant, the making of any Federal loan, the entering into of arty cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Fedcial contract, grant, loan, or cooperative agreement. (b) If any funds other than Federal appropriated hinds have been paid or will be paid to any person (other than a regularly employed officer or employee of the applicant, as provided in 3l U,S.C. § 1352) for intlucrrcimg or attempting to influence an officer or enrptoyee oC anv a;cney, a Mcniber of Congress, an officer or employee oC Congress, or ml employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the grantee shall complete and submit Standard Form LLL, "Disclosure of Lobbvin( Activities." in accordance with its instructions. (e) The t ramce sita ll require that the 1an,uavge of the certilicatiott be included in the award documeas for all subawards at all tiers (including Subcontracts. subgrants, and contracts under giants, loans, and eooperauce agreements) and that all subreerpients shall cerrtity and disclose accordingly. In addition, no IMLS grant funds shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for such recipient, relating to any activity designed to influence legislation or appropriations pending before the Congress or any State legislature. (P.L. I 1 t -117, Division D, Title V General Provisions, sec. 503(b)). (g) Requirements for Certain Projects The grantee must comply with the following requirements if applicable to the project. The grantee should also be aware that additional Federal laws, not listed below, might apply to a particular project and that the grantee is responsible for compliance, as applicable, Subgrants in IMLS Discretionary Programs Discretionary program grantees of the Office of Museum Services (OMS), the Office of Library Set-vices (OLS) and the Office of Policy, Research and Evaluation (OPRE) do not have the authority to make a subgrant (re- grant) with funds they have received From IMLS unless expressly authorized by IMLS (45 C.F.I. § 1180.55). The OLS State 21 20B-43 Library Program grantees arc subject to different requirements and may make sub.-rants under certain circumstances (45 C.F.R. § 1183.37). Native American Human Remains and Associated Funerary Objects The grantee must comply is ith the procisions of the i4atn e American Graces Protection and 12epatriation Act of 1990 (25 U.S.C. §3001 ct,icrq /. ), WlIieh applies ro any organization that controls of possesses 'Native American human remains and associated luncraiv objects, and which receives f deral funding, even For a purpose unrelated to the Act. historic Properties The graantcc must assist the aseardin.- agency (14ILS) in ensuring compliance ti%ith Section t06 of the National Historic Preservation Act of 1966, as amended ( t 6 U.S.C. § -470t), Executive Orcler (E.O.) 1 1593, and the Arohacotogical and Historic Preservation Act of 1974 (16 U.S.C. §469 et seq. ). Environmental Protections The project mrlmt comply with cmironnacatal standards, including te oloing: w (a) InStitUtiOn of env[fonmenLal quality control measwes tuider tile National Environmental Policy Act of 1969, as amended (42 U.S.C. 3§ 4331 etseq.) and E.O. 11514, b) notification orviolatinL facilities pursuant to E.O. 11 %38; (c) protection of wetlands pursuant to E.O. 11990, as amended by E.O. 13608; (d) evaluation of Blood hazards in Ldoodplains in accordance with E.O. 1 1933, as amended: (e) assurance of pmject consistency with the approved state management progranl ctevcloped under the Coastal Zone %lanagemenL Act cF 1972, as amended (16 U.S.C. § 1451 et seq j) (f) conformity of lcdcral actions to State (Clean Air) frnpiementation Plans under section t 76(c) of the Clean .fir Act of 1955, as amended (42 C.S.C. §7401 et seq.); (g) protection of underground sources ofdrinkino neater under the Stile Drinking yX ater Act of 1974, as amended (42 U.S.C. §300f et seq.h (h) protection orendartgercd species under the Endangered Species Act of 1973, as arnended(10 U.S.C_ §1531- 1543); i) the Wild and Sccnie Rivers Act of 1968, as amcnckd (16 U.S.C. §1271 ct seq, ), related to protecting components or potential components of the national wild and scenic rivers system: and (j) the Grantee; must comply with tlae flood insurance requirements of the Flood Disaster Protection Act of 197;, as amended (42 U.S.C. §4001 et seq. ), w °hich requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if ttte total cost of insurable Construction and acquisition is 510,000 or tnore. Research on Hunan Subjects 22 Tire t;rantoc nulst prt)wct t 11 rights and i,4QfiQre of am human subjccts imoleed in rL,search, d:,etopment, and i Iatcd a tivitieS that are supported by an LNILS ttrdat aFv aril. The grantee Ituist ensure that theproject complies I%idt.ki CFR Part 46 re«ardtn, the protection of hit tuun. Stll))eCLS iMoic"d in resoatch, det Q opn'ienL, and rQIated aCli%Itics Suppoitedby dIc I:MLS award ol'assistance. Research on Animal Subjects The ,vuntee must ensure that the project comp Iics awith the Laboratory Animal 66etfare A-t oI' t906, as amtendcd (7 U.S.C. 52131 etsec /.) pertaining to the care, hendling, and treartment of warm- blooded animals held for research, teaching, or other activities Supported bp' the EMLS award oFassistanee. 23 20B -45 Appendix A 1. Procurement Standards The grantee is responsible for complying with the procurement standards set forth in 2 CFR Pant 215 (for institutions of higher education, hospitals, and other non, - profit organizations) and 45 CFR Part 1 187 (for State, local, and Indian tribal governments) and, to the extent consistent with such regulations, the standards set forth below. The standards contained in this section do not relieve the grantee of the contractual responsibilities arising under its contracts. The grantee is the responsible authority, without recourse to IMLS, regarding the settlement and satisfaction of all contractual and administrative issues arising out of procurements entered into in support of a grant or other agreement. This includes disputes, claims, protests of award, source evaluation or other matters of a contractual matter. Matters concerning the violation of a statute are to be referred to such Federal, State, or local authority as may have proper jurisdiction. When procuring property or services under a grant, the grantee's procurement policies must adhere to the applicable regulations and the standards set forth below. Subrecipients of grant funds are subject to the same policies and procedures as the grantee. a. The grantee must maintain a system for contract administration that ensures that contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders. Grantees shall evaluate contractor performance and document, as appropriate, whether or not contractors have met the terns, conditions, and specifications of the contract. b. A wtitten standard of conduct for awarding and administrating contracts shall be maintained by the grantee. No employee, officer, or agent of the grantee shall participate in the selection, award, or administration of a contract supported by Federal funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when any of the following has s financial or other interest in the firm selected for a contract: the employee, officer, or agent; any member of his or her immediate family; his or her partner; or an organization which employs or is about to employ any of the preceding parties. The officers, employees, and agents of the grantee shall neither solicit nor accept gratuities, favors, or anything of monetary value from contractors, or parties to subagreements. However, the grantee may set standards governing when the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct shall provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the grantee. c. All procurement transactions shall be conducted in a manner to provide, to the maximum extent practical, open and free competition. The grantee should be alert to organizational conflicts of interest or noncompetitive practices among contractors that may restrict or eliminate competition. 24 rl- d. All grantees shall establish written procurement procedures that meet the requirements set Forth in applicable statutes, regulations, and related laws, and in this Appendix, 2. Contract Provisions The following section also contains the types of provisions that must be included in IMLS- funded grantee procurement contracts when applicable and consistent with applicable law, Please note that the Contract Provisions below are given for general guidance; the grantee should follow the specific regulations and provisions that correspond to the grantee's organizational identity (e.g. 2 CPR Part 2 t5 for institutions of higher education, hospitals, and nonprofit organizations or 45 CFR Part 1 183 for State, local, and Indian tribal governments) and other law, as applicable. a. Grantee contracts must provide for: (1) Administrative, contractual, or legal remedies in instances where contractors violate or breach contract terns, and such remedial actions as may be appropriate. (2) Termination by the grantee, including the manner by which it will be effected and the basis for settlement. (3) Access by the grantee, IMLS, the Comptroller General of the United States, or any other duly authorized representatives to any books, documents, papers, and records of the contractor which are directly pertinent to that specific contract for the purpose of malting audit, examination, excerpts, and transcriptions. b. Contracts shall contain the following provisions as applicable: (1) Equal Employment Opportunity (2) Copeland "Anti- Kickback" Act (3) Contract Work Hours and Safety Standards Act (4) Clean Air Act (5)Rights to Inventions and Materials Generated Under a Contract or Agreement (Contracts or agreements for the performance of experimental, developmental, or research work shall provide for the rights of the Government and the recipient in any resulting invention in accordance with 37 CFR Part 401 and any implementing regulations issued by the awarding agency.) (6) Federal Water Pollution Control Act (33 U.S.C. § 1251 et seq ), as amended (7) Byrd Anti- Lobbying Amendment(31 U.S.C. §1352) (8) Debarment and Suspension (E.O. 12549 and 12689) No contracts shall be made to parties listed on the Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs (EPLS) in accordance with Executive Orders 12549 and 12689. These lists contain the names of contractors debarred, suspended, or proposed for debarment by agencies, and contractors declared ineligible under other statutory or regulatory authority other than Executive Order 12549. 25 20B-47 Under certain circumstances, grantees are required to obtain a certification regarding debarment and suspension from subrecipients and from parties with whom they contract for goods or set-vices. 26 rI- Use of U.S. -Flag Air Carriers All air travel funded by IMLS must be on U.S. -flag air carriers or under a code - sharing arrangement with a U.S. -flag air carrier, unless otherwise permitted by law. The fact that comparable service provided by a foreign -flag carrier is less expensive, more convenient, or can be paid for with excess foreign currency is not sufficient justification for using a foreign flag carrier that does not have a code- sharing arrangement with a U.S. flag air carrier. The following general rules apply unless their application would result in the first or last leg of travel from or to the U.S. being performed by a foreign -flag air carrier: (a) a U.S. -flag air carrier shall be used to destination or, in the absence of direct or through service, to the farthest interchange point on a usually traveled route. (b) if a U.S. -flag air carrier does not serve an origin or interchange point, a foreign -flag air carrier shall be used only to the nearest interchange point on a usually traveled route to connect with a U.S, flag air carrier. (c) a U.S. -flag air carrier involuntarily reroutes the traveler via a foreign -flag air carrier, the foreign -flag air carrier may be used notwithstanding the availability of alternative U.S. -flag our carrier service. Use of Foreign -Flag Air Carriers I. Travel To and From the U.S. Use of a foreign -flag air carrier is permissible if (a) the airport abroad is the traveler's origin or destination airport, and use of U.S. -flag air carrier service would extend the time in a travel status by at least 24 hours more than travel by a foreign -flag air carrier; or (b) the airport abroad is an interchange point, and use of U.S. -flag air carrier service would increase the number of aircraft changes the traveler must make outside of the U.S. by 2 or more, would require the traveler to wait four hours or more to make connections at that point, or would extend the time in a travel status by at least six hours more than travel by a Foreign -flag air carrier, 2. Travel Between points Outside the U.S. Use of a foreign -flag air carrier is permissible if: (a) travel by a foreign -flag air carrier would eliminate two or more aircraft changes en route; (b) travel by a U.S. -flag air carrier would require a connecting time of four hours or more at an overseas interchange point; or (c) the travel is not part of the trip to or from the U.S., and use of a U.S. -flag air carrier would extend the time in a travel status by at least six hours more than travel by a foreign -flag air carrier. 3. Short Distance Travel 27 rI- -• For all shad distance travel, regardless of origin and destination, use of a Foreign -flag air carrier is permissible it the elapsed travel time on a scheduled flight From origin to destination airport by a Foreign -flag air carrier is three hours or less and service by a U,S. -flag air carrier would double the travel time. 78 20B -50 ATTEST: MARIA D. EIUIZAR Clerk of the CO veil APPROVED AS TO FORM: KYl NE?LI ESLN Dep y city Attorney CITY OF SANTA ANA DAVID CAVAZOS City Manager APPROVED AS TO CONTENT: GL1UAU)0 MOUET Executive Director -- Parks, Recreation & Community Services 20B -51 Institute of Museum and Library Services Grant: Memories of Migration Project Grant #LG -07- 0067 -14 EXHIBIT A: MILS Budget Form and Budget Justification EXHIBIT B: Schedule of Completion EXHIBIT C: IMLS Program Information Sheet, Digital Content Supplementary Information Form, Organizational Profile and Abstract EXHIBIT D: Partner Commitment Letters 20B -52 00 00 J (3) (3) (0 0 o O O 7 O O O N G3 �. m o � 3 N O C O Q K Q m a 3 d r3r O) 0) n U1 (n 3 ? A 0. m w 0 0 w cNi) � s 00 O N (P J L) d 3 rt - (31 r W W CL < m -- m 0 N O rt cn � (n d (O O) W N U 00 J d rt (� T W c J J G 6 J J m f) W O N rt 4 V = O A ( t a) m 00 m ao (n w - I L) 7 � rt (J) (T T G OD 0) rn a i 0 O � J M O O W (7) ort 000 W m Cn W O W O .Op ;O 20j ;� u E T 3 orq m W m 3 (D Vrtl N (/1 d d m (U a C C aj m N u A lD s c (D lD Q d 0 Q T O O { O O l i`v O S 0 s 0 w 0 N O 0 —.—I m N as v ID VI 0 3 T N A to D v v c s n' r (u I • i1 m ���ryry �Ir 11 N r < (D C N N C CD o (D r m d 3 p z y c _I N -n 0 N. 0 rOY d 3 0o N N W O O J N C 0 to W O N A a< O O O O (D n � 0 cri � u 0) v 00 O N l S w (0 O) O d O (A W W O co O N d V N N N rt O V W T N_ O (O N O N (O O t O O O O m -- m M1+ 0 rt W (0 cn 00 m N N CO -4 J (O — (7t S O( W _ .h co O O g 0) O Cn Cri 00 W O (O N O O O N N Ut N Gl d A N ^ N (D W C 07 W N N (O Q O O O M m _ y W 0 O N rt J O1 N ? (I1 ? A J O 0) O 0 cn O A c0 m O O O N N A O (n (o G O N a W O) 0 CD j -- O p I. N IO V7 W .p --� O (O J (n crti N -(CO,) 0 O U1 m cn J N N O O O O A N W n- (�O W O) ? A O O (n CT co O (h d) W O f .A V -. pt -I O O s ul (O (O O) N ,0.. O O O) 00 o WO T N M v N (/1 d d m (U a C C aj m N u A lD s c (D lD Q d 0 Q T O O { O O l i`v O S 0 s 0 w 0 N O 0 —.—I m N as v ID VI 0 3 T N A to D v v c s n' r (u I • i1 m ���ryry �Ir 11 C 0 3 c fD n Q m 2 N Z C 3 w N V 0 0 N 9 d 0 0 W O r C D D o m � N d CD ° g O N 20 s M m m O c Q� m d a 3 m 7 W N N cl A h 3 A 3 ro - 3 p C 9 P � Ul _ p Q = N 17i1 0 d d 7 S wo es = m a T d w m to o d d 7 T C er ~ T a � C N d 7 d S d 0 0 ~ 0 O o O m In S W m 'm S A m (D o N A d W N T a 'a A 'm O O A fD d T T (� N C O O N eT O O O N _ d d S (� N 1 d 0 O 0 (� N 0 N M 0 N N eT S d d 7 .s W S O1 � N T C 7 d A O OVl N A O � d 7 er 'a n W T O C T er N M U N U o °o C o °o o N d S z d a � O O rys O A a O N eT � w I S d S O 7 .r W d N e4 � T O O V V O N O N a N O Ol A O A O S 'm d i I O fD N T .s A ow" S d a O O i0 i 0 O O O j ioio 0 C I i � I i I o. N e. I O A W I NjOIiN -�jN jO � � oio O VVION mim'a lini�id^ O NI A � M W A I MdA � y A W i j I � i I d 0 0 o d O a A 0 O i NIA 1 � m WO d r H C L CD N d 3 a 3 d N M. d N A 1 d m D D D ° g O N o s M m m O c Q� m d a 7 W N N cl A h 3 A 3 ro - 3 p o v 9 P � Ul _ p = N 17i1 d 7 S wo es = m a T w m to o d d 7 er ~ T o C 7 d S d 0 ~ 0 O o O 'm S d N T a � A 'm O O A fD d T (� N C O O N eT O O O N _ d S (� N d 0 O 0 'm 0 N M 0 N S d d 7 .s W W O1 � N T C 7 A O OVl A A O � d 7 er n W T O C T N M U N U o °o N o °o o N d S z d O O O O rys O 0 O O N eT I S d S 7 .r W d � T O O V V O N O N a N O Ol A O A O W 'm i I O N T .s A ow" S d O O i0 i 0 O O O j ioio 0 I i � I i N e. O A W Ol NjOIiN -�jN jO D O oio O VVION mim'a lini�id^ O NI A N O W A I MdA A 1 d m w O C d 7 m N v r d fD d O A N N d M d D 'd c Q n r Q I W C m --I TI zio D D D 3 s M m m O w m 7 W N N v p = N 17i1 S wo = m a d 7 er T C 7 d ~ o S d N 'm T C O O O O N _ d (� N O N M N S d N d' 7 er T C T U N U o °o o °o o N d z W 0 O N eT S d m I 'm i I T O i 0 O O o ioio 0 I i � I i N e. O S d d I y j � 1 0 0 o d O � 6 O 0 O w O C d 7 m N v r d fD d O A N N d M d D 'd c Q n r Q I W C m --I TI zio C O N 3 D_ Q d N lU Z C 6 fD W I-+ w J O V F` x 9 O _ d m 0 w W N O U 0 S N O M M m a o a n n G o m 3 3 3 > O. fU •°- A 3 M S T m N n m m D o B x s C o o O d Q N Z v y N O 0 a d D � D ^ N c 0 m 0 o D c N 3 3 N �G I a a. Q N D p c Q s z W d O 0 � = - o O p d W N o D N W n � �2 N J d 3 .o 91 C O W w T G � w N co T C a N °o N CL < v tNi� o o m tNn o R ' (D d n � R n 0 n � 0 v, 0 N M N H H S N a a m v m d i G7 .3r d = .o K C T w cn C W N io W A U a< W O W U N R d R R n (� N () N O O N M Vf N r+ A N wo N S d a H d V a O J O N Ir— d c� !D d d w N T .-r r4 C T T N J W � A � Q cn o o cn d C < O V (D n w d 0 n u+ n w 0 0 S m W ro W z GI �o 0 m 0 0 m i I it G1 � `C y d 7 i it I 3 eT J CL 1 � I T 3 T o U omio O color UICO�OiO I O V U Q V a O J OHO OiO _ I �N i O � I _ � � w �A •.cOD N N I Wi�0I0 a i O I G1 � i I 'm 0 O> OJ UIWVU O O WAIN O WA V a OIO1O VW U 0 S N O M M m A S` D z G o m m ? m O. fU •°- A 3 M Gc N D D o B x s C o o O d d^< A C) 0 3 c 0 " to r o g �G I a Q N D c Q s z W d O 0 � = - o v o D d 3 .o C O W U T G 3 w N co a � °o N CL < v — o N m R ' n � n 0 0 v, N M H S a m d i .3r I = .o C w cn W o io CL Q � R d R n (� N N O n N M Vf N A N wo N S d a d V O J O N Ir— c� d d w T r4 C T J W � A c Q < o m d < O d O V (D n w d 0 n u+ 0 S m W ro W GI �o 0 0 0 e� � `C y 7 I J CL 1 � I 3 T o U omio color it I O a _ I �N i O � _ � � w �A •.cOD N N I Wi�0I0 a i O I � F411 -110191 f M C O m M (/1 C v 0 pi Al G n � h � 3 m O 3 N .P N .P N D _ v v 6 O r cr m M C v m \/ m A S` D z o m m ? m •°- A N Gc R D D o B x s o o O d d^< A C) c 0 " r o g �G a Q N D s z W O 0 � = - o v o D d O W U T G w N co °o N CL < w o N m d n 0 N M H a i I = .o w cn W o io CL < R n N N n Vf A N wo N S d V O J O Ir— d r4 T J W � A c m o m d < V O V (D d n u+ 0 W W GI �o 0 0 0 � y 1 � 3 T o U omio color a �N O � _ W � w �A •.cOD N N iU Wi�0I0 I � O> OJ UIWVU O O WAIN O WA V y OIO1O VW Al G n � h � 3 m O 3 N .P N .P N D _ v v 6 O r cr m M C v m \/ d v 0 M n s a 0 0 d o r(D a � o a N Ifs c a a n O a n O 0 N N N N � N � (n i iY o. C T O O d Q N (D 0 00 00 �* 0) 0 S O O 00 00 Aw N N O O d p P CL m - m 05 05 O N O O M O 0) z 0 S O CA CA m 00 '.. 0 0 0c) 0c) o, d 'u o 0 O .ter z d rD z CD CD A Aw m cn m T C 'c^^ c 1 'c^^ C/ 1 7 O O a co cn O O CO o z w- d d CD CO CO �W N T C rn W o- N N o co co d d v 0 M n s a r(D a A d 0 N � N o. C d Q N (D 0 a d W W C 0 0 0 S O 0 m o, 0 O .ter z m 'm d N N T C rn W rn W a m a 0 0 N z 'm 'm � � C w w am w o z DI I I � m 0 (P cy, C w m W m a 0 I m o d (D a in � i i� in CD w id 0 O lD 0 0 d N a m a 0 0 � - r D a Z 0 � O 0 c v s c m n D• � m _ fD � � n c c O" 3 n m - a � 0 c o m -D m n p_ c m � m - D°'o D � n o- c - •* n o 0 o rt z z 3 m m rD 0 0 (D w m rD 0 X o � o - o m 0 o v o rD 0 CL M I! O m m CL T M M C eni 0 m 0 c .�r C CL m n .�i v M O m m O 3 v ao s M rD 0 7 T 0 m O m n FO 3 r N m 00 3 N 0 3 T N Ln U c o- 0' r d z W c ^v YI m mml m t EXHIBIT A MEMORIES OF MIGRATION BUDGET JUSTIFICATION 1A.) SALARIES AND WAGES (Permanent Positions)- TOTAL YEAR 1 Title Responsibilities Staff $ Grant Funds $ Cost Sharing and % of Full Time Person Equivalent I. Library Operations Responsible for supervising library operations in relation Heather Folmar 5 %(100hrs) of $101,834 (annual salary) = 5 092 Manager to this grant. ii(a). Principal Responsible for general Cheryl A. 50% (1000hrs) of Librarian —Young oversight and direction of Eberly $82,140 (annual salary) Adult Services program. = 8 41,070.00 ii(b). Principal Responsible for oversight Lynn Nguyen 20% 400hrs) of $82,140 Librarian— and management all (annual salary) =� Technology Services technology based services for the program 16_,428 ii(c). Principal Coordinating program Patty Lopez 5 % (100hrs) of $82,140 Librarian -adult components that have cross- (annual salary)= 4,107 services over into adult services ii. Principal Librarian $61,605 Total iii(a). Senior Supervising program Milly Lugo 10% (200hrs) of $74,400 Librarian- Adult components that focus on (annual salary) = 7 440 Services veterans memories of migrations iii(b). Librarian -. Supervision of Summer Beatriz 10% (200 hrs) of $62,712 Young Adult Interns and Coordinate Preciado (annual salary)= 6,271 Services program components that has cross -over with Seeds to Trees Digital Media Tech Academy program HIM. Librarian - Supervision of video David Lopez 10%(200 hrs) of $62,712 Technology /CTV3 production digital media components and lead (annual salary)= $ 6,271 production writing instructor iii. Senior $19,982 Librarian /librarian Total Mal. Assistant Assistant project director in Manuel 80 % ( 1600hrs) of Librarian - Archivist oversight of all archival, historical processes and Escamilla $51,552 (annual salary)= $41,242 community outreach 20B -57 iv(b). Youth Services Technician iv. Assistant Librarian /Youth Services Technician Will oversee all budget /financial items. Work in coordination with city's finance department. Coordinate all travel arrangements EXHIBIT A Zulma Zepeda 30 % (600hrs) of $54,132 (annual salary) _ $16,24 $57,482 TOTALSME STAFF I I I Sharing $144,1611 n -Kind Cost 18.) SALARIES AND WAGES- (Temp /Part -time Positions) Title Project Activitv Staff Person Grant Funds cost Sharing v(a).Senior Tutor -Santa Ana Mentor and recruit Teen Community Historians, Kevin Cabrera 100 %(970 hrs)x $17.00 (Hourly History Room (Temp) archive project materials Rate) = $16,490 and assist with community engagement coordination v(b).Senior Tutor- (Temp) Assist with curriculum development Desiree Noriega 40 %(400hrs)x $17.00 (Hourly components Rate) _ $6,800 v_(c).Senior Tutor (Temp) Assist with Project Outreach, marketing and Lyzbeth Beltran 30 %(300hrs)x $17.00 (Hourly Communications Spanish Rate)= $5,100 Language Translation mentor v(d) Senior Tutor- (Tempi Assist with Programming Martha Rodas 15 %(150hrs)x outreach and $17.00 (Hourly Communications/ Rate) _ $2550 Chicano Studies Mentor v(el Senior Tutor (Temp) Assist with Graphic Joseph Castro 10% (10Ohrs) x Design elements of $17.00 (Hourly program Rate) _ $1700 v. Senior Tutor Totals 32 640 Grant. Funds vi. Volunteer Mentor STEM Program TBD 159; (150hrs)x $17.00 = $2550 In -Kind cost share vii.(a). Library Clerk 1 (Temp)- Assist with clerical activities, Teen Community Historian Jackie Edrada 300%(970hrs)x $16.00(Hourly Rate)= $15,520 Young Adult Services /Adult Services volunteer services coordination and historical components at 3library program sites r1- EXHIBI I' A vii.(b) Library Clerk 2 (Temp)- Assist with Digitization Erik Sanchez 40% (400 hrs) x 30% (300 hrs) x Young Adult Services program components, as To Be Hired $19.00 (Hourly $19 (Hourly Teen Community Historian well as program Rate) =$7600 Rate) =$5700 components utilizing YEAR I KKsALAMEm A IN � w fit'TAhll. P G:jra t Fund ....._ Gado 2 scanning robot. Kind Kind Cost Sharing . _... Assist with clerical activities and Spanish translation vii C. Library Clerk (Temp)- Assist in coordinating Vietnamese community engagement, and Viet Vu 30% (300 hrs)x $16.00 (Hourly Rate) = $4800 Technology /Adult Services (Templ materials translation for Vietnamese language vii.(d) Library Clerk (Temp)— Assist with special memory gathering events Luis Fernandez 10% (100 hrs)x $16.00 (Hourly Adult Services Rate) _ $1600 viii.(e). Library Clerk (Temp)- Assisting with coordination of library Hieu Le 30 %(300hrs) x $16.00 = Technology Services technology $4800 components related to project 1v. Library Clerk (Terri p) 2% 920 Grant $12,100 In- Totals Funds Kind Cost Sharing Title Proiect Activitv Staff Person Grant Funds Cost Sharing vii).Student Interns (Temp)- Peer mentorship of Teen Community Historians (refer to supporting doc R2 for detailed job description) To Be Hired 30 Interns x 200 hrs x $10.00 = $20,000 Teen Community Historian Interns YEAR I KKsALAMEm A IN � w fit'TAhll. P G:jra t Fund ....._ $158,811 In- Kind Kind Cost Sharing . _... 20B -59 EXHIBI'I' A MEMORIES OF MIGRATION BUDGET JUSTIFICATION 1A.) SALARIES AND WAGES (Permanent Positions)- TOTAL YEAR 2 Title Responsibilities Staff S Grant Funds Cost Sharing and of Full Time Person Equivalent i. Library Operations Responsible for supervising library operations in relation Heather Folmar 5 %(100hrs) of $101,834 (annual salary) = $5,M Manager to this grant. ii(a) Pancipal Responsible for general Cheryl A. 50% (1000hrs) of Librarian —Young oversight and direction of Eberly $82,140 (annual salary) Adult Services program. = 41070.00 ii(b). Principal Responsible for oversight Lynn Nguyen 20 %400hrs) of $82,140 Librarian— and management all (annual salary) =£ Technology Services technology based services for the program 16,428 ii(cl. Pnnci al Coordinating program Patty Lopez 5 % (100hrs) of $82,140 Librarian -adult components that have cross- (annual salary)= 4,107 services over into adult services ii. Principal Librarian $61,605 Total iii(a). Senior Supervising program Milly Lugo 10% (200hrs) of $74,400 Librarian- Adult components that focus on (annual salary) = $2,4Q0 Services veterans memories of migrations iii(b). Librarian- Supervision of Summer Beatriz 10% (200 hrs) of $62,712 Young Adult Interns and Coordinate Preciado (annual salary)= 5 6,271 Services program components that has cross -over with Seeds to Trees Digital Media Tech Academy program iii(c). Librarian - Supervision of video David Lopez 10% (200 hrs) of $62,712 Technology /CTV3 production digital media components and lead (annual salary)= 6,271 production writing instructor iii. Senior $19,982 Librarian&brarian Total iv(a). Assistant Assistant project director in Manuel 80 % ( 1600hrs) of Librarian - Archivist oversight of all archival , historical processes and Escamilla $51,552 (annual salary)= $41,24 2 community outreach r1:.1 EXHIBIT A iv(b). Youth Services Will oversee all Zulma Zepeda Technician budget /financial items. Work in coordination with city's finance department. Coordinate all travel arrangements Iv. Assistant Librarian /Youth Services Technician 30 % (600hrs) of $54,132 (annual salary)= 16 240 $57 FULL-TIME STAFF $144,161 TOTALS 16.) SALARIES AND WAGES- (Temp /Part -time Positions) Title Project Activity Staff Person Grant Funds $ Cost Sharing v(a).Senior Tutor -Santa Ana Mentor and recruit Teen Community Historians, Kevin Cabrera 10091. (970 hrs)x $17.00 (Hourly History Room (Temp) archive project materials Rate) = $16,490 and assist with community engagement coordination v(bl.Senior Tutor- (Temp) Assist with curriculum development Desiree Noriega 40 %(400hrs)x $17.00 (Hourly components Rate) _ $6,800 v_(c).Senior Tutor- (Temp) Assist with Project Lyzbeth Beltran 30 %(300hrs)x Outreach, marketing and $17.00 (Hourly Communications Rate)= $5,100 Spanish Language Translation mentor V(d) Senior Tutor- (Temp) Assist with Programming outreach and Martha Rodas 15% (150 hrs) x $17.00 (Hourly Communications/ Rate) _ $2550 Chicano Studies Mentor (el Senior Tutor (Temp) Assist with Graphic Joseph Castro 30 %(100hrs) x Design elements of $17.00 (Hourly program I Rate) _ $1700 v, Senior Tutor Totals $23,290 Grant $93SO In -Kind Funds Cost Share vi. Volunteer Mentor STFM Program TP,D 15% (150 hrs) x $17.00 = $2550 In -Kind cost share vii.(al. Library Clerk 1 (Temp)- Assist with clerical activities, Teen Community Historian Jackie Edrada 100% (970hrs)x $16.00(Hourly Rate)= $15,520 Young Adult Services /Adult Services volunteer services coordination and historical components at 3 library program sites 20B -61 EXHIBIT A vii.(b) Library Clerk 2 (Temp)- Assist with Digitization Erik Sanchez 40 %(400 hrs) x 30% (300 hrs) x Young Adult Services program components, as To Be Hired $19.00 (Hourly $19 (Hourly Community Historian Interns well as program YEAR 2-SALARIES AND Af °i$S °ttAt, Rate) =$7600 Rate) =$5700 $71,210 Grant Funds components utilizing Kind Cost sharing Gado 2 scanning robot. Assist with clerical activities and Spanish translation vii ©. Library Clerk (Temp)- Assist in coordinating Vietnamese community engagement, and Viet Vu 30 %(300 hrs)x $16.00 (Hourly Rate) = $4800 Technology /Adult Services (Tempi materials translation for Vietnamese language vii.(d) Library Clerk (Temp) — Assist with special memory gathering Luis Fernandez 30 %(100 hrs)x $16.00 (Hourly Adult Services events Rate) _ $1600 viii.(e). Library Clerk (Tempi- Assisting with coordination of library Hieu Le 30%(300hrs) x $16.00 = Technology Services technology $4800 components related to project viii. Library Clerk Temp) S27,920 Grant $12,100 In -Kind Cost Sharing Totals funds Title Proiect Activitv Staff Person Grant Funds Cost Sharing vvNI.Student Interns lTemp) -Teen Peer mentors hip of Teen Community Historians (refer to supporting doc N2 for detailed job description) To Be Hired 10 Interns 200 hrs x $10.00 = $20,000 Community Historian Interns YEAR 2-SALARIES AND Af °i$S °ttAt, $71,210 Grant Funds $168,1611n- Kind Cost sharing 20B -62 EXHIBIT A MEMORIES OF MIGRATION BUDGET JUSTIFICATION 1A.) SALARIES AND WAGES (Permanent Title Project Activity Staff Person Positions)- TOTAL YEAR 3 Cost Title Responsibilities Staff S Grant Funds $ Cost Sharing and % of Full Time 100% (970 hrs)x $17.00 (Hourly Person archive project materials Rate) = $16,490 Equivalent i. Library Operations Responsible for supervising library operations in relation Heather Folmar 5 %(100hrs) of $101,834 (annual Manager to this grant. salary) = 5 092 ii(a).. Principal Responsible for general Cheryl A. 25% (1000hrs) of Librarian —Young oversight and direction of Eberly $82,140 (annual Adult Services program. salary) = 20 535.00 n(b). Principal Responsible for oversight Lynn Nguyen 5% (100hrs) of Librarian— and management all $82,140 (annual Technology Services technology based services for salary) = 4,107 the program N. Princioal $24,642 In -Kind Librarian Total Cost Share iv(al. Assistant Assistant project director in MA . 50 % ( 1000 hrs) of Librarian - Archivist oversight of all archival, Assistant $51,552 (annual historical processes and Librarian - salary)= $25,776 community outreach Archivist ivlbl. Youth Services Will oversee all budget /financial items. Y(b). Youth Services 30 % (600h rs) of $54,132 (annual Technician Work in coordination with Technician salary) = $16,240 city's finance department. Coordinate all travel arrangements iv. Assistant $42,016 In -Kind Librarian /Youth Cost Share Services Technician Totals FULL -TIME STAFF $71,750 TOTALS 1B.) SALARIES AND WAGES- (Temp /Part -time Positions) Title Project Activity Staff Person Grant Funds Cost Sharing v(a).Senior Tutor -Santa Ana Mentor and recruit Teen Community Historians, Kevin Cabrera 100% (970 hrs)x $17.00 (Hourly History Room (Temp) archive project materials Rate) = $16,490 and assist with 20B -63 EXHIBIT A 411MIUA community engagement coordination. Assist with Project Outreach, marketing and Communications Spanish Language Translation mentor v(b).Senior Tutor- (Temp) Assist with tracking and consolidation of project Desiree Noriega 40% (400hrs) x $17.00 (Hourly evaluation responses Rate) = $6,800 and assisting in project final evaluations of curriculum components Senior Tutor Totals 23 290 vii.(a). Library Clerk 1 (Temp)- Assist with clerical activities, Teen Jackie Edrada 100% (970hrs)x $16.00(HOurly Young Adult Services /Adult Services Community Historian Rate) = $15,520 evaluation coordination and evaluation of historical components at 3library program sites vii.(b) Library Clerk 2 (Temp)- Assist with evaluation of Erik Sanchez 20% (200 hrs) x 30%(300 Young Adult Services Digitization program $19.00 (Hourly hrs) x $19 components, as well as Rate) =$3800 (Hourly program components utilizing Gado 2 scanning Rate) =$5700 robot. Assist with clerical activities and Spanish translation. Assist with disseminating STEM related project findings iv. Library Clerk $19,320 $5700 (Temp) Totals YEAR 1 -SAL ro er�� 77 4501n- Kind Cost .E .. ..S_..N _ VAGES TOTAL. . .... .. .... .. ....... __....-- .r -..__ Sharing 411MIUA EXHIBI'I' A 2A. BUDGET JUSTIFICATION- FRINGE BENEFITS YEAR 1 Full- Time /Permanent Staff — Cost Share = $ 144,161 X37.90% _ $54,637 In -Kind Cost -share Part —Time/ Temporary Staff -Grant Funds = $80,560 X 8.16% = 6 574 Grant Funds Part -Tim/ Temporary Staff— Cost Share = 14 650 X 8.16% _ $1195 In -Kind Cost -Share 12,04 " /" 14.81% '1.50% 0.77°% 15,89% - 7.'11% 0.00% 37.90% Labor Distribution Reg Pars Medi Work Health 2.7 @ 55 Cash Cost Comp Total Cost Cost Comp Cost Deduc Back Total Part —Time/ Temporary Staff -Grant Funds = $80,560 X 8.16% = 6 574 Grant Funds Part -Tim/ Temporary Staff— Cost Share = 14 650 X 8.16% _ $1195 In -Kind Cost -Share 2B BUDGET JUSTIFICATION- FRINGE BENEFITS YEAR 2 Full- Time /Permanent Staff— Cost Share = $ 144,161 X37.90% _ $54,637 In -Kind Cost -share 3.75% 1.45% 2.96% 8.16% Labor Social 0,00% 3790% Labor Distribution Distribution Security Medi Work Health 2.7 @ 55 Cost Cost Comp Total 2B BUDGET JUSTIFICATION- FRINGE BENEFITS YEAR 2 Full- Time /Permanent Staff— Cost Share = $ 144,161 X37.90% _ $54,637 In -Kind Cost -share 20B -65 12.04% '14.81% 1.50"/, 0.7'7% '15,89% - 7'11% 0,00% 3790% Labor Distribution Reg Pers Medi Work Health 2.7 @ 55 Cash Cost Cost Comp Cost Deduc Back Total 20B -65 EXHIBIT A Part —Time/ Temporary Staff -Grant Funds= $71,210 Grant Funds X 8.16% _ $5,811 Part -Tim/ Temporary Staff— Cost Share = $24,000 X 8.16% = $1,258 2C. BUDGET JUSTIFICATION: FRINGE BENEFITS YEAR 3 Full- Time /Permanent Staff— Cost Share = $ 71.750 X37.90% _ $27,193 3.75% 1.45% 2.96% 816% Labor Social 0.00% 37.90% Labor Distribution Distribution Security Medi Work Health 2.7 @ 55 Cost Cost Comp Total 2C. BUDGET JUSTIFICATION: FRINGE BENEFITS YEAR 3 Full- Time /Permanent Staff— Cost Share = $ 71.750 X37.90% _ $27,193 Part —Time/ Temporary Staff -Grant Funds =. 42 610 X 8.16 %_ $3476.976 Part -Tim/ Temporary Staff— Cost Share= 5 700 X8.16%=$465 12.04% 14.81% 1.50% 0.77% 15.89% -7.11% 0.00% 37.90% Labor Distribution Reg Pers Medi Work Health 2.7 @ 55 Cash Cost Comp Total Cost Cost Comp Cost Deduc Back Total Part —Time/ Temporary Staff -Grant Funds =. 42 610 X 8.16 %_ $3476.976 Part -Tim/ Temporary Staff— Cost Share= 5 700 X8.16%=$465 411MIN 3.75% 1_45% 2.96% 8.16 /0 Labor Social Distribution Security Medi Work Cost Cost Comp Total 411MIN EXHIBIT A 3. CONSULTANT FEES: Advisory Panel 1.) Advisory Member 1 (Rachel Steinhardt): $1500 Grant Funds • Year 1: Consulting Stipend for Project Development (1.5 day meeting) (10 hours X $50.00 per hour= $500 grant funds) • Year 2: Consulting Stipend for Project Development (1.5 day meeting) (10 hours X $50.00 per hour = $500 grant funds) • Year 3: Consulting Stipend for Project Dissemination (1.5 day meeting) (10 hours X $50.00 per hour = $500 grant funds) ii.) Advisory Member 2 (Deyden Tethong): $1500 Grant Funds • Year 1: Consulting Stipend for Project Development (1.5 day meeting) (10 hours X $50.00 per hour= $500 grant funds) • Year 2: Consulting Stipend for Project Development (1.5 day meeting) (10 hours X $50.00 per hour = $500 grant funds) • Year 3: Consulting Stipend for Project Dissemination (1.5 day meeting) (10 hours X $50.00 per hour = $500 grant funds) iii) Advisory Member 3 (TED): $1500 Grant Funds Year 1: Consulting Stipend for Project Development (1.5 day meeting) (10 hours X $50.00 per hour= $500 grant funds) Year 2: Consulting Stipend for Project Development (1.5 day meeting) (10 hours X $50.00 per hour = $500 grant funds) Year 3: Consulting Stipend for Project Dissemination (1.5 day meeting) (10 hours X $50.00 per hour = $500 grant funds) 4. Travel: 4A. Travel- Various Locations /Santa Ana: All Member Meetings (8 members): ($12,128 Grant Funds) • 3 library partner members : traveling to Santa Ana at $808 per trip/ per member for two night stay, including an estimated $400 for airfare, 2 days of per diem at $71 /day, and 2 nights @ $133 per night for hotel. These figures are based on 2014 US Government Survey Administration published per diem rates for 2014 and flight estimates on Kayak.com Year 1: $2424 Year 2: $2424 • 3 advisory panel members : traveling to Santa Ana at $808 per trip/ per member for two night stay, including an estimated $400 for airfare, 2 days of per diem at $71 /day, and 2 nights @ $133 per night for hotel $133 for hotel. These figures are based on 2014 US Government Survey Administration published per diem rates for 2014 and flight estimates on Kayak.com 20B -67 EXHIBIT A Yearl:$2424 Year2:$2424 • WAWWD Lead consultant Jon Voss and Project Gado Partner Thomas Smith: traveling to Santa Ana at $608 pert rip/ per member for two night stay, including an estimated $200 for airfare, 2 days of per diem at $71 /day, and 2 nights @ $133 per night for hotel. These figures are based on 2013 US Government Survey Administration published per diem rates for 2014 and flight estimates on Kayal<.com Yearl:$1216 Year2:$1216 Totals Year 1= $6064 Grant Funds Totals Year 2= $6064 Grant Funds Grand Total: $12,128 Grant Funds 4B. Travel — WAWWD Lead Consultant Jon Voss (In addition to partner meetings): ($1500 Grant Funds) • We Are What We Do Travel is based on Jon Voss traveling to Santa Ana at $500 per trip for one night stay, including an estimated $200 for airfare, 2 days of per diem at $71 /day, and $133 for hotel. These figures are based on 2013 US Government Survey Administration published per diem rates for 2013 and flight estimates on Kayal<.com. Year 1 -$500 Grant Funds, Year 2- $500 Grant Funds, Year 3- $500 Grant Funds. 4C. Travel- Advisory Panel (In addition to partner meetings) :($2424 Grant Funds) • Traveling to Santa Ana at $808 per trip/ per member for two night stay, including an estimated $400 for airfare, 2 days of per diem at $71 /day, and 2 nights @ $133 per night for hotel $133 for hotel. These figures are based on 2014 US Government Survey Administration published per diem rates for 2014 and flight estimates on Kayak.com. Year 3: $2424 4D Travel — Santa Ana/ Los Angeles or Orange County: Museum Fieldtrips for Teen Community Historian Interns and Volunteer Fieldtrips:($3,600 Grant Funds/ $3000 Cost - Sharing) Santa Ana/ The Museum of Tolerance (Los Angeles) (Year 1 & Year 2): Fieldtrip for Teen Community Historian volunteers (20), and interns (10). 5 staff members will supervise fieldtrip. Chartered Bus = (Year 1- $600) & (Year 2 - $600). Food and Refreshments = $1000 Cost Sharing (Year 1 - $500) & (Year 2 - $500) Santa Ana/ Richard Nixon Presidential Library (Yorba Linda) (Year 1 & Year 2): Fieldtrip for Teen Community Historian volunteers (20), and interns (10). 5 staff members will supervise fieldtrip. Chartered Bus = (Year 1- $600) & (Year 2 - $600). Food and Refreshments = $1000 Cost Sharing (Year 1- $500) & (Year 2 - $500) Santa Ana/ The Huntington Library and Archives (San Marino) (Year 1 & Year 2): Fieldtrip for Teen Community Historian volunteers (20), and interns (10). 5 staff members will supervise fieldtrip. Chartered Bus = (Year 1- $600) & (Year 2 - $600). Food and Refreshments = $1000 Cost Sharing (Year 1- $500) & (Year 2 - $500) r1- • EXHIBIT A Totals for Year 1 : $1800 Grant Funds/ $1500 Cost Share, Totals for Year 1: $1800 Grant Funds/ $1500 Cost Share 4E Travel — Dissemination and Training Conferences: ($10,750 Grant Funds / $1000 In -Kind) Various Locations/ Orange County, Ca, REFORMA Regional Mini - Conference -- ($1,674 Grant Funds / $1000 In -Kind —Year 3): o 2 project lead members (WAWWD, and Project Gado) ($1,000)- traveling to Santa Ana at $500 per trip for one night stay, including an estimated $200 for airfare, 2 days of per diem at $71 /day, and $133 for hotel. These figures are based on 2013 US Government Survey Administration published per diem rates for 2014 and flight estimates on Kayak.com o 1 project Partner (New Mexico) ($674)- traveling to Santa Ana at $675 per trip/ per member for two night stay, including an estimated $400 for airfare, 2 days of per diem at $71 /day, and $133 for hotel. These figures are based on 2014 US Government Survey Administration published per diem rates for 2014 and flight estimates on Kayak.com o 10 Teen Community Historians Interns, 10 Teen Community Historian Volunteers, 10 SAPL Project Members ($1000 in- kind) — Traveling to Conference via Bus ($600) and food ($400) • ALA Midwinter 2017 (Atlanta) ($6076 —Year 3): 7 members (3 library partner members, 2 SAPL Project Lead Members, WAWWD Lead, and Project Gado Lead ) traveling to Atlanta at $868 per trip/ per member for 2 night stay, including an estimated $400 for airfare, 3 days of per diem at $56 /day, and $150 for hotel. These figures are based on 2014 US Government Survey Administration published per diem rates and flight estimates on Kayak.com. Final wrap -up partnership meeting will occur at this conference. • Conference (TBD) ($ 3000 -Year 3): is based on 3 project lead members (SAPL and WAWWD) traveling to 1 conferences (TBD) at $1000 per member for two night stay, including an estimated $300 for airfare, 3 days of per diem at $71 /day, and $200 for hotel. Total cost for travel = $1000 x 3 members = $3,000 Grant Funds 5. Supplies and Materials —Cost Share r1- • Cost-Share Equipment Lust to be pUdR "chiased for VlernolHes of Wgra'tion Project (Equipment purchased lor pf'rrducing digital rnedia, tralmng V /Vdeo r for pro' ect, and rnernoiy gathev ing activikies) r1- • BXIiIBIT A HARDWARE ITEM QTY ITEM DESCRIPTION EA TOTAL 1 6 MacBook Pro, 17 -inch, Quad -core Intel Core i7 $2,943 $17,658 2 10 Headphones $55 $550 3 5 SHURE SM58 Microphones $150 $750 4 1 Propellerhead Vs 5.0 REASON /RECORD w /multiple installs $1,250 $1,250 5 10 1 Cables /connectors for computer stations n/a $600 6 1 Large capacity external hard drive n/a $300 7 1 Whisperroom Standard Sound Booth $8,000 $8,000 8 6 Apple Pad 2 MC770LL /A Tablet (32GB, Wifi 2nd Generation) $600 $3,600 2 1 Mac Pro 8- core(desktop) $3,499 $3,499 5 2 Sony HXR -NX5U NXCAM Professional Camcorder $3,995 $7,990 6 2 Sony NP -F970 L- Series Info - Lithium Battery Pack(6600mAh) $99 $198 7 4 San Disk - 32GB Extreme Pro SDHC UHS -I Memory $133 $532 16 1 Lowel DV Creator 55 Light Kit $1,448 $1,448 17 1 Sony BRC -300 3 CCD Mega Pixel P - T - Z Robotic Color Vid Cam $3,900 $3,900 18 1 Sony RC815 -Visca Cam Control Cable 8 -Pin DIN Male to Male 100 ft $96 $96 19 1 Sony RM -BR300 Joystick Remote Control Panel for Sony BRC -300 $1,420 $1,420 20 1 Vaddio 535 - 2000 -208 Model 300 Thin Profile Wall Mount Bracket $110 $110 SWb- Total $51,901 SOFTWARE 21 6 Final Cut Pro X $299 $1,794 22 1 Final Cut Studio $999 $999 23 6 Adobe Photoshop Elements $99 $594 24 1 Adobe Creative Suite $1,800 $1,800 25 6 Adobe CS5.5 Design Standard $1,216 $7,296 Sub - Total $12,483 20B -70 EXHIBIT A 6. Services: 6a.) Services -We are What We Do (WAWWD) (Please refer to Supportingdoc #1 for Scope of Work and deliverables from WAWWS) : $ 120,671 Grant Funds requested/ $109,070 In -Kind Cost Share We Are What We Do (WAWWD) is a non - profit organization started in the east of London in 2003, and consists of a UK registered Community Interest Company (05241856), a Charitable Foundation (1134546), and a California not - for - profit corporation with IRS 501(c)3 tax exemption status. Historypin is a project of WAWWD and was originally created as a tool to facilitate strengthening of communities through local history, and particularly intergenerational and cross - cultural dialogue. Staff from We Are What We Do will be supporting Memories of Migration from the standpoint of: • community engagement • project management • digital development • user interface and graphic design • evaluation methodology and reporting During the first year of the Memories of Migration program, We Are What We Do will contribute substantial cost sharing from design, web development, and technical architecture. This support comes from other funded projects that are supporting these staff roles which will feed in heavily to the design and evaluation methodologies of Memories of Migration. The funded projects that will be running at the same time include: • Europeana Creative, a three -year European Commission funded project going through 2015 which Historypin is exploring metadata ingestion tools as well as user interface design around multiple languages and others. • Sourdough & Rye, a two -year community engagement project focusing on the Jewish community in San Francisco which will overlap for several months with Memories of Migration and will lend expertise into developing community - specific content - gathering sessions. • Europeana V3, a one -year European Commission funded project starting in the fall of 2014 which provides funding to pilot an experimental metadata synchronization tool from Historypin back out to partner organizations. • Europeana Sounds, a two -year European Commission funded project that just started, in which Historypin will further explore new user interface and interaction with different kinds of community content and the exchange of metadata with partner institutions • Ambrosia, a three -year European Commission funded project in which Historypin plays a major role in exploring deep engagement of communities in location- specific cultural heritage, specifically the rich culture of food and drink throughout Europe and how people relate to history through it. Staff costs have been calculated with benefits at a set percentage depending on where the team member is based. Team members based in the US (Senior Project Manager and Project Officer) have benefits calculated at 25 %, and all European -based staff are calculated at 11 %. 20B -71 -- IOTA I $64,38 1 4 6. Services: 6a.) Services -We are What We Do (WAWWD) (Please refer to Supportingdoc #1 for Scope of Work and deliverables from WAWWS) : $ 120,671 Grant Funds requested/ $109,070 In -Kind Cost Share We Are What We Do (WAWWD) is a non - profit organization started in the east of London in 2003, and consists of a UK registered Community Interest Company (05241856), a Charitable Foundation (1134546), and a California not - for - profit corporation with IRS 501(c)3 tax exemption status. Historypin is a project of WAWWD and was originally created as a tool to facilitate strengthening of communities through local history, and particularly intergenerational and cross - cultural dialogue. Staff from We Are What We Do will be supporting Memories of Migration from the standpoint of: • community engagement • project management • digital development • user interface and graphic design • evaluation methodology and reporting During the first year of the Memories of Migration program, We Are What We Do will contribute substantial cost sharing from design, web development, and technical architecture. This support comes from other funded projects that are supporting these staff roles which will feed in heavily to the design and evaluation methodologies of Memories of Migration. The funded projects that will be running at the same time include: • Europeana Creative, a three -year European Commission funded project going through 2015 which Historypin is exploring metadata ingestion tools as well as user interface design around multiple languages and others. • Sourdough & Rye, a two -year community engagement project focusing on the Jewish community in San Francisco which will overlap for several months with Memories of Migration and will lend expertise into developing community - specific content - gathering sessions. • Europeana V3, a one -year European Commission funded project starting in the fall of 2014 which provides funding to pilot an experimental metadata synchronization tool from Historypin back out to partner organizations. • Europeana Sounds, a two -year European Commission funded project that just started, in which Historypin will further explore new user interface and interaction with different kinds of community content and the exchange of metadata with partner institutions • Ambrosia, a three -year European Commission funded project in which Historypin plays a major role in exploring deep engagement of communities in location- specific cultural heritage, specifically the rich culture of food and drink throughout Europe and how people relate to history through it. Staff costs have been calculated with benefits at a set percentage depending on where the team member is based. Team members based in the US (Senior Project Manager and Project Officer) have benefits calculated at 25 %, and all European -based staff are calculated at 11 %. 20B -71 EXHIBIT A Services:WE ARE WHAT WE DO YEAR 1 Salaries/ Wages & Benefits) Cost Sharing and % of Full Time Project Title Activity Grant Funds Equivalent 15% of $85,000 (annual salary) _ Sr. Project Mgr, Jon Voss. 12,750 Project + management 3,188 (25 %) Fringe and Benefits coordination. _ MAO ---- -- 20.5% of $66,663 29.5 %of$66,663 User (annual salary) = (annual salary)= interface $13,666 19,666 design for + + digital projects 1,503 (11 %) Fringe 2,163 (11 %) Fringe and graphic Benefits Benefits Sr. Designer, Kate Ferrier design for print = _ packages. 15169 21 829 10.5% of $59,921 49.5% of $59,921 (annual salary) = (annual salary)= $6,292 $29,661 $692 (11 %) Fringe $3,263 (11 %) Fringe Benefits Benefits Developer 1, TBD. Digital project = _ creation. $6,984 $32,924 10.5% of $59,921 4M% of $59,921 (annual salary) = (annual salary)= $6,292 $29,661 $692 (11 %) Fringe $3,263 (11 %) Fringe Digital Benefits Benefits Developer 2, TBD. project = _ creation. a984 32 924 15,5 %of$52,000 4.5% of $52,000 Coordinating (annual salary) = (annual salary)= development $8,060 $2,340 team with + + needs and $887 (11 %) Fringe $258 (11 %) Fringe Digital Director, Konstantin requirements Benefits Benefits Dankov. of clients and = _ design team 11947 2 598 Oversight of 10% of $95,000 development (annual salary) _ $9,500 resources, Chief Technology Officer, im orUex ort P P $1045 (11 %) Fringe Alex Stanhope. s and data Benefits = workflow. $10,545 Input on community engagement 10% of $34,000 materials and (annual salary) _ Project Officer, tbd. design. $3,400 20B -72 EXHIBIT A Services:WE ARE WHAT WE DO (YEAR 2 Salaries/ Wages & Benefits) $ Cost sharing and %of Full Time $850 (25 %) Fringe Project Equivalent Benefits '.... Activity Grant Funds 4 250 15% of $85,000 10% of $66,663 (annual salary)= Working with (annual salary) _ 12,750 Santa Ana $6,666 + Public Library $733 (11%) Fringe Project 3,188 (25%) Fringe on creation of Benefits management and Evaluation Director, evaluation = coordination. Kathleen Collett. framework. 7 399 Total Year 1 Salaries & Benefits IL 421 $105,070 (annual salary)= UK based staff interface design $6,666 to travel to US for digital + for project projects and Travel coordination $2,000 Benefits $61,421 Grant $107,070 In -Kind Funds Cost Sharing TOTAL COSTS YEAR 1 acka es. Services:WE ARE WHAT WE DO (YEAR 2 Salaries/ Wages & Benefits) $ Cost sharing and %of Full Time Project Equivalent Title Activity Grant Funds 15% of $85,000 (annual salary)= Sr. Project Mgr, Jon Voss. 12,750 '......... + Project 3,188 (25%) Fringe management and Benefits coordination. _ 15 938 10% of $66,663 User (annual salary)= interface design $6,666 for digital + projects and $733 (11 %) Fringe graphic design Benefits Sr. Designer, Kate Ferrier for print = acka es. 7 399 15% of $59,921 (annual salary) _ $8,988 $989 (11 %) Fringe Benefits Developer 1, TBD. Digital project = I creation. $9,97 _ _ Input on 10 %of$34,000 community (annual salary)= engagement $3,400 materials and + Project Officer, tbd. design. $850 (25 %) Frin e 20B -73 EXHIBIT A Services:WE ARE WHAT WE DO (YEAR 3 Salaries/ Wages & Benefits) Benefits $ Cost Sharing and = A250 Project 10% of $66,663 Title Activity Working with (annual salary) 3% of $85,000 Santa Ana $6,666 (annual salary) _ Public Library $733 (11 %) Fringe $2,550 on creation of Benefits Evaluation Director, evaluation - Project Kathleen Collett. framework. $7.399 management and Total Year 1 coordination. Salaries & Benefits 44 963 3 188 UK based staff to 5% of $66,663 travelto US for User (annual salary)= project interface design Travel coordination $2,000 + $44,963 Grarrt $2,000 In -Kind Funds TOTAL COSTS YEAR 2 Cost Share Services:WE ARE WHAT WE DO (YEAR 3 Salaries/ Wages & Benefits) $ Cost Sharing and % of Full Time Project Eguivalent Title Activity Grant Funds 3% of $85,000 (annual salary) _ Sr. Project Mgr, Jon Voss. $2,550 Project 638 (25%) Fringe management and Benefits coordination. — 3 188 5% of $66,663 User (annual salary)= interface design $3,333 for digital + projects and $367 (11 %) Fringe graphic design Benefits Sr- Designer, Kate Ferrier for print = packages. 3 700 10% of $66,663 Working with (annual salary) = Santa Ana $6,666 Public Library $733 (11 %) Fringe on creation of Benefits Evaluation Director, evaluation - Kathleen Collett. framework. 7 395 Total Year 2 Salaries & Benefits 14 287 $14,287 Grant Funds TOTAL COSTS YEAR 2 6b.) Services: New Mexico Highlands University (NMHU) (Fiscal Agent) with New Mexico 20B -74 EXHIBIT A Department of Cultural Affairs (DCA) = $39,992 Grant Funds $41,091 In Kind Cost Share In -Kind cost - sharing . (Work Package q 4: Model Program Iteration 1. All project services will take place in Year 1) A.)Salaries & Wages = $25,680 Grant Funds / $41,091.00 In -Kind Cost Sharing Expenses: i.)AmeriCorps Interns: $10,628.00 Grant Funds (2 interns @ $5,314 and 450 hours each) The NMHU Department of Media Arts & Technology and the New Mexico Department of Cultural Affairs have partnered on an AmeriCorps Cultural Technology internship program since 2010. Two interns from this program will be recruited and trained. Between February 1— August 30, 2015 they will provide approximately 900 hours of service recruiting and training librarians and Teen Historians, providing onsite program support and documentation for "memory gathering' activities at public and tribal libraries, and populating the interactive online map with content. IMLS grant funds will be matched almost 1:1 by funds from AmeriCorps, which is not reflected in the budget because these are federal funds and thus not eligible to count towards the match. AmeriCorps interns will also receive a Segal Education Award that will be in the neighborhood of $2,822 in addition to their stipends. In addition to providing services to libraries, AmeriCorps interns will serve as role models for and mentors to Teen Historians about AmeriCorps values of national and community service and about the value of education. ii.)Parachute Factory: $6,052.00 Grant Funds ($45,000 x 10 %= $4,500 +$1,552 fringe @ 34.5 %) Mariano Ulibarri, Director of Parachute Factory, a university- community makerspace in Las Vegas, NM, will devote 10% of his time to providing project coordination and supervising and training AmeriCorps interns and Teen Historians. Ulibarri will also work closely with David Hurley from the NMSL on recruitment and liaison with participating libraries. iii.)Teen Community Historians: $9,000.00 Grant Funds (9 interns x $1,000 stipends) Nine community Teen Historians will be recruited and trained to assist in "memory gathering" activities at public and tribal libraries. They will each commit a minimum of 125 hours to the project and receive stipends of $1,000. We will work with our network of partners that provide youth programs to insure that immigrant youth are included in the cohort of Teen Historians. These organizations include Youth Media Project in Santa Fe and Girl Scouts in Albuquerque. iv.) NMHU Professor Miriam Langer : $7,626 In -Kind Cost -Share ($56,670 x 10 %= $5,670+ $1,956 fringe @ 34.5 %) Ms. Langer co- directs the NMHU Media Arts partnership with the New Mexico Dept. of Cultural Affairs known as the Center for Cultural Technology, including the AmeriCorps Cultural Technology Program and Parachute Factory, a university- community makerspace. Her expertise includes the prototyping of cultural technology projects. She will devote 10% of her time to Memories of Migration and hold primary responsibility for financial oversight and reporting. v.) New Mexico Dept. of Cultural Affairs Director for Media Projects Miriam Roberts : $7,493 In- Kind Cost Share ($53,527 x 10 %= $5,352 + $2,141 fringe @ 40 %) Ms. Roberts co- directs the DCA partnership with the NMHU Dept. of Media Arts & Technology 20B -75 EXHIBIT A known as the Center for Cultural Technology. Her expertise includes rural outreach, internships, mentorship, and the development of organizational partnerships. She will devote 10% of her time to Memories of Migration and hold primary responsibility for day -to -day project management to insure that all partners are working together and that Memories of Migration stays on schedule and on budget. She will also work to use IMLS funding to leverage local support. vi.) New Mexico State Library Chief of the Library Development Bureau David Hurley: $4542 In- Kind Cost Share ($64,896 x 5% = $3,244 + $1,298 fringe @ 40 %) Mr. Hurley is responsible for providing services to public, tribal, and academic libraries throughout NM, including federally funded programs for digital literacy and youth services. He also manages an ongoing NMSL partnership with Parachute Factory to provide recruitment, technical assistance and onsite program support to public and tribal libraries on the New Mexico Makerstate Initiative, with the goal of creating a network of maker communities throughout the state centered in libraries. Mr. Hurley will devote 5% of his time to Memories of Migration and coordinate with Parachute Factory on library recruitment and coordination with other NMSL programs. vii.) New Mexico Dept. of Cultural Affairs Web Manager Douglas Patinka: $3,945 In -Kind Cost Share ($58,614 x 5 %= $2,818 +$1,127 fringe @ 40 %) Mr. Patinka is responsible for the online presence of all DCA divisions and is director of the New Mexico Cultural Atlas, a new initiative that will provide online access to New Mexico's cultural resources via a group of interactive maps. Mr. Patinka will devote 5% of his time to Memories of Migration and provide technical assistance on the interactive map component and the integration of Memories of Migration with the New Mexico Culture Atlas. viii.) NMHU Media Arts Professor TBD: $17,485 In Kind Cost Share ($52,000 x 25 %= $13,000+ $4,485 fringe @ 34.5 %) In fall semester 2014 the Dept. of Media Arts & Technology will offer an exhibition design class, which represents 25% of the teaching load of the faculty member. The purpose of the Memories of Migration exhibition is to provide cultural and historical context for "memory gathering" events at participating libraries. The class will cover the fundamentals of traveling exhibition design and production, community engagement, online interactive maps, and issues of migration and immigration, as students create a traveling exhibit on the theme of Memories of Migration that will travel to participating libraries in conjunction with their presentations of "memory gathering" activities. vix.) Student volunteers : $9,600 In -Kind Cost Share (8 x 80 hours x $15 value of volunteer time) From August — December 2014, an NMHU Exhibit Design class of a minimum of 8 students (TBD) will devote 80 hours each of class time and outside time to conducting research, designing, and creating a traveling exhibit Memories of Migration. The time is valued at $15 /hour, which is the government- approved rate used by museums to measure the contribution of volunteers. The exhibit will integrate with other programs based on themes of migration and immigration happening in New Mexico in 2015, including: (1) The exhibition and outreach project Imagining Home at the Museum of International Folk Art Gallery of Conscience; (2) Expressions of Complex Identities: Sephardic Jews, Conversos, and Crypto -Jews, 1391 -2015, [working title], scheduled to 20B -76 EXHIBIT t1 open at the New Mexico History Museum in Santa Fe in May 2015, about the dispersion of Jews from the Iberian Peninsula following the Expulsion, including to NM; (3) the National Dialogues on Immigration, sponsored by the International Coalition of Sites of Conscience; (3) the Big Read, featuring Luis Alberto Urrea's novel about the U.S. - Mexican border, Into the Beautiful North, sponsored by the New Mexico Humanities Council (pending funding); and (4) Commemorations of the 150`b anniversary of "The Long Walk ", a series of forced marches starting in 1864, when 9,500 Navajo and 500 Mescalero Apache were forced by the U.S. Army to walk 400 miles from their homelands to incarceration at Fort Sumner and many thousands died. The exhibit will premiere in the gallery space at the non - profit organization Las Vegas Citizens Committee for Historic Preservation in December. Students will prototype a "memory gathering' community event in conjunction with the opening of the exhibition. In January the exhibit will travel to the gallery of the New Mexico Humanities Council (NMHC) in downtown Albuquerque, where it will remain on view until June. We will seek additional funding for the production of the exhibit from NMHC and the Santa Fe Community Foundation. x.) Library in -kind : $1,750.00 ( library staff from 5 libraries x $350) In -Kind Cost Share Our budget is based on participation of 5 rural and tribal libraries, and the estimate of $350 each of in -kind staff contributions of library staff. The estimate was established using an average of figures provided by NMHC for in -kind contributions from libraries that participate in programs that they sponsor. We anticipate that interest in Memories of Migration will be very high among rural libraries, community -based museums, and State Historic Sites throughout NM and that the project will continue beyond summer 2015 with other sources of funding, so this is a conservative estimate 2.) In -State Travel = $3,951.00 Grant Funds Since recruitment will be part of our project, mileage estimates are based on averages of similar statewide outreach projects. Mileage reimbursement, per diem, and lodging are based on university- approved rates. Breakdown of in -state travel: mileage 15 trips @ 120 miles RT x .32 $576.00 mileage 15 trips @ 250 miles RT x .32 $1,200.00 per diem $30 /day $900.00 lodging $1,275.00 3.) Equipment = $5,398.00 Grant Funds Equipment will be used to digitize "memories ". The recorder will be used to capture audio (e.g., songs and stories). The 3D scanner will be used to capture artifacts (e.g., objects from library, archive, museum, and personal collections). The document scannerwill be used to capture documents (e.g., letters, and photographs). The camera and lenses will be used to capture video and still photographs of participants. Breakdown of equipment budget Zoom HE Handy Recorder Systems Sense 3D scanner 20B -77 $400.00 $400.00 EXHIBIT A Epson Workforce DS 50000 Document scanner $1,152.00 Canon EOS DSLR camera $1,200.00 Canon EF 50mm lens $340.00 Canon EF 28mm lens $450.00 Lenovo ThinkPad $1,456.00 4.) Materials and Supplies = $2,000.00 Materials and supplies will include such things as paper and ink needed to make posters and otherwise promote "memory gathering' activities at local public and tribal libraries. The amount is based on an allocation of $400 per venue x 5 venues. 5.) Administration = $2,962.32 The NMHU Grants Office will administration funds for 8% of $37,029 Subtotal = $2962.32 6c.) Services: Queens Library, New York = $25,000 Grant Funds/ $30,527 In -Kind cost - sharing .(Work Package # 5: Model Program Iteration 2. All project services will take place in Year 2) rl- EXHIBIT A 1.Queens Library: Salaries/ Wages and Benefits Full -Time (FT) and Part -time/ Temp (PT) Title Project Activity Staff Person Grant Cost Funds Sharing Digital Content & Strategy Lead coordinator at Queens Library, plans Natalie Milbrodt 7% (140 hrs) X $28.04 Coordinator training for Fellows, (Hourly secures needed resources, Rate)= represents Queens Library $3,925 at meetings organized by + Santa Ana $3,975 fringe benefits $7,900 Community Outreach & Initial outreach to Xi (Cathy) Chen 5 %(80 hrs) x Programs. New Americans program partners $35.61 (Hourly Program Rate) = $2,849 $2,138 fringe benefits $4,987 Metadata Librarian Oversight of metadata Dacia Metes 6% (105 hrs) production, quality x $30.09 control /training of Fellows (Hourly Rate) = $3,160 $1,627 fringe benefits = $4787 Imaging Technician (FT) Fellows training on Grace DeSagun 4 %(70 hrs) digitization equipment kit x $19.37 to be used at events, (Hourly digitization of oversize and Rate)= delicate materials that $1,357 Fellows can't digitize on- + site during events $1,735 Benefits 3092 Total Reservist (funded through Translates written materials into Chinese, David Lau 10 %(96 hrs) x $15.00 foundation grant). New Americans Program provides event (Hourly information (via phone) Rate) = $1,440 for Mandarin and + Cantonese speakers $115 fringe benefits = $1,555 20B -79 EXHIBIT A Graphic designer. Creative Creates flyers, posters and postcards as well as Laura Sgambati 5% (80 hrs) x $38.26 Services Dept, website event listings for (Hourly events Rate)= $3,061 $1,910 fringe benefits = $4971 Creative Services Manager Oversees production of all promotional materials Vincent Sgaglione 1 %(35 hrs) x $49.74 (Hourly Rate) =$1741 $1090 fringe benefits = $2,831 Social Media Manager Promotes events through Christine 1 %(35 hrs) x Queens Library's social McMonagle $34.51 media channels, advises (Hourly Fellows on promotional Rate) =$1208 activities + $569 fringe benefits = $1,777 Communications and Editorial Writes English language promotional and editorial Jeremy Walsh 1 %(35 hrs) x $29.05 Assistant content for blog, (Hourly publications Rate) = $1,017 $702 fringe benefits = $1,719 ML Emerging Professional Event Coordination, To Be Hired 100%2 Fellows (PT /Temp) facilitation, digital archives Interns x processing (840 hrs combined) x $23.00 = $19,320.00 $1.,544 Fringe Benefit $20,864 Totals 41::R EXHIBIT A TOTALS For Salaries & Benefits Salaries/ Wages Full -Time (FT) and Part -time/ Temp (PT) Title. 23 956 $30,527 Cost - Sharing Grant Funds 2.)Queens Library: Materials and Supplies = $1,044.00 Grant Funds Materials and supplies will include such things as paper and ink needed to make promotional materials, posters and otherwise promote "memory gathering' activities. 6d.) Services: West Hartford Public Library, Connecticut = 21 860_Grant Funds $21,870 In -Kind cost - sharing. (Work Package # 5: Model Program Iteration 2. All project services will take place in Year 2) 1.West Hartford Public Library: Salaries/ Wages Full -Time (FT) and Part -time/ Temp (PT) Title. Project Activity Staff Person Grant Funds 5 Cost Sharing Project Intern(s) - Archive project materials -Edit and upload video To Be Hired 100% 1 -2 Interns (Temp) - Create culminating video for (500 hrs) x $16.00 graduation ceremony (clips from (Hourly Rate) interviews, pictures of field trips, =$8000 Grant etc.) Funds - prepare gallery exhibit - Assist the project lead in running the program Summer - Create flyers and publicity in To Be Hired 100% 4-6 Interns Program Interns the target language - identify interviewees (300 hrs) x $10.00 (Hourly Rate) _ (Temp) - Mentor teen community $3,000 Grant historians Funds - Assist with interviews (i.e. videotaping) - Attend field trips - Transcribe -Plan multicultural programs Supervising - Oversee grant activities Kati Karp 100% (300 hrs) x Librarian - Handle administrative $40= $12,000 responsibilities as required by the grant - Select and direct paid and volunteer staff - Organize workshops, field trips, multicultural programs, graduation ceremony - Recruit teen community PTO EXHIBIT A 2.)West Hartford Public Library: Equipment = $5,975 Grant Funds Equipment to be purchased for "memory gathering' activities: • pocket cameras= $750 (5 cameras @ $150 each) • audio recorders = $300 (3 palm -size audio recorders @ $100 each) • Tablet computers with external microphones = $4125 (5 @ $ 825 each) 0 Video Editing Software = $800 (8 licenses such as Corel Video Studio X6 @ $100 each) 3.)West Hartford Public Library: Special events, Fieldtrips and Workshops = $4525 Grant Funds Multicultural programs (5 Events) _ $1500 411MON historians - Identify and collaborate with community stakeholders -Teach teen community historians how to use technology (cameras, recorders, editing software, etc.) Graphic Artist - Create flyers, posters, shirt Dayna 100% (40 hrs) x design and promotional Helming $22 =$880 bookmarks PR Staff - Advertise the Migration Ben Woodard 100% (70 hrs) Memories program on the West x $28 = Hartford Libraries listserv, on $1960 social media, in the library, and in the local media - Train staff and students in advanced video production and design IT Staff - Install and provide assistance Andrew 100% (10 hrs) x with video editing software Bosworth $43= $430 Local History - Coordinate integration of Martha 100% (50 hrs) x Librarian Memories of Migration into the Church $43 = $2,150 West Hartford HistoryPin project -Serve as a resource and liaison to local history stakeholders Local History - Archive project materials To Be Hired 100% (250 hrs) x Intern (Temp) - Create metadata for the project $16 = $4,000 - Assist Lead History Librarian in the integration of data into the HistoryPin TOTALS For $11 000 $21,420 Cost Salaries & Grant Funds Sharin¢ Benefits 2.)West Hartford Public Library: Equipment = $5,975 Grant Funds Equipment to be purchased for "memory gathering' activities: • pocket cameras= $750 (5 cameras @ $150 each) • audio recorders = $300 (3 palm -size audio recorders @ $100 each) • Tablet computers with external microphones = $4125 (5 @ $ 825 each) 0 Video Editing Software = $800 (8 licenses such as Corel Video Studio X6 @ $100 each) 3.)West Hartford Public Library: Special events, Fieldtrips and Workshops = $4525 Grant Funds Multicultural programs (5 Events) _ $1500 411MON EXHIBIT A Auditorium fees /custodial services $300 per event, performance fees for musicians, dancers, refreshments, art supplies (teens will be given a say in what kinds of activities would best represent their culture ex. Chinese New Year dumplings, batik, henna tattoo) Celebrate! West Hartford (annual town event- booth rental, supplies) _ $425 $350 for booth rental; $75 for signs, activity supplies • Teacher - presented workshops (3 Workshops) =$1200 $400 per workshop stipend for CT- certified teacher to develop and present workshop for students. (Three separate workshops on storytelling, oral history, and curation) + Museum field trips (Summer program) (3 Fieldtrips) _ $750 Museum program fees and transportation for 12 -15 students @ $450 for CT Historical Society. $175 fee only for Noah Webster House Museum, $125 fee only for West Hartford Historical Society Walking Tour • Graduation ceremony For Summer Teen Community Historians =$650 $300 for light refreshments and $350 for gallery exhibit (signage, photos of and biographies of interviewees mounted, bound copies of transcripts, etc.) 4.) West Hartford Public Library: Materials and Supplies = $360 Grant Funds/ $450 Cost Share T -Shirts = $360 Grant Funds (20 @ $18 each) created by West Hartford business Fresh Ink. Shirts will be worn at special events like field trips, interviews, multicultural programs, Celebrate West Hartford Day and graduation ceremony. • Printing = $450 Cost Sharing (posters, flyers, promotional bookmarks) 6e.) Services: REFORMA OC = $3,000 Grant Funds/ $3,300 In -Kind cost-sharing. Year 3 — Conference centered around Latino Historical resources and strategies with focus on introducing library professions to the concept and practice of 4D history. 1 o9fe 11 0 (Q tobeir Grant 3.0 012 Funds In -Kind Totals 3.1 Venue 1 $300 $300 Speaker /Author Expenses (Authors fees, Transportation, 4 3.2 Lod in., etc.) (5500 ea.) $2,000 $2,000 Printing (Promotion flyers, 3.3 Handout matenalsetc.) $ 200 $200 3.4 Lunch /Beverages $ 800 $800 20B -83 PXHI &I I` A Personnel: Planning 10 hrs x $50 4.0 Committee 6 =500 $3,000 Subtotals YEAR 3 $ 3,000 $ 3,300 $6,300 6f.) Services: Project GADO = $2500 Grant Funds • Gado 2 Digitization Robots = $1500 Grant Funds 3 Gado 2 Robot Kits ($500 per kit) will be sent to each site for use by interns and volunteers for digitization "memory gathering' projects. The Gado 2 will be used as an educational tool for youth to get hands -on experience with innovative archival technologies. • Gado 2 STEM Tie -In Workshops = $1,000 Grant Funds ($500 Year 1 /$500 Year 2) 2 workshops will be developed to teach partners how to create STEM tie -in programs from the actual assembly and troubleshooting of the Gado 2. Workshop planning and implementation will take approximately 20 hours @ $50hr = $1,000 8.)Other Costs A. Conference Fees REFORMA National- San Diego March 2015 = $550 Grant Funds • 3 Regular Members REFORMA National @ $150 = $450 • 1 Student (Teen Community Historian) Members REFORMA National @ $100 $100 B. Conference Fees ALA Mid - Winter -7 members for ALA Midwinter @ $250 = $1750 Grant Funds C. Conference Fees : Conference TBD - 4 Members @ $250 = $1,000 Grant Funds D. Admission Fees: The Museum of Tolerance (Los Angeles) (Year 1 & Year 2): Admission fees, $15.00 per person for 20 Teen Community Historian (TCH) volunteers & 10 TCH interns and 5 library staff. Total $525 grant funds (Year 1) + $525 grant funds(Year 2) = $1050 grant funds http : / /www.museumoftoIerance.com /site/ c. tmL6KfNVLtH /b14865931 /k.0069 /Visit.htm F. Admission Fees: Richard Nixon Presidential Library (Yorba Linda) (Year 1 & Year 2): Admission fees, $11.95 per person for 20 TCH volunteers, 10 TCH interns and 5 library staff. Total $418.25 grant funds (Year 1) + $418.25 grant funds(Year 2) = $836.50 grant funds , ,Littp: Admission Fees: The Huntington Library and Archives (San Marino) (Year 1 & Year 2): Admission fees, $11 per person (group rate) for 20 TCH volunteers, 10 TCH interns and 5 library staff. Total $385 grant funds (Year 1) + $385 grant funds(Year 2) = $770 grant funds , http: // www. l7 untirrgton. org/ WebAssets /Temolate5 /content.asr)x ?id =302 10. Indirect Costs: The rate of 15% was used to calculate Indirect Cost using the following indirect costs base: r1- •- EXHIBIT A • Year 1 =15% of Total Grant Funded Part -Time Salary wt Benefits ($87,134) = 13,070Grant Funds • Year 2 = 15% of Total Grant Funded Part -Time Salary wt Benefits ($77,021) = 11,553 Grant Funds • Year 3 = 15% of Total Grant Funded Part -Time Salary wt Benefits ($46,087) = 6,913 Grant Funds 411MOOR N x w \ \ F-L-,._U CY \ \\ \\ \E\ o \ \ \ \ \\ \ \ \\\ F-L-,._U CY \ \\ \\ \E\ } §;Zj F-L-,._U \ ! CY \ \\ \\ \E\ \ ! w r v O a E O u 0 d 'O L N N N 1O N ■0 O 0 O m ■M■■■M■ O q i O a C y E E � m w ■M■■■ME W " Q _ WC OTO EMMEMEN m aNi N O O O ¢ � ¢ ° E Em V o ■M■■■■■ m Ea L m n � ° u a ■MEM■ME m m v o v ■mommum E > v— a m O v o m m c° t5 o o `w ■M■■■■■ � v c — a v E V ■M■E■EN ry m io m m m . 1 1-1 N I - I- 1 -I -1 I N 1M ■M■■■ a ■0 ■MMEMEN O m ■M■■■M■ O q C y E ■M■■■ME Q WC EMMEMEN O O ¢ � ¢ V ■M■■■■■ c ■M■M■■■ ■MEM■ME ■mommum ■momm■m ■M■■■■■ o ■M■■■■■ — a ■W■■■■■ ■M■E■EN ■M■■E■E ■M■■E■E ■M■■ME■ ■WE■■■■ ■M■■■■■ ■M■■ME■ ■MM00EN ■MEMMEN ■W■■■E■ ■M■■■M■ 0 ■M■■■■■ ■MENMEN ■MEMMEN ■M■■■M■ g ■M0■■■■ 0 c � w v ¢ ■M■■■■■ ■0ommom m ■M■■■■■ 7Fa v � - N a �o n r r r r ■M■■■ ■0 ■MMEMEN ■M■■■M■ ■M■■EM■ ■M■■■ME EMMEMEN ■ME■■■■ ■M■■■■■ ■M■M■■■ ■MEM■ME ■mommum ■momm■m ■M■■■■■ ■M■■■■■ ■W■■■■■ ■M■E■EN ■M■■E■E ■M■■E■E ■M■■ME■ ■WE■■■■ ■M■■■■■ ■M■■ME■ ■MM00EN ■MEMMEN ■W■■■E■ ■M■■■M■ ■M■■■■■ ■MENMEN ■MEMMEN ■M■■■M■ ■M0■■■■ ■M■■■■■ ■0ommom ■MEMMEN ■M■■■■■ GX! -e-- L C C IMLS PROGRAM INFORMATION SHEET PLEASE NOTE: Information contained within this form may be made publicly available. 1. Applicant Information a. Legal Name (5a from SF424S): Santa Ana Public Library b. Applicant D- U -N -S® Number (5f from SF424S): 1 0 1 8 1 3 1 1 5 3 2 a 7 c. Does your organization have a current SAM.GOV registration? E) Yes Q No If yes, what is the expiration date of your registration? 01/21/2015 d. Organizational Unit (if different from Legal Name): e. Organizational Unit Address Street 1 Street 2 26 Civic Center Plaza City Santa Ana County Orange State California Zip +4 /Postal Code f. Organizational Unit Type (Check One): C) Academic Library 0 Aquarium 0 Arboretum /Botanical Garden O Art Museum 0 Children's/Youth Museum ® Community College 0 Four -year College 0 General Museum* Graduate School of Library and 0 Information Science 0 Historic House /Site Historically Black College or ® University (HBCU) 0 History Museum If other please specify: Q Library Association 0 Library Consortium 0 Museum Library Museum Services 0 Organization /Association Native American Tribe /Native Hawaiian Organization 0 Natural History/Anthropology Museum 0 Nature Center Q Planetarium Q Public Library Research Library/Archives School Library or School District ® applying on behalf of a School Library or Libraries OScience /Technology Museum 0 Special Library OSpecialized Museum ** 0 State Library O State Museum Agency 0 State Museum Library 0 zoo Q Institution of higher education other than listed above 0 Other * A museum with collections representing two or more disciplines equally (e.g., art and history) **A museum with collections limited to one narrowly defined discipline (e.g., textiles, maritime, ethnic group) 1 I OMB Number 3137 -0071, Expiration date: 9/30/2015. r1- •• IMLS PROGRAM INFORMATION SHEET 2. Organizational Financial Information a. Please complete the following table for the applicant Organizational Unit for the three most recently completed fiscal years Fiscal Year Annual Operating Budget Total Revenue* Total Expenses *" Surplus or Deficit 2013 $2,901,140 $2,901,140 $2,901,140 2012 $2,614,648 $2,614,648 $2,614,648 2011 $2,495,969 $2,495,969 $2,495,969 For nonprofit tax filers, Total Revenue can be found on Line 12 of the IRS Form 990 ** For nonprofit tax filers, Total Expenses can be found on Line 18 of the IRS Form 990 b. If you had a budget surplus or deficit greater than 10% of your annual operating budget for two or more of the three i ibcei vearb usreu aoove. uieaee exuidui uro wwn isiancns ui uua aui uiw ui ueiiui ui uie uun ueiuw. N/A c. Were there any material weaknesses identified in your prior year's audit report? Q Yes (E) No Q Not applicable A material weakness is a deficiency, or combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity's financial statements will not be prevented, or detected and corrected on a timely basis. If yes, please explain. d. Has your organization had an A -133 audit in the past three years? Yes 0 No 2 1 OMB Number 3137 -0071, Expiration date: 9/30/2015. r1- •1 IMLS PROGRAM INFORMATION SHEET 3. Grant Program Information a. Laura Bush 215` Century Librarian Program Select one funding category: 0 Project Grant 0 Collaborative Planning Grant C) National Forum Planning Grant Select one project category: 0 Masters -level Programs 0 Doctoral -level Programs 0 Early Career Development 0 Continuing Education C Programs to Build Institutional Capacity 0 Research b. National Leadership Grants for Libraries Select one funding category. ED Project Grant 0 Collaborative Planning Grant 0 National Forum Planning Grant Select one project category: 0 Advancing Digital Resources Demonstration 0 Research d. Sparks! Ignition Grants Select one: 0 Museum 0 Library e. Museums for America Select one project category: 0 Learning Experiences 0 Community Anchors 0 Collections Stewardship Select one: IMLS funds requested total $25,000 or less with no 0 applicant cost share. IMLS funds requested total more than $25,000 with applicant cost share. f. National Leadership Grants for Museums Select one project category: 0 Learning Experiences 0 Community Anchors Collections Stewardship g. 0 Museum Grants for African American History and Culture c. Native American /Native Hawaiian Library Services h. Native American /Native Hawaiian Select one funding category: Museum Services 0 Basic Grant Only 0 Basic Grant with Education /Assessment Option 0 Enhancement Grant C) Native Hawaiian Library Services 4. Please check this box if your project addresses STEM goals 5. Funding Request Information a. IMLS funds requested: $495,550 b. Cost share amount: $818,749 6. Project Subject Area Please select the subject area(s) addressed by the proposed project 0 21s Century Skills Q Digital Literacy ❑ Afterschool /Out -of- School ❑ Disaster Preparedness ❑ Accessibility ❑ Early Learning ❑ Broadband ❑ Economic /Community Development 0 Civic Engagement ❑ Education Support 0 Community Engagement ❑ Environment and Energy 0 Collections Care /Preservation ❑ Global Awareness 0 Cultural Heritage /Sustainability ❑ Health and Wellness If other, please specify: 3 101 Number 3137 -0071, Expiration date: 9/30/2015. 20B -91 0 Information Infrastructure /Systems /Workflows Z Learning Tools and Interactives 0 Lifelong Learning ❑� Intergenerational 0 STEM (Science, Technology, Engineering, Math) ❑✓ Workforce Development/Job Assistance ❑ Other IMLS PROGRAM INFORMATION SHEET 7. Population Served Please select the population(s) served by the proposed project: ❑ General Population ❑✓ Museum and /or Library Professionals ❑ Early Childhood /Preschool (0 -5 years) (] Native Americans /Native Hawaiians /Alaskans Native ❑ Middle Childhood /Primary School (6 -12 years) ❑ People with Mental or Physical Challenges /Disabilities ✓❑ Adolescents /High School (13 -19 years) ❑✓ People who are Low Income /Economically Disadvantaged ✓❑ Adults ❑✓ Rural Populations ✓❑ Aging, Elderly, Senior Citizens (65+ years) ❑ Scholars /Researchers ❑ Ethnic or Racial Minority Populations other than ❑ Unemployed Native Americans /Native Hawaiians 0 Urban Populations ❑✓ Families /Intergene rational ❑ Other ❑✓ Immigrants /Refugees ❑ Military Families If other, please specify: 8. Museum Profile (Museum Applicants Only) a. Is the institution either a unit of state or local government or a private not - for - profit organization that has tax - exempt status under the Internal Revenue Code and that is organized on a Q Yes 0 No permanent basis for essentially educational or aesthetic purposes? b. Does the institution own or use tangible objects, whether animate or inanimate? 0 Yes 0 No c. Does the institution care for tangible objects, whether animate or inanimate? 0 Yes Q No d. Are these objects exhibited by the institution to the general public on a regular basis through 0 Yes 0 No facilities the institution owns or operates? e. Is the institution open and exhibiting tangible objects to the general public at least 120 days a Yes Q No year through facilities the institution owns or operates? f. Institution's attendance for the 12 -month period prior to the application On -site: Off -site: g. Year the institution was first open and exhibiting to the public: h. Total number of days the institution was open to the public for the 12 -month period prior to application: 77 i. Does the institution employ at least one professional staff member, or the full -time equivalent, whether paid or unpaid, who is primarily engaged in the acquisition, care, or exhibition to the 0 Yes C) No public of tangible objects owned or used by the institution? j. Number of full -time paid institution staff: FFM k. Number of full -time unpaid institution staff: I. Number of part-time paid institution staff: m. Number of part-time unpaid institution staff: 4 1 OMB Number 3137 -0071, Expiration date: 9/30/2015. 20B -92 IMLS PROGRAM INFORMATION SHEET 9. Project Elements (Museums for America and National Leadership Grants for Museums Applicants Only) Your response to this question will help us match your application to reviewers with appropriate experience. Begin by choosing the project category that you selected in Question 3 (Grant Program Information). LEARNING EXPERIENCES If you are applying in the Learning Experiences Project Category, select the primary element that is core to your proposed project from the list below. Check only one. 0 Adult Programs /Lifelong Learning 0 K -12 Programs — Out of School 0 Early Learning Q Professional Development/Training 0 Exhibitions C) Public Programs 0 Family Programs 0 Social Media 0 Gallery Technology Q Software Applications 0 Interpretation 0 Website Development 0 K -12 Programs with Schools 0 Other If other, please specify: COMMUNITY ANCHORS If you are applying in the Community Anchors Project Category, select the primary element that is core to your proposed project from the list below. Check only one. Q Audience Development Q Professional Training Q Audience Evaluation Q Social Media Q Civic Engagement/Community Outreach 0 Technology Systems, Upgrades and Planning C Community Needs Assessment 0 Visitor Experience C Education and Public Programs Q Other 0 Digital Media Tools 0 Organizational Development /Capacity Building If other, please specify: COLLECTIONS STEWARDSHIP If you are applying in the Collections Stewardship Project Category, select the primary element that is core to your proposed project from the list below. Check only one. 0 Collections Management — Cataloguing, Inventorying, 0 Conservation — Treatment Registration Information Management — Database Management, Computerization of Collection Records 0 Collections Planning /Policy Development o Conservation — Environmental Improvement /Rehousing 0 Conservation — Survey If other, please specify: Types of Material 0 Research 0 Other For conservation projects only. Please identify the material type(s) that will be primarily affected by your project ❑ Animals, living ❑ Photographic Materials ❑ Animals, preserved ❑ Plants, living ❑ Architecture ❑ Plants, preserved ❑ Books and Paper ❑ Sculpture ❑ Electronic Media ❑ Textiles ❑ Objects ❑ Wooden Artifacts ❑ Paintings 5 1 OMB Number 3137 -0071, Expiration date: 9/30/2015. 20B -93 DIGITAL CONTENT SUPPLEMENTARY INFORMATION FORM Instructions: This form is required as part of grant applications to the Institute of Museum and Library Services that include activities that create certain types of digital content, such as online collections or databases, metadata, new software tools or electronic systems, or digital research datasets. Your responses to the questions on this form are used by IMLS staff and by expert peer reviewers to better understand technical aspects of your proposed work. Please consult the relevant program guidelines for further instructions on when this form should be included as part of your application. If you need more space for your response, you may append additional pages as part of the single PDF that you upload with your grant proposal through Grants.gov. Please indicate which of the following digital products you will create or collect during your project. (Check all that apply): If your project will create or collect ... Then you should complete ... Born - digital, existing digital, or to -be- digitized content Part I _ New software tools or electronic systems such as databases Part 11 A digital research dataset Part III PART I. Projects Creating Digital Content A. Selection Methodology A.t Describe how you will select non - digital materials for digitization. As a community memory project, Memories of Migration is focused on "User Generated Content" (UGC), in addition to select collection holding at partner institutions. The content that is selected for the project will be related to participants stories of human migration. The project will prioritize the collection of audio and visual material from immigrant communities in Santa Ana CA, Queens NY, West Hartford CT, and the rural parts of the State of New Mexico. Materials needing to be scanned will use a Project GADO scanning robot to assist with the digitization of photo collections. Individual decisions for selecting materials will be made at the discretion of the site supervisor. A.2 Describe how you will select born - digital or existing digital content for your project collection. larly, only content related to human migration in some way will be contributed. The four library sites will work community partners to identify material in local collections that cover the topic of migration in the United States. tional born digital materials will be created by partner sites during their programs including photographs and o recordings collected by participants. 3. IMLS Digital Content Supplementary Information Form I+1- •- B. Converting Non - Digital Materials to Digital Format 8.1 List the types and formats of materials to be digitized and the quantity of each type. Isting photographs, diaries, and other written materials will be scanned according to the needs and discoveries of ch location. Each library site is expected to collect and digitize 500 -800 images for a total of between 2,000 -3,20C B.2 List the equipment and software that you will use to digitize each of these formats or the name of the digitization services provider who will perform the work. of the four library sites will include 1- GADO 2 digitization robot with a Epson Perfection V750 Pro or Epson VS scanner for high resolution TIFF scans of at least 600 DPI. The Epson Scan version 3.9.2OUS will run through an source Project GADO scanning wizard that will use an IPVEO — Ziggi HD webcam to take picture of the back of scanned image. Material will be edited using Picasa software for alignment, cropping, and batch description. assembly, installation, and trouble shooting of the Project GADO robot will encourage the scanning of robust -rials during the initial implementation period. Once the machine is fully operational, more sensitive photographic trial may be scanned as well. B.3 List the digital file formats (e.g., TIFF, JPEG, MPEG) that you will produce during the digitization work and the anticipated quality standards for each file format (e.g., resolution, bit - depth, color /grayscale, pixel dimensions, sampling rate). workflow process for the creation of digital photographs will include both TIFF and JPEG file formats for servation and access purposes. The TIFF files will be used for long term preservation needs at a DPI of 600 with 24- color and zero Color /BW compression. The JPEG files will be used to upload the images onto Historypin. These files also be hi- resolution files of at least 600 DPI with a 24 bit -color standard. are saving our audio files according to the recommendations of the ARSC standards found here: content gathered during the project will be saved at a 961<Hz sample rate with 24 bits per channel as an B.4 If different digital versions of content will be created during the digitization process (e.g., preservation master, access copy, thumbnail) list the type, format, and number of each version. Memories of Migration will work with each of the site partners to identify the best process by which at least 3 versio of User Generated Content can be created and saved. The process is to include at least "Preservation Copy 1," "Preservation Copy 2" (in a separate location), and an "Access Copy' (compressed file format). The project will work with the participating partners to create and implement a step by step guide to be used in the final iteration of the "jumpkit" with the intent of permanent retention by each participating institution and the Internet Archive. Photographic preservation copies will be in the form of TIFF files while access copies will be converted to JPEGs. Audio content will be saved as WAV file for preservation copies and as a To- Be- Determined file type for access copies. 2 IMLS Digital Content Supplementary Information Form 20B -95 C. Repurposing Existing Digital Content or Creating New Digital Content CA List the types and formats of born - digital or existing digital content that you will create or repurpose and the quantity of each. Born digital material will come in the form of1PEGs from photographs, WAV files from interviews. We expect to at least audio 100 interviews during the process along with a total of 800 born digital images during the project. C.2 If you will be creating new born - digital content or converting existing digital content to new formats, list the equipment and software that you will use to create each of these formats or the name of the services provider who will perform the work. Equipment used to create new born digital material includes Zoom H6 Handy Recorders, Systems Sense 3D scanners, Epson Workforce DS 50000 Document scanners, and Canon DSLR cameras. The software being used will include Epson Scan software, Sense software, and Picasa for minor edits. . C.3 If you will be converting existing digital content to new formats, list the new digital file formats and relevant information on the anticipated quality standards (e.g., sampling rate, pixel dimensions). do not anticipate converting large amounts of digital materials into another format. Most of the User Generated tent will either be born digital or converted from an analog source. C.4 If different versions of digital content will be created during the conversion or re- purposing process (e.g., 'eservavon master, access copy, murrona), Ilsi Ine type, rormat, ana numuer or eacn different version. Memories of Migration will work with each of the site partners to identify the best process by which at least 3 versic of User Generated Content can be created and saved. The process is to include at least "Preservation Copy 1," "Preservation Copy 2" (in a separate location), and an "Access Copy" (compressed file format). The project will work with the participating partners to create and implement a step by step guide to be used in the final iteration of the "jumpkit" with the intent of permanent retention by each participating institution and the Internet Archive. Photographic preservation copies will be converted to TIFF files while access copies will be left as JPEGs. Audio content will be saved as WAV file for preservation copies and as a To -Be- Determined file type for access copies. 3 IMLS Digital Content Supplementary Information Form r1- • D. Digital Workflow and Asset Maintenance /Preservation DA Describe your quality control plan. !mories of Migration will use a set of minimal requirement guidelines for all incoming material. Site supervisors will responsible for checking material submitted by their institution. The Project director and technical advisors will ign staff to oversee the final inclusion of material for access and preservation. e Project Directors and partnership sites will work with the technical advisors to create and implement a quality gtrol process for inclusion in the jumpkits. Historypins' Project Supervisor will work with their developers and Chief chnology Officer to help develop a process to simplify the intake of new material for future users. D.2 Describe your plan for preserving and maintaining digital assets during and after the grant period (e.g., storage systems, data standards, technical documentation, migration planning, commitment of organizational funding for these purposes). e preservation and maintenance of our digital assets falls into 2 distinct phases. The First Active Phase includes the ie frame in which the grant is active while the Second Post Phase is the period after the grant has been completed. ring the Active Phase of the project staff will store digital assets according to pre - established workflow patterns at ch library location. The Santa Ana Public Library maintains its digital material on an internal server maintained by y IT staff. There is a backed up mirror copy that can be used in case of an emergency. Additional copies of the digital ;ets are saved on external hard drives located in the Santa Ana History Room (SAHR) Archive. Digital Materials are red as preservation copies of TIFF, WAV, and MTS files. Migration of materials occurs every 5 years in conjunction th the creation of a city wide 5 year strategic survey and is part of general work duties of the SAHR archive. No ditional funding is necessary. Similar processes are in effect at the 3 other locations and will remain part of the E. Metadata EA Describe how you will produce metadata (e.g., technical, descriptive, administrative, preservation). Specify which standards you will use for the metadata structure (e.g., MARC, Dublin Core, Encoded Archival Description, PBCore, PREMIS) and metadata content (e.g., thesauri). UGC, simple metadata will be created during the ingestion process, using simple fields that can be mapped to lin Core, or the Europeana Data Model. ;t staff will look to ways to adapt the recommendations of The Smithsonian's Embedded Metadata Working into the eventual jumpkit workflow process. Their guidelines will serve as a starting point for the discussion of lata requirements that will be utilized during the project. More information can be found here: / www.digitizationguidelines.gov / guidelines /GuldelinesEmbeddedMetadata.pdf UGC will not utilize a controlled vocabulary but will rather emphasize the use of user created folksonomies to 4 IMLS Digital Content Supplementary Information Form 20B -97 E.2 Describe how you will use metadata to enhance the management, discovery, and use of your digital content. Metadata will be indexed and will be searchable through the project interface, and will optimized with microformats to enable Search Engine Optimization and contextualization. E.3 Explain your strategy for preserving and maintaining metadata created and /or collected during your project, during and after the grant period. All metadata will be hosted on the Historypin website indefinitely. The metadata created by each of the four local partners will be stored as part of their collections and it will also be permanently stored at the Internet Archive. Metadata on Historypin is regularly indexed and will continue to be after the grant period. EA Explain what metadata- sharing and /or other strategies you will use to facilitate widespread discovery and use of the digital content created or repurposed during your project (e.g., an Advanced Programming Interface or other support to allow batch queries and retrieval of metadata). I metadata on Historypin is available as open data, with a CCO license. As noted above, it will be optimized with icroformats for Search Engine Optimization. We are scheduled to have an API available for metadata access in 2015. 5 1 IMLS Digital Content Supplementary Information Form r1- •• F. Copyright and Intellectual Property Rights F.1 Explain the current copyright or intellectual property status of the content you intend to digitize, create, or repurpose. Describe the quantity or percentage of materials that are in the public domain and /or have restrictions that will require you to obtain permissions. If you have already obtained permission to use and provide public access to materials under copyright or other restrictions, provide the quantity of such materials, and the documentation you possess granting such permissions. Content that is contributed to the Memories of Migration program will be licensed with open licenses, either CC BY -SA, CC BY, or CCO depending on user selection. We estimate that 85% of content will fall into this category. Previously digitized content can be contributed to the project from partner institutions which may be repurposed for this project can be added with more restrictive licenses depending on how other institutions have made them available. We estimate these items at 5 -10 %. Finally, previously digitized photos in the public domain may also be contributed, and we estimate the number of items at 5 -10% F.2 If you will need to obtain permissions during your project, describe the process you will use to request and obtain them. When individuals upload content to the Memories of Migration project site on Historypin, they'll be required to choose a license, but will only have the option of CC BY -5A, CC BY, CCO and Public Domain with a short description. If photos are being scanned at a pinning event, they will sign a waiver that assigns the appropriate license of their choosing, but nothing more restrictive than CC BY -SA. Their assets will remain their property unless they are deeded to the participating library or organization, in which case they will follow the protocol of the particular library with forms such as a deed of gift. F.3 Are there any materials you will be digitizing, creating, or repurposing that may raise privacy concerns? If so, what is your plan for addressing them? will be very clear that all content contributed to this project is for public use. We have posted an industry idard take -down policy for any content that violates privacy or copyright. 6 1 IMLS Digital Content Supplementary Information Form rI- T F.4 If your project will include online users or others outside your organization contributing metadata, social media comments, or other content to your digital resources, describe your plan to obtain releases or permissions from these content contributors. What rights and permissions will you require such contributors to transfer to your organization? s described above, the vast majority of the content will be UGC, and the content owners can choose their license on ie content contributed to the project, though there will be a limited choice of options (CC BY -SA, CC BY, CCO, or ublic Domain). The assets themselves will in most cases not be granted to partner institutions. G. Access And Use GA Describe how you will make the digital content available to the public. Include details such as the delivery strategy (e.g., openly available online, available to specified audiences) and underlying hardware /software platforms and infrastructure (e.g., specific digital repository software or leased services, accessibility via standard web browsers, requirements for special software tools in order to use the content). Digital content from Memories of Migration will be made freely available to the public as a project site on Historypin.com, a non - profit project of We Are What We Do. The site is accessible with all standard Internet browsers and for mobile users using Android and Apple mobile devices. IMLS Digital Content Supplementary Information Form 20B -100 G.2 We expect applicants to make federally funded work products widely available and usable through strategies such as publishing in openly accessible journals, depositing works in openly accessible repositories, and using non - restrictive licenses such as the "CC Zero — No Rights Reserved" that dedicate digital content to the public domain. What ownership rights will your organization assert over the new digital content, and what conditions will you impose on access and use? Explain any terms of access and conditions of use, why they are justifiable, and how you will notify potential users of the digital resources. Content that is contributed to the Memories of Migration program will be licensed with open licenses, either CC BY -SA, CC BY, or CCO depending on user selection. G.3 Provide URL(s) for any examples of previous digital collections or content your organization has created. http://www.historypin.com/ http: / /www. h i storypi n. com /channels /view /10504#! ma p /index / #! /geo :33.739341,- 117.871681/zoom:14/ Part 11. Projects Creating Software Tools and Electronic Systems A. General Information A.1 Describe the software tool or electronic system you intend to create, including a summary of the major functions it will perform and the intended primary audience(s) the system or tool will serve. 8 IMLS Digital Content Supplementary Information Form 20B -101 A.2 List other existing digital tools that wholly or partially perform the same functions, and explain how the tool or system you will create is different. B. Technical Information B.1 List the programming languages, platforms, software, or other applications you will use to create your new digital content. B.2 Describe how the intended software or system will extend or interoperate with other existing software applications or systems. B.3 Describe any underlying additional software or system dependencies necessary to run the new software or system you will create. 9 1 IMLS Digital Content Supplementary Information Form 20B -102 BA Describe the processes you will use for development documentation and for maintaining and updating technical documentation for users of the software or system. B.5 Provide URL(s) for examples of any previous software tools or systems your organization has created. C. Access and Use CA We expect applicants seeking federal funds for software or system development to develop and release at least a beta version of these products as open- source software. What ownership rights will your organization assert over the new software or system, and what conditions will you impose on the access and use of this product? Explain any terms of access and conditions of use, why these terms or conditions are justifiable, and how you will notify potential users of the software or system. C.2 Describe how you will make the software or system available to the public and /or its intended users. 10 I MILS Digital Content Supplementary Information Form 20B -103 Part III. Projects Creating Digital Research Data (Data Management Planning) We expect exemplary management and sharing of research data. The purpose of this part of the form is to help us understand your research practices and plans for management of data that will be generated through your project. Please address each question that applies to your proposed project. 1. Summarize the intended purpose of the research, the type of data to be collected or generated, the approximate dates when the data will be generated or collected, and the anticipated volume of data. 2. Does the proposed research activity generating the dataset(s) require approval by any internal or institutional review panel? If so, has the proposed research activity already been approved? If not, what is your plan for securing approval? 3. Will you collect any confidential or private information about individuals (e.g., names, contact information, health status) or proprietary information about organizations? If so, detail the specific steps you will take to protect such information while you prepare the research data files for public release. 11 IMLS Digital Content Supplementary Information Form 20B -104 4. If you will collect additional documentation such as consent agreements or signed certifications along with the data, describe plans for preserving the documentation and ensuring that its relationship to the collected data is maintained. 5. How will you manage intellectual property interests related to the dataset(s)? Who will claim ownership of the intellectual property rights related to the dataset(s)? How will those claims of ownership be communicated to others? 6. Which technologies, instruments, or tools will you use to collect or generate the data? Provide details about hardware or software; electronic formats for data capture or storage; standards or local practices for data content and encoding; controlled vocabularies or other mechanisms for data normalization and consistency; and any other relevant technical requirements or dependencies for understanding, retrieving, displaying, or processing the dataset(s). If the data will be encrypted at any point in its active or inactive life, explain the reasons for choosing to encrypt the data and how the decryption key will be stored, protected, and made available if necessary. 12 1 IMLS Digital Content Supplementary Information Form 20B -105 7. What metadata will you capture or create along with the dataset(s)? What standards or schema will you use to express the metadata? Where will the metadata be stored, and in what format(s)? How will you permanently associate and manage the metadata with the dataset(s) it describes? 8. During the research project, where will the data and metadata be stored and on what type of media? Who will have access to the data and /or copies of the data during the project? How many backup copies will you maintain during the project, and how frequently will you refresh the backup copies? Who will be responsible for data backup? Where will you store the backup copies of the data and metadata during the project? 9. Once the research project is completed, what is the long -term plan for archiving, managing, and making the metadata and dataset(s) available? What steps will you take to prepare the data for sharing (e.g., labeling missing data, standardizing measures statistical disclosure limitation methods)? 3,3 IMLS Digital Content Supplementary Information Form 20B -106 10. Identify where you will be depositing research dataset(s) and metadata into: a) an institutional repository: Name URL: b) a subject specific research community digital repository: Name I URL: c) or some other publicly accessible repository: Name I URL: Does this repository enforce any access restrictions? OYes (If yes, describe.) or o No If so, how will they be mitigated to allow the public free access to these data? Detail the experience this repository has in managing research datasets and metadata with similar attributes? What preservation and backup procedures does this repository use? 11. When and how frequently will you review this data management plan? How will the implementation be monitored? 3,4 IMLS Digital Content Supplementary Information Form 20B -107 EXIBIT C Organizationa8 Profile In 1891 the City of Santa Ana established its public library. The system expanded over the years to include a 1903 Carnegie library and 3 branch locations. In 1961 the Carnegie library was replaced with by a larger central library at 26 Civic Center Plaza. This location has served as the central library ever since. The library informally adopted its mission statement in the mid - nineties: to respond to our community's informational, educational, and personal interest needs using books, materials, technology, and professional expertise. Most recently, the Santa Ana Public Library became a division of the Parks and Recreation Department and began to bring library programming services into recreation centers around the city. The City of Santa Ana has a population of 329,915, residing in an area of 27.2 square miles in the center of Orange County, California. Despite being the county seat and the home of Orange County's State, Federal and County government venues, its population is largely composed of immigrants and children of immigrants. Most are from Spanish speaking countries (78.2 %), or from Asia (8.7 %), and 60 percent of their children enrolled in Santa Ana schools are English learners. It is also among the youngest large cities in the nation, with a median age of 29.1. Our programming is divided into four functional areas: Youth, Young Adult, and Adult Services, and Technology and Support. Technology and Support, in addition to its traditional library functions, is responsible for management of and creating content for the City TV Channel 3. Young Adult Services provides an average of 45 specialized programs on a weekly basis during the school -year and an average of 100 programs during the summer months, all aimed at the overall development of Middle School, High School, and Transition Age/ College students. Young Adult Services also maintains the Santa Ana History Room, which collects and makes available to the public materials on Santa Ana history. It has pursued this goal since its founding in 1975. In 2001, an evaluation of the collection revealed a lack of materials on the growing Latino and Asian populations of the City. Since that time, the SAHR has pursued such information aggressively. In 2011, the SAHR began to cultivate the interest in and knowledge of history in young adults, creating the Teen Community Historians, who became the first Santa Ana teens in a decade to participate in the National History Day competition, and have since been instrumental in collecting oral histories for innovative CalHum and LSTA grants. The library received and successfully completed a 3 -year, $636,000 Laura Bush 21" Century Librarian Grant. Additionally, it has received for three successive years a WIA grant providing $160,00 each year for training and employing at -risk teens in digital media. These reflect one of the library's ongoing concerns: the process of bringing to our community the benefits of the technological revolution. This process began in earnest in 2001, when the History Room received an IMLS Digitization Grant that enabled staff to digitize, index, and make available online some 2000 historical photos from its extensive collection. This process has continued with the assistance of the Teen Community Historians, who have been digitizing photos from the History Room's most important collections, including nearly 2000 from the archive of a pioneering Latino family, and several hundred from the collection of the Santa Ana Zoo. 20B -108 EXHIBIT C Abstract: Memories of Migration In diverse communities with rapidly changing demographics, libraries are at a cultural nexus, and also one of the core providers of free services: safe afterschool space, Internet access, movie rentals, English lessons, pathways to citizenship, and native language literature lending. Memories of Migration compliments and celebrates the vital role that libraries play in the lives of immigrant families and invites community members to share their cultural heritage and play an active part in contributing to their own story of history and our ongoing national story of migration. Lead by the Santa Ana Public Library and Webby -award winning non - profit Historypin project, Memories of Migration is a three -year, library -based community memory program that builds community connections and cultural heritage collections around the shared stories of human migration in America. The program will serve public libraries with meaningful programs and enrichment activities that meet the following goals: • provide new immigrant communities a participatory voice in library collections and events (supporting IMLS Strategic Goal 1, "preparing people to be full participants in their local communities and our global society ") increase digital literacy and provide learning in Science, Technology, Engineering & Math (STEM) to new immigrant teens and young adults through digital training in new media and digitization technologies (supporting IMLS Strategic Goal #3, "promoting the use of technology to facilitate discovery of knowledge and cultural heritage ") • make libraries an anchor of intergenerational and intercultural dialogue on both a local and national level. (supporting IMLS Strategic Goal #2, "promoting libraries as strong community anchors that enhance civic engagement and cultural opportunities ") Studies show that collaborative cultural programs like this one are creating stronger communities and reducing implicit prejudice, while teens and young adults are getting technical training and local historical archives are enriching and diversifying their holdings. Memories of Migration takes a set of four existing early pilots to scale with partners including Queens Library in New York, West Hartford Public Library in Connecticut, a statewide initiative with the New Mexico Department of Cultural Affairs and New Mexico Highland University in local and tribal libraries in New Mexico, in addition to the Santa Ana Public Library in California. Memories of Migration will deliverthree primary tools through the course of the program: • A publicly accessible and free to use digital platform with specially branded Memories of Migration project on Historypin. The website will highlight compelling stories, enable curation, and invite community contributions from institutional partners and the public alike. • A "Jumpkit" that will be delivered to the four Model Program partners and will include training guidelines, curriculum for Teen Community Historians, event templates, data workflow suggestions, and parts /instruction /curriculum for a robotic digitization kit by Project Gado. • A complete Memories of Migration Getting Started Guide that will be available digitally for free and will be widely disseminated to libraries, allowing hundreds of libraries and community organizations to run their own local program 20B -109 EXHIBIT D January 30, 2014 Cheryl Eberly Principal Librarian Young Adult/ Volunteer Services Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 Dear Ms. Eberly, 71 St John Street London EC11A 4Nf Tel: +44 (0) 20 7148 7666 U5: 415935 -4701 www, wearewh atw edo. org I'm writing to express our support for the Memories of Migration project, proposed by Santa Ana Public Library, which we will provide technical development and design support for. We Are What We Do (WAWWD) is a non - profit organization started in the east of London in 2003, and consists of a UK registered Community Interest Company (05241856), a Charitable Foundation (1134546), and a California not - for - profit corporation with IRS 501(c)3 tax exemption status. The Historypin project started in 2009 and we have 5 full time employees dedicated to the project, in addition to support from our digital development team and creative team. We understand that We Are What We Do /Historypin will create the technical framework and digital engagement strategy to support Memories of Migration, working closely with the Santa Ana team and regional projects. There will be a specially designed Memories of Migration website that will utilize the Historypin framework. Metadata for all User Generated Content (UGC) will be available with an open license (specifically CCO, CC 8Y, or CC 8Y -SA), and the content itself will also be openly licensed (CCO, CC 8Y, or CC BY-SA), The collection of UGC will be managed through the Historypin platform. Critical to the success of the project is a comprehensive workflow for content collection from collection sessions. Content and metadata will result in content appearing on Historypin, highlighted in the Memories of Migrations project, and entered into the appropriate local library content management system. Additionally, all content related to the project will be contributed to the Internet Archive for long -term preservation. Website hosting and redundancy will be assumed by Historypin for the duration of the project. WAWWD Director of Evaluation Kathleen Collett will work closely with the Santa Ana Public team to implement the evaluation plan designed to collect and aggregate information from all of the participating Model Program partners. Specifically, we will support the program through the following Description of Work, milestones, and program deliverables: Description of Work The work defined in this work package is defined in the following tasks: Task 1.1. Propose a framework for copyright and legal agreements for all partners and contributors. Task 1.2. Create a dual digital preservation workflow that will accommodate archiving and cataloging by local institutions as well as for the project as a whole on Internet Archive. Page 1 of 3 We Are What We Do / Memories of Migration 20B -110 EXIBIT D Task 1.3, Create Memories of Migration Project on Historypin, including custom design and some translation elements. Task 1.4. Provide 2 iterations of website and Jumpkit design Task 7.1. Recruitment of Advisory Panel Task 7.2. Creation and integration of evaluation framework, tracking and consolidating evaluation responses from Model Program Work Packages Task 7.4. Evaluation report with two installments, the first following the first iteration of the summer programs, and the final report. Milestones and Deliverables D1.1 Digital Preservation Workflow Plan Month4 M1.1 Final Memories of Migration site design 8 M1.2 Soft launch of Memories of Migration project 10 site D1.2 Public launch of Memories of Migration 12 project D1.3 Mechanism to provide archival content to 14 local partners and Internet Archive M7.3 Present draft evaluation framework, including 5 measurement and reporting guidelines, for approval by all partners D7.1 Evaluation report from first iteration 18 programs D7.2 Final evaluation report 34 The following will serve as the key staff members responsible for the delivery and execution of the program: Jon Voss, Historypin Strategic Partnership Director. Project management and coordination. • Kate Ferrier, Senior Designer. User interface design for digital projects and graphic design for print packages. • Kathleen Collett, Research and Evaluation Director. Working with Santa Ana Public Library on creation of evaluation framework and evaluation analysis and reporting. • Developer 1, TBD. Digital project creation. Developer 2, TED, Digital project creation. • Konstantin Dankov, Digital Director. Coordinating development team with needs and requirements of clients and design team. • Alex Stanhope, Chief Technology Officer. Oversight of development resources, data import /exports and data workflow. • Project Officer, tbd. Input on community engagement materials and design. Should the Santa Ana Public Library receive the National Leadership Grant for Libraries as proposed, We Are What We Do will receive $120,671 for the delivery of the above Description Page 2 of 3 We Are What We Do! Memories of Migration 20B -111 EXIBIT D of Work, and will comply with the terms of the grant and all applicable federal laws, regulations, and requirements. We will also be contributing $109,070in cost share to the Memories of Migration program. Our cost sharing portion of the program will be incurred during the grant period, will not include any federal funds, and are detailed in the Budget Justification section of the grant proposal. We will participate in at least two meetings with all of the partners, either in person with one representative from the We Are What We Do, or via conference call. These meetings are tentatively scheduled for February and October 2015. All expenses for travel to project organizing meetings will be paid directly or reimbursed by the Santa Ana Public Library as part of the grant. We look forward to the opportunity to work with the amazing team assembled for Memories of Migration. Sincerely, / /7 Jon Voss Historypin Strategic Partnerships Director Page 3 of 3 We Are What We Do / Memories of Migration 20B -112 SUSANA MARTINEZ GOVERNOR ADMINISTRATIVE SCRVIC:ES ARCHAEOLOGY rARM & RANCI -I ITMIT'AGE MUSEUM HISTCONC PKESEltVMON MUSELIM OF INDIAN ARTS &. CULTURE /LABORAT(..)RY oi: ANTI IROPOL.OGY MUSEIIM19 Or INTE101ATIONAL FOLK ART MUSEUM RE.sou RcE'S NATIONAL HISPANIC CULTURAL CENTER NEW MEXICO ARTS NEW MEMCO 11 ISTONC SI'rFs NFW MEXK- -O H[ST'OIt'Y M(ACUM/ PALACE OF THEi GavFF(MoRs N8W MEXICO MUSEUM Of ARF NEW FAF'.XICQ' MUSi:UNt OF NATURAL. HISTORY &. SCIENCE NEW MEMCO MUSEUM OI SPACE HISTORY NFw MEXII;rl STATE l.(f11LAIlY EXIBI I' D Ay °� . DEPARTMENT OF CULTURAL AFFAIRS STATE OF NEW MEXICO VERONICA N. GONZALES CABINET SECRETARY MICHAEL S. DELELLO DEPUTY CABINET SECRETARY January 31, 2014 Ms. Cheryl Eberly Principal Librarian Young Adult/ Volunteer Services Santa Ana Public Library 26 Civic Center Plaza Santa Ana, California 42701 Dear Ms. Eberly, The New Mexico Department of Cultural Affairs (DCA) is excited to partner with the Santa Ana Public Library on the Memories of Migration program being considered for an IMLS National Leadership Grant for Libraries. Created in 1978 by the New Mexico Legislature, DCA represents New Mexico's dedication to preserving and celebrating the cultural integrity and diversity of our state. The department oversees a broad range of New Mexico's arts and cultural heritage agencies. These include 15 divisions representing a variety of programs and services. DCA will support New Mexico Highlands University in the Model Program for rural outreach, with a focus on coordinating participation with a wide variety of cultural heritage institutions statewide. The contributions and cost share of salaries plus fringe benefits for DCA staff members are as follows: DCA participation will be led by Ms. Miriam Roberts, Director for Media Projects ($7,493). She will be supported by Mr. David Hurley, the Bureau Chief of the Library Development Bureau under the New Mexico State Library (NMSL), a division of DCA, who will coordinate the statewide recruitment of libraries in alignment with NMSL's ongoing commitment to providing dynamic and innovative services that support and foster the growth of 10 Ciet 1, I 1 y tlA(AAN NU MOM AI. BLM. .SUIIF. 200 SANTA2019 1 -A ls, 827 W&I fAX 82'7 -4355 WWW NEWmEXICOCUOUR[. URG EXIBIT D libraries throughout the state ($4,542). Mr. Douglas Patinka, DCA Web Manager, will provide technical support for the interactive map component of the project and integrate Memories of Migration with DCA's New Mexico Cultural Atlas Initiative ($3,945). DCA is the repository of extensive collections related to New Mexico's long history of migration and immigration. In addition, the Bosque Redondo Historic Site commemorates a tragic event in history of the American West when, in 1864, the U.S. Army began to forcibly remove Navajo and Mescalero Apache people from their traditional homelands and march them hundreds of miles to the lonely outpost of Fort Sumner. The Navajo call this journey the Long Walk ( http _ / /www.nmmonu_men(s,org /bosque redondo). Many programs and exhibits under the DCA umbrella during the grant period are likely to be involved with Memories of Migration. The Museum of International Folk Art's Gallery of Conscience will be presenting Imagining Nome, an exhibition project focused on migration and immigration (February 2014 - January 2016), and the New Mexico History Museum is scheduled to open a major exhibition, Expressions of Complex Identities: Sephardic Jews, Conversos, and CryptoJews,1391 -2025, in May 2015. Both museums, as well as the National Hispanic Cultural Center, will be participating in the National Dialogues on immigration (http: /Jwwwdlaloguesoni rnmigrptio P.org/pffogra m-m, pdels). Memories of Migration complements and ties together a number of other contemporaneous statewide programs such as the Big Read in 2014 -2015 sponsored by the New Mexico Humanities Council. If funded, the program will feature the novel by Luis Alberto Urrea, Into the Beautiful North, a story about people and places along the U.S. - Mexico border that invites readers to think of the border not only as a place of conflict, but also as place of meaningful dialogue and love between cultures. All funding and cost share of DCA staff for Memories of Migration will be administered through New Mexico Highland University and are included in their budget. DCA will comply with the terms of the grant and all applicable federal laws, regulations, and requirements. We look forward to jreing part of the team working on the Memories of Migration program. rf,'r Secretary 20B -114 EXIBIT D NEW MEXICO HIGHLANDS UNIVERSITY Cheryl Eberly Principal Librarian Young Adult/ Volunteer Services Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 January 28, 2014 Dear Ms. Eberly: The faculty members, students, staff members, and administrators at New Mexico Highlands University are excited to collaborate with the Santa Ana Public Library on the Memories of Migration program, which is being considered for an IMLS National Leadership Grant for Libraries. We understand that New Mexico Highlands University will serve as one of four Model Programs. In our case, Memories of Migration In New Mexico will prototype a model for rural education and outreach to diverse communities through collaboration with a statewide network of public and tribal libraries. Interns from the AmeriCorps Cultural Technology program, working with Teen Community Historians and local librarians, will conduct "memory gathering" activities where interactive maps of migration routes will be populated with digitized images drawn from the collections of libraries, archives, museums and personal collections (e.g., diaries, memoirs, letters, oral histories, official documents, news articles, photographs, and artifacts). Funding will be used to pay stipends to interns and Teen Historians; purchase equipment for memory gathering activities and documentation (e.g., laptop, scanner, and camera); in -state travel (mileage and per diem for recruitment, training, and memory gathering programs); and materials and supplies (allocations to participating libraries to promote and conduct programs). In addition to the community memory workshops throughout New Mexico, the Department of Cultural Affairs and New Mexico Highlands University will facilitate numerous event tie -ins with the institutions across the state. These will include possible co- events with the Museum of International Folk Art, the New Mexico History Museum, the National Hispanic Cultural Center, New Mexico Humanities Council; New Mexico State Library, Las Vegas Citizens' Committee for Historic Preservation and City of Las Vegas Museum. An Exhibition Design class from the university will create a traveling exhibition to enhance community memory workshops and tie -in events. Specifically, we will support the program through the following Description of Work, milestones, and program deliverables: Description of Work Task 4.1. Collaborative design rapid prototyping with Exhibition Design Class, 20B -115 EXIBIT D Task 4.2. Recruitment and training of two AmeriCorps Cultural Technology interns. Task 4.3. Integration of Memories of Migration jumpkit into rural education and training program designed for network of public and tribal libraries. Task 4.4. Recruitment and training of Teen Community Historians, Task 4.5. Conduct events and programs throughout summer and fall. Milestones and Deliverables D4.1 Traveling exhibit prototypes presented to Historypin design team. (month 3) M4.1. Two AmeriCorps Cultural Technology interns hired. (month 4) M4.2. Summer and fall event and program strategy finalized. (month 6) M4.3. First events begin. (month 7) D4.4. Report of key findings from events, Including recommendations for other libraries; recommend improvements to content collection, cataloging, digital platform, etc.; provide summary of planning, strategy and methodology of events and programs; and provide brief summary of all events. (month 13) Miriam Langer, Professor of Media Arts at New Mexico Highlands University, will serve as the key staff member responsible for the delivery and execution of the program. Should the Santa Ana Public Library receive the National Leadership Grant for Libraries as proposed, New Mexico Highlands University will receive $39,991 for the delivery of the above Description of Work, and will comply with the terms of the grant and all applicable federal laws, regulations, and requirements. Together with our partners, we will also be contributing $52,441 in cost share to the Memories of Migration program. Our cost sharing portion of the program will be incurred during the grant period, will not include any federal funds, and are detailed in the Budget justification section of the grant proposal. We will participate In at least two meetings with all of the partners, either in person with one representative from the New Mexico Highlands University, or via conference call. These meetings are tentatively scheduled for February and October 2015. All expenses for travel to project organizing meetings will be paid directly or reimbursed by the Santa Ana Public Library as part of the grant. We look forward to working with you and your team on the Memories of Migration Program. Sincerely, Linda La Grange, PhD Associate Vice President for Academic Affairs 20B -116 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT WITH THE BUREAU OF PRISONS TO PROVIDE HOUSING FOR FEDERAL PAROLEES AND INMATES (STRATEGIC PLAN NO. 1, 4A) 6 CITY MANAfdER 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 1. Authorize the City Manager and the Clerk of the Council to execute a new three -year housing agreement with the Bureau of Prisons for jail housing services at the per diem rate of $105 per inmate, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment recognizing $200,000 in Jail Facility Rental revenue in the General Fund revenue account (no. 01114002 57460) and appropriate same to the Field Operations expenditure account (no. 01114420 - 61000). DISCUSSION The Federal Bureau of Prisons (BOP) has a need to house up to 60 inmates who have failed the pre - release residential confinement regimen or who are sentenced to less than 365 days. Rather than send these individuals back to prison, local federal parole offices would book violators or short-term sentenced inmates to the Santa Ana Jail. As a sister agency to the United States Marshals Service (USMS), BOP is authorized to emulate the existing USM's contract with the City at the negotiated per diem rate of $105. It is expected after the flux of the initial booking period, the Bureau's average daily population (ADP) will level off to approximately 30 to 40 inmates. An ADP of 30 inmates will generate $94,500 monthly, or $1,134,000 per year. This fiscal year, the Police Department is anticipating between $200,000 and $661,500, depending on the quantity and arrival date of BOP inmates. $200,000 will be recognized and appropriated this fiscal year, and the FY 2015 -16 Jail Facility Rental revenue projection will be revised to include this new revenue source. These funds will be used to support the hiring of additional full -time police officers. The agreement is effective upon the date of signature of authorized BOP officials and can be terminated by either party for any reason with the written notice of 30 calendar days in advance of termination. 20C -1 Agreement with Bureau of Prisons November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item assists the City in meeting Goal #1 Community Safety, Objective #4 (ensure a sound fiscal model for jail operations), Strategy A (modify the Santa Ana Jail business model and identify short- and long -term goals to effectively meet the needs of the community through contract negotiations with outside agencies, evaluation of staffing needs and increasing operational efficiency). FICAL IMPACT The appropriation adjustment will recognize $200,000 in Jail Facility Rental revenue in the General Fund revenue account (no. 01114002 57460) and appropriate same to the Field Operations expenditure account (no. 01114420 — 61000). Carlos Rows Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director, Finance & Mgmt. Services 20Ci-2 AGREEMENT WITH FEDERAL BUREAU OF PRISONS TO HOUSE INMATES AT THE SANTA ANA JAIL THIS AGREEMENT is entered into on November 18, 2014, by and between the Bureau of Prisons, an agency of the United States of America ( "BOP ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS: A. WHEREAS, The City and the United States Marshals entered into a Detention Services Intergovernmental Agreement ( "IGA "), Agreement #2014 -114 wherein the City agrees to house United States Marshal's prisoners and inmates pursuant to the terms set forth in the Agreement. This was an arms' length transaction duly negotiated between the two parties resulting in an exchange of services for valuable consideration. B. WHEREAS, BOP and United States Marshals are both agencies of the federal government with similar requirements for contracting. BOP now desires to enter into an Agreement to house BOP inmates under the same terms and conditions (except those specifically noted) set forth in the United States Marshal's IGA attached hereto as Exhibit "A" and incorporated herein by reference as though set forth herein in its entirety. WHEREFORE, in consideration of the covenants contained in the attached United States Marshal's IGA Agreement, and subject to all the terms and conditions of said Agreement, except those amended or added below, the parties agree as follows: 1. Section 13a. Optional Guard /Transportation Services is amended to delete the check mark in the box entitled "U.S. Courthouse" and to add a check mark in the box entitled "Other ". Next to the box "Other," "Residential Reentry Programs" is added. 2. On Page 4 of the Agreement under the section entitled "Period of Performance and Termination" the following language is deleted "USMS Prisoner Operations official" and replaced with the following language "authorized BOP official." In the same section, the following language is deleted "and remains in effect unless inactivated in writing by either party" and is replaced with the following language "and is terminated on November 1, 2017." 3. On Page 6 of the Agreement under the section entitled "Medical Services" a paragraph will be added at the end of the section which reads as follows: "In the event that a Bureau of Prison inmate is hospitalized, the City will make regular telephone calls to the hospital to determine if the inmate is at the hospital. 20C -3 `Regular' calls will mean one telephone call during each time a day that a head count is made at the Santa Ana Jail. If the City is advised by the hospital that the Bureau of Prison inmate has left the hospital, the City will notify the Bureau of Prisons contact immediately. While a Bureau of Prisons inmate is hospitalized, City will receive a rate of %: per diem per day." 4. On Page 8 of the Agreement under the section entitled "Optional Guard/Transportation Services to U.S. Courthouse' all references to "U.S. Courthouse" are replaced with "Residential Reentry Centers." In addition, a paragraph is added to this section which reads as follows: "The window for each transport from local Residential Reentry Programs will be no later than 96 hours after City receives notice of the need for transport." 5. On Page 9 of the Agreement under the section entitled "Special Notifications" the following language is deleted "The Local Government shall use all reasonable means to apprehend the escaped Federal detainee and all reasonable costs in connection therewith shall be borne by the Local Government" and replaced with the following language "The Local Government is to take no action to apprehend an escaped Federal Bureau of Prisons inmate or detainee, but shall notified the Residential Reentry Manager: Jeff Maston, Residential Reentry Manager Central and Southern Districts of California (310)732 -5178 Jmaston(d),bop.go 6. On Page 11 of the Agreement under the section entitled "Billing and Financial Services" the United States Marshals Service address and telephone number are replaced with the following: Linda Townsel Senior Contracting Officer Contract Acquisitions Branch, 320 1 st Street, Room 5005 Washington, D.C. 20534 (202)616 -5887, ltownsel i bon.eov (preferred method of contact) 7. 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. 20C -4 8. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 9. Except as hereinabove amended, all terms and conditions of said United States Marshal's IGA Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: R Laura A. Rossini Senior Assistant City Attorney CARLOS ROJAS Chief of Police FOR APPROVAL: CITY OF SANTA ANA DAVID CAVAZOS City Manager BUREAU OF PRISONS Linda Townsel Senior Contracting Officer 20C -5 EXHIBIT "A" 20C -6 A- 2014 -114 U.S. Department of Justice Detention Services United States Marshals Service Intergovernmental Agreement Prisnner Oneratinns Division Page 1 of 15 20Ci -% 1. Agreement Number 2. Effective Date 3. Facility Code(s) 4. DUNS Number 12 -94 -0006 See Block 19 OFK 083153247 S. Issuing Federal Agency 6. Local Government Santa Ana Jail United States Marshals Service 62 Civic Center Plaza (M -88) Prisoner Operations Division 2604 Jefferson Davis Highway Santa Ana, CA 92702 Alexandria, VA 22301 -1025 Tax ID #: 95- 6000785 7. Appropriation Data 8. Local Contact Person 15- 1020/X Ann Matulin 9. Telephone: (714) 245 -8120 Fax: (714) 245 -8116 Email: amatulin @santa- ana.or yy—, Y'VY. eY Ser +i vices :III Estimated Number of Federal Pe�fD em a 10. This agreement is for the housing, safekeeping, 11. 12. and subsistence of Federal detainees, in accordance with content set forth herein. Male: 416 Female: 96 $105.00 Total: 13a. Optional Guard /Transportation Services to: 14. ❑ Medical Facility ❑ Other Guard /Transportatlon Hourly Rate: $36.00 ® U.S. Courthouse ❑ JPATS 131b. ❑ Department of Labor Wage Determination 15. Local Government Certification 16. Signature of Person Authorized to Sign (Local) To the best of my knowledge and belief, information SEE ATTACHED SIGNATURE PAGE submitted in support of this agreement is true and correct. This document has been duly authorized by Signature the governing authorities of their applying SEE ATTACHED SIGNATURE PAGE Department or Agency State or County Government and therefore agree to comply with all provisions set Print Name forth herein this document. SEE ATTACHED SIGNATURE PAGE Title Date 17.Federal Detainee 18. Other Authorized 19. Signature of Person Authorized to Sign (Federal) Type Authorized Agency User ® Adult Male ❑ BOP Signature ® Adult Female El Juvenile Male ❑ ICE Aisha Ogburn Print Name ❑ Juvenile Female Grants Specialist Title Date Page 1 of 15 20Ci -% Agreement Number 12 -94 -0006 ATTEST: M.r�UT_ MARIA HUTZR AR Clerk of the Cou cil APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By::�I Laura A. Rossini , YAssistant City Attorney RECOMMENDED FOR APPROVAL: a6�1 .1 J Carlos Rojas Chief of Police C+F!i�iil,��_T►� I►aT_1►�e1 DAVID CAVAZOS City Manager Page 2 of 15 20C -8 Local Government (initial): Federal Government (initial): Agreement Number 12 -94 -0006 Authority.............................................................................. ............................... 4 Purpose of Agreement and Security Provided ............................. ..............................4 Period of Performance and Termination ..................................... ..............................4 Assignment and Outsourcing of Jail Operations .......................... ............................... 5 MedicalServices .................................................................... ............................... 5 AffordableCare Act... ...................................................................... ..................... 6 Receiving and Discharge of Federal Detainees ........................... ............................... 7 Optional Guard /Transportation Services to Medical Facility ........... ..............................7 Optional Guard /Transportation Services to U.S. Courthouse ........ ............................... 8 Optional Guard /Transportation Services to Justice Prisoner & Alien Transportation System(]PATS) ...................................................................... ..............................8 SpecialNotifications ................................................................ ..............................9 Special Management Inmates and Suicide Prevention .................. ..............................9 Prison Rape Elimination Act (PREA) ........................................ ............................... 10 ServiceContract Act ............................................................. ............................... 10 Per -Diem Rate ..................................................................... ............................... 10 Billing and Financial Provisions .............................................. ............................... it PaymentProcedures ............................................................. ............................... 12 HoldHarmless ..................................................................... ............................... 12 Disputes............................................................................. ............................... 12 Inspection of Services .......................................................... ............................... 12 Modifications....................................................................... ............................... 13 Litigation............................................................................ ............................... 13 Rape Elimination Act Reporting Information ............................ ............................... 14 Page 3 of 15 �D�, Local Government (initial): _ Federal Government (initial): _ 20C -9 Agreement Number 12 -94 -0006 Authority Pursuant to the authority of Section 119 of the Department of Justice Appropriations Act of 2001 (Public Law 106 -553), this Agreement is entered into between the United States Marshals Service (hereinafter referred to as the "Federal Government ") and Santa Ana Jail County Jail, State or County Government (hereinafter referred to as "Local Government'), who hereby agree as follows: Purpose of Agreement and Security Provided The Federal Government and the Local Government establish this Agreement that allows the United States Marshals Service (USMS) or other authorized agency user as noted in block #18 on page (1) to house Federal detainees with the Local Government at the Santa Ana Jail 62 Civic Center Plaza (M -88) Santa Ana, CA 92701 County Jail (hereinafter referred to as "the Facility ") designated in #6 page 1. The population (hereinafter referred to as "Federal detainees, ") will include individuals charged with Federal offenses and detained while awaiting trial, individuals who have been sentenced and are awaiting designation and transport to a Bureau of Prisons (BOP) facility, and individuals who are awaiting a hearing on their immigration status or deportation. The Local Government shall accept and provide for the secure custody, safekeeping, housing, subsistence and care of Federal detainees in accordance with all state and local laws, standards, regulations, policies and court orders applicable to the operation of the Facility. Detainees shall also be housed in a manner that is consistent with Federal law and the Core Detention Standards and /or any other standards required by an authorized agency whose detainees are housed by the Local Government pursuant to this Agreement (see attached). The USMS ensures the secure custody, care, and safekeeping of USMS detainees. Accordingly, all housing or work assignments, and recreation or other activities for USMS detainees are permitted only within secure areas of the building or within the secure external recreational /exercise areas. At all times, the Federal Government shall have access to the Facility and to the Federal detainees housed there, and to all records pertaining to this Agreement, including financial records, for a period going back three (3) years from the date of request by the Federal Government. Period of Performance and Termination This Agreement is effective upon the date of signature of the authorized USMS Prisoner Operations Division official, and remains in effect unless inactivated in writing by either party. Either party may terminate this Agreement for any reason with written notice at Page 4 of 15 Local Government (initial Federal Government (initial): 20C -10 Agreement Number 12 -94 -0006 least thirty (30) calendar days in advance of termination, unless an emergency situation requires the immediate relocation of Federal detainees. Where the Local Government has received a Cooperative Agreement Program (CAP) award, the termination provisions of the CAP prevail. Assignment and Outsourcing of Jail Operations The overall management and operation of the Facility housing Federal detainees may not be contracted out without the prior express written consent of the Federal Government. Medical Services The Local Government shall provide Federal detainees with the same level and range of care inside the Facility as that provided to state and local detainees. The Local Government is financially responsible for all medical care provided inside the Facility to Federal detainees. This includes the cost of all medical, dental, and mental health care as well as the cost of medical supplies,. over - the - counter medications and, any prescription medications routinely stocked by the Facility which are provided to Federal detainees. When possible, generic medications should be prescribed. The cost of all of the above - referenced medical care is covered by the Federal per diem rate. However, for specialized medical services not routinely provided within the Facility, such as dialysis, the Federal Government will pay for the cost of that service. The Federal Government is financially responsible for all medical care provided outside the Facility to Federal detainees. The Federal Government must be billed directly by outside medical care providers pursuant to arrangements made by the Local Government for outside medical care. The Local Government should utilize outside medical care providers that are covered by the USMS's National Managed Care Contract (NMCC) to reduce the costs and administrative workload associated with these medical services. The Local Government can obtain information about NMCC covered providers from the local USMS District Office. The Federal Government will be billed directly by the medical care provider not the Local Government. To ensure that Medicare rates are properly applied, medical claims for Federal detainees must be on Centers for Medicare and Medicaid (CMS) Forms so that they can be re- priced to Medicare rates in accordance with the provisions of Title 18 U.S.C. Section 4006. If the Local Government receives any bills for medical care provided to Federal detainees outside the Facility, the Local Government should immediately forward those bills to the Federal Government for processing. All outside medical care provided to Federal detainees must be pre- approved by the Federal Government except in a medical emergency. In the event of an emergency, the Local Government shall proceed immediately with necessary medical treatment, In such Page 5of15 0C Local Government (initial): _ Federal Government (Initial): _ 20C -11 Agreement Number 12 -94 -0006 an event, the Local Government shall notify the Federal Government immediately regarding the nature of the Federal detainee's illness or injury as well as the types of treatment provided. Medical care for Federal detainees shall be provided by the Local Government in accordance with the provisions of USMS, Publication 100- Prisoner Health Care Standards (www.usmarshals.gov/iprisoner/standards.htm) and in compliance with the Core Detention Standards or those standards which may be required by any other authorized agency user. The Local Government is responsible for all associated medical record keeping. The Facility shall have in place an adequate infectious disease control program which includes testing of all Federal detainees for Tuberculosis (TB) within 14 days of intake. TB testing shall be accomplished In accordance with the latest Centers for Disease Control (CDC) Guidelines and the result promptly documented in the Federal detainee's medical record. Special requests for expedited TB testing and clearance (to Include time sensitive moves) will be accomplished through advance coordination by the Federal Government and Local Government, The Local Government shall immediately notify the Federal Government of any cases of suspected or active TB or any other highly communicable diseases such as Severe Acute Respiratory Syndrome (SARS), Avian Flu, Methicillin- Resistant Staphylococcus Aureus (MRSA), Chicken Pox, etc., which might affect scheduled transports or productions so that protective measures can be taken by the Federal Government. When a Federal detainee is being transferred and /or released from the Facility, they will be provided with seven (7) days of prescription medication which will be dispensed from the Facility. Medical records and the USM -553 must travel with the Federal detainee. If the records are maintained at a medical contractor's facility, it is the Local Government's responsibility to obtain them before a Federal detainee is moved. Federal detainees may be charged a medical co- payment by the Local Government in accordance with the provisions of Title 18, USC Section 4013(d). The Federal Government is not responsible for medical co- payments and cannot be billed for these costs even for indigent Federal detainees. Affordable Care Act The Local Government shall provide Federal detainees, upon release of custody, information regarding the Affordable Care Act, The Affordable Care Act website is located at http: / /www,hhs.gov /opa /affordable- care -act /. Page 6 of 15 j Local Government (initial)Y_ Federal Government (initial): _ 20C -12 Agreement Number 12 -94 -0006 Receiving and Discharge of Federal Detainees The Local Government agrees to accept Federal detainees only upon presentation by a law enforcement officer of the Federal Government or a USMS designee with proper agency credentials The Local Government shall not relocate a Federal detainee from one facility under its control to another facility not described in this Agreement without permission of the Federal Government. Additional facilities within the same Agreement shall be identified in a modification. The Local Government agrees to release Federal detainees only to law enforcement officers of the authorized Federal Government agency initially committing the Federal detainee (i.e., Drug Enforcement Administration (DEA), Immigration and Customs Enforcement (ICE), etc.) or to a Deputy United States Marshal (DUSM) or USMS designee with proper agency credentials. Those Federal detainees who are remanded to custody by a DUSM may only be released to a DUSM or an agent specified by the DUSM of the Judicial District. USMS Federal detainees sought for a state or local court proceeding must be acquired through a Writ of Habeas Corpus or the Interstate Agreement on Detainers and then only with the concurrence of the jurisdictional United States Marshal (USM). Optional Guard /Transportation Services to Medical Facility If Medical Facility in block #13 on page one (1) of this Agreement is checked, the Local Government agrees, subject to the availability of its personnel, to provide transportation and escort guard services for Federal detainees housed at the Facility to and from a medical facility for outpatient care, and transportation and stationary guard services for Federal detainees admitted to a medical facility. These services should be performed by at least two (2) armed qualified law enforcement or correctional officer personnel. Criteria as specified by the County Entity running the facility. In all cases these are part of a fulltime Law Enforcement Officer (LEO) or Correctional Officer (CO) that have met the minimum training requirements. The Local Government agrees to augment this security escort if requested by the USM to enhance specific requirement for security, prisoner monitoring, visitation, and contraband control. If an hourly rate for these services have been agreed upon to reimburse the Local Government, it will be stipulated in block #14 on page one (1) of this Agreement. After forty -eight (48) months, if a rate adjustment is desired, the Local Government shall submit a request. Mileage shall be reimbursed in accordance with the current GSA mileage rate. Page 7 of 15 local Government (initial)9-C, Federal Government (initial): 20C -13 Agreement Number 12 -94 -0006 Optional Guard /Transportation Services to U.S. Courthouse If U.S. Courthouse in block #13 on page one (1) of this Agreement is checked, the Local Government agrees, subject to the availability of its personnel, to provide transportation and escort guard services for Federal detainees housed at its facility to and from the U.S. Courthouse. These services should be performed by at least two (2) armed qualified law enforcement or correctional officer personnel. The Local Government agrees to augment this security escort if requested by the USM to enhance specific requirements for security, detainee monitoring, and contraband control. Upon arrival at the courthouse, the Local Government's transportation and escort guard will turn Federal detainees over to a DUSM only upon presentation by the deputy of proper law enforcement credentials. The Local Government will not transport Federal detainees to any U.S. Courthouse without a specific request from the USM or their designee who will provide the detainee's name, the U.S. Courthouse, and the date the detainee is to be transported. Each detainee will be restrained in handcuffs, waist chains, and leg irons during transportation unless otherwise authorized by the USMS. If an hourly rate for these services have been agreed upon to reimburse the Local Government, it will be stipulated in block #14 on page one (1) of this Agreement. After forty -eight (48) months, if a rate adjustment is desired, the Local Government shall submit a request. Mileage shall be reimbursed in accordance with the current GSA mileage rate. Optional Guard /Transportation Services to Justice Prisoner & Alien Transportation System (]PATS) If ]PATS in block #13 on page one (1) of this Agreement is checked, the Local Government agrees, subject to the availability of its personnel, to provide transportation and escort guard services for Federal detainees housed at Its facility to and from the ]PATS. These services should be performed by at least two (2) armed qualified law enforcement or correctional officer personnel. The Local Government agrees to augment this security escort if requested by the USM to enhance specific requirements for security, detainee monitoring, and contraband control. Page 8of15 oj- Local Government (initial). Federal Government (initial): 20C -14 Agreement Number 12 -94 -0006 Upon arrival at JPATS, the Local Government's transportation and escort guards will turn federal detainees over to a DUSM only upon presentation by the deputy of proper law enforcement credentials. The Local Government will not transport federal detainees to the airlift without a specific request from the USM who will provide the detainee's name, location (district), and the date the detainee is to be transported. Each detainee will be restrained in handcuffs, waist chains, and leg irons during transportation. If an hourly rate for these services has been agreed upon to reimburse the Local Government, it will be stipulated on in block #14 on page one (1) of this Agreement. After forty -eight (48) months, if a rate adjustment is desired, the Local Government shall submit a request. Mileage shall be reimbursed in accordance with the current GSA mileage rate. Special Notifications The Local Government shall notify the Federal Government of any activity by a Federal detainee which would likely result in litigation or alleged criminal activity. The Local Government shall immediately notify the Federal Government of an escape of a Federal detainee. The Local Government shall use all reasonable means to apprehend the escaped Federal detainee and all reasonable costs in connection therewith shall be borne by the Local Government. The Federal Government shall have primary responsibility and authority to direct the pursuit and capture of such escaped Federal detainees. Additionally, the Local Government shall notify the Federal Government as soon as possible when a Federal detainee is involved in an attempted escape or conspiracy to escape from the Facility. In the event of the death or assault or a medical emergency of a Federal detainee, the Local Government shall immediately notify the Federal Government. Special Management Inmates and Suicide Prevention The Local Government shall have written policy, procedure, and practice require that all special management inmates are personally observed by a correctional officer twice per hour, but no more than 40 minutes apart, on an irregular schedule. Inmates who are violent or mentally disordered or who demonstrate unusual or bizarre behavior receive more frequent observation; suicidal inmates are under constant observation. Page 9 of 15 9 • C Local Government (initial): Federal Government (initial): _ 20C -15 Agreement Number 12 -94 -0006 The Local Government shall have a comprehensive suicide - prevention program in place incorporating all aspects of identification, assessment, evaluation, treatment, preventive intervention, and annual training of all medical, mental health, and correctional staff. Prison Rape Elimination Act (PREA) The Facility must post the Prison Rape Elimination Act brochure /bulletin in each housing unit of the Facility. The Facility must abide by all relevant PREA regulations. Service Contract Act This Agreement incorporates the following clause by reference, with the same force and effect as if it was given in full text. Upon request, the full text will be made available. The full text of this provision may be accessed electronically at this address: httg://www.dol.govZoasam/regs/statutes/351.htm. Federal Acquisition Regulation Clause(s): 52.222 -41 Service Contract Act of 1965, as Amended (July 2005) 52.222 -42 Statement of Equivalent Rates for Federal Hires (May 1989) 52.222 -43 Fair Labor Standards Act and the Service Contract Act - Price Adjustment (Multiyear and Option Contracts) (May 1989) The current Local Government wage rates shall be the prevailing wages unless notified by the Federal Government. If the Department of Labor Wage Determination block #13b on page one (1) of this Agreement is checked, the Local Government agrees, in accordance with FAR PART 52.222.43 (f), must notify the Federal Government of any increase or decrease in applicable wages and fringe benefits claimed under this clause within 30 days after receiving a new wage determination. Per -Diem Rate The Federal Government will use various price analysis techniques and procedures to ensure the per -diem rate established by this Agreement is considered a fair and reasonable price. Examples of such techniques include, but are not limited to, the following: 1. Comparison of the requested per -diem rate with the independent Federal Government estimate for detention services, otherwise known as the Core Rate; Page 10 of 15 0 Local Government (initial): _ Federal Government (initial): _ 20C -16 Agreement Number 12 -94 -0006 2. Comparison with per -diem rates at other state or local facilities of similar size and economic conditions; 3. Comparison of previously proposed prices and previous Federal Government and commercial contract prices with current proposed prices for the same or similar items; 4. Evaluation of the provided jail operating expense information; The firm -fixed per -diem rate for services is stipulated in block #12 on page (1) of this agreement, and shall not be subject to adjustment on the basis of Santa Ana Jail's actual cost experience in providing the service. The per -diem rate shall be fixed for a period from the effective date of this Agreement forward for forty -eight (48) months. The per -diem rate covers the support of one Federal detainee per "Federal detainee day ", which shall include the day of arrival, but not the day of departure. After forty -eight (48) months, if a per -diem rate adjustment is desired, the Local Government shall submit a request through the Office of the Federal Detention Trustee's (OFDT) electronic Intergovernmental Agreements (eIGA) area of the Detention Services Network (DSNetwork). All information pertaining to the Facility on the DSNetwork will be required before a new per -diem rate will be considered. Billing and Financial Provisions The Local Government shall prepare and submit for certification and payment, original and separate invoices each month to each Federal Government component responsible for Federal detainees housed at the Facility. Addresses for the components are: United States Marshals Service Central District of California U.S. Courthouse 312 N. Spring Street, Room G -23 Los Angeles, CA 90012 -4798 (213) 894 -2485 To constitute a proper monthly invoice, the name and address of the Facility, the name of each Federal detainee, their specific dates of confinement, the total days to be paid, the appropriate per diem rate as approved in the Agreement, and the total amount billed (total days multiplied by the per -diem rate per day) shall be listed, along with the name, title, complete address, and telephone number of the Local Government official responsible for invoice preparation. Additional services provided, such as transportation and guard services, shall be listed separately and itemized. Page 11 of 15 Local Government (initial). Federal Government (initial): 20C -17 Agreement Number 12 -94 -0006 Nothing contained herein shall be construed to obligate the Federal Government to any expenditure or obligation of funds in excess of, or in advance of, appropriations in accordance with the Anti - Deficiency Act, 31 U.S.C. 1341. Payment Procedures The Federal Government will make payments to the Local Government at the address listed in block #6 on page one (1) of this Agreement, on a monthly basis, promptly, after receipt of an appropriate invoice. Hold Harmless It is understood and agreed that the Local Government shall fully defend, indemnify, and hold harmless the United States of America, its officers, employees, agents, and servants, individually and officially, for any and all liability caused by any act of any member of the Local Government or anyone else arising out of the use, operation, or handling of any property (to include any vehicle, equipment, and supplies) furnished to the Local Government in which legal ownership Is retained by the United States of America, and to pay all claims, damages, judgments, legal costs, adjuster fees, and attorney fees related thereto. The Local Government will be solely responsible for all maintenance, storage, and other expenses related to the care and responsibility for all property furnished to the Local Government, Disputes Disputes, questions, or concerns pertaining to this Agreement will be resolved between appropriate officials of each party. Both the parties agree that they will use their best efforts to resolve the dispute in an informal fashion through consultation and communication, or other forms of non - binding alternative dispute resolution mutually acceptable to the parties. Inspection of Services Inspection standards for detainees may differ among authorized agency users. The Local Government agrees to allow periodic inspections by Federal Government inspectors, to include approved Federal contractors, in accordance with the Core Detention Standards required by any or all of the Federal authorized agency users whose detainees may be housed pursuant to this Agreement Findings of the inspections will be shared with the Facility administrator in order to promote improvements to Facility operations, conditions of confinement, and levels of services. Page 12 of 15 .� C Local Government (initial) Federal Government (initial): 20C -18 Agreement Number 12 -94 -0006 Modifications For all modifications except for full or partial terminations, either party may initiate a request for modification to this Agreement in writing. All modifications negotiated will be effective only upon written approval of both parties. Litigation The Federal Government shall be notified, in writing, of all litigation pertaining to this Agreement and provided copies of any pleadings filed or said litigation within five (5) working days of the filing. The Local Government shall cooperate with the Federal Government legal staff and /or the United States Attorney regarding any requests pertaining to Federal Government or Local Government litigation. Page 13 of 15 ( Local Government (initial): �� Federal Government (initial): 20C -19 Agreement Number 12 -94 -0006 Rape Elimination Act Reporting Information SEXUAL ASSAULT & \WARENESS This document is requesred to be posted in each Housing Unit Bulletin Board at all Contract Detention Facilities. This document may be used and adapted by Intergovernmental Service Agrecment Providers. !Chile detained by the Department of Justice, United States Marshals Service, you have a right to be safe and free from sexual harassment and sexual assaults. Definitions A Detainee- on•Detainee Sexual Abuse /Assault One or more detainees engaging in or auempcing to engage in a sexual act with another detainee or the use of threats, intimidation, inappropriate touching or other actinns and /or communications by one or more detainees aimed at coercing and /or pressuring another detainee to engage in a sexual act. B. Staff -on- Detainee Sexual Abuse /Assault Staff member engaging in, or attempting to engage in a sexual act with any detainee or the intentional touching of a detainee's genitalia, anus, groin, breast, inner thigh, or buttocks with the intent to abuse, humiliate, harass, degrade, arouse, or gratify the sexual desires orally person. Sexual abuse /assault of detainees by staff or other detainees is an inappropriate use of power and is prohibited by DOJ policy and the law. C. Staff Sexual Misconduct is• Sexual behavior between a staff member and detainee which can include, but is not limited to indecent, profane or abusive language or gestures and inappropriate visual surveillance of detainees. Prohibited Acts A detainee, who engages in inappropriate sexual behavior with or directs it at others, can be charged with the following Prohibited Acts under the Detainee Disciplinary Policy. • Using Abusive or Obscene Language • Sexual Assault • Making a Sexual Proposal • Indecent Exposure • Engaging in Sex Act Detention as a SaLe Environment While you are detained, no one has the right to pressure you to engage in sexual acts or engage in unwanted sexual behavior regardless of your age, size, race, or ethnicity. Regardless of your sexual otientation, you have the right to be safe from unwanted sexual advances and acts. Confidentiality Information concerning the identity of a detainee victim reporting a sexual assault, and the facts of the report itself, shall be limited to those who have the need to know in order to make decisions concerning die detainee - victim's welfare and for law enforcement investigative purposes. Report All Assaults' If you become a victim of a sexual assault, you should report it immediately to any staff person you trust, to include housing officers, chaplains, medical staff, supervisors or Deputy U.S. Marshals, Staff members keep the reported information confidential and only distvss it with the appropriate officials on a need to know basis. If you are not comfortable reporting the assault to staff, you have other options: Page 14 of 15 Local Government (initial): _ Federal Government (initial): 20C -20 Agreement Number 12 -94 -0006 • Wrae a letter reporting the sexual misconduct to the person in charge or the United States Marshal. To ensure confidentiality, use special (Legal) mail procedures. • File an Hinergency Detainee Grievance - If you decide your cotnPlaint is too sensitive to file with the Officer io Charge, You can file your Grievance directly with the Field Office Director. You can get the forms from your housing unit officer, or a Facility supervisor. • Write to the Office of inspector General (01G), which investigates- allegations of staff misconduct. The address is, Office of Inspector General, U.S. Department of justice, 950 Pennsyhrnno Ave. Room 4706, Washington, DC. 20530 • Call, at no expense to you, the Office of Inspector General (OIG). The phone number is 1- 800 - 869 -4499. Individuals who sexually abuse or assault detainees can only he disciplined or prosecuted if the abuse is reported. A publication of the Office of the Federal Detention Trustee VVashingron, DC Published Februiry 2008 Page 15 of 15 (, Local Government (initial): Federal Government (initial): 20C -21 U. S. Department of Justice United States Marshals Service Modification of Intergovernmental Agreement Page 1 of I 20C -22 1. Agreement No. 2. Effective Date 3, Facility Codes) 4. Modification No. S. DUNS No. 12 -94 -0006 November 1, 2014 OFK Six (6) 083153247 6. Issuing Federal Agency 7. Local Government United States Marshals Service Santa Ana Jail Prisoner Operations Division 62 Civic Center Plaza (M -88) Office of Contracts and Agreements Santa Ana, California 92702 2604 Jefferson Davis Hwy Alexandria, VA 22301 8. Appropriation Data 9. Per -Diem Rate 10. Guard/Transportation Hourly Rate 15X1020 $105.00 $36.00 11. EXCEPT AS PROVIDED SPECIFICALLY HEREIN, ALL TERMS AND CONDITIONS OF THE IGA DOCUMENT REFERRED TO IN BLOCK 1, REMAIN UNCHANGED. TERMS OF THIS MODIFICATION: The purpose of this modification is to add Bureau of Prison to the Intergovernmental Agreement for Santa Ana City Jail, which was inadvertently left unchecked on the renewal Agreement. Jeff Maston, Residential Reentry Manager Bureau of Prisons Central and Southern Districts P.O. Box 323 San Pedro, CA 90733 Phone: (310) 732 -5178 Fax: (310) 732-5291 NO OTHER TERMS OR CONDITIONS, TO INCLUDE PRICE, ARE AFFECTED BY THIS CHANGE. 12. INSTRUCTIONS TO LOCAL GOVERNMENT FOR EXECUTION OF THIS MODIFICTION: A. ® LOCAL GOVERNMENT IS NOT REQUIRED B. ❑ LOCAL GOVERNMENT IS REQUIRED TO SIGN TO SIGN THIS DOCUMENT THIS DOCUMENT AND RETURN ALL COPIES TO U. S. MARSHAL 13. APPROVALS A. LOCAL GOVERNMENT B. FEDERAL GOVERf�MENT yi Mary Horse GJ -, Signature L Si 11ature I / Grants Specialist TITLE DATE TITLE DATE Page 1 of I 20C -22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: APPROPRIATION ADJUSTMENT AND MOU WITH COUNTY OF ORANGE FOR POSTRELEASE COMMUNITY SUPERVISION (STRATEGIC PLAN NO. 1, 3B) CITY MAN R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to execute the attached one -year Memorandum of Understanding, commencing July 1, 2014, with the County of Orange for Public Safety Realignment and Postrelease Community Supervision cost reimbursement in the amount of $167,558.27, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment to recognize $167,558.27 in reimbursement funds from the County of Orange in revenue account (no. 01114002 50506) and appropriate same to expenditure account (no.01114420- various). Assembly Bill 109 ( "AB109 ") became effective on July 1, 2011 and provided for the enactment of the "2011 Postrelease Community Supervision Act." This Act requires that certain offenders released from state prison be subject to post release community supervision provided by a county agency designated by each county's board of supervisors. The Orange County Board of Supervisors designated the Orange County Probation Department (OC Probation) as the County agency responsible for providing post release community supervision. Funding has been provided from the State to the County for administration purposes. In order to best implement this program, the County has requested enhanced law enforcement services from the Santa Ana Police Department. OC Probation will reimburse the City of Santa Ana for providing these services and incurring authorized expenditures as needed to achieve the objectives of the public safety realignment plan. These funds are retroactive to July 1, 2014 and will reimburse the City for one full -time police officer. 20D -1 AB 109 MOU and Appropriation Adjustment November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of these items assists the City in meeting Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing and reducing criminal activity and traffic collisions). FISCAL IMPACT The Appropriation Adjustment will enhance the AB 109 Reimbursement revenue account (no. 01114002 50506) and increase the Police Department Field Operations account (no. 01114420 - various) by $167,558.27. APPROVED AS TO IFUNDS AND ACCOUNTS: Carlos Roj Francisco Gutierrez Chief of Police Executive Director Santa Ana Police Department Finance & Mgt. Services Agency 20D -2 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE COUNTY OF ORANGE FOR PUBLIC SAFETY REALIGNMENT AND POSTRELEASE COMMUNITY SUPERVISION COST REIMBURSEMENT TO LOCAL LAW ENFORCEMENT AGENCIES FOR ENHANCED SERVICES AND OTHER AUTHORIZED EXPENDITURES This Memorandum of Understanding, hereinafter referred to as "MOU," entered into on , 2014, which date is enumerated for purpose of reference only, is by and between the City of Santa Ana, acting on behalf of its Police Department ( "City "), and the County of Orange, a political subdivision of the State of California, acting on behalf of the Orange County Probation Department ( "County. ") RECITALS WHEREAS, Assembly Bill ("AB 109 "), titled "2011 Realignment Legislation Addressing Public Safety," became effective on July 1, 2011 and provided for the enactment of the "2011 Postrelease Community Supervision Act;" WHEREAS, the 2011 Postrelease Community Supervision Act requires that certain offenders released from State prison shall be subject to postrelease community supervision provided by a county agency designated by each county's board of supervisors, as specified in section 3450 of the Penal Code and as added by ABI09; WHEREAS, the Orange County Board of Supervisors, pursuant to Resolution No. 11- 111, designated the Orange County Probation Department ( "OC Probation ") as the County agency responsible for providing postrelease community supervision; WHEREAS, on October 18, 2011 the Orange County Board of Supervisors accepted the Orange County Public Safety Realignment and Postrelease Community Supervision 2011 Implementation Plan ( "PCS 2011 Implementation Plan ") developed by the Orange County Community Corrections Partnership ( "OCCCP ") and approved by the OCCCP Executive Committee, as required under AB 109 and subsequent related legislation; WHEREAS, annual updates to the PCS 2011 Implementation Plan have been submitted to, and accepted by the Orange County Board of Supervisors; WHEREAS, the Fiscal Year 2014 -15 Final Budget Resolution, with funding allocations of State appropriation for the continuing implementation of AB 109 for enhanced services and other authorized expenditures for local law enforcement agencies was presented to, and approved by the Orange County Board of Supervisors on June 24, 2014; WHEREAS, the parties to this MOU wish to establish the cost reimbursement policies, procedures and requirements pertaining to City's provision of enhanced services and expenditures of its AB 109 funding allocation for Fiscal Year 2014 -15, and for subsequent fiscal years thereto. NOW THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: T 14 -00115 Santa Ana Cost Reimbursement MOU Page 1 of 13 20D -3 1.0 TERM The term of this MOU shall be effective retroactively from July 1, 2014, through June 30, 2015. Thereafter, this MOU may be renewed for succeeding 12 -month fiscal year periods of July 1 through June 30, without further action by the Orange County Board of Supervisors, on the same terms and conditions and upon mutual written agreement between City and OC Probation, subject to: 1.1 New or additional funding appropriated to the County by the State legislature for the continuing implementation of AB 109 and subsequent related legislation; 1.2 Acceptance by the Orange County Board of Supervisors of the State appropriation for the continuing implementation of AB 109 and subsequent related legislation, for inclusion in the County's budget for each fiscal year covered by this MOU; and 1.3 Approval by the Orange County Board of Supervisors of the funding allocations of such State appropriation to local resources and needs, including amounts that may be reimbursed to City for enhanced law enforcement services and other authorized expenditures. 2.0 POPULATIONS SERVED 2.1 New Populations under County Jurisdiction• Beginning October 1, 2011, AB 109 and subsequent related legislation, as implemented by County, placed the following populations under County jurisdiction and supervision by OC Probation: 2. L 1 Persons released from prison on postrelease community supervision (" PCS ") instead of parole, consisting of non - violent, non- serious and non high -risk sex offenders as defined by the California Department of Corrections and Rehabilitation. 2.1.2 Persons who have committed felonies and now sentenced to County jail pursuant to subdivision (h) of Penal Code section 1170 instead of State prison, who may also be placed on mandatory supervised release. 2.2 Information on New Populations under County Jurisdiction: OC Probation will provide City with a "Notice of Supervision' with regard to individuals scheduled by the State for PCS release, as described in section 2. 1.1 herein. Requests for information on particular individuals placed on mandatory supervised release, as described in section 2.1.2, may be directed to OC Probation, as needed. 3.0 SCOPE OF ITEMS REIMBURSABLE TO CITY Under this MOU, OC Probation shall compensate City for providing enhanced law enforcement services and incurring related expenditures directly related thereto, which shall consist of, but not be limited to, the following: 3.1 Overtime Services: At various times that are mutually agreed upon and detennined necessary to achieve the objectives of public safety realignment and other purposes related to AB 109, City shall provide the number of law enforcement personnel requested by OC Probation, or by City, in order to check the compliance of offenders, 7/114- 6/30i15 Sang Ana Cost Reimbursement MOV 20D -4 Page 2 of 13 described in section 2.1 herein, with their conditions of supervision. City law enforcement personnel shall accompany OC Probation peace officers in conducting activities, commonly termed as "sweeps," outside of regular work hours, and as more fully described in section 5.2.2 of this MOU. 3.2 Services of Dedicated Personnel: City may, at its discretion and with written notification to OC Probation, assign personnel to perform law enforcement services under this MOU, during their normal work hours as regular -time services, and additionally outside of their normal work hours as overtime services, as more fully described in section 5.2.3 of this MOU. 3.3 Other Authorized Expenditures: City may claim reimbursement for operating expenses directly related to the provision of services under this MOU. Allowable and claimable operating expenses shall include, but not be limited to, professional and technical training, equipment, general supplies, travel, and mileage, all as they directly relate to AB 109 and the objectives of public safety realignment, services rendered, or authorized expenditures incurred under this MOU. 4.0 AMOUNTS REIMBURSABLE TO CITY OC Probation shall reimburse City for providing enhanced law enforcement services and incurring authorized expenditures under this MOU, as needed to achieve the objectives of public safety realignment, in accordance with the following guidelines: 4.1 Funding Allocation to City: 4.1.1 As approved by the Orange County Board of Supervisors for the period July 1, 2014 through June 30, 2015, City shall be reimbursed up to a maximum amount of $167,558.27. Such amount is part of, and included in the total maximum available funding allocation of $760,852.48 to local law enforcement agencies, as specified in Attachment 1 ( "Local Law Enforcement PCS Funding Allocation: July 1, 2014 through June 30, 2015') of this MOLD. 4. l.2 For succeeding 12 -month fiscal year periods of July 1 through June 30, and subject to new or additional State funding as described in section 1 of this MOU and allocated by the Orange County Board of Supervisors, City's funding allocation shall be specified in a written document renewing this MOU, as mutually agreed upon and signed by both parties. 4.2 Total Funding Allocation to Local Law Enforcement Agencies: During any 12 -month fiscal year period of July 1 through June 30 that this MOU is in effect, City and all other local law enforcement agencies will be individually compensated solely from and within the total maximum State funding allocation recommended by the OCCCP Executive Committee and approved by the Orange County Board of Supervisors for enhanced law enforcement services and other authorized expenditures, including any remaining balance from prior fiscal years starting with fiscal year 2013 -14, until such amount is depleted. Any remaining balance at the end of each fiscal year will carry over to the following fiscal year. 7/U14- 6710 /15 Santa Ma Cost Rehnbu tnentMOU 20D -5 Page 3 of 13 5.0 RESPONSIBILITIES OF PARTIES 5.1 County, through OC Probation, shall: 5.1. t As needed, and subject to the provisions of section 8 of this MOU, periodically deploy OC Probation peace officers to City police department facilities, to act as liaison for ensuring proper coordination of activities under the PCS 2011 Implementation Plan and succeeding PCS Updates, including the services provided by City under this MOU 5. 1.2 Request overtime services from City to conduct activities commonly termed as "sweeps," as needed to accomplish specific objectives, pursuant to section 5.2.2 herein 5.1.3 Coordinate the scheduling of such overtime services with City's designated law enforcement personnel 5.1.4 In advance of scheduled overtime services, provide specific information to City law enforcement personnel identifying the names, addresses, and known associations of the intended sweep subjects 5.1.5 Provide County vehicles for OC Probation peace officers assigned to accompany City law enforcement personnel in the performance of services related to this MOU 5.1.6 Conduct periodic meetings and participate in briefing sessions with City law enforcement personnel 5.1.7 Compensate City for services rendered and other authorized expenditures incurred under this MOU, in accordance with section 6.0 herein 5.1.8 Oversee the administrative processes for billing and compensation for services rendered and other authorized expenditures incurred under this MOU 5.1.9 Financially monitor the usage of the amount annually proposed by the OCCCP Executive Committee and adopted by the Orange County Board of Supervisors for enhanced law enforcement services and other authorized expenditures under this MOU, so as not to exceed the maximum allocation made available from State funding for each fiscal year 5.2 City, through its Police Department, shall have the following responsibilities with regard to services and authorized expenditures under this MOU: 5.2.1 General Duties 5.2.1.1 Ascertain the whereabouts of persons described in section 2.1 of this MOD and known to reside within City's geographical boundaries, and notify OC Probation when practicable, prior to conducting compliance checks of any offender, in order to verify 7 /I /14 -6l30i I5 Sanw An Cost Reimbursement MOU 4110M Page 4 of 13 such individual's identity, active supervision status, and any relevant conditions of supervision that are to be enforced 5.2.1.2 Make searches and seizures, as appropriate and reasonable 5.2.1.3 Perform surveillance of persons described in section 2.1 in City or any jurisdiction City has an agreement with pursuant to Penal Code section 830.1 5.2.1.4 Make arrests for violations of supervision conditions with prior authorization from assigned OC Probation peace officers, or for active warrants for persons described in section 2.1 5.2.1.5 Complete and maintain documentation relating to probable cause, the circumstances of arrests and new law violations, bookings and all other pertinent information 5.2.1.6 Provide police vehicles for City law enforcement personnel to conduct activities under this MOU 5.2.1.7 As appropriate, allow OC Probation peace officers to ride as passengers in City police vehicles, or to operate the vehicles if City law enforcement personnel are rendered unable to drive said vehicles, subject to the provisions of section 9 of this MOU 5.2.1.8 Maintain timekeeping and payroll documentation for overtime and regular -time services rendered by City law enforcement personnel, and relevant source documentation such as ledgers, journals, cancelled checks, receipts, and invoices supporting the submittal of other authorized expenditures incurred by City under this MOU 5.2.2 Overtime Services: With regard to overtime services rendered pursuant to section 3.1 of this MOU: 5.2.2.1 Advise OC Probation of the number of City peace officers scheduled to perform the overtime services requested by OC Probation 5.2.2.2 Notify OC Probation of City's own need to perform overtime services over and above those requested by OC Probation 5.2.2.3 If necessary and in advance of the scheduled overtime services, and subject to approval by OC Probation, request that certain individuals under PCS be added to the scheduled sweep, including the reasons for such request 5.2.2.4 Make a room available for the parties to participate in briefing sessions prior to and upon completion of scheduled activities, or at any other times as may be required, subject to the provisions of section 8 of this MOU 71; N4- 6130N5 Santa Ma Cost Reimbursement MOU 20D -7 Page 5 of 13 5.2.3 Services of Dedicated Personnel, With regard to regular -time and overtime services rendered by personnel dedicated to perform activities under this MOU: 5.2.3.1 Provide written notification of such dedicated personnel assignments to OC Probation, for coordination of services and reimbursement procedures under this MOU, by mail, fax or e-mail, as follows: Orange County Probation Department Attention: Director of Postrelease Community Supervision Division P.O. Box 10260 Santa Ana, CA 92711 Fax: (714) 558 -6329 E -mail: Rita RobertsRmprob ocaov corn 5.2.3.2 Notify the assigned OC Probation peace officers of each law enforcement contact made with offenders, the nature and circumstances of such contact, and any actions taken or continuing therefrom, as soon as practicable after the occurrence of such contact 5.2.3.2.1 For expediency and efficiency in communication and response times, the preferred method of notification to OC Probation under this section shall be through COPLINK. If reporting via COPLINK is not available, notification may be done by telephone to the assigned OC probation peace officers, or as described in section 5.2.3.1 above. 5.2.3.3 Provide quarterly statistical and progress reports to OC Probation of law enforcement activities undertaken under this MOU 5.2.3.4 Attend periodic meetings as requested by OC Probation, or schedule meetings with OC Probation as needed 6.0 COMPENSATION County shall compensate City for salaries and benefits paid by City to law enforcement personnel assigned to perform services under this MOU, as follows: 6.1 Reeular Position The law enforcement personnel assigned by City to perform services under this MOU shall consist of full -time employees of City in regular positions, whose normally assigned work hours equal a full work period. 6.1.1 A regular position shall mean a position established on a permanent year - round basis and requiring work on a schedule designated by City as a normal work schedule. 771!146/30/75 Sams Am Cost Reimbursement MOO r10 Page 6 of 13 6.2 Overtime Services: Law enforcement personnel may be assigned by City to perform services under this MOU, pursuant to section 3.1 herein, during hours that are in excess of an employee's normal work schedule in a regular work period. County shall pay City for overtime services rendered by such personnel at one and one -half (1 -1/2) times their hourly rate, multiplied by the number of hours of service actually provided during the billing period. 6.3 Services of Dedicated Personnel: Law enforcement personnel may be dedicated by City to perform services under this MOU, pursuant to section 3.2 herein, during their normal work hours as regular -time services, and additionally outside of their normal work hours as overtime services. County shall pay City for regular -time services rendered by such personnel at their hourly rate, and for overtime services at one and one -half (1 -1 /2) times their hourly rate; both as multiplied by the number of hours of service actually provided during the billing period. 6.4 Claiming Methodology: For purposes of submitting reimbursement claims to OC Probation under section 7.0 herein, City shall use its own methodology for calculating hourly rates, as applicable to regular time or overtime hours recorded by law enforcement personnel assigned to perform services under this MOU. When submitting invoices to OC Probation under section 7.1 herein, City may include the benefits associated with the regular time or overtime hourly rates applicable to the claimed services, or show such benefits as a separate line item. 6.5 No Supplantation: City acknowledges its understanding that: (a) the services rendered by law enforcement personnel assigned to perform services under this MOU have not previously been, or otherwise will be funded by City; and (b) employee compensation for said services does not supplant or replace any other City- funded work hours. 6.6 At all times during any particular action under this MOU, each party's employees shall conform to his or her respective departmental policies, requirements and procedures. Each party will operate under the direction of its respective chain of command. No party is responsible for the actions of another party's personnel. Any evaluation and investigation of any complaints regarding any party or its personnel shall be referred to the party at issue. 7.0 FINANCIAL ACCOUNTABILITY 7.1 OC Probation's Fiscal Services Unit shall issue instructions to City for claiming reimbursement of expenses under this MOU. City shall submit invoices for services rendered and authorized expenditures incurred under this MOU, accompanied by the source documents described in sections 5.2.1.8 and 6.4 herein, with the following minimum information: 7.1.1 Date of service and/or expenditure 7. L2 Name(s) of City law enforcement personnel who rendered the services, with their hourly and overtime rates, and number of service hours performed, pursuant to the methodology described in section 6.4 herein 7/11146/30/15 Santa Ana Cost Reimbursement NIOU 20D -9 Page 7 of 13 7.1.3 Operating expenses, itemized as directly related to the provision of services under this MOU 7.1.4 City's name and address 7.1.5 City's remittance address, if different from above 7.1.6 City's federal taxpayer identification number 7.1.7 Invoice number or some identifying tracking number specified by City 7.1.8 "Bill To" section in accordance with section 7.2 below 7.1.9 Statement from City's designated representative for this MOU, to read: "I hereby certify to the appropriateness of the costs claimed and that these costs have not been reimbursed by revenue, income, or grants from any other source." 7.2 City's invoices shall be mailed to the following address, with the same "Bill To" information included in the invoice: Orange County Probation Department Attention: Fiscal Services Unit P.O. Box 10260 Santa Ana, CA 92711 7.3 City may submit invoices claiming reimbursement for services rendered and authorized expenditures incurred under this MOU on a monthly basis, or quarterly at a minimum. 7.3.1 For each fiscal year of July 1 through June 30 that this MOU is in effect, final claims for reimbursement of services rendered and authorized expenditures incurred by City shall be submitted for receipt by OC Probation no later than July 5 immediately following. 7.4 Payment by County to City will be within 30 days of receipt of an invoice in the format specified in section 7.1 herein, as verified and approved by the OC Probation PCS Division Director, and subject to routine processing requirements. City agrees to accept such compensation as full remuneration for services rendered and authorized expenditures incurred under this MOU and for any reasonably unforeseen difficulties or risks which may arise or be encountered in the performance of services under this MOU. 7.5 County reserves the right to verify City's source documents related to the provision of services and authorized expenditures incurred under this MOU. Auditors of the County, OC Probation, and State shall have access to information, documents, papers and records of City, which are determined to be pertinent specifically to this MOU, for the purpose of making an audit, evaluation, excerpts and transcripts. Furthermore, OC Probation shall have the right to audit claims submitted for reimbursement by City, if a subsequent audit determines that certain costs and 7/1114 - 610115 Santa Ana Cost Reimbursement MOU 20D -10 Page 8 of 13 expenses claimed by and reimbursed to City are not allowable. City shall reimburse OC Probation for any such disallowed amounts. 8.0 LICENSE TO USE CITY REAL AND PERSONAL PROPERTY In consideration of the promises contained herein, City hereby grants to County rent -free use of office space, office furniture, and office equipment located in the offices of the City Police Department. Said office space, furniture and equipment shall be used solely by personnel of City and OC Probation while performing their assigned duties related to services under this MOU. The precise location, size and type of said office space, office furniture and office equipment will be determined by City. City shall supply all repair, maintenance andjanitorial supplies and services to said premises and shall be responsible for all charges for utilities supplied to said premises. 9.0 PERMISSION TO USE CITY VEHICLES In consideration of the promises contained herein, City hereby grants to County permission for OC Probation personnel to operate and to ride as passengers in vehicles owned or leased by City, as provided in Section 5.2.1.7 above, as necessary while performing their assigned duties related to services under this MOU. City shall supply all repair and maintenance services for said vehicles, and shall pay all fuel costs for said vehicles. 10.0 MUTUAL INDEMNIFICATION County agrees to indemnify, defend with counsel approved in writing by City, and hold City, its officers, employees, and agents ( "City Indemnitees ") harmless from any claims, demands or liability of any kind or nature, including but not limited to personal injury or property damage, arising from or related to the services, or other performance provided by County pursuant to this MOU. City's approval of counsel shall not be unreasonably withheld. If judgment is entered against County and City by a court of competent jurisdiction because of the concurrent active negligence of City or City Indemnitees, County and City agree that liability will be apportioned as determined by the court. Neither parry shall request ajury apportionment. This indemnification shall commence on the effective date of this MOU and shall continue thereafter for any and all causes of action accruing during the term of this MOU. City agrees to indemnify, defend with counsel approved in writing by County, and hold County, its elected and appointed officials, officers, employees, agents and those special districts and agencies for which County's Board of Supervisors acts as the governing board ( "County Indemnitees ") harmless from any claims, demands or liability of any kind or nature, including but not limited to personal injury or property damage, arising from or related to the services, or other performance provided by City pursuant to this MOU. County's approval of counsel shall not be unreasonably withheld. Ifjudgment is entered against City and County by a court of competent jurisdiction because of the concurrent active negligence of County or County Indemnitees, City and County agree that liability will be apportioned as determined by the court. Neither party shall request ajury apportionment. This indemnification shall commence on the effective date of this MOU and shall continue thereafter for any and all causes of action accruing during the term of this MOU. TUI4- 6.30/15 Santa Ma Cost Reimbursement MOU 20D -11 Page 9 of 13 11.0 PROJECT MANAGEMENT The OC Probation PCS Division Director shall manage and oversee the operation and administration of this MOU pursuant to the terms and conditions contained herein. The PCS Division of OC Probation shall coordinate with City law enforcement personnel with regard to the activities covered under this MOU. 12.0 CONTINGENCY OF FUNDS City acknowledges that funding or portions of funding for this MOU may be contingent upon State budget approval, receipt of funds from, and/or obligation of funds by the State to County; and inclusion of sufficient funding for the services hereunder in the budget recommended by the OCCCP and approved by the Orange County Board of Supervisors for each fiscal year covered by this MOU. If such approval, funding or appropriations are not forthcoming, or are otherwise limited, County may immediately terminate or modify this MOU without penalty. 13.0 CONFIDENTIALITY: City agrees to maintain the confidentiality of County and County - related records and information pursuant to all statutory laws relating to privacy and confidentiality that currently exist or exist at any time during the term of this MOU. All such records and information shall be considered confidential and kept confidential by City and City's staff, agents and employees. 14.0 TERMINATION.. Either party may terminate this MOU, with or without cause, upon 30 days' written notice given to the other party. The obligations pertaining to indemnification for, or defense of causes of action accruing during the term of this MOU, shall extend beyond the termination of this MOU until fully performed, 15.0 NOTICES: Any notices required or permitted to be given under this MOU shall be in writing and addressed as follows: Notices to City Santa Ana Police Department Attention: Carlos Rojas, Chief of Police 60 Civic Center Plaza Santa Ana, CA 92701 Notices to County Orange County Probation Department Attention: PCS Division Director P.O. Box 10260 Santa Ana, CA 92711 7,1114.630,'15 Santa Ana Cost Rennbu ,,,[ MOU 20D -12 Page I o of 13 16.0 ALTERATION OF TERIMS: This MOU fully expresses all understanding of the parties, and is the total agreement between the parties as to the subject matter of this MOU. No addition to, or alteration of the terms of this MOU by the parties, whether written or verbal, shall be valid unless made in the form of a written amendment to this MOU, which is formally approved and executed by both parties. // // // 7/1/t4- 6;30715 SIMM Ana Cost Ret nba s anent MOt7 20D -13 Page i I of 13 IN WITNESS WHEREOF, the parties have caused this MOU to be executed by their duly authorized officers. CITY OF SANTA ANA m COUNTY OF ORANGE: Dated: By: Dated: Steven J. Sentman Chief Probation Officer 7,'1,'14-6;30,15 Santa Ann Cost Re6nbutsement Mt)[) 20D -14 Page 12 or 13 ATTEST: MARIA HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: CY �tuxe-, Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: Carlos Rojas Chief of Police CITY OF SANTA ANA DAVID CAVAZOS City Manager 20D -15 ATTACHMENT I LOCAL LAW ENFORCEMENT PCS FUNDING ALLOCATION July 1, 2014 through June 30, 2015 * OC Sheriff Allocation includes Midway City & City of Yorba Linda. 7:114 - 6/30/15 Sams Ana Cost Reimbursement MOU 20D -16 Page 13 of 13 Total Total Remaining Total Total Funds Ci of; Allocation Claimed Allocation Allocation Available FY 13114 FY 13/14 FY 13/14 FY 14115 FY 14/15 Anaheim $94,050.00 $90,345.28 $ 3,704.72 $110,134.21 $113,838.93 Brea 4,479.00 4,479.00 - 4,285.38 4,285.38 Buena Park 13,809.00 - 13,809.00 20,141.28 33,950.28 Costa Mesa 32,097.00 8,680.44 23,416.56 30,426.18 53,842.74 C ress 7,091.00 7,091.00 4,713.92 11,804.92 Fountain Valle 6,345.00 6,001.43 343.57 5,570.99 5,914.56 Fullerton 30,977.00 30,977.00 - 26,140.80 26,140.80 Garden Grove 40,680.00 39,840.18 839.82 63,423.59 64,263.41 Huntin on Beach 27,618.00 27,618.00 - 32,568.87 32,568.87 Irvine 11,570.00 11,570.00 5,999.53 17,569.53 La Habra 11,196.00 5,005.97 6,190.03 11,141.98 17,332.01 La Palma - - - 428.54 428.54 La na Beach 2,613.00 - 2,61100 1,285.61 3,898.61 Los Alamitos 1,866.00 892.60 973.40 1,285.61 2,259.01 Ne on Beach 5,598.00 5,598.00 - 6,428.07 6,428.07 Oran e 30,230.00 21 251.19 8,978.81 26,56934 35,548.15 Placentia 7,464.00 7,464.00 9,427.83 16,891.83 Santa Ana 144,434.00 144 434.00 - 167 558.27 167 558.27 Seal Beach 1,866.00 1,866.00 2,142.69 4,008.69 Tustin 9,330.00 9,330.00 - 13,284.67 13,284.67 Westminster Orange County Sheriffs 16.795.00 16,795.00 24,426.65 41,221.65 Department Unincorporated area and Contract Cities * 64,940.00 33,693.43 31,246.57 56,566.99 87,813.56 GRAND TOTAL 565,048.00 428,146.52 136,901.48 623,951.00 760 852.48 * OC Sheriff Allocation includes Midway City & City of Yorba Linda. 7:114 - 6/30/15 Sams Ana Cost Reimbursement MOU 20D -16 Page 13 of 13 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT WITH OFFICE OF TRAFFIC SAFETY FOR PUBLIC EDUCATION ON BICYCLE SAFETY GRANT (STRATEGIC PLAN NO. 1, 3, B) CITY MANAG 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 1. Approve an appropriation adjustment to recognize Office of Traffic Safety (OTS) Public Education on Bicycle Safety grant funds in the amount of $150,000 in the OTS -PWA Traffic Safety Grants revenue account and appropriate the same to the OTS- Bicycle Safety PWA expenditure account. 2. Authorize the City Manager and Clerk of the Council to execute a one -year agreement with the State of California Office of Traffic Safety for Public Education on Bicycle Safety Grant funds, in an amount not to exceed $150,000, for a one -year period from October 1, 2014, through September 30, 2015, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Public Works Agency has been awarded a $150,000 Public Education on Bicycle Safety grant from the State of California Office of Traffic Safety (OTS). These funds will be used to address bicycle safety through the development of a public awareness campaign and the implementation of a series of bicycle safety education workshops. The goal of the program is to reduce the number of deaths and injuries in traffic collisions involving bicycles. The bilingual public awareness campaign is intended to reach all members of the community, regardless of bicycle usage. It will include bicycle safety information displayed on transit vehicles, at bus stops, and on street banners. The bicycle safety education component will directly target bicyclists of all ages through classroom demonstrations, bicycle safety skills classes taught by League of American Bicyclists Certified Instructors, helmet fitting workshops, and helmet distribution. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), 20E -1 Office of Traffic Safety Grant Application November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing and reducing criminal activity and traffic collisions). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds will be accepted into the OTS -PWA Traffic Safety Grants revenue account (16517002- 52001) and appropriated into the OTS- Bicycle Safety PWA expenditure account (16517611- 66220). Fr d Mousavipour Executive Director Public Works Agency FM /EWG /ZK Exhibit 1: Grant Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez `N Executive Director Finance & Management Services Agency 20E -2 State of California — Office of Traffic Safety GRANT AGREEMENT - Page 1 GRANT NUMBER PS1506 QRGfr= USA E, $7-T ©R�`j( Asalglanl 0Ily Attorney 20E -3 1. GRANT TITLE PUBLIC EDUCATION ON BICYCLE SAFETY 2. NAMF.OF APPLICANT AGENCY 4. GRANT PERIOD CITY OF SANTA ANA From: 10/1!14 3, AGENCY UNITTO HANDLE GRANT To: 9 /30i 15 TRAFFIC ENGINEERING DEPARTMENT 5. GRANT DESCRIPTION This grant will provide funding for a bilingual public awareness campaign that will include bus advertisements, billboards, and banners. The city will work with the police department in conducting educational presentations and bicycle rodeos where bicycle helmets will be distributed to those in need. 6. FEDERAL FUNDS ALLOCATED UNDER THIS AGREEMENT SHALL NOT EXCEED: $ 150,000.00 7. TERMS AND CONDITIONS: The parties agree to comply with the terms and conditions of the following which are by this reference made a part of the Agreement: • Schedule A (OTS -38b) — Problem Statement, Goals and Schedule C (OTS -38g) — Quarterly Evaluation Data Form Objectives and Method of Procedure (if applicable) • Schedule B (OTS -38d) — Detailed Budget Estimate and * Exhibit A — Certifications and Assurances Sub - Budget Estimate (if applicable) • Exhibit B* - OTS Grant Program Manual • Schedule B -1 (OTS -380 — Budget Narrative and Sub - Budget Narrative (if applicable) *items shown with an asterisk ( *), are hereby incorporated by reference and made a part of this agreement as if attached hereto, These documents can be viewed at the OTS home web page under Grants: www.ots.cn.eoa. We, the officials- named below, hereby swear under penalty of perjury under the laws of the State of California that we are duly authorized to legally bind the Grant recipient to the above described Grant terms and conditions. IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. 8. APPROVAL SICNATURFS A. GRANT DIRECTOR ! B. AUTHORIZING OFFICIAL OF APPLICANT AGENCY NNME: Zdenek Kekula PROSE: (714) 647- 5606 '.. NAME: David Cavazos PnONE:(714)647 -5200 -1 tTLE: Acting Principal Civil TITLE: City Manager FAX: (714) 647 -5676 FAX: (714) 647 -695 Engineer ADDRESS: City of Santa Ann ADDRESS: City Of Santa Ana, 8" Floor 20 Civic Center Plaza, M43 '.. P.O. BOX 1988 P.O. BOX 1988 Santa Ana, CA 92702 Santa Ana, CA 92702 EAlAiL: zkekulaCasanta- ana.org ! E- NAIL: dcavazos a`santa- ana.org (Date) (Date) _(Signature) C. FISCALORACCOUNTINGOFFICIAL D. OFFICEAUTHORIZEDTO RECEIVE PAYMENTS NAME: Francisco Gutierrez PnONE: (714) 647 -5420 ',. NAME: City of Santa Ana TITLE: Executive Director Finance & FAX: (714) 647 -5414 ADDRESS: Finance @ Management Services Agency, NI -87 Management Services 20 Civic Center Plaza ADDRESS: City of Santa Ana 20 Civic Center Plaza, NI -17 P.O.BOX 1988 P.O. BOX 1988 Santa Ana, CA 92702 Santa Ana, CA 92702 9. DUNS NUMBER FAI.AIL: FGutierrez(aasanta- ana.org Duns #: 083153247 REGISTERED 20 Civic Center Plaza, FL #8 APPROVED AS TO FORM ADDRESS& P.O. BOX 1988 (Signnlure) Awe) ZIP: Santa Ana- CA 92702 QRGfr= USA E, $7-T ©R�`j( Asalglanl 0Ily Attorney 20E -3 SCHEDULE A GRANT DESCRIPTION GRANT No. PS 1506 1. PROBLEM STATEMENT PAOP I The City of Santa Ana has a continuing bicycle safety problem, as identified through the bicycle - related collisions. As of 2012, the City of Santa Ana has a population of 330,920 making it the second largest city in Orange County. The City is approximately 27.1 square miles. Santa Ana has a large volume of motor vehicle traffic, with the arterials carrying 30,000 to 40,000 vehicles per day. There are also four freeways that converge within the city and a total of 450 miles of streets. Relative income and vehicle ownership levels within the City are significantly lower than the statewide averages. The City's population's median age is the youngest of the seven largest cities in Orange County and the residential density is one of the highest in the State. As a result of climate and demographics, the City has a relatively high level of bicycling activity when compared to other communities in the County or the State. Also, a significant portion of the adult bicyclists may not speak or read English well or understand the rules of the road. Furthermore, transit ridership is high with several of the busiest Orange County Transit Authority bus lines serving the City. In the City of Santa Ana, from 2011 to 2012, the number of bicycle collisions rose from 163 in 2011 to 222 in 2012. This is a 36% increase within that year. In addition, collisions involving bicyclists riding on the wrong side of the road increased from 54 in 2011 to 74 in 2012. Finally, bicycle injury collisions increased from 147 in 2011 to 201 in 2012. 2. PERFORMANCE MEASURES A. Goals: 1) To reduce the number of bicyclists killed in traffic collisions. 2) To reduce the number of bicyclists injured in traffic collisions. 3) To reduce the total number of bicyclists injured in traffic collisions riding in the wrong direction. 4) To reduce the number of bicyclists under the age of 15 killed in traffic collisions. 5) To reduce the number of bicyclists under the age of 15 injured in traffic collisions. B. Objectives: l) To develop a bicycle safety program and materials to be adopted as an on -going program in 20 schools reaching 5,000 children by September 30, 2015. OTS -38b (Rev. 5/14) 20E -4 SCHEDULE A GRANT DESCRIPTION GRANT No. PS 1506 PAGE 2 2) To conduct 20 bicycle safety classroom presentations impacting approximately 5,000 people by September 30, 2015. 3) To conduct 4 bicycle rodeos impacting approximately 500 people by September 30, 2015. 4) To distribute and properly fit 1,000 safety helmets to students and community members participating in rodeos and other bicycle safety events by September 30, 2015. 5) To conduct approximately 4 safety helmet inspections and make necessary adjustments at schools and community events September 30, 2015. 6) To strongly emphasize enforcement of safety helmet laws (with a diversion or parental notification program) by September 30, 2015. 7) To identify and recognize students who were "saved by the safety helmet." Each case will be reported to OTS and a special note will be made of those cases that involve an OTS funded helmet. 8) To implement a data tracking system to identify bicycle and pedestrian traffic collisions and issues and to communicate the information on a regular basis to school officials, police department personnel, and other interested groups by September 30, 2015. 9) To establish a community Traffic Safety Committee to identify problem areas and provide program recommendations, and implementation by September 30, 2015. 10) To describe and assess separately the effectiveness of "paid and donated" printed messages by providing: a. Number of messages produced. b. Subject of each message. c. Number of printings for each message. d. Total size of audience reached. e. Total cost or donated value. f. Conduct evaluation surveys as appropriate. 3. METHODOEPROCEDURE A. Phase I - Program Preparation Training and Implementation (1" Quarter of Grant Year) • City staff will issue a request for proposal (PFP) for a marketing consultant to develop a bicycle safety campaign by October 31, 2014. Select a marketing consultant by December 31, 2014. OTS -38b (Rev. 5/14) 20E -5 SCHEDULE A GRANT DESCRIPTION GRANT No. PS 1506 Derr 1 • Conduct a helmet usage survey (pre -grant activities). Media Requirements • Issue a press release announcing the kick -off of the grant by November 15. The kick -off press releases and media advisories, alerts, and materials must be emailed to the OTS Public Information Officer at niofaots.ca.gov, and copied to your OTS Coordinator, for approval 14 days prior to the issuance date of the release. B. Phase 2 - Program Operations (Throughout Grant Year) • Prepare a plan of action for implementing the Public Education Campaign by February 28, 2015. • Develop a bicycle and pedestrian safety website for the City of Santa Ana by April 30, 2015. • Advertise on the interior and exterior of OCTA buses by August 30, 2015. • Have banners prepared and ready for presentation, and displayed throughout the City by August 30, 2015. • Coordinate with the Santa Ana Police Department to conduct three bicycle rodeos or safety fairs by September 30, 2015. • Host a bicycle safety class from bicycling league certified instructor by September 30, 2015. • Develop and acquire collateral materials including coloring books, bicycle helmets, bicycle lights, reflective bands, etc. for public distribution by April 30, 2015. • Distribute 1,000 educational brochures and collateral materials to various groups, including schools, libraries, and similar public facilities by September 30, 2015. • Coordinate with the Santa Ana Police Department to conduct four saturation patrols enforcing bicycle laws by September 30, 2015. • Conduct a helmet usage survey by September 30, 2015 (post -grant activities). Media Requirements • Send all grant- related activity press releases, media advisories, alerts and general public materials to the OTS Public Information Officer (PIO) at piocei:ots.ca.kov, with a copy to your OTS Coordinator. OTS -38b (Rev. 5114) 20E -6 SCHEDULE A GRANT DESCRIPTION GRANT No. PS1506 PAGE 4 a) If an OTS template -based press release is used, the OTS PIO and Coordinator should be copied when the release is distributed to the press. If an OTS template is not used, or is substantially changed, a draft press release should first be sent to the OTS PIO for approval. Optimum lead time would be 10 -20 days prior to the release date to ensure adequate turn- around time. b) Press releases reporting the results of grant activities such as enforcement operations are exempt from the recommended advance approval process, but still should be copied to the OTS PIO and Coordinator when the release is distributed to the press. C) Activities such as warrant or probation sweeps and court stings that could be compromised by advanced publicity are exempt from pre - publicity, but are encouraged to offer embargoed media coverage and to report the results. • Use the following standard language in all press, media, and printed materials: Funding for this program was provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic Safety Administration. • Email the OTS PIO at pioaots.ca.aov and copy your OTS Coordinator at least 30 days in advance, a short description of any significant grant- related traffic safety event or program so OTS has sufficient notice to arrange for attendance and/or participation in the event. • Submit a draft or rough -cut of all printed or recorded material (brochures, posters, scripts, artwork, trailer graphics, etc.) to the OTS PIO at pioiccots.ca.gov and copy your OTS Coordinator for approval 14 days prior to the production or duplication. • Include the OTS logo, space permitting, on grant- funded print materials; consult your OTS Coordinator for specifics. C. Phase 3 — Data Collection & Reporting (Throughout Grant Year) • Agencies are required to collect and report quarterly, appropriate data that supports the progress of goals and objectives. • Statistical data relating to the grant goals and objectives will be collected, analyzed, and incorporated in Quarterly Performance Reports (QPRs). QPRs for the quarter ending September 30 will include year -to -date comparisons of goals and objectives. If required, a separate quarterly data reporting form will be completed each quarter and submitted as part of the QPR. • Reports will compare actual grant accomplishments with the planned accomplishments. They will include information concerning changes made by the Grant Director in planning and guiding the grant efforts. OTS -38b (Rev. 5/14) 20E -7 SCHEDULE A GRANT DESCRIPTION GRANT No. PS 1506 PAGE 5 • Reports shall be completed and submitted in accordance with OTS requirements as specified in the Grant Program Manual. 4. METHOD OF EVALUATION Using the data compiled during the grant, the Grant Director will complete the "Final Evaluation" section in the fourth/final Quarterly Performance Report (QPR). The Final Evaluation should provide a brief summary of the grant's accomplishments, challenges and significant activities. This narrative should also include whether goals and objectives were met, exceeded, or an explanation why objectives were not completed. S. ADMINISTRATIVE SUPPORT This program has full support of the City of Santa Ana. Every effort will be made to continue the activities after the grant conclusion. OTS -38b (Rev. 5/]4) 20E -8 SCHEDULE B DETAILED BUDGET ESTIMATE GRANT NO, PSI 506 COST CATEGORY CATALOG TOTAL FUND NUMBER NUMBER (CFDA) FUND DESCRIPTION AMOUNT Positions and Salaries Full Time None Overtime None 402PS 20.600 State and Community Highway Safety $ 100,000.00 402PN1 20.600 State and Community Highway Safety $ 50,000.00 COST CATEGORY FISCAL YEAR ESTIMATES TOTAL COST TO GRANT A. PERSONNEL COSTS CFDA FY -1 10/1/14 thru 9/30/15 Positions and Salaries Full Time None Overtime None $ S - $ $ S $ Cate o Sub -Total S $ B. TRAVEL EXPENSE In -State Out -of -State $ - $ " Category Sub -Total is C. CONTRACTUAL SERVICES Marketing Consultant Marketing Consultant 20.600 20.600 $ 100,000.00 S 50,000.00 $ 100,000.00 $ 50,000.00 Category Sub -Total $ 150,000.00 $ 150,000.00 D. EQUIPMENT None $ $ Category Sub -Total E. OTHER DIRECT COSTS None $ Is Category Sub -Total is - $ ' F. INDIRECT COSTS None $ $ Cate o Sub -Total $ - $ ' GRANT TOTAL $ 150,000.00 S 150,000.00 CTS -38d (Rev. 6/14) Page 1 of 1 20E -9 SCHEDULEB -1 GRANT No. PS1506 BUDGET NARRATIVE Page 1 PERSONNEL COSTS None TRAVEL EXPENSE None CONTRACTUAL SERVICES Marketine Consultant — consultant will be hired to provide assistance to develop the bicycle safety campaign, develop and purchase the educational materials, purchase the bicycle helmets, and purchase the bicycle safety equipment. EQUIPMENT None OTHER DIRECT COSTS None INDIRECT COSTS None PROGRAM INCOME There will be no program income generated from this grant. OTS- 38f(Rev.6,14) 20E -10 SCHEDULE DETAILED BUDGET ESTIMATE GRANT NO. PSI 506 Sub - Budget: Marketing Consultant COST CATEGORY CATALOG TOTAL FUND NUMBER NUMBER (CFDA) FUND DESCRIPTION AMOUNT Positions and Salaries Marketing Consultant 20.600 402PS 20.600 State and Community Highway Safety $ 100,000.00 402PM 20.600 State and Community Highway Safety $ 50,000.00 COST CATEGORY FISCAL YEAR ESTIMATES TOTAL COST TO GRANT A. PERSONNEL COSTS CFDA FY -1 10/1/14 thru 9/30/15 Positions and Salaries Marketing Consultant 20.600 $ 50,000.00 $ $ 50,000.00 $ Category Sub -Total $ 50,000.00 $ 50,000.00 B. TRAVEL EXPENSE In -State Out -of -State $ - $ - $ - $ " Category Sub -Total $ $ C. CONTRACTUAL SERVICES Paid Media 20.600 $ 50,000.00 $ 50,000.00 Category Sub -Total $ 50,000.00 $ SQ000.00 D. EQUIPMENT None S $ Cate ory Sub -Total $ $ - E. OTHER DIRECT COSTS Educational Materials Bicycle Helmets Bicycle Safety Equi ment 20.600 20.600 20.600 $ 20,000.00 $ 20,000.00 $ 10,000.00 $ 20,000.00 $ 20,000.00 $ 10,000.00 Category Sub -Total $ 50,000.00 $ 50,000.00 F. INDIRECT COSTS None $ $ " Category Sub -Total $ - $ " GRANT TOTALI $ 150 000.00 OTS -38d (Rev. 6il4) Page 1 of 1 20E -11 SCHEDULE B -1 GRANT NO. PS 1506 SUB BUDGET: MARKETING CONSULTANT BUDGET NARRATIVE Page 1 PERSONNEL COSTS Marketing Consultant — consultant will to provide assistance to develop the bicycle safety campaign, develop and purchase the educational materials, purchase the bicycle helmets, and purchase the bicycle safety equipment. TRAVEL EXPENSE None CONTRACTUAL SERVICES Paid Media — bilingual bus tail and interior advertisements on Orange County Transit Authority buses will be displayed. Twenty bus tail advertisements for six weeks and 100 interior ads on buses for three months. EOIIIPMENT None OTHER DIRECT COSTS Educational Materials — used to purchase, develop, or print brochures, pamphlets, fliers, coloring books, posters, signs, and banners associated with grant activities, and traffic safety conference and training materials. Items shall include a traffic safety message and if space is available the OTS logo. Additional items may be purchased if approved by OTS. 1,000 Bicycle Helmet(s) - helmets to be distributed during bicycle rodeos and other bicycle safety related events. Bicycle Safety Equipment — safety equipment such as bicycle headlights /taillights, reflectors, and reflective arm and leg bands to be distributed during bicycle rodeos and other bicycle safety related events. INDIRECT COSTS None PROGRAM INCONIE There will be no program income generated from this grant. OTS-38f (Rev. 6/14) 20E -12 EXHIBIT A CERTIFICATIONS AND ASSURANCES Page I Failure to comply with applicable Federal statutes, regulations, and directives may subject Grantee Agency officials to civil or criminal penalties and/or place the State in a high risk grantee status in accordance with 49 CFR §18.12. The officials named on the Grant Agreement, certify by way of signature on the Grant Agreement signature page, that the Grantee Agency complies with all applicable Federal statutes, regulations, and directives and State rules, guidelines, policies and laws in effect with respect to the periods for which it receives grant funding. Applicable provisions include, but are not limited to, the following: • 23 U.S.C. Chapter 4 - Highway Safety Act of 1966, as amended • 49 CFR Part 18 - Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments • 23 CFR Chapter II - ( §§ 1200, 1205, 1206, 1250, 1251, & 1252) Regulations governing highway safety programs • NHTSA Order 462 -6C - Matching Rates for State and Community Highway Safety Programs • Highway Safety Grant Funding Policy for Field- Administered Grants NONDISCRIMINATION The Grantee Agency will comply with all Federal statutes and implementing regulations relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (88), which prohibits discrimination on the basis of race, color or national origin (and 49 CFR Part 21); (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681 -1683 and 1685- 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended 29( U.S.C. 22J4, and the Americans with Disabilities Act of 1990 (101), as amended (42 U.S.C. 12 10 1, et seq.), which prohibits discrimination on the basis of disabilities (and 49 CFR Part 27); (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101- 6107), which prohibits discrimination on the basis of age; (e) the Civil Rights Restoration Act of 1987 (100), which requires Federal -aid recipients and all subrecipients to prevent discrimination and ensure nondiscrimination in all of their programs and activities; (f) the Drug Abuse Office and Treatment Act of 1972 (92), as amended, relating to nondiscrimination on the basis of drug abuse; (g) the comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (91), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (h) Sections 523 and 527 of the Public Health Service Act of 1912, as amended (42 U.S.C. 290dd -3 and 290ee -3), relating to confidentiality of alcohol and drug abuse patient records; (i) Title VIII of the Civil Rights Act of 1968, as amended (42 U.S.C. 3601, et seq.), relating to nondiscrimination in the sale, rental or financing of housing; 0) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (k) the requirements of any other nondiscrimination statute(s) which may apply to the application. Certifications and Assurances (Rev. 2014) 20E -13 EXHIBIT A CERTIFICATIONS AND ASSURANCES AMERICA ACT The Grantee Agency will comply with the provisions of the Buy America Act (49 U.S.C. 53230)), which contains the following requirements: Only steel, iron and manufactured products produced in the United States may be purchased with Federal funds unless the Secretary of Transportation determines that such domestic purchases would be inconsistent with the public interest, that such materials are not reasonably available and of a satisfactory quality, or that inclusion of domestic materials will increase the cost of the overall project contract by more than 25 percent. Clear justification for the purchase of non - domestic items must be in the form of a waiver request submitted to and approved by the Secretary of Transportation. POLITICAL ACTIVITY (HATCH ACT) The Grantee Agency will comply with provisions of the Hatch Act (5 U.S.C. 1501 -1508) which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. CERTIFICATION REGARDING FEDERAL LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, 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 sub -award at all tiers (including subcontracts, subgrants, and contracts under grant, loans, and cooperative 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 section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Certifications and Assurances (Rev. 2014) 20E -14 EXHIBIT A CERTIFICATIONS AND ASSURANCES RESTRICTION ON STATE LOBBYING Page 3 None of the funds under this program will be used for any activity specifically designed to urge or influence a State or local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local legislative body. Such activities include both direct and indirect (e.g., "grassroots ") lobbying activities, with one exception. This does not preclude a State official whose salary is supported with NHTSA funds from engaging in direct communications with State or local legislative officials, in accordance with customary State practice, even if such communications urge legislative officials to favor or oppose the adoption of a specific pending legislative proposal. CERTIFICATION REGARDING DEBARMENT AND SUSPENSION Instructions for Primary Certification 1. By signing and submitting this Grant Agreement, the Grantee Agency official is providing the certification set out below. 2. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the Grantee Agency official to furnish a certification or an explanation shall disqualify such person from participation in this transaction. 3. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the Grantee Agency official knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. 4. The prospective primary participant shall provide immediate written notice to the department or agency to which this Grant Agreement is submitted if at any time the Grantee Agency official learns its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 5. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, Grant Agreement, and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and coverage sections of 49 CFR Part 29. You may contact the department or agency to which this Grant Agreement is being submitted for assistance in obtaining a copy of those regulations. 6. The Grantee Agency official agrees by submitting this Grant Agreement that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. Certifications and Assurances (Rev. 2014) 20E -15 EXHIBIT A CERTIFICATIONS AND ASSURANCES Page 4 The Grantee Agency official further agrees by submitting this Grant Agreement that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the list of Parties Excluded from Federal Procurement and Non - procurement Programs. 9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Certification Regarding Debarment, Suspension, and Other Responsibility Matters- Primary Covered Transactions (1) The Grantee Agency official certifies to the best of its knowledge and belief, that its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency; (b) Have not within a three -year period preceding this Grant Agreement been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of record, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or Local) with commission of any of the offenses enumerated in paragraph (l)(b) of this certification; and (d) Have not within a three -year period preceding this application/Grant Agreement had one or more public transactions (Federal, State, or local) terminated for cause or default. (2) Where the Grantee Agency official is unable to certify to any of the Statements in this certification, such prospective participant shall attach an explanation to this Grant Agreement. Certifications and Assurances (Rev, 2014) 20E -16 EXHIBIT A CERTIFICATIONS AND ASSURANCES Page 5 Instructions for Lower Tier Certification L By signing and submitting this Grant Agreement, the prospective lower tier participant is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective lower tier participant shall provide immediate written notice to the person to which this Grant Agreement is submitted if at any time the prospective tower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, Grant Agreement, and voluntarily excluded, as used in this clause, have the meanings set out in the Definition and Coverage sections of 49 CPR Part 29. You may contact the person to whom this Grant Agreement is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this Grant Agreement that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective lower tier participant further agrees by submitting this Grant Agreement that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion — Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. (See below) 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Non - procurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from Certifications and Assurances (Rev. 2014) 20E -17 EXHIBIT A CERTIFICATIONS AND ASSURANCES participation in this transaction, in addition to other remedies available to the Federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Lower Tier Covered Transactions I. The prospective lower tier participant certifies, by submission of this grant agreement, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this grant agreement. Certifications and Assurances (Rev. 2014) 20E -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: CONTRACT AWARD TO SVM, LP FOR PREPAID GASOLINE CARDS (SPEC. NO. 14 -073) (STRATEGIC PLAN NO. 7,6) CITY MANA 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 Award a contract with SVM, LP for the purchase of prepaid gasoline cards for a two -year period, with provision for two one -year renewals, in the annual amount not to exceed $40,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Community Development Agency's Santa Ana W /O /R/K Center manages several programs including the Workforce Investment Act (WIA). Participant clients are offered supportive services including gasoline vouchers to facilitate their ability to find and retain employment. The prepaid gasoline -only card program enables clients to purchase competitively priced gasoline at their local neighborhood gas stations as opposed to a single station. In addition, the Personnel Services Agency purchases gift cards from SVM as employee incentives for the Commuter Service Program. Other departments may also opt to purchase gift cards from SVM for various incentive programs. SVM, LP, a provider of major gas cards and merchant gift cards, is the sole source provider for Chevron prepaid gasoline cards. Chevron was selected based on their low surcharge fee and numerous locations throughout Orange County. STRATEGIC PLAN ALIGNMENT Approval of this item supports efforts to meet Goal #7 Team Santa Ana, Objective #6, provide a positive workplace environment that supports the health of its employees and celebrates its success. 22A -1 Contract Award for Prepaid Gas Cards November 18, 2014 Page 2 FISCAL IMPACT Funds in the amount of $35,000 are available in the Community Development W /O /R/K Center accounts WIA Adult 09 -10 account (no. 12318753), WIA Dislocated Worker 09 -10 account (no. 12318754); and additional agency accounts as authorized for an amount up to $5,000. . � A44vk-4 - Kelly Reenderg Executive Director Community Development Services EG APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency i 22A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: CONTRACTS AWARD FOR NEW AND REPLACEMENT VEHICLES SPEC NO. (14 -081) (STRATEGIC PLAN NO. 6,2) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15'Reading ❑ Ordinance on 2n'Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Award a contract to National Auto Fleet Group for the purchase of a Ford Transit Connect, a Chevrolet Traverse, and Jeep Wrangler and three Ford F550 trucks in an amount not to exceed $440,120, and to Plumbers Depot for the purchase of a Sewer Vactor Combination truck in an amount not to exceed $521,240, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Finance and Management Services Agency Facilities, Fleet Maintenance, and Central Stores Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. Replacement of City vehicles is based on mileage and performance. Due to budget constraints in past years, the City focused primarily on replacing Police Department patrol units. Consequently, other vehicles have exceeded their useful lifecycle resulting in increased maintenance and repair costs and lowered vehicle performance. Based on the City's lifecycle replacement criteria, five vehicles have been identified for replacement with the following equipment: one GapVac Combination Sewer truck, one Jeep Wrangler and three Ford F550 Super Duty trucks. These three vehicles are all assigned to the Public Works Department and used in the street and sewer maintenance divisions. In addition, the City will be augmenting its overall fleet inventory with one Ford Transit Connect for the water educational program and two Chevrolet Traverse vehicles to be used for administrative purposes. Santa Ana Ordinance No. NS -2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. The National Joint Powers Alliance contract with National Auto Fleet Group for fleet vehicles and a local inter - cooperative agreement with Los 22B -1 Contracts Award for Replacement Vehicles November 18, 2014 Page 2 Angeles County awarded to Plummers Depot for the GapVac Combination truck were awarded as a result of open competitive bidding and meet the City's requirements. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 Community Facilities & Infrastructure, Objective #2, Address deferred maintenance on City buildings and equipment. FISCAL IMPACT Funds are available in the Fleet Maintenance Equipment Replacement account in the amount of $361,605 (07510101- 66400), in the Sanitary Sewer Services Machinery and Equipment account in the amount of $521,240 (05617640 66400), in the Public Works Administrative Services Machinery and Equipment account in the amount of $37,850 (no 10117601 66400) and in the Water Services Machinery and Equipment account in the amount of $40,665 (06017644 66400). Frid Mousavipour, P.E. Executive Director Public Works Agency CLsp APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez pan - SR Executive Director Finance and Management Services Agency 22B -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014-03 FOR THE PROPERTY LOCATED AT 301 EAST EIGHTH STREET (STRATEGIC PLAN NOS. 5, 2; 5, 3) _ CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: •:• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" 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 the attached agreement with Ira Blitz, property owner, for the structure located at 301 East Eighth Street, subject to non - substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION On October 2, 2014, the Historic Resources Commission recommended by a vote of 8:0 that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Ira Blitz, property owner, for the structure located at 301 East Eighth Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION This action allows for the approval of a Historic Property Preservation Agreement (Mills Act Contract) which provides a potential property tax reduction allowing the property owner to reinvest the tax savings into the maintenance of the historic property (Exhibit A). Additionally, the agreement prevents inappropriate alterations. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). 25A -1 HPPA No. 2014 -03 November 18, 2014 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $93.27 to $466.35 annually, for a period of not less than ten years. Karen Haluza Interim Executive Director Planning & Building Agency HS:rb Whistonc info"ills act agreementsQWE_Eighth5t.cc Exhibit: A. Historic Resources Commission Staff Report 25A -2 REQUEST FOR Historic Resources Commission Action OCTOBER 2, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014-03 FOR THE PROPERTY LOCATED AT 301 EAST EIGHTH STREET (STRATEGIC PLAN NOS. 5, 2; 5, 3) Prepared by Hally Soboleske all_- Interim Exe tive D' ector t J RECOMMENDED ACTION APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For CONTINUED TO Acting P nnin anager Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Ira Blitz, property owner, for the structure located at 301 East Eighth Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicant, Ira Blitz, is requesting the approval of Historic Property Preservation Agreement No. 2014 -03 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story Craftsman styled residence and garage located at 301 East Eighth Street. The site is within the Specific Development No. 19 (SD -19) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT A 25A -3 HPPA No. 2014 -03 October 2, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Whitson Home and categorized as Key in January of 2002 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). Photos of the property are included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strateoic Plan Alianment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Haily Sobdfeske Associate Planner 4 A---S Vince Fregoso,Al P Acting Planning M ger HS:jm hsWStoric Info"Ifis act agreementsl301_E EighthSt.hm Exhibit: 1. 500' Radius Map 2. Department of Parks and Recreation Form 3. Mills Act Agreement 25A -4 V 3 500' RADIUS HPPA- 2014 -03 301 East Eighth Street PLANNING AND BUILDING AGENCY EXHIBIT 1 25A -5 State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD TA,..".",r. Other L Review NRHP Status or number (assigned by P1. Other Identlfier. W. Location: ONot for Publication PlUnrestricted 'a. County Orange County 'b. USOS 7.3' Quad TCA 1725 Date: 'c. Address 301 East Eighth Street City Santa Ana Zip 92701 e. Other Locational Data: Assessor's Parcel Number Block: Lot: 'P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries This south facing, one and one half story, sideyablad Craftsman bungalow with front- gabled dormer exhibits characteristic asymmetry and broad horizontallty. Roof treatment includes exposed rafter tails and carved braces fn the eaves. A recessed Porch with carved balusters extends across the west two thirds of the fagade and is spanned by a wide beam. Extanor walls. porch supports, and entry pedestals are Gad in narrow clapboard siding. Concrete steps lead to a center entry with sidelights and a door of beveled glass. The shape of the porch beam suggests a pediment over the entry. This unusual feature suggests that the porch once extended across the entire lagade, a supposition confirmed by the Sanborn map (1906-1949) of the property. Two fixed sash windows with tapered frames are located on the first floor, double -hung windows are used throughout the rest of the house. A pergola and porch are located on the east elevation. The dominant center dormer displays decorative knobs over a Mparble window, carved braces, and venting in its apex. A brick chimney is attached to the east elevation. Although relocated and set on a new foundation, the house exhibits a high degree of overall Integrity. When the porch was enclosed, the original window was reused and the siding was closely matched. New, stylistically compatible steps have been constructed at the entry. 'P3b. Resource Attributes: (list attributes and codes) HP2. Single - family Property 'P4. Resources Present: SIBuilding DStructure DObject DSite DDistrict SElement of District DOther c P51 p. Photo: (view and date) South elevation July 2001 'PS. Date Constructed/Age and Sources: Ehistoric 1911rSource: National Register nomination W. Owner and Address: 'P8. Recorded by: Leslie J. Heumann, Peter C. Moruzzi SA1C 35 S. Raymond Ave. # 204 Pasadena, CA 91105 'P9. Date Recorded: January Z 2002 'P10. Survey Type: Intensive Survey Update 'P11. Report Citation: (Cite survey report and other sources, or enter `none') Les, Kathleen. "Historic Resources Inventory French Park District,' March 1980. Marsh, Diann. "French Park Historic District" National Register Nomination Form, February 1998. "Attachments: ONone DLocation Map OSketch Map WContinuation Sheet VIBuilding, Structure, and Object Record OArchaeological Record ODistrict Record OLinear Feature Record OMilling Station Record ❑Rock Art Record DArtifact Record ❑Photograph Record D Other (list) DPR 523A (1195) EXHIBIT 2 25A -6 - Required information State of California —The Resources Agency Primary 0 DEPARTMENT OF PARKS AND RECREATION HRM BUILDING, STRUCTURE, AND OBJECT RECORD Page --a– of a u -NRHP Status Code 10 B1. Historic Name: Whitson Home B2. Common Name: Same B3. Original Use: Single-famMy Residence 84. Present Use: Single -family Residence '85. Architectural Style: Bungalow /Craftsman "B8. Construction History: (Construction date, alterations, aril date or alteratlom): Constructed in 1911. 1987. Relocated from 909 North Spurgeon. July10.1987. New detached garage. June 14, 1988. Rerooll 'B7. Moved? ONO EYes OUnknown Date: 1987 Original Location: 909 North Spurgeon 'B8. Related Features: None. 89a. Architect: Unknown b. Builder: Unknown '819. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1880 -1946 Property Type: Single - ramify Residence Applicable Criteria: C (Discuss Importance in terms of historical or architectural context as darned by theme, period, and geographic scope. Also address Integrity) The Whitson Home is significant as a contributor to the French Park Historic District and Is architecturally distinctive as an intact and characteristic example of the Craftsman bungalow, the most popular style of residential architecture during the first two decades of the twentieth century. It was built In 1911 at 909 North Spurgeon for Dr. Leroy Whitson, a local dentist, and his wife Mattis, who lived in the house for forty years. In 1987, the house was moved to this location and restored by Michael and Martens Braidic. Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. In 1877, Spurgeon, along with James McFadden and James Fruit, formed the Western Development Company with the intention of bringing the Southern Pacific Railroad from Its then terminus in Anaheim into (See Continuation Sheet 3 of 3.) 811. Additional Resource Attributes: (List etuitwtes and `B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Senbom Maps (See Continuation Sheet 3 of 3.) B13. Remarks: 'B14. Evaluator: Leslie J. Heumann (This space reserved for official comments.) 'Date of Evaluation: January 2, 2001 DPR 5238 (1195) 25A -7 Sketch Whitson House 301 East 8° Street 4 A, lRENLN _14=• ' 'Required Information State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION CONTINUATION SHEET by Leslie J. Neumann, Peter C. Moruzzt, SAIC B10. Significance (continued): Primary # HRI # Trinomial or # (Assigned by recorder) Whitson Nome 'Date January 2, 2002 ® Continuation O Update Santa Ana. Thinking to capitalize on commercial growth around the railroad, the partners purchased 160 acres adjacent to the eastern city boundary at French Street. Although they were successful in luring the Southern PacfBc 10 anew depot on Fruit Skeet in Santa Ana in 1878, the expected commercial development of 'Santa Ana East' never materialized. Early gmwf and development of the town continued to be centered hitter west around Fourth and Main Sheets, with Me result that the legacy of Santa Ana East is an angled street plan whose intersection with the original city is marked by a small, tnangular parcel, developed in the 1890s as Flatiron Park, now known as French Park. Santa Ana continued to grow, stimulated by the arrival of the Santa Fe Railroad in 1888. Following Its incorporation as a city In 1886, Santa Ana was recognized as one of the feading communities in the area in 1889 when it became the seat of the newly created County of Orange. Beginning In the 1880s and continuing wed into the twentieth century, the area around the park began to be developed with many of the finest homes In Santa Ana. Examples of Victorian era, turn of the century, and Craftsman homes were built along the treedined streets. By the 19203, most streets M the neighborhood were fu0y developed, although a few revival styled single family homes and duplexes were built during the 1920s, and a handful of apartments constructed in the 1930s. From the nineteenth century onwards, residents were a `IMho's Who "of early Santa Ana, and Included bankers, attorneys, doctors, businessmen, ranchers, teachers and others active in the civic and social life of the city. Once known as the "Nob Hit" of Santa Ana, French Park declined in the 1940s and 1950s as some homes were converted into rooming houses and others were allowed to deteriorate. In the 1960s and 1970s some houses were demolished and the properties redeveloped with muti-family housing. However, a grass roots preservation effort begun in the late 1970s led to the establishment of a local historic district in 1984 and the listing of the neighborhood in the National Register of Historic Places in 1999. One of the activities undertaken in support of the historic district has been the relocation of several historic homes threatened with demolition to sites within the district boundaries. The Whitson Home fs an example of a recently moved house, originally constructed two blocks away at another French Park location. It contributes to the French Park Historic District through its architectural style and type, which are representative of the district during its period of growth and sfgnifrcance (established by the National Register nomination as 1877 - 1945). The Whitson Home is listed in the National Register of Historic Places as a contributor to the French Park Historic District, is therefore listed in the California Register of Historical Resources, and is located within the boundaries of the locally designated historic district. It is also included in the Santa Ana Register of Historical Property and has been categorized as "Key.' Following its relocation in 1987, rehabdltation included the removal of asbestos siding, replication of a fireplace, interior restoration and new landscaping. The Whitson Home possesses substantial integrity from 1911, including built -In sideboard, bookcase, and bathroom cabinets and exhibits the horizontal proportions, dormer, clapboard siding, and gabled roof that characterize the Craftsman bungalow style. Ali original and restored exterior features of the Whitson Home are considered to be character defining and should be preserved. These features include, but may not be limited to: materials and finishes (siding); roof configuration and detailing, dormer, original windows and doors where extant; and architectural detailing such as rafter tads and braces. 'B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encycl000dia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana An Mistated His forv. Encinitas, Heritage Publishing. 1994- McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form. " Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources. "Sacramento: March 1995. Whiffisn, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Historic French Park Holiday Home Tour, 1999. DPR 5?{L 25A -8 MILLS ACT AGREENIENT 301 East Eighth Sheet Santa Ana, CA 92 706 RECORDING REQUESTED BY' City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement ") is made and entered into this November 18, 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 of the State of California (hereinafter referred to as "City "), Ira Blitz, (hereinafter referred to as "Owner"), owner of real property located at 301 East Eighth Street, Santa Ana, California, 92706 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act ") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess Cee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 301 East Eighth Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property ". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are cared out in an exemplary manner. EXHIBIT 3 25A -9 MILLSACTAGREEMENT 301 East Eighth Street SanteAna, t:A 92706 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: Effective Date and Terms of Agreement. This Agreement shall be effective and commence on November 18, 2014, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonnrenewal in any year, the Agreement shall remain in effect for the balance of the tern then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: 25A -10 MILLS .4CT AGREEMENT 301 East Eighth Street Santa Ana, CA 92706 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shalt comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owners shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owners shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character- defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. C. Owners shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner's compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owners hereby agree to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. 3. 25A -11 MILLS ACT AGREEMENT 307 East Eighth Street Santa Ana, CA 92706 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owners have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owners have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owners shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 %) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owners, the City shall give written notice to the Owners by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owners), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owners growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by a. 25A -12 MILLSACTAGREEMENT 301 East Eighth Street Santa Ana, CA 92706 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owners hereby subject the Historic Property, located at 301 East Eighth Street, Assessor Parcel Number, 398 - 017 -11, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner's successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owners shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owner(s): Ira Blitz 301 East Eighth Street Santa Ana, CA 92706 i - 25A -13 AMLSACTAGREEMENT 301 East Eighth Street Santa Ana, CA 92706 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owners agree to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owners hereby agree to and shalt defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason ofthe Owner's activities in connection with the Historic Property, C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -6- 25A-14 MlLLSACTACREEMENT 301 Easr Eighth Street Santa Ana, CA 92706 I1. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall he effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: APPROVED AS TO FORM: SONIA C�AI.HO City A me j j n By: Attorney CITY OF SANTA ANA DAVID CAVAZOS City Manager B1 7- 25A -15 Im Blitz M/LLSACTACREEMENT 301 East Eighth Street Santa Ana, CA 91706 Exhibit A P BK 216 PG 16 PAR 1 filed in the Office of the County Recorder of Orange County. Assessor's Parcel Number: 39&017 -11 y- 25A -16 MILLS ACT AGREEMENT 301 East Eighth Street Santa Ana, CA 91706 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7 The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. S. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with 9- 25A -17 MIUSACTAGREEMENT 301 East Eighth Street Santa Ana, CA 92706 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. 10- 25A -18 Iry AC AW -e V ' " 25A -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -08 FOR THE PROPERTY LOCATED AT 118 WEST FIFTH STREET {STRATEGIC PLAN NOS. 5, 2; 5, 3) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1"' Reading ❑ Ordinance on fn Reading ❑ implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Jack Jakosky on behalf of Ramona Building LLC, property owner, for the structure located at 118 West Fifth Street, subject to non - substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION On October 2, 2014, the Historic Resources Commission recommended by a vote of 8:0 that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Jack Jakosky on behalf of Ramona Building LLC, property owner, for the structure located at 118 West Fifth Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION This action allows for the approval of a Historic Property Preservation Agreement (Mills Act Contract) which provides a potential property tax reduction allowing the property owner to reinvest the tax savings into the maintenance of the historic property (Exhibit A). Additionally, the agreement prevents inappropriate alterations. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). 25B -1 HPPA No. 2014 -08 November 18, 2014 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $406.93 to $2,034.61 annually, for a period of not less than ten years. Karen Haluza Interim Executive Director Planning & Building Agency HS:rb f1 histOIIC inlo"ill6 act apreaments=141002 hppa14 -08_118 E Rpl1 St= Exhibit: A. Historic Resources Commission Staff Report 25B -2 REQUEST FOR Historic Resources Commission Action OCTOBER 2, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014-08 FOR THE PROPERTY LOCATED AT 118 WEST FIFTH STREET (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske ti Interim Exe tiv irector RECOMMENDED ACTION APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For CONTINUED TO Acting Pla nin tanager Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Jack Jakosky on behalf of Ramona Building LLC, property owner, for the structure located at 118 West Fifth Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicant, Jack Jakosky, is requesting the approval of Historic Property Preservation Agreement No. 2014 -08 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story, plus basement, 35,000 square foot commercial building designed in an Italian Renaissance style located at 118 West Fifth Street. The site is within the Specific Development No. 84 (SD -84) zoning district. Surrounding land uses are commercial (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT A 25B -3 HPPA No. 2014 -08 October 2, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Ramona Building and categorized as Key in August 2001 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). Photos of the property are included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strateaic Plan Allonment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality the proposed project is not subject to CEQA. Therefore, Haliy Sol6bleske Associate Planner Act (CEQA), it has been determined that no further action is required. Vince Fregoso, Al P Acting Planning Manager HS:jm hslhistoncmfo%mills act agre aMS1201410C2 hppa14.08_118 E Fifth_ t,hm Exhibit: 1. 500' Radius Map 2. Department of Parks and Recreation Form 3. Mills Act Agreement 25B -4 HPPA- 2014 -08 118 West Fifth Street PLANNING AND BUILDING AGENCY EXHIBIT 1 25B -5 NAME Ramona Building REF. NO. 191 ADDRESS I I8 -120 West Fifth Street CITY Santa Ana ZIP 1 92701 ORANGE COUNTY YEAR BUILT 1922 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT I Downtown Santa Ana NEIGHBORHOOD N/A NATIONAL REGISTER CRITERIA FOR EVALUATION C NATIONAL REGISTER STATUS CODE I ID Location: ❑ Not for Publication ® Unrestricted USGS 7.5" Quad Date: T _ R _ '/, of _ '/ of Sec B.M. ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Italian Renaissance (Late 19 "' and 20" Century Revivals) DESCRIPTION/BACKGROUND RELATED TO PERIOD ARCHITECTURE: The late 19" and 201" century revival of the Italian Renaissance style, also known as the Italian Renaissance Revival, was popular from the late 19" century until 1930. It was inspired by the designs of the palazzi of northern Italy and popularized by American architects McKim, Mead, and White. Utilized on public buildings and ornate homes, the vocabulary of the style also influenced the appearance of commercial buildings. Characteristic features generally include masonry construction, often with different treatments on lower and upper stories; stringcourses or beltcourses between stories; flat roofs screened by parapets or hipped roofs; cornices, dentils, pilasters, quoins, and other classical details; and a balanced, often symmetrical appearance. Taller, more elaborate buildings often feature terracotta facade cladding or ornamentation while more modest one to three story examples utilize bricks of contrasting colors as trim. Ground floors of multi -story buildings often housed banking rooms; more modest buildings may contain storefronts with recessed entries and large plate glass display windows with transoms and bulkheads. Upper story windows are most commonly one - over -one wood framed double -hung sash. * See construction history Page I of4 amhisloricxrn�pla[rs Filll[ I IY N' IRanwna alacl ' "'°°' EXHIBIT 2 r CONSTRUCTION HISTORY: (Construction data, alterations, and date of alterations) Note: Historically, this building also included the addresses 421 -431 North Sycamore Street, 118 -120 West Fifth July 1922: January 1923: January 26, 1981: December 19, 1981 January 19.1982: February 1, 1982: May 11. 1982: July 15, 1982: Business block. Finish 2 "d floor for business building. Add new mezzanine & bring to code. Tenant improvement, foundation only Seismic remodel. Office partitions in basement. Interior offices. Alter existing 2nd floor offices. 120 West Fifth: April 6, 1984: Roof repair, fire damage repair. June 18. 1985: Seismic, mezzanine additions. August 21, 1985: Rehab building. September 23, 1985: Exterior historic rehab, alter interior. October 5, 1987: Tenant improvement (1" floor), 421 -429 North St January 25, 1927 August 28, 1973: April 25, 1978: May 19,1978: camore Street: Alterations. Interior partitions & openings for Banco del Pueblo. Close door way, install front door. Interior partitions. 415 North Sycamore Street: July 15, 1935: Alterations. 421431 North Sycamore Street: October 30,1978: Remodel restaurant. RELATED FEATURES: (Other important features such as hams, sheds, fences, prominent or unusual trees, or landscape) None DESCRIPTION: (Describe resource and its major elements. Include design, materials, condition, alterations, size, settings, and boundaries.) This two -story commercial building is located on the southeast comer of Sycamore and Fifth Streets. Of wire -cut brick construction, the building is divided into five equally sized bays on the west (Sycamore Street) elevation and another five bays plus a smaller entry bay on the north (Fifth Street) elevation. A belt course bands the facades between stories while a denticulated frieze, picked out in contrasting color brick, circles the top of the building. Piers with triangular caps define the bay divisions on the upper story. Small pedestals above the piers and raised parapet above the north entry bay characterize the roofline. Each second floor bay contains a pair of one - over -one double -hung sash windows topped by a spandrel panel outlined in contrasting brick. Ground floor bays contain glazed display windows set over solid bulkheads and topped by bands of transom windows. Storefront entries are either recessed, double, glazed doors with transoms or offset single doors. An ornamental terracotta surround articulates the northern entry to the upstairs offices. Damaged by a fire in 1984, the building has been rehabilitated to an appropriate historic appearance. HISTORIC HIGHLIGHTS: The Ramona Building was built in 1922 on the site of the Fashion Stables and Livery (1915) for L. D. Mercereau. W. W. Kays was the architect of the combination retail and office structure, which was constructed at a cost of $45,000. An additional $15,000 was spent in 1923 to finish the building. Early tenants of the building included Remington Typewriters, Federal Finance, and W. C. Nelty Dry Goods. Subsequent occupants included the Shafer Music Company and the Irvine Company (Thomas, 7:22; Les). RESOURCE ATTRIBUTES: (List attributes and codes from Appendix 4 of Instructions for Recording Historical Resources. Office of Historic Preservation.) (HP 6) 1 -3 story Commercial Building Page 2 of 4 un historic mmplwm r di l IS W IRnnuiu WWI 7 10 01 25B -7 RESOURCES PRESENT: ® Building ❑ Structure ❑ Object ❑ Site ❑ District ®Element of District ❑Other MOVED? ® No ❑ Yes ❑ Unknown Date: Original Location: STATEMENT OF SIGNIFICANCE: (Discuss importance in terms of historical or architectural context as defined by theme, period, geographic scope, and integrity.) Santa Ana was founded by William Spurgeon in 1869 as a speculative townsite on part of the Spanish land grant known as Rancho Santiago de Santa Ana. Early growth and development was stimulated by the arrival of the Southern Pacific Railroad in 1878 and the Santa Fe Railroad in 1886. By the end of the 1880s, Santa Ana's downtown business district was defined by five city blocks of brick commercial buildings on Fourth Street, with the heart of the city at the intersection of Fourth and Main Streets (Thomas, 8:1). The early 1900s witnessed the construction of many new business blocks or remodels along Fourth and adjacent streets, and by the 1920s Santa Ana's downtown had expanded in all directions to include both commercial and civic development. The Ramona Building is architecturally significant as a representative example of early 201' century Italian Renaissance Revival influenced commercial architecture in downtown Santa Ana. The building has been rehabilitated to a high degree of integrity, and displays the characteristics typical of the style including dark brown brick walls with contrasting brick trim, a suggestion of classical building elements such as piers and friezes, and glazed storefronts. Character- defining exterior features of the building, which should be retained, include but are not limited to: exterior finishes; parapet; bay divisions articulated by piers; fenestration; storefronts; and ornamental features. SUMMARY /CONCLUSION: This building was listed in the National Register of Historic Places in 1984 as a contributor to the Downtown Historic District. Under the regulations implementing the California Register of Historical Resources, the building is also listed in the California Register. The property is included in the Santa Ana Register of Historical Property and has been categorized as "Key" because it has a "distinctive architectural style and quality," and "is characteristic of a significant period in the history of the City of Santa Ana" (Municipal Code, Section 30- 2.2(2 )). OWNER AND ADDRESS: 0orni +nplmcs Fi Ni 118 W rannn mdgl Page 3 of 7 i011 r RECORDED BY: (Name, affiliation, and address) Leslie J. Heuma n Science Applications international Corporation 35 S Raymond Avenue Suite 204 Pasadena, CA 91105 DATE RECORDED: July 3, 2001 SURVEY TYPE: (Intensive, reconnaissance, or other) Intensive Survey Update REPORT CITATION: (Cite survey report and other sources) Les Kathleen. "Santa Ana Historic Survey, Final Resources Inventory: Downtown." May 1980. Thomas, Harold M. "Downtown Santa Ana Historic District" National Register nomination form, 1985. REFERENCES: (List documents, date of publication, and page numbers. May also include oral interviews.) Harris Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. McAlester, Virginia and Lee. AField Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Department of the Interior, 1991, Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969 EVALUATOR: Leslie J. Neumann DATE OF EVALUATION: July 3, 2001 EXPLANATION OF CODES: National Register Criteria for Evaluation: (From Appendix 7 of Instructions for Recording Historical Resources, Office of Historic Preservation) C: that embody the distinctive characteristics of a type. period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction. National Register Status Code: (From Appendix 2 of Instructions for Recording Historical Resources, Office of Historic Preservation) ID: Contributor to a listed district. Page 4 of 4 cm hi9nncNengk�kr fifth Ili W IRalmm3 aldgI ?1001 25B -9 HILLS ACTAGREEMENT 118 West Fifth Sheet Santa Ana, CA 92701 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement ") is made and entered into this November 18, 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 of the State of California (hereinafter refereed to as "City'), Jack Jakosky on behalf of Ramona Building LLC, (hereinafter referred to as "Owner "), owner of real property located at 118 West Fifth Street, Santa Ana, California, 92701 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Acf) to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 118 West Fifth Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter refereed to as the "Historic Property ". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the properly Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. EXHIBIT 3 1, M/LLSACTAGREEMENT 118 West Fifth Street Santa Ana, CA 92701 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division l of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on November 18, 2014, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2, Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the tern then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: 25B -11 MILLS ACT AGREEMENT III West Fifth Street Santa Ana, CA 92701 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owners shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owners shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character- defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. C. Owners shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner's compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owners hereby agree Eo furnish the City with any and all iul'onnation requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. 3 25B -12 MILLS ACT AGREEMENT 118 West Fifth Sheet Santa Ana, CA 92701 S. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owners have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owners have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owners shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 ' /T) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and /or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owners, the City shall give written notice to the Owners by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owners), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owners growing out of the terms of this Agreement, apply to any tour, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided or in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by M 25B -13 MILLSACTAGREEMENT 118 West Fifth Street Santa Ana, CA 92701 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owners hereby subject the Historic Property, located at 118 West Fifth Street, Assessor Parcel Number, 398 - 258 -01, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner's successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owners shall not receive any payment from the City in consideration of the obligation imposed trader this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owners: Jack Jakosky 503 32nd Street, Suite 200 Newport Beach, CA 92663 _5- 25B-14 d11LLS ACT AGREEMENT 118 West Fifth Street Santa Ana, CA 92701 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owners agree to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owners hereby agree to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons aequirnrg any parr or portion of the Historic Property, whether by operation of law on in any manner whatsoever. C. In the event legal proceedings are brought by any patty or patties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement arc held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof. shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. r, - 25B -15 HILLS ACTAGREEMENT I 1 (Vest Fifth Street Santa Ana, CA 92701 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shalt cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council OWNER Date: APPROVED AS TO FORM: SONIA VALHO City of %Odge By:torney CITY OF SANTA ANA DAVID CAVAZOS City Manager An Jack Jakosky on behalf of Ramona Building LLC '7- 25B-16 MILLS ACTAGREEMENT 118 West Fifth Street Santa Ana CA 92701 Exhibit A SANTA ANA CITY LOT 7 BLK 14 ALL -EX E 6 FT- AND ALL -EX E 6 FT- LOT 10 BLK 14 filed in the Office of the County Recorder of Orange County. Assessor's Parcel Number: 398 - 258-01 -r- 25B-17 MILLSACTAGREEMENT I18 {Vest Fifth Street Santa Ana, CA 91701 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should he avoided when possible. 1 All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6, Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. T The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. R. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with .y_ 25B -18 MILLS ACT AGREEMENT 118 West Fifth Street Santa Ana, CA 91701 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. - to - 25B-19 MILLS ACT AGREEMENT I18 West Fifth Street Santa Ana, CA 92707 Exhibit C (photographs attached) 25B -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -09 FOR THE PROPERTY LOCATED AT 207 NORTH BROADWAY (STRATEGIC PLAN NOS. 5, 2; 5,3) CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Jack Jakosky on behalf of Santora Building LLC and KET Glenoaks LLC, property owners, for the structure located at 207 North Broadway, subject to non - substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION On October 2, 2014, the Historic Resources Commission recommended by a vote of 8:0 that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Jack Jakosky on behalf of Santora Building LLC and KET Glenoaks LLC, property owners, for the structure located at 207 North Broadway, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION This action allows for the approval of a Historic Property Preservation Agreement (Mills Act Contract) which provides a potential property tax reduction allowing the property owner to reinvest the tax savings into the maintenance of the historic property (Exhibit A). Additionally, the agreement prevents inappropriate alterations. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City s efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). 25C -1 HPPA No. 2014 -09 November 18, 2014 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $780.14 to $3,900.68 annually, for a period of not less than ten years. F a'�-�4A +""'i- Karen Haluza Interim Executive Director Planning & Building Agency HS:rb WhistMit WOVNIIS ad sgreementsl207_N Broadwayt20141002 hpP914-09_207NBroadway.w Exhibit: A. Historic Resources Commission Staff Report 25C -2 REQUEST FOR Historic Resources Commission Action HUrORICRESOURCESCONNISSIONNEE MDATE: OCTOBER 2, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014-09 FOR THE PROPERTY LOCATED AT 207 NORTH BROADWAY (STRATEGIC PLAN NOS. 5, 2; 5, 3) Prepared by Hilly Soboieske )�K_ Interim Exec hive irector RECOMMENDED ACTION APPROVED • As Recommended • As Amended ❑ Set Public Hearing For CONTINUED TO a,- �2c Acting P nning anager Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Jack Jakosky on behalf of Santora Building LLC and KET Glenoaks LLC, property owners, for the structure located at 207 North Broadway, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant The applicant, Jack Jakosky, is requesting approval of Historic Property Preservation Agreement No. 2014 -09 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story commercial building designed in a Mission /Spanish Colonial Revival style with Churrigueresque details located at 207 North Broadway. The site is within the Specific Development No. 84 (SD -84) zoning district. Surrounding land uses are commercial (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT A 25C -3 HPPA No. 2014 -09 October 2, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Jacobs House and categorized as Landmark in May of 2001 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). Photos of the property are included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. (171 &Q__�__l�jjr�t� G - Hally Sobefleske Vince Fregoso, A P Associate Planner Acting Planning Manager HS:jm hslhislodc InfMmills acl agreemenW207N_Broadway120141OD2 hppal4 -09_207NBroadway.hrc Exhibit: 1. 500' Radius Map 2. Department of Parks and Recreation Form 3. Mills Act Agreement 25C -4 500' RADIUS HPPA- 2014 -09 207 North Broadway PLANNING AND BUILDING AGENCY EXHIBIT 1 25C -5 NAME Santora Building REF. NO. 10 ADDRESS 201 -211 North Broadway; 209 -217 West 2m Street CITY Santa Ana ZIP 1 92701 ORANGE COUNTY YEAR BUILT 1928 LOCAL REGISTER CATEGORY: Landmark HISTORIC DISTRICT I Santa Ana Downtown NEIGHBORHOOD N/A NATIONAL REGISTER CRITERIA FOR EVALUATION I C NATIONAL REGISTER STATUS CODE I I B Location: ❑ Not for Publication ® Unrestricted USGS 7.5" Quad Date: T R A of /q of Sec B.M. ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Mission/Spanish Colonial Revival DESCRIPTION /BACKGROUND RELATED TO PERIOD ARCHITECTURE: The Mission /Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Mission Revival vocabulary, popular between 1890 and 1920, drew its inspiration from the missions of the Southwest. Identifying features include curved parapets (or espadano); red tiled roofs and coping; low- pitched roofs, often with overhanging eaves; porch roofs supported by large, square piers; arches; and wall surfaces commonly covered in smooth stucco. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama- California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red tile roof coverings; flat roofs surrounded by tiled parapets; and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. The Churrigueresque variant features ornate carvings highlighting arches, columns, window surrounds, cornices and parapets. Page I ofa mrAivioricmmplme >:nra�Awuy 301 N 51101 EXHIBIT 2 25C -6 CONSTRUCTION HISTORY: (Construction data, alterations, and date of alterations) July 10, 1928: Building (Multiple building permits for interior partitions and storefront renovations) March 30, 1989: Seismic rehab RELATED FEATURES: (Other important features such as barns, sheds, fences, prominent or unusual trees, or landscape) None DESCRIPTION: (Describe resource and its major elements. Include design, materials, condition, alterations, size, settings, and boundaries.) A remarkable example of the Churrigueresque variant of Spanish Colonial Revival design, the two -story Santora Building occupies the northeast corner of North Broadway and West Second Street in downtown Santa Ana. Of brick construction, the building is sheathed with stucco. A parapet hides the roof. The building is dominated by the comer bay, which projects out and up from the rest of the building. Pierced on both levels by large archways, this "tower' is embellished with intricately patterned cast stone spandrels over the upper story arches. Corbels, finials, and wrought iron balconies provide further decorative interest. On the side elevations, storefronts feature transoms with elaborate wrought iron grilles set below the carved soffits of the upper story overhang. Banks of second story windows are separated by pilasters with decorated caps. Additional entries arc located at each end of the building on the south and west and midway on the west elevation; these bays echo the design of the comer. Storefronts incorporate tiled bulkheads beneath display windows. Steel casement windows open onto the balconies over the building entries. Other windows are double - hung sash. An engraded molding marks the comice. Although the building has experienced changes over the years, it retains a high degree of integrity and the exuberance of its original design remains undiminished. HISTORIC HIGHLIGHTS: Groundbreaking for the Santora Building took place on July 7, 1928. "Santora" combines the names Santa Ana and Orange. Built by the Santora Land Company, under the guidance of Oliver Halsell, vice - president and manager, the building cost $150,000 and was constructed on property acquired from the Minter family. Frank Lansdowne, one of the premier architects of the region, designed building. It had ten stores and an entrance lobby on the first floor, 20 shops and a large lobby on the second floor, and a full basement. Following the Long Beach Earthquake in 1933, the building served as city hall for two years while repairs were completed at the North Main Street facility. From 1934 until 1944 Daninger's Tea Room occupied the rooms on the second floor, southwest comer. The restaurant was famous for its home cooked meals and pleasant atmosphere, and attracted a clientele that included Hollywood celebrities Jack Benny, Milton Berle. Billie Burke, Charles Ruggles, Connie Haines, Lucille Ball. Gracic Allen, George Bums, Joan Davis. Rosalind Russell, Robert Young, William Holden and Alan Ladd, all of whom signed the guest book. RESOURCE ATTRIBUTES: (List attributes and codes from Appendix 4 of Instructions for Recording Historical Resources, Office of Historic Preservation.) (HP 6) 1 -3 story commercial building Page 2 of 4 nn$isimir ie,,Uw, tlnndx.y 2111 N - S:II 01 25C -7 RESOURCES PRESENT: ® Building ❑ Structure ❑ Object MOVED? ® No ❑ Yes ❑ Unknown ❑ Site ❑ District ® Element of District Date: Original Location: ❑ Other STATEMENT OF SIGNIFICANCE: (Discuss importance in terms of historical or architectural context as defined by theme, period. geographic scope, and integrity.) Santa Ana was founded by William Spurgeon in 1869 as a speculative townsite on part of the Spanish land grant known as Rancho Santiago de Santa Ana. Early growth and development was stimulated by the arrival of the Southern Pacific Railroad in 1878 and the Santa Fe Railroad in 1886. By the end of the 1880s, Santa Ana's downtown business district was defined by five city blocks of brick commercial buildings on 4th Street, with the heart of the city at the intersection of 4th and Main Streets. (Thomas, 8:1) The period of 1911 -1915 saw many characteristic new business blocks or remodels along Fourth Strcet, and by the 1920s Santa Ana's downtown had expanded in each direction to include both commercial and civic development. The California style of living evidenced itself in the abundance of Spanish Colonial Revival style buildings, which were commonly built during the 1920s and early 1930s. Occupying a prominent corner in the downtown business district, the Santora Building is an exceptional example of such an improvement. It is highly significant for both its historical role in Santa Ana's commercial and civic history and for its architectural merit and association with the career of Frank Lansdowne, one of the premier architects based in Santa Ana during the 1920s. Since the 1980s. the Santora Building has served as an anchor for the developing Artists' Village. Character -defining exterior features of the Santora Building which should be preserved include but are not limited to: building scale and configuration on the two public elevations; exterior materials and finishes; all cast stone and other architectural embellishment; wrought iron grillework and balconies; tiled bulkheads; and original fenestration. SUMMARY /CONCLUSION: This building was listed in the National Register of Historic Places in 1982 as an individual resource and in 1984 as a contributor to the Downtown Historic District. Under the regulations implementing the California Register of Historical Resources, the building is also listed in the California Register, The Santora Building has been included in the Santa Ana Register of Historical Property for several reasons. It is an archetypal example of the Churrigueresque variant of the Spanish Colonial Revival style. It was designed by prominent Santa Ana architect Frank Lansdowne. It is significant for its historic and continuing role in die commercial, public and social life of Santa Ana. The Santora Building has been categorized as "Landmark" because the building "has historical /cultural significance to the City of Santa Ana" and has "unique architectural significance" (Municipal Code Section 30- 2.2(1)). OWNER AND ADDRESS: Santora 1200 North Santa Ana. CA 92701 -3640 1 cn MIunraemplame.amaJway ?III N i q Jl Page 3 of 4 25C -8 RECORDED BY: (Name, affiliation, and address) Leslie Heumann Science Applications International Corporation 35 S Raymond Avenue Suite 204 Pasadena, CA 91105 DATE RECORDED: February 28, 2001 SURVEY TYPE: (Intensive, reconnaissance, or other) Intensive Survey Update REPORT CITATION: (Cite survey report and other sources) City of Santa Ana Santa Ana's Historic Treasures. Les, Kathleen. "Santa Ana Historic Survey, Final Resources Inventory: Downtown" May 1980. Thomas Harold M "Downtown Santa Ana Historic District" National Register nomination form, 1984. REFERENCES: (List documents, date of publication, and page numbers. May also include oral interviews.) Gebhard, David & Winter, Robert. Architecture in Los Angeles and Southern California, 1977, p434. Harris Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Department of the Interior, 1991. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. EVALUATOR: Leslie J. Heurmum EXPLANATION OF CODES: DATE OF EVALUATION: February 28, 2001 National Register Criteria for Evaluation: (From Appendix 7 of Instructions for Recording Historical Resources. Office of Historic Preservation) C: that embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction. National Register Status Code: (From Appendix 2 of Instructions for Recording Historical Resources, Office of Historic Preservation) 1B: Listed in the National Register separately and as a contributor to a listed district. m hislniicurnm1.1", aWwny 201N 51 V01 Page 4 of 4 25C -9 HILLS ACTAGREEMENT 107 North Broadway Sonia Ana, CA 9170/ RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement") is made and entered into this November 19, 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 of the State of California (hereinafter referred to as "City'), Jack Jakosky on behalf of Santora Building LLC and KET Glenoaks LLC, (hereinafter referred to as "Owner"), owner of real property located at 207 North Broadway, Santa Ana, California, 92701 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act ") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 207 North Broadway, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property ". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new EXHIBIT 3 25C -10 MILLS ACT AGREEMENT 207 North Broadway Santa Ana, CA 92701 building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on November 18, 2014, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal, a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the tens of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year. the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the tern of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: 1 - 25C -11 MILLSACTAGREEMENT 207 North Broadway Santa Ana, CA 92701 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owners shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owners shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character- defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface, exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. C. Owners shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to detennine the Owner's compliance with the terns and provisions of this Agreement. 4. Furnishing of Information. The Owners hereby agree to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terns and provisions of this Agreement. 25C -12 AULLSACTAGREEMENT 107 North Broadway Santa Ana, CA 91701 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owners have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owners have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owners shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 %x) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by die County assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and /or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. in the event of a default, under the provisions to cancel the Agreement by the Owners, the City shall give written notice to the Owners by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owners), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owners growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. h. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a brea::h of this Agreement. No waiver by a- 25C -13 MlLLSACTAGREEMENT 207 North Broadway Santa Ana. CA 9270! the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owners hereby subject the Historic Property, located at 207 North Broadway, Assessor Parcel Number, 398- 267 -03, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner's successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owners shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owners: Jack Jakosky 503 32 "a Street, Suite 200 Newport Beach, CA 92663 i- 25C -14 MULS ACT AGREEMENT 207 North Broadway Santa Ana, CA 92701 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owners agree to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owners hereby agree to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. C. This hold harmless provision applies to alt damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to cour costs and other relief ordered by the court. t: In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -v- 25C-15 MILLSACTACREEMENT 207 North Broadway Santa Ana, CA 92701 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: APPROVED AS TO FORM: City By: CITY OF SANTA ANA DAVID CAVAZOS City Manager M 7_ Jack Jakosky on behalf of Santora Building LLC and KET Glenoaks LLC 25C -16 MILLS ACT AGREEMENT 207 North Broadway Santa Ana, CA 92701 Exhibit A SANTA ANA CITY LOT 2 BLK 5 AND LOTS 3 & 6 ALL IN BLK 5 filed in the Office of the County Recorder of Orange County. Assessor's Parcel Number: 39 8-267 -03 s- 25C -17 M/LLS ACT AGREEMENT 207 North Broadway Santa Ana, C4 91701 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with 4- 25C -18 MILLS ACTAGREEMENT 107 Nardi Broadway Santa Ana, CA 92701 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. !0- 25C -19 MILLSACTAGREEMENT 107 North Broadway Santa Ana, CA 91701 Exhibit C (photographs attached) _II. 25C -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014-111 FOR THE PROPERTY LOCATED AT 102 WEST FOURTH STREET (STRATEGIC PLAN NOS. 5, 2; 5, 3) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: -[• ❑ As Recommended ❑ As Amended ❑ Ordinance on to Reading ❑ Ordinance on 2nO Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Kimberly Tapfer on behalf of Miller -Burg- DuPont, Inc., property owner, for the structure located at 102 West Fourth Street, subject to non - substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION On October 2, 2014, the Historic Resources Commission recommended by a vote of 8:0 that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Kimberly Tapfer on behalf of Miller- Burg- DuPont, Inc., property owner, for the structure located at 102 West Fourth Street, subject to non - substantive changes approved by the City Manager and City Attorney, DISCUSSION This action allows for the approval of a Historic Property Preservation Agreement (Mills Act Contract) which provides a potential property tax reduction allowing the property owner to reinvest the tax savings into the maintenance of the historic property (Exhibit A). Additionally, the agreement prevents inappropriate alterations. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). 2501-1 HPPA No. 2014 -11 November 18, 2014 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $322.08 to $1,610.41 annually, for a period of not less than ten years. Karen Haluza Interim Executive Director Planning & Building Agency HS:rb WhistMe infoVnills act agreements \102 w_FourtMhppal4 -11.W Exhibit: A. Historic Resources Commission Staff Report 25D -2 REQUEST ' Resources Hilstom . HSTOFaCFESOURCESCOMMtSSIONREETMOATE:: OCTOBER 2, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014-11 FOR THE PROPERTY LOCATED AT 102 WEST FOURTH STREET (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske APPROVED • As Recommended • As Amended • Set Public Hearing For CONTINUED TO Interim E ecyti a Director Acting Panning anager RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Miller -Burg- DuPont, Inc., property owner, for the structure located at 102 West Fourth Street, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant The applicant, Miller -Burg- DuPont, Inc., is requesting approval of Historic Property Preservation Agreement No. 2014-11 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a six -story commercial building designed in an Italian Renaissance Revival style architecture that is located at 102 West Fourth Street. The site is within the Specific Development No. 84 (SD -84) zoning district. Surrounding land uses are commercial (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owners voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT A 2501-3 HPPA No. 2014 -11 October 2, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the First National Bank Building and categorized as Landmark in March of 2001 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). Photos of the property are included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further act'on is required. Hally Sob leske Vince Fregoso, ICP Associate Planner Acting Planning manager HS:jm hslhistoricinfolmillsactagre ents1102_W_FourtMhppa14-11.hm Exhibit: 1. 500' Radius Map 2. Department of Parks and Recreation Form 3. Mills Act Agreement 2501-4 500' RADIUS HPPA- 2014 -11 102 West Fourth Street PLANNING AND BUILDING AGENCY EXHIBIT 1 2501-5 NAME First National Bank Building REF. NO. 234 ADDRESS 102 -106 West Fourth Street CITY Santa Ana ZIP 1 92701 ORANGE COUNTY YEAR BUILT 1923 LOCAL REGISTER CATEGORY: Landmark HISTORIC DISTRICT I Downtown Santa Ana NEIGHBORHOOD NATIONAL REGISTER CRITERIA FOR EVALUATION I C NATIONAL REGISTER STATUS CODE I ID Location: ❑ Not for Publication ® Unrestricted USGS 7.5" Quad Date: —T —R— of of Sec B.M ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Late 19" and 20" Century Revivals /Italian Renaissance DESCRIPTIONBACKGROUND RELATED TO PERIOD ARCHITECTURE: The late 19" and 20" century revival of the Italian Renaissance style, also known as the Italian Renaissance Revival, was popular from the late 19" century until 1930. It was inspired by the designs of the palazzi of northern Italy and popularized by American architects McKim, Mead, and White. Utilized on public buildings and ornate homes, the vocabulary of the style also influenced the appearance of commercial buildings. Characteristic features generally include masonry construction, often with different treatments on lower and upper stories; stringcourses or beltcoruses between stories; flat roots screened by parapets or hipped roofs; cornices, dentils, pilasters, quoins, and other classical details; and a balanced, often synunetrical appearance. Taller, more elaborate buildings often feature terracotta facade cladding or ornamentation while more modest one to three story examples utilize bricks of contrasting colors as trim- Ground floors of multi -story buildings often housed banking rooms; more modest buildings may contain storefronts with recessed entries and large plate glass display windows with transoms and bulkheads. Upper story windows are most commonly one -over -one wood framed double -hung sash. Page I of 4 cm 8ismridlnnplmnsrnnrth 1(12 W I Nm'I R.A) srnni EXHIBIT 2 25D -6 CONSTRUCTION HISTORY: (Construction data, alterations, and date of alterations) Built in 1923 (John Parkinson and Eugene Durfee, architects) RELATED FEATURES: (Other important features such as barns, sheds, fences, prominent or unusual trees, or landscape) None. (Describe resource and its major elements. Include design, materials, condition, alterations, size, settings, and boundaries.) This six story Italian Renaissance Revival commercial building was Santa Ana's first steel- framed, terra cotta -clad building, and was constructed in 1923. The one -time bank is sited prominently on the southwest comer of West Fourth and Main Streets, and is one of the most articulated buildings in downtown Santa Ana. Variations in treatment separate the building horizontally into a one -story base, four -story shaft, and one -story cap and vertically into five bays on the north and seven bays on the east. The terracotta cladding is rusticated, giving the appearance of large blocks of stone. On the ground floor, arched openings in each bay spring from a simple concrete bulkhead. The metal -framed windows include art glass in the semi - circular window heads. The entry in the central bay on the north facade and the entry in the penultimate south bay on the east elevation are marked by doors flanked by two fluted Corinthian columns carrying pedimented entablatures. Cartouche motifs embellish the keystones of the comer arches and the entry doors. The four -story shaft has one- over -one double hung wood framed windows with transoms in the end bays, and tripartite windows with transoms in the middle bays. The central bays are slightly recessed from the face of the building, and there are decorative spandrels between floors in the middle bays. The one story "capital" of the building is marked by a prominent molding course resting on decorative scrolled brackets. The windows consist of one - over -one double hung windows paired at the comers, and sets of three elongated windows in the middle bays. The intact entablature and cornice includes a simple frieze, a dentil course, and a broad overhanging cave with bed molding and cornice detail. Other than relatively non - intrusive signage, the design of the building appears virtually intact. HISTORIC HIGHLIGHTS: The Fist National Bank Building was designed by architects John Parkinson of Los Angeles and Eugene Durfee of Anaheim in 1923 (Thomas, 7:9). John Parkinson, one of the most distinguished and prolific architects to practice in southern California during the first few decades of the 20ib century, is known for his designs, many in partnership with his son Donald, for numerous Renaissance Revival commercial buildings in Los Angeles, the Art Deco Bullocks Wilshire, and the Spanish Colonial Revival /Art Deco Union Station, also in Los Angeles. This building is essentially unaltered in exterior appearance from the time of its construction. The First National Bank moved to this location from die northwest comer of Fourth and Main Streets. The Bank was run by A.J. Crookshank, President, and F.E. Farnsworth, Vice President. (List attributes and codes from Appendix 4 of Instructions for Recording Historical Resources, Office of Historic Preservation.) (HP 7) 3+ story commercial building cmNisumaiempineslrvrunh 102 W4 NN9 B.A) P+xN I Page 2 of 4 25D -7 ® Building ❑ Structure ❑ Object MOVED? ® No ❑ Yes ❑ Unknown ❑ site Date: ❑ District ® Element of District ❑ Other Original Location: STATEMENT OF SIGNIFICANCE: (Discuss importance in terms of historical or architectural context as defined by theme, period, geographic scope, and integrity.) Santa Ana was founded by William Spurgeon in 1869 as a speculative townsite on part of the Spanish land grant known as Rancho Santiago de Santa Ana. Early growth and development was stimulated by the arrival of the Southern Pacific Railroad in 1878 and the Santa Fe Railroad in 1886. By the end of the 1980s, Santa Ana's downtown business district was defined by five city blocks of brick commercial buildings on Fourth Street, with the heart of the city at the intersection of Fourth and Main Streets (Thomas, 8:1). The period of 1911 -1915 saw many characteristic new business blocks or remodels along Fourth Street, and by the 1920s Santa Ana's downtown had expanded in each direction to include both commercial and civic development. Growth in the 1920s included new contraction as well as the remodeling of older buildings. Santa Ana was the professional center of Orange County in the 19208 as prominent lawyers and doctors located in equally prominent new buildings such as the First National Bank Building. Due to the extraordinary integrity of the First National Bank Building, all features of the exterior, except recently added signage, should be considered to be character - defining and should be preserved, including (but not limited to): all exterior finishes including terracotta and glazing; vertical and horizontal divisions and their articulation through piers, belteourses, etc.; all fenestration; and the decorative overhanging comice. The First National Batik Building is significant as Santa Ana's first steel framed, terracotta clad "high rise" building in downtown. Designed by highly influential architects John Parkinson of Los Angeles and Eugene Durfee of Anaheim in 1923, the building remains essentially unchanged in exterior appearance from the time of its construction. It is also significant as the most intact and most ambitious example of Italian Renaissance Revival commercial architecture in Santa Ana. SUMMARVICONCLUSION: This building was listed in the National Register of Historic Places in 1984 as a contributor to the Downtown Historic District. Under the regulations implementing the California Register of Historical Resources, the building is also listed in the California Register. As an archetypal example of the Italian Renaissance Revival styling that characterized the development of major urban centers in the 1920s, which moreover was designed by a master of the oeuvre, the First National Bank Building satisfies several of the criteria for inclusion in the Santa Ana Register of Historical Property, including Criteria 1 through 4. It has been categorized as "Landmark" because the building "has historicallcultural significance to the City of Santa Ana' and has "unique architectural significance" (Municipal Code Section 30- 2.2(l)). In addition, the property also appears to be eligible for individual listing in the National Register. OWNER AND ADDRESS: TOPA Financial Corporation 1800 Avenue of the Stars CA 90067 cm'hixpvicacmplma�Fonrth 102 W I I' NW I annk) 9 *01 Page 3 of 4 25D -8 RECORDED BY: (Name, affiliation, and address) Leslie Heumann & Liz Carter Science Applications International Corporation 35 S. Raymond Avenue, Suite 204, Pasadena, CA 91105 DATE RECORDED: January l9, 2001 SURVEYTYPE: ( Intensive, reconnaissance, or other) Intensive Survey Update REPORT CITATION: (Cite survey report and other sources) Les, Kathleen. "Santa Ana Historic Survey, Final Resources Inventory: Downtown." May 1980, page 20. Thomas, Harold M. "Downtown Santa Ana Historic District" National Register nomination form, 1984. REFERENCES: (List documents, date of publication, and page numbers. May also include oral interviews.) Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Heritage Orange County Inc. "Downtown Santa Ana Historic District Walking Tour." nd. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984 National Register Bulletin 16A. "How to Complete the National Register Registration Form" Washington DC: National Register Branch, National Park Service, US Department of the Interior, 1991. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. EVALUATOR: Leslie Neuman DATE OF EVALUATION: January 19, 2001 National Register Criteria for Evaluation: (From Appendix 7 of Instructions for Recording Historical Resources, Office of Historic Preservation) C: that embody the distinctive characteristics of a type, period, or method of construction, or that represent the work a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction National Register Status Code: (From Appendix 2 of Instructions for Recording Historical Resources, Office of Historic Preservation) 1D: Contributor to a listed district. Page 4 of 4 cm,hi,lunclmmlAalerTounh 102 W 0"Nat'1 Bmk1 KMi01 25D -9 MILLSACTAGREEMENT 101 West Fourth Street SantoAna, CA 91701 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement ") is made and entered into this November 18, 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 of the State of California (hereinafter referred to as "City"), Kimberly Tapfer on behalf of Miller- Burg- DuPont, Inc., (hereinafter referred to as "Owner"), owner of real property located at 102 West Fourth Street, Santa Ana, California, 92701 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act ") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 102 West Fourth Street, Santa Ana, CA, 92701 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property ". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. EXHIBIT 3 i► I: MILLS ALT AGREEMENT 101 West Fourth Street Santa Ana, C4 92701 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division l of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: Effective Date and Terms of Agreement. This Agreement shall be effective and commence on November 18, 2014, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically he added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the tent of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: 9_ 25D -11 MILLS ACT AGREEMENT 102 {Vest Fourth Street Santa Ana, CA 92701 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owners shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owners shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character - defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. C. Owners shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner's compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owners hereby agree to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terns and provisions of this Agreement. .i_ 25D -12 MILLSACTACREEMENT 102 West Fourfli Sneer Santa Ana, CA 95701 S. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owners have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owners have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owners shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 %:) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and /or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owners, the City shall give written notice to the Owners by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owners), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owners growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by -4- 2501-13 MILLSACTAGREEMENT 102 West Fourth Street Santa Ana, CA 92701 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owners hereby subject the Historic Property, located at 102 West Fourth Street, Assessor Parcel Number, 398 - 264 -07, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner's successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owners shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement sliall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owners: Kim Tapfer for Miller - Burg - DuPont, Inc. 4105 E. Florida Avenue #300 Denver, CO 80222 25D -14 MILLS ACT AGREEMENT 102 West Fourth Street Santa Ana, CA 92701 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owners agree to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owners hereby agree to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. E In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -6. 25D -15 MILLSACTAGREEMENT 101 West Fourth Street Santu Ana. CA 92701 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: APPROVED AS TO FORM: SOT City im CITY OF SANTA ANA DAVID CAVAZOS City Manager 0 Kimberly Tapfer for Miller -Burg- DuPont, Inc. '7' 25D -16 MILLS ACTAGREEMENT 102 West Fourth Street Santa Ana, CA 9270! Exhibit A The East 75 feet of Lots 8 and 9 in Block l I of the Town of Santa Ana filed in the Office of the County Recorder of Orange County. Assessor's Parcel Number: 39 8-264 -07 s- 2501-17 MILLSACTAGREEMENT 102 West Fpnrth Street Santa Ana, CA 92761 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy silmificant historical, architectural or cultural material, an such design is compatible with _9_ 2501-18 MILLS ACTAGREEMENT 101 (Vest Fourth Street Santa Ana, CA 91101 size, scale, color, material and character of the property, neighborhood, or environment. lo. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. -10- 25D-19 MILLSACTAGREEMENT 102 West Fourth Sweet Santa Ana, G4 92701 Exhibit C (photographs attached) ll- 25D -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -12 FOR THE PROPERTY LOCATED AT 204 NORTH BROADWAY (STRATEGIC PLAN NOS. 5, 2; 5,3) /_7 CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on ll° Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Gilbert and Wanda Marrero, property owners, for the structure located at 204 North Broadway, subject to non - substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION On October 2, 2014, the Historic Resources Commission recommended by a vote of 8:0 that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Gilbert and Wanda Marrero, property owners, for the structure located at 204 North Broadway, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION This action allows for the approval of a Historic Property Preservation Agreement (Mills Act Contract) which provides a potential property tax reduction allowing the property owner to reinvest the tax savings into the maintenance of the historic property (Exhibit A). Additionally, the agreement prevents inappropriate alterations. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainabiliy, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). 25E -1 HPPA No. 2014 -12 November 18, 2014 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $621.88 to $3,109.40 annually, for a period of not less than ten years. 1z'-'X LV'- V—��Ca v Karen Haluza Interim Executive Director Planning & Building Agency HS:rb hslhistodc info \mills act agreements\204_N_Broadway.cc Exhibit: A. Historic Resources Commission Staff Report 25E -2 REQUEST FOR Historic Resources Commission Action HSTOracRESOLRCESOOM ISSIONWEEMDATE: OCTOBER 2, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014-12 FOR THE PROPERTY LOCATED AT 204 NORTH BROADWAY (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Haily Soboleske APPROVED • As Recommended • As Amended • Set Public Hearing For CONTINUED TO Interim Exe utive rector Acting P nnin anager RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Gilbert and Wanda Marrero, property owners, for the structure located at 204 North Broadway, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant The applicants, Gilbert and Wanda Marrero, are requesting the approval of Historic Property Preservation Agreement No. 2014 -12 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story commercial structure designed in the Art Deco style of architecture located at 204 North Broadway. The site is within the Specific Development No. 84 (SD -84) zoning district. Surrounding land uses are commercial (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT A 25E -3 HPPA No. 2014 -12 October 2, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Empire Market Building and categorized as Key in January of 2001 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). Photos of the property are included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally SoWbieske Associate Planner HS:jm hslhistonc infoVmills act agraementM204 N Broa0way.khrc 1 / Vince Fregoso, Acting Planning Manager Exhibit: 1. 500' Radius Map 2. Department of Parks and Recreation Form 3. Mills Act Agreement 25E -4 500' RADIUS HPPA- 2014 -12 204 North Broadway PLANNING AND BUILDING AGENCY EXHIBIT 7 25E -5 NAME Empire Market 7771`. NO. 248 ADDRESS 202 -208 North Broadway CITY Santa Ana ZIP 1 92701 ORANGE COUNTY YEAR BUILT 1933 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT Downtown Santa Ana NEIGHBORHOOD NATIONAL REGISTER CRITERIA FOR EVALUATION C NATIONAL REGISTER STATUS CODE I ID Location: ❑ Not for Publication ® Unrestricted USGS 7.5' Quad Date: T _ R _ -—of _ _ of Sec _ B.M ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Art Deco DESCRIPTION/BACKGROUND RELATED TO PERIOD ARCHITECT The Art Deco style is characterized by smooth wall surfaces, often of stucco; zigzags, chevrons, Fluting, reeding, and other low- relief stylized and geometric motifs as decorative elements on the fsgade; accents of terra cotta, glass, or metal; polychromy; rectangular or compound forms; and a more vertical emphasis than its close stylistic relative, Streamline Moderne. Art Deco was essentially a style of decoration, and was applied to jewelry, clothing, furniture and handicrafts as well as architecture. In style between 1920 and 1940, Art Deco was popularized by the Exposition des Arts Decoratifs held in Paris in 1925. It was most commonly utilized on commercial or public buildings. Page I of i�nUJslursYeinpmrsnm,dwny 202 N I Empire MYu 91,01 EXHIBIT 25E -6 (Construction data, alterations, and date of alterations) Built in 1933 RELATED FEATURES: (Other important features such as hams, sheds, fences, prominent or unusual trees, or landscape) None. DESCRIPTION: (Describe resource and its major elements. Include design, materials, condition, alterations, size, settings, and boundaries.) Located on the northwest comer of North Broadway and Second Streets, the two -story, Art Deco style Empire Market building is constructed of brick with a concrete facing on the street facades. The five bay front (east) fagade consists of a narrow central bay flanked by two larger bays on either side. Monumental Art Deco compound piers separate the bays. Storefronts along the street level appear to retain their original configuration, with recessed glazed double wood doors, transoms, and aluminum display windows on black glazed tile bulkheads. The entry vestibule floors are embellished with black and white hexagonal tile. Except for the central bay, each upper story bay contains three, two- aver -two double -hung wood sash separated by low relief, fluted pilasters. Window heads are enlivened with an incised zigzag motif. Five similarly articulated bays are located on the Second Street elevation, except that solid panels replace the storefronts on all but the comer bay. A narrower, sixth bay is located at the west end. The rear (west) elevation has an exposed brick wall with one -over -one and two-over-two double hung wood windows. There is decorative metal grillwork in the sign pane of each bay at the mezzanine level. A highly stylized decorative zigzag cornice, punctuated by tops of the piers and by an arched parapet over the central bay, caps the street- facing elevations. No major alterations of the exterior appearance of this building are apparent. HI This building was constructed as a speculative venture, circa 1933 by the Santora Corporation, on the site of a used car lot (1927). Known as the Empire Market from 1933 to 1941, the building was occupied by a variety of retail businesses, including Gillets Caf6, RESOURCE ATTRIBUTES: (List attributes and codes from Appendix 4 of Instructions for Recording Historical Resources, Office of Historic Preservation.) (HP 6) 1 -3 story commercial building Page 2 of 4 an�hisrorkunrpWma�BrooJwuy 202 N IGnplm Nlrinl s'&01 25E -7 ® Building ❑ Structure ❑ Object MOVED" ® No ❑ Yes ❑ Unknown ❑ Site Date: ❑ District ® Element of District ❑ Other Original Location: STATEMENT OF SIGNIFICANCE: (Discuss importance in terms of historical or architectural context as defined by theme. period, geographic scope, and integrity.) Santa Ana was founded by William Spurgeon in 1869 as a speculative townsite on part of the Spanish land grant known as Rancho Santiago de Santa Ana. Early growth and development was stimulated by the arrival of the Southern Pacific Railroad in 1878 and the Santa Fe Railroad in 1886. By the end of the 1880s, Santa Ana's downtown business district was defined by five city blocks of brick commercial buildings on Fourth Street, with the heart of the city at the intersection of Fourth and Main Streets (Thomas, 8:1). The period of 1911.1915 saw many characteristic new business blocks or remodels along Fourth Street, and by the 1920s Santa Ana's downtown had expanded in each direction to include both commercial and civic development. By the late 1920s and early 1930s more modern architectural styles had come into vogue, including the Art Deco and Streamline Modeme. While several new buildings were constructed in this style, many older buildings were remodeled to these styles following the 1933 Long Beach earthquake, which caused extensive damage to many of the storefronts in Santa Ana's downtown. The Empire Market Building is architecturally significant as one of the best examples of Art Deco commercial architecture in downtown Santa Ana. The building retains a high degree of integrity, and displays the characteristics typical of the style including stucco walls, full- height piers separating bays on the first and second floors; ornamented window heads; decorative grillwork; and the zig zag design at the parapet. Due to the remarkable integrity of this resource, most exterior features are considered to be character- defining and should be preserved. They include, but are not limited to: exterior finishes; bay divisions articulated by piers and pilasters; parapet; fenestration; storefront configuration and materials; wrought iron grilles; hexagonal tile flooring; and zigzag ornamentation. gummwakfIdAl 1 This building was listed in the National Register of Historic Places in 1984 as a contributor to the Downtown Historic District. Under the regulations implementing the California Register of Historical Resources, the building is also listed in the California Register. As an example of the Art Deco styling which was fashionable during the 1920s and 1930s, the building satisfies Criterion I for inclusion in the Santa Ana Register of Historical Property. Additionally, the property has been categorized as "Key" because it has a "distinctive architectural style and quality" and "is characteristic of a significant period in the history of the City of Santa Ana" (Municipal Code, Section 30- 2.2(2)). OWNER AND ADDRESS: SBR&G Ltd Partners 4241 East La Palma Avenue Anaheim CA 92807 Page 3 or4 nMNAa,k' nphW,\BmAdw y 202 \ IE,,O,r Wko sre,ni 25E -8 RECORDED BY: (Name, affiliation, and address) Leslie Heumann & Liz Carter Science Applications International Corporation 35 S. Raymond Avenue, Suite 204, Pasadena, CA 91105 DATE RECORDED: January 19, 2001 SURVEY TYPE: (Intensive, reconnaissance, or other) Intensive Survey Update REPORT CITATION: (Cite survey report and other sources) Les. Kathleen. "Santa Ana Historic Survey, Final Resources Inventory: Downtown." May 1980, page 61. Thomas, Harold M. "Downtown Santa Ana Historic District" National Register nomination form, 1984 REFERENCES: (List documents, date of publication, and page numbers. May also include oral interviews.) Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998 Heritage Orange County Inc. "Downtown Santa Ana Historic District Walking Tour." nd. McAlester. Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Department of the Interior, 1991. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. EVALUATOR: Leslie Heumann DATE OF EVALUATION: January 19, 2001 National Register Criteria for Evaluation: (From Appendix 7 of Instructions for Recording Historical Resources, Office of Historic Preservation) C: that embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack tdividual distinction National Refister Status Code: (From Appendix 2 of Instructions for Recording Historical Resources, Office of Historic Preservation) Page 4 oF4 owJmaru`nenplale M..dwq 292 N IEnphw NKO WHIM 25E -9 MILLS ACT AGREEMENT 204 North Broadway Santa Ana, G4 92701 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement ") is made and entered into this November 18, 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 of the State of California (hereinafter referred to as "City "), Gilbert Marrero and Wanda Marrero, (hereinafter referred to as "Owner"), owners of real property located at 204 North Broadway, Santa Ana, California, 92701 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act ") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 204 North Broadway, Santa Ana, CA, 92701 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property ". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. EXHIBIT 3 1- 25E-10 MILLS ACT AGREEMENT 204 North Broadway Santa Ana, CA 92701 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effeetive Date and Terms of Agreement. This Agreement shall be effective and continence on November 18, 2014, and shall remain in effect for a tern of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Govermnent Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the amoral renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (l) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the tenn then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the tern of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: I _ 25E -11 HILLS ACTAGREEMENT 100 North Broadway Santa Ana, C4 92701 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owners shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owners shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character- defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owners shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner's compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owners hereby agree to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terns and provisions of this Agreement. 3- 25E -12 MILLSACTAGREEMENT 204 North Broadway Santa Ana, CA 92701 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owners have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owners have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owners shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 %) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the comity assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. c. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement a. In lieu of and /or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owners, the City shall give written notice to the Owners by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Set-vices or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owners), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owners growing out of the terms of this Agreement, apply to any court, slate or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by -4- 25E -13 MILLSACTAGREEMENT 204 North Broadway Santa Ana, CA 92701 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owners hereby subject the Historic Property, located at 204 North Broadway, Assessor Parcel Number, 398-592 -07, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner's successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owners shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owners: Gilbert and Wanda Marrero 50 Saratoga Newport Beach, CA 92660 5- 25E -14 MIL! T ACT AGREEMENT 204 North Broadway Santa Ana, CA 92701 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owners agree to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on Hs or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owners hereby agree to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. C. This hold harmless provision applies to alt damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. C. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -6- 25E-15 MILLSACTAGREEMENT 204 North Broadway Santa Ana, CA 92701 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council OWNER Date: Date: APPROVED AS TO FORM: SONIA C VALHO City A om By: 6 O. dge s stant dity Attorney CITY OF SANTA ANA DAVID CAVAZOS City Manager Un 25E -16 Gilbert Marrero Wanda Marrero MILLSACTACREEMENT 204 North Broadway Santa Ana, CA 92701 Exhibit A PARK TR LOT 40 AND 42 filed in the Office of the County Recorder of Orange County. Assessor's Parcel Number: 398 - 592 -07 s- 25E -17 MILLSACTAGREEMENT 204 North Broadway Santa Ana, CA 92701 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should he avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with .Q_ 25E -18 MILLSACTAGREEMENT 204 North Broadway Santa Ana, CA 92701 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. to- 25E -19 MILLS ACT AGREEMENT 204 North Broadway Santa Ana, CA 92701 Exhibit C (photographs attached) 25E -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT WITH ALL VISION LLC FOR OUTDOOR ADVERTISING MANAGEMENT SERVICES {STRATEGIC PLAN NOS, 4,3; 6, 1; 3,4) CITY NIANA� RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I" 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 the attached agreement with All Vision LLC ( "All Vision ") for consulting and management services for outdoor advertising for a period of five years, subject to non - substantive changes approved by the City Manager and City Attorney. BACKGROUND In November 2013, the Development and Transportation Council Committee recommended that staff begin exploring new opportunities for outdoor advertising, especially in the field of digital technology through electronic message displays (digital billboards). Since then, the City Council approved Zoning Ordinance Amendment No. 2013 -02 to allow the creation of regional planned sign programs and the use of electronic message displays for select commercial centers and attractions citywide. On May 30, 2014, the City released a request for proposals (RFP) seeking a qualified firm to provide outdoor advertising management services. The services detailed in the RFP were as follows: • Assist the City in developing an outdoor advertising ordinance. • Evaluate and analyze advertising opportunities on behalf of the City based on development feasibility and revenue potential. • Assist in developing a master plan for outdoor advertising that maximizes the City's ability to generate revenue through the pre - identification of the best situated billboard locations. • Assist in developing a long -term strategy for the design, construction, maintenance, operation and use of outdoor advertising assets. • Fully implement, manage, and facilitate the proposed plan(s) and development processes upon approval from the City. • Meet with all applicable local stakeholders and regulatory agencies. • Negotiate, enter into and manage agreements with sales organizations, where applicable, to sell advertising on behalf of the City. 25F -1 Agreement with All Vision November 18, 2014 Page 2 Assist in developing a plan for outdoor advertising on bus shelters in order to develop a revenue source that can be used to expand the number of bus shelters, provide for the ongoing maintenance of the bus shelters, and fund the design and construction of unique bus shelters that can be used as public realm improvements and placemaking tools. Ensure that the program results in no additional cost for the City. After receiving two proposals, staff carefully evaluated the responses and selected All Vision as the firm that is most able to respond to and address the City's criteria and long -term needs. All Vision staff has the requisite specialized skills and expertise in the area of program management and implementation, off -site advertising on digital billboards and bus shelters particularly with respect to long -term management post- construction and the firm's demonstrated ability to generate revenue for a variety of agencies. It is recommended that the All Vision outdoor advertising management services contract be approved to provide a means to supplement the Planning and Building Agency's efforts to identify additional opportunities for outdoor advertising and revenue generation for the City without incurring additional costs. DISCUSSION The proposed agreement would allow the City to work with All Vision to analyze the feasibility of new outdoor advertising opportunities citywide. All Vision would propose an Outdoor Advertising Strategic Plan that would include current competitive market analyses and site evaluations for potential digital billboard signage, components of a future billboard overlay zone and ordinance, analysis of transit shelter furniture with advertising, and formulating means for the City to use advertising revenues to fund expansion of existing transit shelter furniture citywide. Outdoor Advertising Strategic Plan The first component of the agreement would result in All Vision developing an Outdoor Advertising Strategic Plan to analyze development of new outdoor advertising locations citywide. To prepare the Strategic Plan, All Vision will work with City staff to identify existing outdoor advertising structures in Santa Ana along city streets and freeways, analyze City -owned properties suitable for potential digital billboard development, and develop a plan for construction of new outdoor advertising structures through digital billboards and /or transit shelter furniture. The Strategic Plan will contain multiple components, including: an analysis of sign development opportunities based on development feasibility and revenue potential; evaluation of current and potential value of signs located on City property best situated for revenue generation; current market research and competitive analyses; analysis of a potential new overlay zone and ordinance for private development of digital billboards; analysis and recommendations for the strategic placement of new transit shelter furniture with advertising components that incorporate unique designs for placemaking and community- oriented design; and evaluation of bundling opportunities for development of different types of outdoor advertising. These components will 25F -2 Agreement with All Vision November 18, 2014 Page 3 assist the City with identifying City -awned or private sites suitable for the development of new digital billboards, as well as identifying locations for new transit shelter advertising installments whose revenues could be used to fund construction and maintenance of additional transit shelter locations. Once potential sites have been identified by the City and All Vision for new outdoor advertising opportunities, All Vision would work with the City to pursue specific sites for entitlement, construction, licensing, and ongoing operations and maintenance. In the proposed development model, All Vision would lead construction of a signage installation opportunity and then license the sales of advertising to an outdoor advertising sales company. All Vision would recover its costs over an initial five -year period, after which the City would own the advertising structures. During the five -year initial cost recovery period, the City will be guaranteed a minimum compensation; the amount will increase once All Vision recovers its initial costs at the end of the five -year cost recovery period. Digital Billboards All Vision will analyze potential sites for City -owned or private development of digital billboards. Should options be limited for development of structures on City property, All Vision will prepare, as part of its Outdoor Advertising Strategic Plan, a proposal for a billboard overlay zone and ordinance that would allow for private -party digital billboard development and /or conversion of static billboards to digital technology in viable areas, subject to an entitlement process and development standards. All Vision would also draft recommendations for a fee structure to capture revenue from new or converted billboards, which could be used to expand or enhance transit shelter furniture installations citywide. Transit Shelters Through its Outdoor Advertising Strategic Plan, All Vision will also analyze opportunities for expanded transit shelter advertising and furniture installations citywide. All Vision would identify a franchisee to work with the City to maintain current transit shelters and street furniture. A key component of the program would identify new bus shelters and street furniture placement opportunities using designs that will also serve as a "placemaking" tool that represent the diverse communities and neighborhoods in Santa Ana. The City's current agreement for bus shelters and street furniture maintenance will expire in June 2015. The agreement provides for providing, maintaining, and repairing bus shelters and street furniture in tandem with outdoor advertising. Under the proposed agreement, All Vision would identify a franchisee for a new long -term agreement that would continue to provide, maintain, and repair bus shelters and street furniture. The shelters and furniture would incorporate outdoor advertising, and the franchisee would pay the City a minimum amount per month per transit shelter. This fee structure will allow for additional revenues as the number of transit shelter installations increases over time. 25F -3 Agreement with All Vision November 18, 2014 Page 4 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 4 City Financial Stability, Objective No. 3 (achieve a structurally balanced budget with appropriate reserve levels); Goal No. 6 Community Facilities & Infrastructure, Objective No. 1 (establish and maintain a Community Investment Plan for all City assets); and Goal No. 3 Economic Development, Objective No. 4 (leverage private investment that results in tax base expansion and job creation citywide). FISCAL IMPACT All Vision's consulting services, including preparation of the Outdoor Advertising Strategic Plan and its associated components, come at no cost to the City. Should the City pursue the digital billboards and /or transit shelters components, All Vision would collect percentages of revenues from advertising licenses. Digital 8iilboards The agreement with All Vision for outdoor advertising management services comes at no additional cost to the City. Based on preliminary staff analysis of the All Vision proposal, the licensing of current bus shelters, and the development of several new signage installation opportunities citywide would generate potential revenues to the City. As proposed, the development model guarantees a minimum $200,000 annually per two-sided digital billboard or 60% of revenues from advertising licenses on digital billboards after the five -year cost recovery period ends. During the five -year cost recovery period, All Vision guarantees the City a minimum $100,000 annually per two -sided digital billboard. Transit Shelters In addition, the Outdoor Advertising Strategic Plan would assist the City in identifying a franchisee that would guarantee a minimum amount and revenue allocation program for transit shelters citywide. If the City adopts All Vision's proposed Strategic Plan's transit shelter advertising components, All Vision would collect 30% of any revenues from advertising in excess of $95 per year for the first five years of the program's implementation. Combined, the digital billboards and bus shelters revenue could exceed one million dollars annually, depending on the ultimate build -out of bus shelters and signage installations throughout Santa Ana. Revenues received from these two components will be deposited into Outdoor Advertising revenue account (01116002- 50055). APPROVED AS TO FUNDS AND ACCOUNTS: vv .O Karen Haluza Interim Executive Director Planning and Building Agency AP:rb M ;Reports \SteB Reports for CCNIlvision RFCA 111814 Exhibit: 1. Agreement T 1\h mz -- Francisco Gutierrez Executive Director Finance & Management Services Agency i 25F -4 OUTDOOR ADVERTISING SERVICES AGREEMENT This Outdoor Advertising Services Agreement (this "Agreement "), made and entered into this day of . 2014, by and between All Vision, LLC, a Delaware limited liability company ( "All Vision "), and the City of Santa Ana, a charter city and municipal corporation of the State of California "City"). Recitals A. All Vision is engaged in the business of advising property owners regarding the use of their property for the installation and operation of commercial outdoor advertising signs and administering those signs and agreements related to the use of those signs on behalf of property owners. B. The City owns or has the right to use land that may be suitable for the installation of advertising signs and desires to engage All Vision as its exclusive advisor regarding the possible development of locations on City property for the City. C. The City further wishes to engage All Vision to assist In the possible development of a Digital Billboard Ordinance that may include an overlay zone to permit outdoor advertising signage in one or more areas within the City. 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: Article 1 BASIC PROJECT INFORMATION AND CONTRACT DOCUMENTS 1.1 Basic Project Information. The following terms have the meanings given below: Commencement Date: The date on which this Agreement has been mutually signed and delivered. Expiration Date: The fifth anniversary of the Commencement Date, subject to extension in writing for up to two extension periods of one year each in the sole and absolute discretion of the City Manager, as provided in section 2.2 below. City's Address for Notices: City of Santa Ana Attention: City Manager 20 Civic Center Plaza Santa Ana, CA 92702 All Vision's Addresses for Notices: All Vision, LLC Attention: CFO 1805 Shea Center Drive Suite 250 Highlands Ranch CO 80129 with a copy to: All Vision, LLC EXHIBIT 1 25F -5 Attention: President 1805 Shea Center Drive Suite 250 Highlands Ranch CO 80129 and a copy to: All Vision, LLC Attn: CEO 420 Lexington Avenue, Suite 1601 New York, NY 10170 1.2 Definitions. For the purposes of this Agreement, the following definitions apply: "Billboard Overlay Zone" means an area where a digital billboard can be constructed pursuant to a Digital Billboard Ordinance. "Digital Billboard Ordinance" means an ordinance that contains development standards and other parameters for the development of digital billboards within the Billboard Overlay Zone. "City Digital Face" means a digital billboard face at least 14 feet in height by 48 feet in width, facing freeway traffic, on a City Property Sign. "City Property" means all real property of the City, whether owned or leased by City, located in the City of Santa Ana, State of California. "City Property Sign" means a Sign located or to be located on any City Property pursuant to this Agreement and a Site Agreement. "City Sign Location" means each portion of City Property on which a Sign is located or that is designated for development of a City Property Sign in the approved Strategic Plan. "Costs of Construction and Maintenance" means the reasonable, documented costs incurred by All Vision to create any access road, construct foundations, obtain fabricated steel and digital screens, obtain other materials for Signs, install Signs, install electrical wiring and trenching for Signs, obtain materials for Signs themselves, obtain and install security fencing, anything required to maintain, clean and repair the Sign, and any other related expenses, but only to the extent it is reasonable to incur such costs for a Sign. "Direct Expenses" means all reasonable, documented out -of- pocket expenses described on a written budget approved in writing by the City and paid to third parties by All Vision for engineering, surveying, drilling, geotechnical services, legal work, permit or application fees, and other reasonable expenses of developing each Sign Location for the purposes provided in this Agreement, and any other expense designated in this Agreement as Direct Expenses. Direct Expenses shall not include internal costs such as compensation for the time of any directors, officers, or employees of All Vision, any overhead or administrative expenses which may be incurred by All Vision, or any payments to any person or entity owned by, controlled by, or under common ownership or control with All Vision unless otherwise approved in writing by the City, in its sole discretion. Direct Expenses shall include Costs of Construction and Maintenance, subject to the amortization requirements of Section 5.2(c). 2 25F -6 "Force Majeure" means severe weather, earthquake, flood, fire, natural disaster, shortages of labor, materials, fuel, power or transportation, act of war, terrorist attack, civil unrest, or other causes beyond the reasonable control of the parties, and any challenge to the issuance of governmental permits and approvals by third parties, but shall not include normal delays in the processing of governmental permits and approvals. "Operating Permits" means any permit required by applicable law specifically for the operation of a Sign on the Sign Location in question, including business licenses and certificates of occupancy as applicable, as distinct from generally applicable building and construction permits. "Sign" means any of various sizes and types of outdoor advertising displays, including static, digital, or mechanical (including tri- vision) and all other billboards, displays, signboards and other types of equipment and structures that may be appropriate for outdoor advertising purposes, including all supporting structures and other attached equipment used to operate the sign, but does not include transit furniture, transit shelters or other transit oriented assets. "Site Agreement' means an agreement between All Vision and the City entered into under which All Vision will construct, maintain and operate a Sign to be owned by the City and license the sales of advertising on the Sign to a third party advertising sales company that is not owned by, controlled by, or under common ownership or control with All Vision unless otherwise approved in writing by the City in its sole discretion. "Site Agreement Development Revenues" means the gross amount received by City and All Vision from sales of advertising on a Sign developed under a Site Agreement on account of that Sign. "Strategic Plan" means a plan that analyzes all potential outdoor advertising opportunities, including signage and transit oriented advertising, throughout the City of Santa Ana. Article 2 TERM OF AGREEMENT AND RELATIONSHIP OF THE PARTIES 2.1 Term. The term of this Agreement extends from the Commencement Date to the Expiration Date, Inclusive ( "Term "). The Term may be extended or terminated as provided in this Agreement or by mutual agreement of the parties. 2.2 Extension of Term by City Manager. The City Manager may, in the sole and absolute discretion of the City Manager, extend the Expiration Date by up to two extension periods of one (1) calendar year each by giving All Vision notice of that extension before the then - scheduled Expiration Date. 2.3 Independent Contractor. The relationship established between All Vision and the City by this Agreement is the relationship of independent contractor. This Agreement is not to be construed to establish any partnership or joint venture between All Vision and the City, and neither All Vision nor the City shall hold itself out to any third party as being participants in a joint venture, partnership or any other form of joint enterprise with respect to any Signs, the Transit Oriented Advertising Program, or any other activities pursuant to this Agreement. 3 25F -7 2.4 Exclusivity. The City shall not contract with any other person or entity to provide the same services or services similar to those provided by All Vision under this Agreement during the Term, except for services required by this Agreement that All Vision is Incapable and unwilling to perform. Article 3 DEVELOPMENTAND MARKETING PLANNING 3.1 Outdoor Advertising Strategic Plan (a) All Vision shall evaluate the opportunities for the marketing and development of Signs and transit oriented advertising in potential new City Sign Locations. All Vision shall prepare and submit to the City, within one year after the Commencement Date, a draft Strategic Plan that includes the following matters, among others that may be reasonably requested by the City: (1) an analysis of Sign development opportunities based on development feasibility and revenue potential; (2) evaluation of the current and potential value of prospective Signs and identification of the potential advertising locations on City Property that are best situated for the generation of advertising revenue; (3) relevant market and /or media research, planning and competitive analyses; (4) analysis of Billboard Overlay Zones that All Vision recommends be considered ias part of the Digital Billboard Ordinance; (5) analysis of a new advertising program for transit shelter and transit stop street furniture owned or controlled by the City or its agencies and any other transit oriented advertising assets the City or Its agencies own or control. This analysis will Include: (a) All Vision's recommendations regarding the potential advertising uses of transit - related City assets that would best maximize advertising revenue; (b) any recommendations All Vision may have regarding the potential upgrade of existing transit - related assets or acquisition of new transit - related assets that might improve advertising revenue; and (c) Recommendations regarding potential outdoor advertising design approaches that take into account City aesthetic, placemaking and community design goals in light of the value of potential new and upgraded advertising assets. (6) . evaluation of the possibility of bundling opportunities for development of different types of advertising media (e.g., bundling transit furniture opportunities with opportunities to develop Signs in an overlay district); and (7) any other matters reasonably requested by the City that are to be considered in the development of City Sign Locations. 4 25F -8 (b) In the course of the preparation, evaluation, and discussion of the Strategic Plan, and whenever otherwise appropriate in connection with All Vision's services under this Agreement, All Vision shall meet with all City personnel, regulatory agencies, and other stakeholders, including the California Department of Transportation and the Orange County Transportation Authority. The City shall act reasonably in considering, reviewing and approving the proposed Strategic Plan. If the City does not approve the Strategic Plan in its entirety, the parties shall cooperate reasonably to attempt to modify the Strategic Plan so as to gain City's approval. All Vision may revise and resubmit any proposed Strategic Plan to the City for approval.. 3.2 City's Documents and information. City shall make reasonable efforts to, promptly upon request, provide All Vision any and all records and documents which All Vision reasonably requests of the City as necessary or appropriate for All Vision's preparation of the Strategic Plan, except for documents and information that Applicable Law prohibits the City from disclosing, or which is privileged, including attorney - client communications and attorney work product. All Vision and City shall work cooperatively to ensure that All Vision and City's representatives are available for meetings to discuss the proposed Strategic Plan. 3.3 Restriction Period for Prospective Sign Locations Proposed by All Vision. Except for Signs installed pursuant to a Site Agreement, during the Term, the City shall not install, maintain or operate, and shall not permit any third party to install, maintain or operate, any new revenue - generating billboard or other revenue - generating advertising sign of any kind at any location on City Property that is identified as a prospective City Sign Location in the final Strategic Plan or any draft of the Strategic Plan submitted by All Vision under this Agreement. The foregoing restriction is not to be construed to prohibit the City from approving requests for building, sign or other permits in its ministerial capacity for outdoor advertising signage on privately owned property that will not result in any payment of revenue sharing or recurring fees to the City. 3.4 Access to Property. On condition that All Vision complies with the requirements of this Section 3.4 and any other material provisions of this Agreement pertaining to its activities on City Property, All Vision is granted the right to have access to City Sign Locations and prospective City Sign Locations for purposes of performing the activities contemplated by this Agreement subject to All Vision providing written communication to the City at least two business days in advance to coordinate access to City Property to avoid conflict between the City's operations and All Vision's services and to make any necessary arrangements for on -site safety measures. 3.5 Separate Compensation — Transit Oriented Advertising Program. If the City adopts a transit oriented advertising program and enters into a contract with a sales agent or other vendor for the implementation of that program that is negotiated with All Vision's assistance, the City shall pay All Vision 30% of the positive amount, if any, by which transit oriented advertising revenue exceeds $95.00 per month for each existing City transit shelter used to display advertising in each year during the five year period beginning on, and including, the date the City first receives revenue from the implementation of the transit oriented advertising program. The City shall pay the amount owed each year within 60 days after the end of the applicable calendaryear. 5 25F -9 Article 4 ZONING - RELATED SERVICES 4.1 Consulting Services. During the Term, All Vision shall, In conjunction with the preparation and implementation of the Strategic Plan, assist the City with the development of a Digital Billboard Ordinance to permit the construction and use of the Signs to be constructed under this Agreement and Site Agreements, which may also include the creation of an overlay zone to permit the construction and use of billboard advertising signs on private property. All Vision's services with respect to the development of the Digital Billboard Ordinance may include, among others the City may request and All Vision may agree to provide: (a) evaluation of draft ordinance provisions and related recommendations, from the perspective of its business experience developing and managing advertising signs; (b) recommendations regarding what areas of the City are likely to both have property that may be valuable for development of advertising signs and have a character compatible with advertising uses; (c) recommendations regarding the types of sign - related regulations that are likely to help the City enable the productive use of property for advertising purposes while mitigating possible adverse Impacts from that use; and (d) recommendations for a fee structure to capture revenue from new or converted digital billboards. Some or all of those recommendations may be included in the Strategic Plan or may be submitted separately. 4.2 Administrative Services. If a Digital Billboard Ordinance is adopted, All Vision shall provide the following additional services during the Term to assist the City in the administration of the Digital Billboard Ordinance, subject to the limitation provided in section 4.5 below: (a) Assist the City with the negotiation of terms with applicants seeking City development agreements or other agreements for Signs to be constructed pursuant to the Digital Billboard Ordinance; (b) Coordinate the permit application and review process and communication between the City and applicants relating to that process; (c) Monitor the progress of construction of Signs for which the City has issued permits; and (d) Monitor and audit the payments of amounts due under the development agreements or other agreements between Sign developers and the City. 4.3 Compensation. The City shall pay All Vision 30% of all revenues received by the City under any development agreements or other agreements entered into by the City (except for this Agreement and Site Agreements or other agreements under which All Vision acts as the developer of Signs) during the Term in connection with the approval, construction, operation, or use of Signs built in 6 25F -10 any overlay zone or other modified zoning established pursuant to the Digital Billboard Ordinance (excluding revenue on account of generally applicable sales, use or property taxes, but including revenue on account of any excise tax that applies to Signs or the sale or display of outdoor advertising that does not apply generally to the sale of services or the ownership and use of property). Payments of that compensation shall be due on a quarterly basis, with each payment due within thirty days after the end of the calendar quarter In which the corresponding revenues are received by the City. 4.4 Term of Compensation. Notwithstanding the expiration of the Term, the City's obligation to pay All Vision the compensation provided In Section 4.3 above shall apply to, and survive the Term with respect to, all City revenues pursuant to each applicable agreement from the inception of that agreement until (a) the end of the term of that agreement and all renewals, extensions, restatements or replacements thereof, or (b) thirty years after the Sign In question first becomes operational for the display of commercial advertising. In either case, the revenues to be shared include all revenues owed to the City with respect to the applicable time period that are received by the City at any time, whether before, during or afterthe applicable time period. 4.5 Other All Vision Signs, During the Term, All Vision will not be required or permitted to provide the services described in section 4.2 above with respect to Signs of which it is the developer that are not on City Property. However, with the prior written consent of the City, All Vision may present proposals for the City to consent to its participation as developer in the construction of Signs that are not City Property Signs in the overlay zone established pursuant to the Digital Billboard Ordinance in exchange for a mutually agreeable revenue sharing terms, and section 4.3 above will not apply to any amounts payable to the City with respect to those Signs. 4.6 Consulting Services Do Not Include Legal Services. Without limiting the generality of Section 15.9 below, nothing in this Article 4 is to be construed to require All Vision to provide or pay for legal advice to the City in connection with any Digital Billboard Ordinance or any agreement with a third party, and the City will be responsible to obtain at its expense and rely on the legal advice of its City Attorney and any other counsel it may engage regarding any Digital Billboard Ordinance or agreement and the legal validity and effect thereof. All comments and recommendations that All Vision may provide with respect to proposed ordinance language are to be considered as relating to business and operational matters only, even though they may include specific drafting recommendations and may include comments from attorneys who are employed by or engaged by All Vision. Further, All Vision's observation of construction activity is not intended as a substitute for any required or otherwise appropriate inspections to be performed by a City building official. Article 5 CITY PROPERTY SIGN DEVELOPMENT 5.1 Site Agreements. If the City approves a Strategic Plan that designates any one or more City Sign Locations for development, the parties shall prepare and enter into a Site Agreement for each City Sign Location in a form provided by either party and mutually approved by the City and All Vision. 5.2 Key Terms. Each Site Agreement shall include provisions based on the following key economic terms (but providing greater detail), among the other terms specified in the approved form of Site Agreement, unless the parties otherwise agree in writing: (a) The term of each Site Agreement will extend for 30 years beginning on the date the Sign is first put into operation to display commercial advertising, or the deadline in the Site 7 25F -11 Agreement for such commencement of operations, and shall have appropriate insurance, maintenance, and indemnification provisions and appropriate reporting and audit provisions consistent with Article 7 below. (b) All Vision's reasonable Direct Expenses incurred in connection with the Sign, including reasonable amounts owed to sales agents for procurement of advertising media, out -of- pocket expenses paid to third parties for maintenance and repair of the Sign which, under generally accepted accounting principles consistently applied, are not required to be capitalized and amortized, costs of electricity and telecommunications services serving the Sign, costs of insurance for the Sign equipment, costs of electrical and telecommunications services for the Sign, and costs of obtaining and maintaining Operating Permits and other governmental approvals, but excluding costs that must be capitalized and depreciated under generally accepted accounting principles, will be reimbursed out of Site Agreement Development Revenues for the Sign before sharing of net Site Agreement Development Revenues (the amount so reimbursed, "Site Agreement Direct Expense Reimbursement "). (c) All Vision's Costs of Construction and Maintenance of the Sign that must be capitalized and depreciated under generally accepted accounting principles, including all actual out -of- pocket costs paid to third parties for design, construction, bonds or other security, and payment of claims arising out of construction, and including maintenance and repair costs that fall within that accounting category, will be amortized in equal monthly installments over a period of five years (the "Reimbursement Period "), beginning with the calendar month in which the Sign is first put into service for the display of commercial advertising, and, as so amortized, will be reimbursed out of Site Agreement Development Revenues for the Sign before sharing of net Site Agreement Development Revenues (the amount so reimbursed, "Site Agreement Capital Expenditure Reimbursement "). (d) All Vision shall prepare any and all applications for permits and approvals required for any Operating Permits necessary for each proposed City Property Sign in the name of the City, and shall obtain all construction and other permits and approvals required for the construction of the Sign. All Vision will be entitled to terminate the Site Agreement if any required governmental approvals cannot be obtained. (e) All Vision will be responsible for the construction, operation and maintenance of the City Property Sign, including the sign operation activities of sales agents engaged by All Vision. All Vision will be required to keep the City Property Sign in good and safe condition, to repair promptly any malfunctioning or damaged component of the City Property Sign, to replace digital screen components when they reach the end of their useful lives, and to obtain property insurance to insure the City Property Sign against damage. All Vision's out of pocket costs of those services and insurance will constitute Direct Expenses and be reimbursed In accordance with the provisions of the Site Agreement. (f) Until the capital expenditures described above have been fully reimbursed to All Vision, All Vision will own the assets acquired or constructed with those costs (which will not be deemed to be fixtures or accessions to the real or personal property of the City), and after that reimbursement has been paid, those assets will at the City's option be transferred to the City. (g) If the Sign has one or more City Digital Faces, All Vision will be required to pay the City the greater of (1) an annual minimum fee in the amount of $50,000 per City Digital Face (that is, $100,000 for a Sign with two City Digital Faces) during the Reimbursement Period and $100,000 per City Digital Face (that is, $200,000 for a Sign with two City Digital Faces) for each year of the term of the Site 8 25F -12 Agreement thereafter or (ii) a share of Site Agreement Development Revenues determined by allocating to the City 60% of the net Site Agreement Development Revenues remaining after deduction of Site Agreement Direct Expense Reimbursement and Site Agreement Capital Expenditure Reimbursement. For any other kind of Sign in a City Sign Location (including Signs with digital faces that do not conform to the definition of City Digital Faces), no annual minimum will apply and All Vision will be required to pay the City 60% of the net Site Agreement Development Revenues remaining after deduction of Site Agreement Direct Expense Reimbursement and Site Agreement Capital Expenditure Reimbursement. The City and All Vision may agree to different economic terms based on the circumstances of the proposed City Sign Location. (h) The Site Agreement will provide for the potential "bundling" of the sales of advertising on the applicable Sign with sales of advertising on Signs governed by other Site Agreements and the allocation of the advertising revenues among the Signs on which the advertising will be displayed. 5.3 Removals. The Site Agreement will contain terms providing that if the Sign is to be removed because of casualty, condemnation, or legal prohibition, or because the City requires the City Sign Location for a bona fide purpose other than outdoor advertising that is incompatible with continued operation of the Sign, and the parties fail to agree on a comparable replacement City Sign Location, then (1) All Vision shall use diligent efforts to obtain payment of its unreimbursed operating expenses and capital expenditures from the condemning authority or applicable insurance company, (2) All Vision will thereafter be entitled to deduct any remaining unreimbursed operating expenses and capital expenditures, if any, from amounts due under this Agreement or other agreements (including other Site Agreements) between All Vision and the City, or the City may pay those amounts at the time of termination. If the Sign is removed due to condemnation action or prohibition by the City (not acting under any legal compulsion) or because the City requires the use of the location for another purpose, and the parties fail to agree on a comparable replacement City Sign Location, All Vision shall be entitled to deduct any remaining unreimbursed operating expenses and capital expenditures from amounts due to City under this Agreement and the Site Agreements, and if the amounts due under those agreements are not adequate for All Vision to fully recover those unreimbursed operating expenses and capital expenditures, then the City will be obligated to reimburse them. If the Sign is removed so that the City can develop the City Sign Location for other purposes, the City will impose a restrictive covenant for the benefit of All Vision prohibiting the installation of outdoor advertising billboards on the property of which that City Sign Location is a part until the earlier of five years after the date of removal or the originally scheduled termination date of the Site Agreement. Article 6 APPROVAL AND REMOVAL OF ADVERTISING MATERIALS 6.1 General Advertising Prohibitions. The fallowing categories of advertising are not permitted on any Signs: (a) advertising for any product or service that is prohibited by applicable law; (b) advertising for any product or service prohibited by the City's written policies; and, 0 25F -13 (c) advertising for any tobacco, marijuana or sexually related products or services. 6.2 Specific Advertising Prohibitions. City may impose additional advertising restrictions for specific Signs in the Site Agreement applicable to that City Sign Location. 6.3 Removal of All Vision Advertising. If All Vision displays advertising on a Sign governed by a Site Agreement in violation of this Article 6, All Vision shall remove the prohibited advertising material at its risk and expense. If All Vision fails to promptly remove the advertising, City may take any appropriate further action that may be necessary and appropriate to enforce the obligation to remove the prohibited advertising, and the reasonable, documented costs described in writing by City to All Vision of any actions required to enforce those obligations will be promptly paid by All Vision to City. Article 7 ACCOUNTING RECORDS 7.1 All Vision's Records. For the duration of each Site Agreement and for three years thereafter, All Vision shall maintain records of receipts, disbursements and withholding of amounts received by it on account of each Site Agreement, including all Direct Expenses, and on account of each Site Agreement looking back at least seven years. No more than once per calendar year, City and its accountants, auditors, and /or consultants shall be entitled to audit, examine, inspect and obtain copies of such records and documents at the City's offices during normal business hours upon not less than five business days' prior written request, and All Vision shall, at All Vision's cost, make such records and documents available at the City's offices for the purpose of such review. If any records are maintained outside of the City and cannot be provided to the City at the City offices, All Vision shall be required to provide access to such records outside the City and reimburse the City for all reasonable travel expenses incurred by the City to inspect those records, including travel, lodging, meals, and other similar expenses, but excluding the normal salary or hourly wages of those persons designated by the City to conduct the audit, examination, or inspection. 7.2 The City's Records. The City shall keep records of all License Revenues received by it, and All Vision and its accountants and consultants shall be entitled to inspect such records and documents at the City's office where such records are regularly Kept upon not less than ten business days' prior written request. 73 Financial Statements. No later than six months after the end of All Vision's annual accounting cycle, All Vision shall submit an audited statement of revenues and expenses related to the City Property Signs for the preceding fiscal year prepared by an independent Certified Public Accountant. 7.4 Audit. All Vision's staff shall cooperate fully with City or authorized agents of City when they conduct audits, and examinations or inspections of All Vision's records In relation to Site Agreement Development Revenues and Direct Expenses. Any audit, examination, or inspection conducted by City under this Section will be conducted at the expense of City, except as provided under Section 7.4. City will prepare a written report containing its findings, a copy of which will be mailed to All Vision for its review. All Vision must reimburse City within 30 days of written notice from the City for the expense of any such audit, examination, or inspection if, as a result of that audit, examination or inspection, it is determined that there is a shortfall of more than four percent (4 %) in the amounts due to the City under this Agreement. The right to audit, examine, or inspect as provided by this Section, shall be for so long as All Vision owns the records, subject to the limitation that all amounts paid and received and all statements rendered under this Agreement will be deemed final and conclusive at the 10 25F -14 end of the third year after In which the applicable receipts and payments occurred, and no adjustment in amounts paid under this Agreement shall be made based on an audit or examination that is commenced more than one year after the end of the calendar year in which those amounts were received and paid. 7.5 Audit Deficiency Determinations. In the case where any inspection of records or financial audit results in a deficiency determination in connection with any quarterly remittance due to the City by All Vision then such deficiency shall be subject to a contract penalty of 10% and late interest at the rate of 1% per month or fraction of a month from the date such deficiency occurred until the principal deficiency amount, penalty, and interest are paid in full. For purposes of late interest assessment the penalty shall be merged with the principal deficiency amount and interest shall be paid on the combined total amount. In the event of a determination of fraud, or gross or willful negligence in the reporting or remittance of license revenue a further penalty of 15% shall apply to such deficiency. Every quarterly deficiency determined by the City shall be subject to separate assessment of penalty and late interest. Article 8 REPRESENTATIONS OF THE PARTIES 8.1 By All Vision. All Vision represents to the City as follows, as of the date of this Agreement: (a) All Vision is a limited liability company formed and validly existing under the laws of the State of Delaware. (b) All Vision has the requisite power, authority and capacity to execute, deliver and perform this Agreement. (c) This Agreement has been duly authorized, executed, and delivered by All Vision, and the execution, delivery, and performance by All Vision of this Agreement does not and will not violate or constitute a default under the organizational documents of All Vision or any other covenant, contract, agreement, or understanding to which it is a party or by which it or any of its properties or assets is bound or affected. (d) All Vision has not received any notice of any actions, suits, proceedings, or investigations pending or threatened against All Vision that individually or in the aggregate are reasonably likely to result in any material adverse effect on the business, properties, or assets, or the condition, financial or otherwise, of All Vision or in any impairment of All Vision's ability to perform its obligations under this Agreement. 8.2 By The City. The City represents to All Vision as follows, as of the date of this Agreement: (a) The City is a charter city and municipal corporation formed and validly existing under the laws of the State of California. (b) The City has the requisite power, authority and capacity to execute, deliver and perform this Agreement. 11 25F -15 (c) This Agreement has been duly authorized, executed, and delivered by the City, and the execution, delivery, and performance by the City of this Agreement does not and will not violate or constitute a default under the organizational documents of the City or any other covenant, contract, agreement, or understanding to which it is a party or by which it or any of its properties or assets is bound or affected; provided, however, that the foregoing does not cover or include legal restrictions or recorded documents for any proposed City Sign Location, it being understood that All Vision shall investigate such matters with the good faith cooperation of City. (d) The City has not received any notice of any actions, suits, proceedings, or investigations pending or threatened against the City that individually or in the aggregate are reasonably likely to result in any material adverse effect on the business, properties, or assets, or the condition, financial or otherwise, of the City or in any Impairment of the City's ability to perform its obligations under this Agreement. (e) The City is the owner of the City Property or has a right and interest In the City Property sufficient to empower and entitle it (1) to grant to All Vision the rights granted in this Agreement and (2) to enter into valid and binding Site Agreements granting All Vision permission, revocable only on the terms provided in those Site Agreements, to construct Signs in City Sign Locations in accordance with the terms of this Agreement. 8.3 Breach of Representations. A breach by one of the parties of any of its representations made in this Article 8 will constitute a breach of this Agreement by that party and, if uncured, will entitle the other party to its remedies provided in this Agreement. However, the non - breaching party will not be entitled to any tort remedies or to rescind this Agreement, regardless of whether those remedies would otherwise be available at common law or in equity. Article 9 CONFIDENTIALITY 9.1 Use and Disclosure of Confidential Information. (a) Except as authorized hereunder, each party to this Agreement shall hold in confidence, not disclose and not permit any person any direct or indirect access to any Confidential Information of the other party except as permitted by this Agreement. As used in this Article 9, with respect to each item of Confidential Information, the following definitions apply: "Disclosing Party" means the party that disclosed information to the other. "Receiving Party" means the party that received Information from the other. "Confidential Information' means all information that is supplied or made available by or on behalf of a party to another party, whether before or after the date hereof, that the Receiving Party knows, or has a reasonable basis for believing, is confidential, including intellectual property, trade secrets and the terms and conditions of this Agreement. (b) A Receiving Party may disclose Confidential Information of a Disclosing Party to the Receiving Party's employees, officers, governing body members, professional advisors and agents (those persons, the Receiving Party's "Representatives ") to the extent necessary to enable that party to perform this Agreement, enforce its rights under this Agreement, or comply with applicable law, on Ffa 25F -16 condition that the Receiving Party notifies those persons of the confidential nature of the Confidential Information and obtains their agreement to keep that information confidential. Each Receiving Party shall be liable for disclosures of Confidential Information of the other party made by that Receiving Party's Representatives to the same extent as If the Receiving Party had disclosed that Confidential Information itself. (c) A Receiving Party shall not use, or cause, authorize or permit any other person to use, any Confidential Information of the other party except for the purposes of this Agreement, as permitted by this Agreement or as authorized by the Disclosing Party in writing. (d) A Receiving Party shall protect all Confidential Information of a Disclosing Party using the same degree of care as it uses to prevent the unauthorized use, disclosure, publication, or dissemination of its own confidential information of a similar nature or character, but in no event using less than a reasonable degree of care. 9.2 Exceptions. Information of a Disclosing Party will not constitute Confidential Information in the following circumstances: (a) the Disclosing Party advises the Receiving Party that the information disclosed is not required to be treated as Confidential Information; (b) the information is then or subsequently becomes generally available to or accessible by the public through no fault or wrongdoing of the Receiving Party or its Representatives, and the Receiving Party has no actual knowledge that the information was made available to the public in violation of a third party's duty of confidentiality; (c) the information is a matter of public record or in the public domain; (d) the information was in the possession of the Receiving Party before it was disclosed by the Disclosing Party; (e) the information is received by the Receiving Party on a non - confidential basis from a source other than the Disclosing Party, and the Receiving Party did not know or have reason to know that the source was bound by a duty of confidentiality to the Disclosing Party; (f) the information is required to be disclosed under open public records laws or open public meetings laws, such as the Freedom of Information Act, the California Public Records Act, or other applicable law, by virtue of being received, generated, or disclosed by City, and no exception to disclosure under those laws applies to that information, as determined by counsel for the City; (g) the information was independently developed by the Receiving Party without access to disclosures by the Disclosing Party, as evidenced by contemporaneous written records; or (h) the Disclosing Party authorizes disclosure of the information (and only to the extent of that authority). 13 25F -17 9.3 Compelled Disclosure. If a Receiving Party receives a subpoena, court order, or other legal process requiring disclosure of Confidential Information, the Receiving Parry shall promptly notify the Disclosing Party of the requirement and cooperate at the Disclosing Party's expense in any efforts the Disclosing Party may wish to undertake to seek a protective order or other exception to the disclosure requirement. Unless the Disclosing Party obtains a protective order or exception before the Receiving Party is required to disclose the Confidential Information, the Receiving Party may disclose so much of the Confidential Information as is required to comply with the disclosure requirement. Article 10 INSURANCE AND LIABILITY 10.1 All Vision's Insurance. (a) All Vision shall procure and maintain during the Term the following coverages and limits of insurance, with reasonable and typical deductibles: (1) Commercial General Liability insurance in form and substance acceptable to the City, on an occurrence basis, with limits of at least $2,000,000 per occurrence for bodily injury, personal injury and property damage and $4,000,000 general aggregate. Such insurance 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 All Vision's operations in the performance of this Agreement, including without limitation, acts involving vehicles. (2) Commercial automotive liability insurance in form and substance acceptable to the City, covering liability for any auto, with limits of at least $1,000,000 per accident for personal injury and property damage. Such insurance shall include coverage for owned, hired and non -owned automobiles. (3) Workers' Compensation Insurance as required by applicable law, and Employer's Liability Insurance with limits of at least $1,000,000 per accident, per employee. (4) Errors and Omissions Insurance with limits of at least $2,000,000 per occurrence or per claim. If such insurance is issued on a "claims- made" basis, All Vision shall maintain this insurance for at least two years after the end of the Term, either by replacement policies (with a retroactive date no later than two years before the effective date of the policy in question) or by an extended reporting period. (b) The City and its officers, agents, employees, volunteers, and representatives must be named as additional insureds under All Vision's commercial general liability insurance policy with respect to liability arising out of All Vision's activities under this Agreement. All Vision shall provide this additional insured coverage by way of a fully executed blanket additional insured endorsement or an endorsement specifically for the benefit of those required additional insureds. (c) For claims arising out of services rendered by All Vision under this Agreement, All Vision's liability insurance coverage must be primary and not contributory with the City's insurance. 14 25F -18 (d) Each insurance policy required by this Section 10.1 must be endorsed to state that coverage will not be suspended, voided, canceled by the insurer or the insured, or reduced in coverage or in limits except after thirty (30) days prior written notice has been given to the City. (e) All Vision shall provide the City certificates of insurance and (for the endorsements specifically required above) endorsements evidencing the issuance of the insurance coverage required by this Agreement, which shall be approved in form by the City. Upon the City's request, All Vision shall submit copies of all required insurance policies, including the endorsements affecting the coverage required by this Agreement. (f) If All Vision 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 and fails to correct that failure within thirty days after receipt of the City's notice to do so, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect All Vision's right to be paid for services rendered prior to notification of termination. 10.2 Damages. To the fullest extent permitted by law, each party hereby waives the right to recover from the other party, in any action arising out of or related to this Agreement or the City Property, any consequential or incidental damages and any punitive or exemplary damages whatsoever, regardless of the legal theory or cause of action on which such claim for damages may be based and regardless of when such claim accrues. The foregoing sentence is not to be construed to limit a party's ability to recover direct actual damages, including lost profits to the extent they are properly categorized as direct actual damages. The provisions of this Section 10.2 survive the expiration or other termination of this Agreement. 10.3 All Vision Not a Guarantor. All Vision is not a guarantor of the obligations of any vendor or other third party doing business with the City with respect to any Signs or the transit oriented advertising program and will have no obligation to pay any amount owed by any such third parties or otherwise cure the default of any such third party. The foregoing does not apply to sales agents engaged by All Vision and does not limit any liability that All Vision might have to the City for the acts or omissions of All Vision itself or such sales agents. 10.4 Indemnification. All Vision agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise due to negligent acts, omissions or willful misconduct, from the direct or indirect operations of All Vision or its contractors, subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from, and to the extent of All Vision's, negligent acts, omissions or willful misconduct in the performance of this Agreement. 10.5 Attorneys' Fees. In the event any dispute between the parties arising out of or related to this Agreement becomes the subject of litigation or arbitration, the party prevailing on the more substantial part of its claims and defenses, if any, will be entitled to recover its attorneys' fees, disbursements and other costs incurred in connection with such proceeding. 15 25F -19 10.6 Waiver of Jury Trial. To the extent permitted by applicable law, the parties waive the right to trial by jury of any dispute between them arising out of or relating to this Agreement or the installation, operation, maintenance, use or removal of any Sign. Article 11 DEFAULTS AND REMEDIES 11.1 Default by All Vision. The occurrence of any of the following circumstances will constitute an "All Vision Event of Default ": (a) All Vision falls in a material way to perform Its obligations under this Agreement and fails to cure such default within 30 days following delivery of written notice of that failure from the City to All Vision (or, if the default cannot reasonably be cured within that 30 day time period, but All Vision commences efforts to cure within that 30 day period and diligently pursues such efforts and the default is not inherently incurable, then within the longer amount of time reasonably necessary to complete such cure). (b) All Vision commences voluntary bankruptcy or insolvency proceedings or is adjudicated a bankrupt, becomes insolvent, makes an assignment for the benefit of creditors or proposes or makes any arrangement for the settlement of its debts (in whole or in part) or for the liquidation of its assets or a receiver or a receiver and manager or person with similar authority is appointed with respect to the assets of All Vision; (c) a material portion of the assets of All Vision is seized in satisfaction of any judgment; or (d) any proceedings are taken for the liquidation, dissolution or winding -up of All Vision or All Vision ceases or threatens to cease to carry on business in the ordinary course. 11.2 The City's Remedies. If an All Vision Event of Default occurs, the City may have recourse to any one or more of the following remedies (but without any duplicative recovery), subject to the limitations provided In Section 11.5 below: (a) Recover its actual damages for breach of contract resulting from All Vision's default; (b) Terminate this Agreement; and, (c) Have recourse to any other remedies for the breach available at law or In equity, except as limited by the provisions of this Agreement. 11.3 Default by the City. The occurrence of any of the following circumstances will constitute a "City Event of Default ": (a) The City fails in a material way to perform its obligations under this Agreement and fails to cure such default within 30 days following delivery of written notice of that failure from All Vision to the City (or, if the default cannot reasonably be cured within that 30 day time period, but the City commences efforts to cure within that 30 day period and diligently pursues such efforts and the default is not inherently incurable, then within the longer amount of time reasonably necessary to complete such cure). 16 25F -20 (b) The City commences voluntary bankruptcy or insolvency proceedings or is adjudicated a bankrupt, becomes insolvent, makes an assignment for the benefit of creditors or proposes or makes any arrangement for the settlement of its debts (in whole or in part) or for the liquidation of its assets or a receiver or a receiver and manager or person with similar authority is appointed with respect to the assets of the City; (c) a material portion of the assets of the City is seized in satisfaction of any judgment; or (d) any proceedings are taken for the liquidation, dissolution or winding -up of the City or the City ceases or threatens to cease to carry on business in the ordinary course. 11.4 All Vision's Remedies. If a City Event of Default occurs, All Vision may have recourse to any one or more of the following remedies (but without any duplicative recovery): (a) Recover its actual damages for breach of contract resulting from the City's default; (b) Terminate this Agreement; and, (c) Have recourse to any other remedies for the breach available at law or in equity, except as limited by the provisions of this Agreement. 11.5 Force Majeure. Neither party will be responsible to the other for a failure in the performance of its obligations under this Agreement that results from Force Majeure, and the time for each party to render performance that is delayed or interfered with by Force Majeure will be extended for so long as the Force Majeure condition continues to delay or interfere with that party's performance, and for so long thereafter as is reasonably necessary to remobilize or otherwise resume performance following the abatement of the Force Majeure circumstances. The parties shall make reasonable efforts to cooperate to mitigate the effects of any such delays. Article 12 DISPOSITION OR ACQUISITION OF CITY PROPERTY 12.1 Disposition of Portions of the City Property, The City may sell, lease or otherwise dispose of parts of the City Property. "Disposed Property" means the portion of the City Property so sold, leased, licensed, abandoned, or otherwise disposed of, except that "Disposed Property" does not include portions of the City Property with respect to which the City retains, after the sale, lease or other disposal thereof, the right to develop, use and license signs under long -term licenses without restrictions greater than those that applied to the City and All Vision before the transfer of the Disposed Property, for so long as the City retains those rights. Without limiting the generality of Section 15.2, the provisions of this Article 12 survive the end of the Term or other termination of this Agreement. 12.2 Pending Development. If the City sells or otherwise disposes of Disposed Property that includes a City Sign Location identified in the Strategic Plan but with respect to which a Site Agreement has not been entered into, the City at its sole discretion shall either (a) cancel the work on the evaluation and development of that City Sign Location by notice to All Vision and, at or before the closing of the transfer of the Disposed Property, reimburse all of All Vision's Direct Expenses incurred for its work in connection with that prospective City Sign Location, or (b) assign its interest in this Agreement insofar as it applies to the applicable Disposed Property to the transferee of the Disposed Property and, in the 17 25F -21 terms of the agreement for that sale or other transfer, require the transferee to assume the obligations of the City hereunder with respect to the Disposed Property and City Sign Locatlons thereon. 12.3 Bulk Asset Disposition. If the City sells or otherwise disposes of Disposed Property comprising all or substantially all of the City Sign Locations, whether to one or more transferees, the City shall assign its rights and delegate its duties under and interest in this Agreement to the transferee(s) of the City Property and cause its transferee(s) to assume in writing the obligations of the City under this Agreement. 12.4 Site Agreements Not Affected. The provisions of the foregoing Sections of this Article are not to be construed to affect any Site Agreement on Disposed Property. The effect of the transfer of City Property on Site Agreements will be governed by those Site Agreements. Article 13 ASSIGNMENT 13.1 By the City. The City may assign its interest in this Agreement, in whole or in part, as provided in Article 12 above without the consent of All Vision. The City shall notify All Vision of any such assignment within seven business days afterthe effective date of the assignment. 13.2 By All Vision. All Vision may assign this Agreement to any third party only upon City's prior written approval, which the City shall not unreasonably withhold, condition or delay, on condition that the third party assumes in writing the obligations of All Vision under this Agreement accruing from and after the date of that assignment. Article 14 NOTICES 14.1 How Delivered. To be valid, notices under this Agreement must be in writing, delivered (a) by personal delivery, (b) by registered or certified mail, or (c) by a courier service of national repute with delivery tracking, and addressed to the party to whom it is directed at that party's address for notices stated in Article 1. Either party may change its address for notices by giving ten (10) days prior written notice of such change to the other party. 14.2 When Effective. A valid notice or other communication under this Agreement will be effective when received by the party to which it is addressed, It will be deemed to have been received as follows: (a) if it is delivered by hand, delivered by a national transportation company, with all fees prepaid, or delivered by registered or certified mail, return receipt requested and postage prepaid, upon receipt as indicated by the date on the signed receipt; and, (b) if it is delivered by a courier service, upon delivery to the destination address as indicated by the company's tracking records. Ftd 25F -22 Article 15 MISCELLANEOUS PROVISIONS 15.1 Governing taw. The validity and effect of this Agreement shall be determined in accordance with the laws of the State of California, without reference to its conflicts of laws principles. 15.2 Survival of Provisions. All provisions of this Agreement that provide for actions to be taken or amounts paid after the end of the Term survive the expiration or other termination of this Agreement. 15.3 No Continuing Waiver. No waiver by the City or All Vision of any breach of any provision of this Agreement will be deemed for any purpose to constitute a waiver of any breach of any other provision hereof, nor of any continuing or subsequent breach of the same provision. 15.4 No Partnership. Nothing in this Agreement is to be construed to create a partnership between the City and All Vision. The relationship between the City and All Vision is an Independent contracting and licensor /licensee relationship. 15.5 Entire Agreement. This Agreement represents the complete understanding and agreement between the parties with respect to the subject matter of this Agreement. This Agreement may be changed only by a written amendment signed by the parties. 15.6 Successors and Assigns. This Agreement is binding on and inures to the benefit of the successors and permitted assigns of the parties. 15.7 Deadlines on Business Days. The term "business day," as used herein, refers to days other than Saturday, Sunday, holidays when banks in the State of California are not open for transaction of regular business, or any days when the Santa Ana City Hall is closed. If the last day for any obligation to be performed under this Agreement falls on a day other than a business day, that deadline will be automatically extended to the next business day. 15.8 Time of the Essence. Time is of the essence of this Agreement. 15.9 No Regulated Services. Nothing in this Agreement is to be construed to require All Vision to provide legal advice to the City, perform real estate brokerage services, or perform any other activity for which any kind of professional license is required. All Vision is not a real estate brokerage firm. 15.10 Severability. If any provision of this Agreement or the application thereof to any person or circumstance is determined to be invalid or unenforceable, the remainder of this Agreement (and the application of the affected provision to any other person or circumstance) will remain valid and enforceable, except that if a provision of this Agreement that is written to apply to both parties is determined to be invalid or unenforceable as to one party but not as to the other, that provision will be void as to both parties. 15.11 Construction. This Agreement was negotiated between sophisticated parties, and its provisions are to be construed without regard to which party first drafted or proposed them. 19 25F -23 15.12 Counterparts. This Agreement may be executed in counterparts, each of which will constitute an original and all of which taken together will constitute one and the same instrument. 15.13 Effect on City's Governmental Rights and Powers. City is entering into this Agreement in its proprietary capacity only, and nothing in this Agreement shall be construed to constitute a waiver or exercise of the City's governmental rights and powers, all of which are hereby reserved. Signed by the parties on the dates shown below: City: City of Santa Ana By: Print Name: _ Title: Date: ATTEST: Print Name: _ Title: Date: AS TO FORM Attorney All Vision: All Vision, LLC a Delaware limited liability company by: Print Name: Title: Date: 20 25F -24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT WITH THIRDWAVE CORPORATION FOR AN INFORMATION TECHNOLOGY ASSESSMENT (STRATEGIC PLAN NO. 6, 11; 7, 5) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$' Reading ❑ Ordinance on 2 n 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 ThirdWave Corporation for an information technology assessment based on the terms set forth in the attached draft agreement for the amount of $155,829, plus a 10% contingency, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The City of Santa Ana Mayor and City Council adopted a Five -Year Strategic Plan on March 18, 2014, establishing goals, objectives and strategies for Santa Ana's future. The Five -Year Strategic Plan has seven guiding principles which provide the basis for how the organization will work to achieve its mission and vision. Given the City's new focus and direction, IT and communications have come to the forefront and identified as a means by which to deliver on the goals and objectives as stated in the Five -Year Strategic Plan. There are various technology trends that the City will contend with as the next generation of innovative tools emerge. The City is committed to the use of IT investments and implementing new technology to ensure efficient and effective delivery of City services. As such, the City in a collaborative effort with various department stakeholders has developed a draft IT Strategic Plan (ITSP) approved by the City's Executive Management Team. The ITSP sets forth the vision, goals and initiatives to provide innovative and sustainable technology solutions to deliver quality services. In addition, the ITSP incorporates guiding principles to ensure a strategic vision is maintained. These guiding principles are: Innovative, Customer Centric, Effective, Fiscally Responsible, Quality, Collaborative, and Efficient. 25G -1 Agreement with Third Wave Corporation for an Information Technology Assessment November 18, 2014 Page 2 With a shared vision, goals and guiding principles established, the City's next step is to identify, prioritize, and execute on opportunities to improve operational efficiency and effectiveness. To do this, the City will engage a consultant with strong municipal business and IT experience to conduct an information technology assessment. The IT assessment will define the City's current technology service levels and develop a strategic IT roadmap focused on supporting City departments in delivering quality services to the community. Additionally, the assessment will evaluate and guide the City to accomplish the following: • Foster a culture of innovation and efficiency • Provide for a clear direction regarding the City's IT current and future needs • Evaluate the ITSP and provide recommendations • Develop a roadmap to align IT with Five -Year Strategic Plan stated goals and initiatives • Ensure the greatest value from investment in IT On August 14, 2014, the City Manager's Office, in collaboration with the Finance & Management Services Agency, issued a Request for Proposal (RFP) for an information technology assessment. The RFP was made available through the City's e- procurement system. Key components and submittal requirements of the RFP included: • Firm profile demonstrating capability and experience in municipal IT strategic planning • Sample IT assessment report and positive references • Competitive cost, project approach and work plan • Agreement to terms and conditions specified in the RFP In response to inquiries and questions asked by vendors, the City released one addendum to the initial RFP. On September 4, 2014 two proposals were received and evaluated. The eight - member evaluation committee representing the Police Department, the Parks, Recreation and Community Services Agency, the Community Development Agency, the Public Works Agency, the Planning and Building Agency, the City Manager's Office, the Personnel Services Agency and Finance and Management Services Agency rated the proposals using four criteria: 1. Sample IT assessment and depth of references 2. Experience of the firm and technical expertise of assigned staff 3. Total cost and description of all costs 4. Proposer's processes, approach and work plan The focus of the evaluation process was to select the proposal that provided the most thorough and competitive assessment set forth in the RFP. The evaluation committee determined that both firms met or exceeded each of the RFP requirements. The two vendors (Avasant and ThirdWave Corporation) were invited to a clarification interview and oral presentation on September 16, 2014 and were advanced to Phase II of the process. 25G -2 Agreement with ThirdWave Corporation for an Information Technology Assessment November 18, 2014 Page 3 In Phase II, the two proposals were evaluated on 4 categories outlined in the RFP. A final score for each proposal was derived by taking the average of each evaluator's total score. Using this methodology, the highest numerical score reflects the best proposal. Vendor Final Score % Ranking Proposal ThirdWave 1 89% 1 1 Committee Recommended Avasant 1 71% 2 Based on the evaluation of the proposals, the committee recommends entering into an agreement with ThirdWave to conduct an IT assessment and development of a strategic IT roadmap over a five to six month period. In addition, staff is recommending adding a 10% contingency in the event that management may add additional workshops or expand the scope of the assessment. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 6 Community Facilities and Infrastructure, Objective # 11, Assessment and development of a citywide Information Technology Master Plan and Goal# 7 Team Santa Ana, Objective # 5, create a culture of innovation and efficiency within the organization. FISCAL IMPACT Funds are available in the citywide Non - departmental Contractual Services Professional account (01105015- 62300). �\Zaa s=A) � Francisco Gutierrez Executive Director Finance and Management Services Agency EG Exhibit: Agreement 25G -3 25G -4 CONSULTANT AGREEMENT INFORMATION TECHNOLOGY ASSESSMENT RFP NO. 14-049 THIS AGREEMENT, made and entered into this 18th day of November, 2014 by and between ThirdWave Corporation, a privately held 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 1. The City desires to retain a Consultant having special skill and knowledge in the field of information technology assessments and strategic plans for local governmental organizations. 2. Consultant represents that Consultant is able and willing to provide such services to the City. 3. 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 information technology consulting firm. 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: A. SCOPE OF SERVICES Pursuant to this Agreement, Consultant shall provide the City with an Information Technology Assessment. The Assessment will include all of the elements outlined in the Scope of Work section of the Consultant's October 30, 2014 Proposal, attached hereto and incorporated herein as Exhibit A. B. TERM The term of this contract shall commence on December 1, 2014 and terminate upon completion of all services outlined above, unless earlier terminated as set forth in Section H, below. Under no circumstances shall the contract continue past November 30, 2015. C. COMPENSATION I. City agrees to pay and Consultant agrees to accept as total payment for its services, the total sum of $155,829. An additional contingency often percent (10 %) of the total payment amount may be expended for additional services under this contract as approved in writing by the City Manager. 2. All payments to Consultant shall be made based on the completion of project milestones and deliverables, as detailed in Consultant's Detailed Payment Schedule, attached hereto and incorporated herein as Exhibit B. Under no circumstances will payments be made in advance of work performed. The City will require 10% retention of the overall project cost payable upon the City's written approval of final deliverables 25G -5 3. Extra Work No new work of any kind shall be considered an extra unless a separate estimate is given for said work and the estimate is approved by the City in writing before the work is commenced. The Consultant will be required to provide detailed information of such extra work. Documentation of contract compliance may be required. Work performed prior to obtaining written approval of the City shall not be included within the Scope of Work and may not be paid. D. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this contract, be construed to be an independent contractor and not an employee of the City. This contract 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 manner in which Consultant performs the services required by this contract. 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. E. INSURANCE Prior to undertaking performance of work under this contract, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: L 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 there from and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of One Million Dollars ($1,000,000) per occurrence, Two Million Dollars ($2,000,000) in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit C upon execution of this Agreement and shall be approved in form by the City Attorney. 1 Business automobile liability insurance, or equivalent form, with a combined single limit of not less than One Million Dollars ($1,000,000) per occurrence. Such insurance shall include coverage for owned, hired and nonowned automobiles. 3. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant is required to be insured against liability for Workers' Compensation or to undertake self - insurance_ Prior to commencing the performance of the work under this contract, 25G -6 Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than One Million Dollars ($1,000,000) per accident. 4. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: a. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this agreement. b. Certificates of insurance shall be furnished to the City upon execution of this contract and shall be approved in form by the City Attorney. C. 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. 5. 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 contract. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. F. HOLD HARMLESS/ INDEMNIFICATION To the fullest 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 for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this contract (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 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 indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of this contract. 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. G. 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, sent by telefacsimile communication, or via e-mail to the following persons: 25G -7 To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92701 Fax: 714-647-6956 With courtesy copy to: and To Consultant: Personnel Department — Benefits Division City of Santa Ana 20 Civic Center Plaza (M -34) P.O. Box 1988 Santa Ana, CA 92701 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, CA 92701 Fax: 714-647-6515 ThirdWave Corporation 11400 W. Olympic Blvd. Suite 200 Los Angeles, CA 90064 Fax: 310 -312 -9513 Attn: Roy Hernandez, President/CEO H. TERMINATION The City reserves the right to terminate the contract as follows: 1. In the event Consultant fails or refuses to timely perform any of the provisions of this agreement in the manner required, or if Consultant violates any provision of this agreement, Consultant shall be deemed in default. City shall provide written notice of such default to Consultant's project manager. Consultant shall cure said default within a period of two (2) working days. If such cure is not completed in a timely manner, City may terminate the agreement by giving written notice to Consultant's project manager. Consultant shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during Consultant's default. In the event of such termination for cause, City shall pay Consultant that portion of compensation specified in the agreement that is earned and unpaid prior to the effective date of termination. Consultant shall not be entitled to any compensation for lost profits if terminated for cause. 25G -8 2. This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the Consultant either personally or by mail. Upon termination, City shall pay to Consultant that portion of compensation specified in the agreement that is earned and unpaid prior to the effective date of termination. 3. In addition to, or in lieu of, remedies provided in this agreement or pursuant to law, City shall have the right to withhold all or a portion of Consultant's compensation for contract services if, in the judgment of the project manager or designee, the level of service falls below appropriate standards and/or Consultant fails to satisfactorily perform contract services. City shall have the right to retain funds withheld until the project manager or designee determines that contract services are performed as well and as frequently as required by this agreement. 1. COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS Consultant shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. J. ASSIGNMENT Inasmuch as this contract 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 City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. K. JURISDICTION — VENUE This contract has been executed and delivered in the State of California and the validity, interpretation, performance and enforcement of any of the clauses of this contract 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 contract. L. FINES The Consultant shall be liable for all violation fines levied against the City by federal, state, or local agencies with regulatory authority related to Consultant provided services. M. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25G -9 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 CARVAHALO City Attorney le By: Kyle gAdl Iesen Deputy City Attorney RECOMMENDED FOR APPROVAL: Francisco Gutierrez Executive Director Finance and Management Services Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT Roy Hernandez President / CEO ThirdWave Corporation 25G -10 EXHIBIT n 25G -11 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 PHASE 0 PROJECT MANAGEMENT Task 0.1 Project Kick -off Meeting This task will entail holding an onsite project kickoff meeting with the City and ThirdWave's Project Team. A PowerPoint presentation will be produced to review the project goal and objectives, project plan, deliverables, project schedule, ThirdWave and City responsibilities, and the PMBOK TIVI project management protocol. Assumptions: 1. Staff and management representing key departments will attend the kick -off meeting. it is important that key stakeholders receive an overview of the project and understand its importance to the future operation and delivery of City services. 2. if possible, the project's executive sponsor should initiate this meeting, along with the City Project Manager, to underscore the importance of the project. 3. This meeting will last an hour to an hour and -a -half long depending on questions. Deliverable 0.1: Project Kickoff Meeting Task 0.2 Ongoing Project Coordination This task will entail holding ongoing project progress and coordination meetings or conference calls with the City's Project Manager, i.e., on a weekly basis. This will serve to review / discuss the project's progress, issues identified to date, and plan / prepare for future tasks. Deliverable 0.2: Ongoing Project Coordination Task 0.3 Monthly Status Reports This task will entail providing written progress reports to the City's Project Manager each month. Progress reports will outline the status of the project, including the following, as appropriate: • Description of progress made during the reporting period • Deliverables completed and delivered during the reporting period • Outstanding issues and recommendations for resolution (if any) • Scope, cost and schedule integrity status Assumptions: 1. The project plan assumes a five (5) month project schedule, therefore 5 monthly progress reports will be provided at the end of months 1 through 2 of the project. Deliverable 0.3: Monthly Status Reports Proposal 02014 11 ThlydWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -12 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 Phase 1 Discovery Task 1.1 Review Current Technology Documentation This task will entail reviewing existing documents related to IT and related organizational information. This task will entail reviewing existing documents to establish a baseline understanding of the City's enterprise architecture and systems environment. Documents could include: • Network Topology diagrams • City Organization Chart and Mission Statements • IT Mission Statements, IT Organization Chart, IT Staff Classifications • Previous Strategic IT or Business Plans • Planned IT Initiatives • Other documents as appropriate Assumptions: 1. Reference documents will be provided to ThirdWave on the same day as the Project Kick -off Meeting or within the first week of the project. 2. This task will not produce a deliverable. Deliverable 1.1: Review Existing IT Documentation Task 1.2 Prepare IT Inventory Spreadsheet This task will entail developing an IT Systems inventory spreadsheet reflecting the City's organization and providing it to the City for data collection by appropriate City IT staff. We understand that the City may already have an inventory of systems; however this spreadsheet will be specifically structured to work with ThirdWave's methodology. The inventory will create a complete list of existing IT projects and initiatives, and infrastructure and application system assets. The IT Inventory will be provided by City IT staff and ThirdWave will review and evaluate existing documentation for completeness, consistency, and relevancy to the development of the IT Strategy. The inventory will include the following systems, which will be referenced in subsequent tasks. Technology by Department or Enterprise • Infrastructure (Topology, bridges, routers, hubs) • Hardware: Servers, Workstations, Mobile Devices, Peripherals • Software: • Departmental (Recreation Registration & Payment Processing Systems, Land -based Permitting, etc.) • Enterprise: Financial, HR, Time Keeping & Scheduling, etc. • Web - enabled / E- Government Deliverable 1.1: Prepare IT Inventory Spreadsheet Proposal 02014 12 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -13 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 CSA T 1.2 Fill Out IT Inventory Spreadsheet This task will entail appropriate IT City staff filling in the data into the spreadsheet provided by ThirdWave. Deliverable 1.1: Filled Out IT Inventory Spreadsheet Task 1.3 City IT Staff Skills Assessment Task 1.3.1 Provide Online IT Skills Survey This task will entail producing an online survey to provide Full Time IT and "Shadow" staff the opportunity to provide input on their skill sets. (Shadow IT Staff are those that provide IT support but do not have a formal classification to do so.) An online IT Skills Assessment Survey will be provided to City staff using SurveyMonkeyTM. All staff currently spending more than 20% of their time on IT related activities will be asked to respond to the survey. The skills inventory will gather the following information: • Name • Classification • Departments, Division, Section (as applicable) • Proficiency Areas (to be identified I finalized with the City's) Sample proficiencies for could include the following: • Infrastructure • Hardware • Software: • Departmental • Enterprise Applications • E- Government • Help Desk I Support ThirdWave will work with the City's Project Manager and the Project Steering Committee (if applicable) to modify and finalize the online skills survey to ensure it is custom tailored to the City's environment. The task will baseline the knowledge, skills, and abilities of existing IT staff to gauge the ability of the IT organization's ability to sustain the IT Strategic Plan. Assumptions: 1. A SurveyMonkeyTM link will be provided to the City's Project Manage, for placing on the City's Intranet. 2. City Management will underscore the importance of filling out the survey and will encourage IT staff to reply to the survey. 3. The online survey will collect data for a period of one (1) week. Deliverable 1.3.1: Online IT Skills Survey Proposal 02014 13 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -14 0 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 CSA T 1.3.1 Distribute and Fill Out the Online Survey This task will entail the City's Project Manager providing the survey to the appropriate IT staff, so that they can post the link. The IT Skills Inventory survey notice (link) will be prominently placed on the City's Intranet website and an announcement will be provided to City's IT staff via the IT Department Head. Unless otherwise agreed, the online survey will collect data for one week. Deliverable 1.3.1: City IT Staff Take Survey Task 1.3.2 Compile IT Skills Survey Data This task will entail compiling the data collected in the online surveys and producing a summary of findings. This information will be referenced in subsequent project tasks. Deliverable 1.3.2: IT Staff Skills Survey Findings Task 1.4 City Staff Online Survey Task 1.4.1 Develop Online City Staff Survey This task will entail developing and posting an internal City Staff survey providing city staff and management the opportunity to provide input on the City's existing and required systems, and IT organization's capability to support them. Possible items the customer online survey will address includes: • Existing and required information systems • End user computing • Related support processes • End user training • IT Help Desk MKOW, ThirdWave will work with the Project Manager and IT Manager to finalize the online survey questions to ensure it is custom- tailored to the City. ThirdWave will use SurveyMonkeyTM for the online survey. Specific business and technical requirements for the ITSP and Implementation Plan will be collected from the end user survey responses. Assumptions: 1. A SurveyMonkeyTM link will be provided to the City's Project Manager. 2. A link will be placed on the City Intranet website and a notice will be issued encouraging all City staff to take the survey. 3. The online survey will collect data for one (1) week. Deliverable 1.4.1: Online End User Survey Proposal 14 ThirdWave 11400 W. Olympic Blvd, Suite 200 Los Angeles CA 90064 310.914.0166 V 310.312.9513 F 25G -15 Information Technology Assessment City of Santa Ana October 30. 2014 BAFO V2 CSA 1.4.1 Post Online Survey This task will entail the City's Project Manager providing the survey to the appropriate City IT staff so that they can post it on the City's Intranet. Unless otherwise agreed, the online survey will collect data for the time specified in the MS Project Schedule. City Deliverable 1.4.1: Staff Response to ITSP Survey Task 1.4.2 Compile Online City Staff Survey Data This task will entail compiling the data collected in the online survey and producing a summary of findings. This information will be referenced in subsequent project tasks. Deliverable 1.4.2: Online City Staff Survey Findings Definition !Phase2 Requirements Task 2.1 Management (Department Heads) Interviews Task 2.1.1 Hold Management Interviews This task will entail holding twenty-one (21) thirty- minute interviews with department heads to get a management perspective of general organizational, operational and technology challenges facing the City's departments. Management interviews will gather high level business and service delivery requirements not identified in the business process workshops or technology focus groups with IT staff / management. Possible issues to be discussed include: © 2014 • Biggest business operational / service delivery challenges in the next 5 years. • Most significant IT challenges facing that department's ability to effectively support its mission, i.e., technology, staff training, etc. • Adequateness / responsiveness of the IT organization. Assumptions: 1. To contain travel costs, Management interviews will be held on consecutive days, with up to eight interviews per day until all interviews are completed. 2. Management interviews will last thirty (30) minutes. 3. The City's Project Manager will schedule the interviews. Deliverable 2.1.1: (21) Management Interviews Proposal 15 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -16 ( t ` Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 CSA T 2.1.1 City Review & Comment This task will entail the management interviewees reviewing the draft interview notes and providing comments / suggested revisions. Unless otherwise agreed, the review and comments will be provided within the turn- around time specified in the final Project Schedule, five (5) days. Deliverable 2.1.1: City Comments Task 2.1.2 Management Interview Summaries This task will entail incorporating the City's comments to produce the final management interviews summary deliverable. The findings in this deliverable will be referenced in producing subsequent deliverables. Deliverable 2.1.2: Management Interview Summaries Task 2.2 Task 2.2.1 02014 ThirdWave Information Technology Focus Groups Hold IT Focus Groups This task will entail holding technical focus groups with management and staff to gather data related specifically with the broad spectrum of information systems used at workshops will address the following: 1. Infrastructure Workshop • Network Infrastructure • Telecommunication Infrastructure • Data Center(s) appropriate IT to challenges the City. The 2. Hardware Workshop • Servers: Application, database and web servers • Computers: including current desktops, laptops, mobile devices, operating systems. • Peripherals 3. Software • Department Software • Enterprise Software • E- Government Applications • Hosted and Cloud -Based Applications and Services 4. Service Delivery Model Workshop • IT Organizational Structure • Staff resources and KSAs • IT Service & Systems Outsourcing • Disaster Recovery / Business Continuity • Security • Technical security Proposal 16 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -17 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 Network vulnerabilities: Interception, Availability, Access /Entry Point Controls: Interception, Availability, Access /Entry Point Encryption and IT audit policies and procedures Logical security audit: passwords policies, termination policies, special user accounts, remote access Specific tools used in network security ■ Physical security of data centers • Data center personnel • Equipment • Policies and Procedures • Physical security / environmental controls • Backup procedures • Location (move IT form City Hall other location, recommendations) Help Desk & Reporting A YIN checklist will be used to confirm if the City has the foregoing security policies and practices in place: Security requirements will be prioritized using a 1, 2 , 3 rating where number is the highest priority. Four (4) two -hour workshops will be facilitated in a focus group format. The following data will be collected for each of sessions listed above: • Problems: anything inhibiting the effective operation, support and /or maintenance of the City's information systems. • Impacts: to the operating effectiveness of the IT organization or its internal / external customers. • Solutions: for each respective issue. i.e.. technnlnnv solutions training, etc. Benefits: the qualitative / quantitative outcomes of implementing proposed solutions identified in each session of the focus groups. the A summary of findings of the workshops will be produced and provided to the City for the IT organization's review and comments. The data collected will be used to produce recommendations on further utilization of cloud -based solutions and technologies in Phase 3. Assumptions: 1. The IT focus groups will be held on one day. 2. Participants in the Focus Groups will be highly knowledgeable and experienced in the technologies being addressed, so all IT staff will not have to attend all focus groups. Proposal 02014 17 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914,0186V 310.312.9513 F 25G -18 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 3. The City will provide large "sticky back" (2436) Post -Its or flip chart paper for the workshops. Deliverable 2.2.1: Hold Focus Groups CSA T 2.2.1 City Review & Comment This task will entail the City IT staff I management reviewing the draft deliverable and providing comments I suggested revisions. Deliverable 2.2.1: City Comments Task 2.2.2 IT Focus Groups Findings This task will entail incorporating the City's comments to produce the final Technology Focus Group summary of findings deliverable. The findings in this deliverable will be referenced and used to produce the IT Strategic Road Map. Deliverable 2.2.2: IT Focus Group Summary Task 2.3 Business Requirements Definition Task 2.3.1 Rapid Workflow® Workshops This task will entail working with the City to document the detailed requirements of mission critical business processes using ThirdWave's Patented Rapid Workflow® tool. ThirdWave will hold As -Is working sessions with the business process owners to identify detailed business, functional and technical requirements. The workshops will be facilitated to assess business processes I activities encompassing management, operational (internal and external service delivery) and Information Technology challenges facing the existing business process. The as -is working sessions will be held with appropriate staff and management that are knowledgeable and experienced, representing a cross section of the business processes being modeled. The agenda for the workflow sessions will include the following: NNW Rapid Work1loe has Patent Mark Registration No. 2,873,704 with the United States Patent and Trademark Office and is a registered trademark of ThirdWave Corporation in the United States and other countries. Proposal 18 ThlydWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -19 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 Produce the as -is business process model, a high level map of the existing business process steps, including a high level illustration of functional / operational workflows. The business process model will include: • Process Map • Business process steps • Process participants / staff involved • Business systems / applications currently used in each business process • Business data inputs / outputs • Business Activates • Business Requirements • Customer Requirements (if applicable) • Business Process Requirements • Business Rules • Quality Requirements (as applicable) 2. Identify problem areas, which will include existing management, operational and /or Information Technology disablers, e.g., business process bottlenecks, inefficiencies, disconnects, or inhibitors to providing superior business performance and/or customer service. 3. Working with City subject matter experts, anything that inhibits the efficient and effective execution of a business function or activity will be identified and noted on the process map. (This will be gathered if existing Rapid Workflow® process maps do not already exist.) 4. Identify potential solutions, including organizational change, business process change and enhancements, the revision of existing policies and practices (or the introduction of new policies and practices), introduction of strategic Information technologies. 5. Identify potential benefits, including qualitative and quantitative benefits of the proposed technologies solutions if implemented. Benefits will be identified at several levels as appropriate; e.g., within a section or division for the business process being examined, to the City as a whole, or to the City's customers (where applicable). (This will be gathered if existing Rapid Workflow® process maps do not already exist.) For the purposes of this Proposal (and cost estimating) ThirdWave has assumed holding twenty -six (26) working sessions. The City will make the final determination on business functions / processes to be assessed. The following list represents an initial list ThirdWave has compiled for the purposes of this proposal: Proposal © 2014 19 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -20 Information Technology Assessment City of Santa Ana October 30. 2014 BAFO V2 Departments / Divisions No. of Workshops 1. City Manager ....................... ..............................1 2. City Attorney ....................... ..............................1 3. Clerk of the Council .............. ..............................1 4. Community Development • Economic Development .. ..............................1 • Housing Authority ........... ..............................1 • Housing Development .... ..............................1 5. Recreation & Community Services • Business Licenses .......... ..............................1 • Community Services ....... ..............................1 6. Finance and Management Services • Business Licenses .......... ..............................1 • Municipal Utility Services ..............................1 • Purchasing ...................... ..............................1 7. Personnel • Benefits ........................... ..............................1 • Personnel Administration ..............................1 • Post - Employment Benefits ...........................1 8. Planning & Building • Planning ............... ..............................1 • Building & Safety ............ ..............................1 • Code Enforcement .......... ..............................1 9. Police • Admin ............................. ..............................1 • Field Operations ............. ..............................1 • Investigation ................... ..............................1 10. Public Works • Storm .............................. ..............................1 • Streets ............................ ..............................1 • Public Works .................. ..............................1 11. Fire ....................................... ............................... • Fire Prevention ............... ..............................1 • Community programs ..... ..............................1 • EMT Workshop (use interviews as a basis) .1 Total number of Workshops 26 © 2014 Assumptions: 1. Working sessions will typically last 3 to 4 hours depending on the complexity of the business process being modeled. Proposal 20 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310,914.0186V 310.312.9513 F 25G -21 0 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 2. To maximize project resources, two (2) workshops will be held per day on consecutive days until all working session have been completed. 3. The City Project Manager will start scheduling working sessions immediately upon execution of a contract, per the published MS Project Schedule. Delays in the City's ability to make staff available for the workshops will affect / delay the Project Schedule. 4. Workshop participants will be highly knowledgeable and experienced in the business processes being modeled. There should be sufficient participants in the workshops to represent the cross section of staff for the entire business process being modeled. 5. Workshops rooms will be large enough to comfortably hold the number of participants. 6. Workshops rooms with have plenty of wall space to post large flip chart paper, which the City will provide along with thick color markers and a projector. Deliverable 2.3.1: (26) Business Process Workshops Task 2.3.2 Document Business Process Maps / Requirements This task will include documenting the business, functional, and technical needs assessment data collected in the working sessions. The session notes will be provided to the City Project Manager for distribution to the participants of each group for review and comments. Deliverable 2.3.2: Draft Business Process Maps CSA T 2.3.2 City Review & Comment This task will entail appropriate City staff reviewing the draft deliverable and providing comments / suggested revisions. Comments, revisions and corrections to the process maps will be reconciled and consolidated by the City for each business process model, with one set of comments being transmitted to the ThirdWave Project Manager. Unless otherwise agreed, the review and comments will be provided within the turn - around time specified in the final Project Schedule. Deliverable 2.3.2: City Comments Task 2.3.3 Finalize Business Process Requirements This task will entail incorporating the City's comments to produce the final Rapid Workflow® business process maps. The data collected in this deliverable will be referenced and used to produce the IT Strategic Road Map. Deliverable 2.3.3: Business Process Requirements Proposal 02014 21 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186V 310.312.9513 F 25G -22 a Information Tact City of Santa Ana Assessment Task 2.4 IT Governance October 30, 2014 BAFO V2 Task 2.4.1 Hold IT Technology Governance Workshop This task will entail holding a focus group with appropriate members of the City's management team, i.e., department heads / executives that are involved in allocating human and fiscal resources for the acquisition of Information Technology. This task will entail holding a half -day (4 hour) working session to address a broad number of issues related to IT governance. To maximize the amount of discussion and information gathered, the workshop will be done in two parts as shown in the agenda below: • Part 1: Existing Framework, Process and Roles This working session will address existing IT governance process and policies and practices. The Rapid Workflow® framework will be used to assess organizational, operational and process problems, impacts, solutions and benefits will be identified with the workshop participants. Part 2: Future IT Governance Framework This workshop will consist of developing the future state IT Governance structure, including the following: • IT Governance process • Organizational roles • Staff responsibilities The outcome from the workshop will be documented and provided to the participants of the workshop for review and comments. Assumptions: 1. Management that plays a role in developing and /or approving budgets for the purchase of technology will participate. 2. Workshop participants will be highly knowledgeable and experienced in the existing IT governance process, if one exists. There should be sufficient participants in the workshops to represent the cross section of staff involved in approving IT budgets and purchases. 3. Workshops rooms will be large enough to comfortably hold the number of participants. 4. Workshops rooms with have plenty of wall space to post large flip chart paper, which the City will provide along with thick color markers and a projector. Deliverable 2.4.1: Governance Workshops / Draft IT Governance Framework Proposal © 2014 22 ThlydWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186V 310.312.9513 F 25G -23 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 CSA T 2.4.1 City Review & Comment This task will entail the District reviewing the draft deliverable and providing comments / suggested revisions. Unless otherwise agreed, the review and comments will be provided within the turn- around time specified in the final Project Schedule. Deliverable 2.4.1: City Comments Task 2.4.2 Technology Governance Framework This task will entail incorporating the City's comments to produce the final IT Governance Framework, including structure, process, roles, and responsibilities. The findings in this deliverable will be referenced in the Task 3. Deliverable 2.4.2: IT Governance Framework Task 3: IT Stirategic Plan Roadmap Task 3.1 IT Strategic Road map Task 3.1.1 Draft IT Strategic Roadmap This task will entail producing a 5 year IT Strategic Roadmap. Based on all previous tasks, this task will develop a list of short and long range IT strategic initiatives and implementation strategies including: • Strategic Business Technologies: Infrastructure, Hardware, Departmental and Enterprise Applications and Integration initiatives; • An analysis of the City's current capability to accomplish the recommendations; and, • Forecast of emerging technologies related to these recommendations. © 2014 At a minimum, the IT Strategic Roadmap will contain the following: 1. Executive Summary 2. Introduction to the Planning Process 3. Findings and Recommendations 3.1 Technology Initiatives • Infrastructure: Network, Communications, Servers • Hardware: PCs, Peripherals, Mobile Devices • Applications Recommendations • Departmental Application Consolidation • Enterprise Applications and Integration • E- Government Service Delivery Applications • Security • Disaster Recovery Proposal 23 ThlydWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -24 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 3.2 Operational Initiatives • Operating Model / Structure • Help Desk & Call Center Service • Possible Service Support Outsourcing 3.3 Management / Organizational Initiatives • IT Governance • Budgeting • Organization Structure • IT resource alignment business priorities, benchmarked against comparable cities • Sustainability: Internal City IT Staffing and Skills Gaps Assumptions: 1. This deliverable will be reviewed with the City's Project Manager and appropriate steering committee. 2. Benchmarking will be accomplished by referencing the M /SAC application, which the City will query. Deliverable 3.1.1: Draft /T Strategic Roadmap CSA 3.1.1 City Review & Comment This task will entail appropriate City staff reviewing the draft deliverable and providing comments / suggested revisions. Comments, revisions and corrections to the document will be reconciled and consolidated by the City for each business process model, with one set of comments being transmitted to the ThirdWave Project Manager. Deliverable 3.1.1: City Comments Task 3.1.2 Final IT Strategic Roadmap This task will entail incorporating the City's comments to produce the final IT Strategic Plan. The data collected in this deliverable will be referenced and used to produce the IT Strategic Roadmap. Deliverable 3.1.2: IT Strategic Roadmap Task 3.2 Cost — Benefit Analysis Task 3.2.1 Draft Cost - Benefit Analysis This task will use the data collected in previous tasks to produce a detailed cost - benefits analysis of the initiatives identified in the IT Strategic Roadmap. Wherever possible, technical, operational and management financial benefits will be identified, in quantitative and qualitative terms. The cost- benefit analysis will be used to assess future alternatives and the prioritization of IT initiatives. The cost - benefit findings will be used to Proposal 02014 24 ThirdWave 11400 W. Olympic Blvd, Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -25 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 articulate a compelling business case for the approval, adoption and funding of the ITSP. Deliverable 3.2.1: Draft Cost - Benefit Analysis CSA T 3.2.1 City Revlew B Comment This task will entail the City reviewing the draft deliverable and providing comments / suggested revisions. Unless otherwise agreed, the review and comments will be provided within the turn - around time specified in the final Project Schedule. Deliverable 3.2.1: City Comments Task 3.2.2 Cost - Benefit Analysis This task will entail incorporating the City's comments to produce the final cost / benefit analysis. Deliverable 3.2.2: Cost - Benefit Analysis Task 3.3 IT Strategic Plan Implementation Roadmap Task 3.3.1 Draft ITSP Implementation Roadmap This task will entail providing the IT Strategic Roadmap to implement strategic IT initiatives. This task will entail producing a 5 Year Roadmap of phased and prioritized initiatives, including the acquisition / implementation of strategic business technologies. This task will articulate "when" initiatives will be deployed in the IT Strategic Roadmap, illustrating the overall framework for procuring and deploying strategic business technologies that are technically sound, financially viable, sustainable, and will be implemented and managed to provide more effective and efficient support of the City's business functions. This task will produce a 3 to 5 year IT Strategic Plan addressing the following: • Vision • Guiding Principles • Core Values • Prioritized ITSP Initiatives : 5 Year Plan • ITSP Implementation Timeline • ITSP Budget Estimate • IT Business Operating Plan This document will be provided to the City for review and comments. Proposal © 2014 25 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25G -26 ,. Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 Assumptions: 1. ThirdWave will work with the City to identify system quantity assumptions. 2. Suggested Retail Pricing will be used for all costs, unless systems costs relate to existing systems where the City has existing contracts with vendors, in which case existing pricing structures will be used. 5. This task will produce high level budget estimates, not price quotes. Deliverable 3.3.1: Draft ITSP Implementation Roadmap CSA T 3.3.1 City Review & Comment This task will entail appropriate City staff reviewing the draft deliverable and providing comments / suggested revisions. Comments, revisions and corrections to the document will be reconciled and consolidated by the City with comments transmitted to the ThirdWave Project Manager. Deliverable 3.3.1: City Comments Task 3.3.2 Final ITSP Implementation Roadmap This task will entail incorporating the City's comments to produce the final ITSP Implementation Plan deliverable. . Deliverable 3.3.2: ITSP Implementation Roadmap Task 3.4 ITSP Roadmap Executive Presentation Task 3.4.1 Produce Executive ITSP Roadmap Presentation This task will entail producing an executive level PowerPoint presentation of the findings and recommendations of the IT Strategic Roadmap. The presentation will be provided to the City's Project Manager / Steering Committee for review and comments. Suggested revisions will be incorporated to produce a final presentation. Deliverable 3.4.1: Executive Level ITSP Roadmap PowerPoint Task 3.4.2 Provide Executive ITSP Roadmap Briefing This task will entail providing up to two presentations to City executives and /or Council Subcommittee. Deliverable 3.4.2: Executive Level ITSP Roadmap Briefing Proposal © 2014 26 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914,0186V 310.312.9513 F 25G -27 EXHIBIT ma 25G -28 Information Technology Assessment City of Santa Ana 4.2 Detailed Payment Schedule October 30, 2014 BAFO V2 The following provides a cost proposal including a detailed breakdown of project costs, deliverable and payment schedule. Figure 4.2.1: Payment Schedule iPhase Desedolon & Deliverables Subtask Task Phase PHASE 0 PROJECT MANAGEMENT 13,280 Task 0.1 Project Kick -off Meeting ............. ............................... ..........................4,220 Deliverable 0.1: Project Kick -Off Meeting Task 0.2 Ongoing Project Coordination ... ............................... ..........................5,580 Deliverable 0.2: Weekly Progress Meetings Task0.3 Monthly Status Reports .............. ............................... ..........................3,480 Deliverable 0.3: Monthly Status Reports PHASE 1 DISCOVERY 17,947 Task 1.1 Review Current Technology Documentation ........... ..........................2,469 Deliverable 1.1: Review Existing IT Documentation Task 1.2 Prepare IT Systems Inventory ... ............................... ..........................1,362 Deliverable 1.2: IT Systems Discovery Task 1.3 City IT Staff Skills Assessment .. ............................... ..........................7,697 Task 1.3.1 Provide Online IT Skills Survey ........................ ..........................3,100 Deliverable 1.3.1: Online IT Skills Inventory Survey Task 1.3.2 Compile IT Skills Survey Data ..................... ............................... 4,597 Deliverable 1.3.2: IT Staff Skills Survey Findings Task 1.4 City Staff Online Survey ....................................... ............................... 6,420 Task 1.4.1 Develop Online City Staff Survey ................ ............................... 2,589 Deliverable 1.4.1: Online End User Survey Task 1.4.2 Compile Online City Staff Survey Data ........ ............................... 3,832 Deliverable 1.4.2: Online Staff Survey Findings PHASE 2 REQUIREMENTS GATHERING 56,503 Task2.1 Management Requirements ............................... ............................... 5,391 Task 2. 1.1 Hold Management Interviews ...................... ............................... 1,745 Deliverable 2.1.1: Sixteen (16) Management Interviews Task 2.1.2 Incorporate Management Comments .......... ............................... 3,646 Deliverable 2.12 Management Requirements Summary Proposal 02014 39 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186V 310.312.9513 F 25G -29 Information Technology Assessment City of Santa Ana October 30, 2014 BAFO V2 Task 2.2 Business Requirements Definition ................... ............................... Task 2.2.1 Rapid Workflow® Workshops .................... ............................... 20,424 Deliverable 2.2.1: (27) Business Reqs Workshops Final IT Strategic Roadmap ........................ ............................... Task 2.2.2 Document Business Process Maps / Requirements ................ 16,020 Deliverable 2.2.2: Draft Business Process Maps Cost - Benefit Analysis ....................................... ............................... Task 2.2.3 Finalize Business Process Requirements ... ............................... 3,663 11,065 Deliverable 2.2.3: Business Process Requirements Deliverable 3.2.1: Online Customer Service Survey Task 2.3 IT Service & Operations Assessment ................ ............................... Cost - Benefit Analysis ................................ ............................... Task 2.3.1 Hold IT Focus Groups ................................. ............................... 6,408 Deliverable 2.3.1: IT Staff Technology Sessions IT Strategic Plan Implementation Roadmap ........................19,819 Task 2.3.2 IT Focus Groups Findings .......................... ................................ 4,597 14,371 Deliverable 2.3.2: IT Focus Group Findings Deliverable 3.3.1: Draft ITSP Implementation Roadmap Task2.4 IT Governance ....................................... ............................... Task 2.4.1 Hold IT Governance Workshop ............... ............................... Deliverable 2.2.1: Governance Workshops / Draft IT Governance Framework Task 2.4.2 Technology Governance Framework ...... ............................... Deliverable 2.2.2: IT Governance Framework Task 3 IT Strategic Plan Roadmap Task 3.1 IT Strategic Roadmap ...... Task 3. 1.1 Draft IT Strategic Roadmap ............................. .........................19,068 Deliverable 3.1.1: Draft IT Strategic Roadmap Task 3.1.2 Final IT Strategic Roadmap ........................ ............................... 5,448 Deliverable 3.1.2: IT Strategic Roadmap Task3.2 Cost - Benefit Analysis ....................................... ............................... Task 3.2.1 Draft Cost - Benefit Analysis ..................... ............................... 11,065 Deliverable 3.2.1: Online Customer Service Survey Task 3.2.2 Cost - Benefit Analysis ................................ ............................... 4,850 Deliverable 3.2.2: Cost - Benefit Analysis Task 3.3 IT Strategic Plan Implementation Roadmap ........................19,819 Task 3.3.1 Draft ITSP Implementation Roadmap ....... ............................... 14,371 Deliverable 3.3.1: Draft ITSP Implementation Roadmap Task 33.2 Final ITSP Implementation Roadmap ......... ............................... 5,448 Deliverable 3.3.2: ITSP Implementation Roadmap 40,107 11,005 24,516 15,915 Task 3.4 ITSP Roadmap Executive Presentation ................. ............................ 7,850 Task 3.4.1 Produce Executive ITSP Roadmap Presentation ....................... 4,646 Deliverable 3.4.1: Executive Level ITSP Roadmap PowerPoint Task 3.4.2 Provide Executive ITSP Roadmap Briefing . ............................... 3,204 Deliverable 3.4.2: Executive Level ITSP Roadmap Briefing TOTAL COST 68,100 $ 155,829 Proposal 02014 40 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312 9513 F 25G -30 EXHIBIT C ADDITIONAL INSURED ENDORSEMENT Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702; its officers, employees, agents and volunteers are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be canceled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective , this endorsement form as a part of Policy # Issued to Named Insured Countersigned by Authorized Representative 25G -31 25G -32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT TO PROVIDE ANNUAL SOFTWARE MAINTENANCE AND SUPPORT FOR GEOSPATIAL TECHNOLOGIES, INC. (STRATEGIC PLAN NO. 1, 3A) CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a one -year agreement amendment with GeoSpatial Technologies, Inc., commencing August 3, 2014, for software application maintenance and customer support in an amount not to exceed $20,898, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On December 16, 2008, Council approved the agreement with GeoSpatial Technologies to purchase the Automatic Vehicle Locator (AVL) system and provide software maintenance and support. This AVL system provides the Santa Ana Police Department the ability to track police vehicles using mapping software throughout the City of Santa Ana. The Santa Ana Police Department wishes to amend said agreement to provide for an additional year of basic software service and maintenance. The Automatic Vehicle Locator system is proprietary and owned by GeoSpatial Technologies, Inc. and can only be serviced by this company. The recommended action will allow for continuous service of this software for the Santa Ana Police Department. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3, Promote fiscal accountability to ensure financial responsibility at all levels of the organization, Strategy 3a, Continuously evaluate and assess fiscal aspect of service delivery to ensure that the Police Department provides programs and services efficiently and effectively. 25H -1 Agreement with GeoSpatial Technologies, Inc. November 18, 2014 Page 2 FISCAL IMPACT Funds for this agreement are available in Police Department's Information Services contract services account (no. 01114425 - 62300). 01� Carlos Rojas Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez Executive Director Finance and Mgmt. Services Agency t J 25H -2 SOFTWARE MAINTENANCE AND SITE LICENSE AGREEMENT THIS AGREEMENT, made and entered into this I" day of December, 2014 by and between GeoSpatial Technologies, hie., a California Corporation, (hereinafter "GST'), 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 GST to maintain and license automated vehicle locator ( "AVL") tracking software and mobile mapping services. GST represents that it is able and willing to provide these services. B. GST represents that it is the owner of GST automated vehicle locator tracking and mobile mapping software and as such, it is the only company able to maintain the software and provide site licensing for the City's use of the software. C. In undertaking the performance of this Agreement, GST represents that it is knowledgeable in its field and that any services performed by GST under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. D. City has used AVL tracking and mobile mapping software since approximately 2008 and during that time it has been maintained and licensed by GST. 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 GST shall perform those services as set forth in terms and conditions set forth in the attached Exhibit "A" to this Agreement and incorporated herein by reference. 2. COMPENSATION City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in the quote attached hereto as Exhibit `B" and incorporated herein by reference. The total sum to be expended under this Agreement shall not exceed $20,898.00. 3. TERM This Agreement shall commence on December 16, 2014 and terminate on December 15, 2015, unless terminated earlier in accordance with Section 12, below. 25H -3 4. INDEPENDENT CONTRACTOR GST 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 GST performs the services which are the subject matter of this Agreement; however, the services to be provided by GST shall be provided in a manner consistent with all applicable standards and regulations governing such services. GST shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, GST shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. GST shall maintain corrmreroial 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 GST's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $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 3700 of the Labor Code, GST, if GST 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 Agreemert, GST agrees to obtain and maintain any employer's liability insurance with limits not toss than $1,000,000 per accident. d. If GST is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. 25H -4 e. The following requirements apply to the insurance to be provided by GST pursuant to this section: (i) GST 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 GST fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect GST's right to be paid for its time and materials expended prior to notification of ternnination. GST waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION GST agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, GSTs, special counsel, and representatives from liability; (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of the GST or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of fnis Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the vents referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The GST 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 selectee. by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 7. CONFIDENTIALITY If GST receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprictery, GST 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 cue. "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 GST disclosed in a publicly available source; (c) is in rightful possession of the GST without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently deve'oped by the GST without reference to information disclosed by the City. 25H -5 8. CONFLICT OF INTEREST CLAUSE GST covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 9. NOTICE 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 telefacsindle or other telegraphic communication in the manner provided in this Section, to the following persons; To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O, Box 1988 Santa Ana, CA 92702.1988 Fax 714- 647 -6956 With courtesy copies to: and To GST: Chief of Police Santa Ana Police Department 20 Civic Center Plaza (M -96) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 245 -8007 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.U. Box 1988 Santa Ana, California 92702 Fax 714. 647 -6515 Mr. Hong Chou GeoSpadal Technologies Inc. 10055 Slater Avenue, Suite 214 Fowitain Valley, California 92708 Fax (714) 861 -7032 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, duty registered or certified, with postage prepaid, and addressed as set forth above. If sent by 25H -6 telefacsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting fecsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded, 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and GST, 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 GST. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terns and conditions hereof, shall not bind or obligate GST 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 say patty, which are not embodied herein, 11. ASSIGNMENT hrasmuch as this Agreement is intended to secure the specialized set-vices of GST, GST may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other GSTs retained by City. 12. TERMINATION This Agreement maybe terminated by the City upon thirty (3 0) days written notice of termination. In such event, GST stall be entitled to receive and the City shall pay GST compensation for all services performed by GST pri or to receipt of such notice of termination, subj ect to the condition that payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 13. DISC.RMINATION GST 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, GST affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. VENUE The parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES GST 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 25H -7 the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. GST 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. 15. 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 fatty, 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 D. IIUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By:Q>SyWIL Rt92tr'-� LAURA A. ROSSNI Senior Assistant City Attorney RECONMENDED FOR APPROVAL: Carlos Rojas �� Chief of Police CITY OF SANTA ANA DAVID CAVAZOS City Manager GEOSPATIAL TECHNOLOGIES, INC. Hong Chou President 25H -8 EXIIIBIT A —Terms and Conditions 25H -9 (GST GeoSpafia /Technologies, Inc. Software Annual Maintenance Agreement GeoSpatial Technologies, Inc. (hereinafter referred to as GST) shall provide rnaiatenance and support services under this Software Annual Maintenance Agreement (hereinafter referred to as Agreement) for !My of Santa Ana Police Departincot (hereinafter referred to as Customer) during the period from December 16. 2014 to December 13. 2015, with options to extend for addition 4 years, upon payment of the annual maintenance fee for the products listed in the section of Products Covered, I. PRODUCTS COVERED GST maintenance and support services are provided only for the software products listed in either Purchase Contract, Purchase Order, GST Quote, or GST Invoice with the entire amount of Software Annual Maintenance Foe paid in full on or before the commencement of each 12 -month period. II. MAINTENANCE AND SUPPORT GST shall provide maintenance and support services to the End User. Maintenance and support services shall include, but not limited to: (a) Telephone and E -mail Support: GST will provide telephone and e-mail assistance. You must provide GST with remote access through the Internet to the computers installed with GST software. By calling the GST technical support number, you will reach a trained support analyst of whom you may ask questions or seek advice relating to the use of CST software. The analyst will assist you in utilizing your GST software, and in identifying and providing a work around, if possible, for any software problems Found with GST software. CST support services do not Include hardware, network, operating systems, or third party software. Support will be provided weekdays from 9:00 am. to 6:00 p.m. Pacific Standard Thne, excluding weekends and holidays. (b) Response Tines: In the event that .he End User experiences a critical system failure, which shall be deemed to have occurred if the system is down or inoperable, meaning that the End User cannot use the System and/or the System is off -line, for longer than % hour, GST shall respond and look into correcting the problem immediately upon receipt of a call for service and following the receipt of notification and relevant documentation of the problem. For all other 4on- critical failures, GST shalt respond and attempt to correct the problem within four (4) hours upon receipt of a call for service and following the receipt of notification and relevant documentation of the problem. If problems cannot be resolved within four (4) hours, the problem will be automatically escalated to Application Technical Lead or the VP of Product Management for resolution. Aft er consultation betwee 1 the vp of Product Management and support staff, GST will provide a plan of action for resolution to the End User, (c) Aug -fixes and Upgrades: CST will provide bug -fixes and upgrades to the GST software when they are available at no additional charge during the term of the maintenance program. 25H -10 ('GST (d) Corrective Maintenance: CST will provide corrections to the supported software using Internet connections, provided you have a high -speed Internet connection on your system allowing CST remote access, during standard support horns. (e) GST Training: The End User under software annual maintenance program receives 50% discounts for all training programs held at CST's facility, (f) Software Customization and Enhancement: The End User under the software annual maintenance program receives a 20% discount for any software customization services. End User requested enhancements or modifications of GST software are not included in the support plan price. GST agrees to review requests from the End User and to provide a quote for the requested enhancement based on time and cost anticipated. (g) Excluded Service: The maintenance and support described herein does not include the correction of software failures due to causes beyond the control of CST and occurring without the fault or negligence of GST such as, but not limited to acts of God, catastrophe, fault, or negligence of the End User, operator error, manipulation of the object or source code (unless approved by GST in writing prior to such manipulation), improper use or misuse of the system or any part thereof, Any such excluded service, whether on -site or off -site, will be provided at the request of the End User at CST per call rates and terms then iu, effect. (h) Support of Old Software: Users are required to install all updated software and any bug fixes in a timely manner, including operating system software. If you fail to keep your system current, GST may no longer support your system. GST will support old releases of a product for two years after new releases become available. For subsequent years after now releases becomes available, if requested by End User, CST may continue to support such old releases for an annual increase in support fee of 40 %. (i) Lapsed Support: If the End User intends to renew maintenance after lire previous maintenance program has expired for over two (2) months, a supplemental fee of 50% of the annual maintenance shall be due GST for the first year of maintenance following your need for maintenance again, in addition to the maintenance fee already due herein. (h) On -site support: Oa -site support is not covered by the standard software maintenance support, Per End User's request, GST will provide on -site support if GST determines that such support is required to resolve the reported problem. In this case, GST will dispatch one or more members of its support staff to your site who will attempt to recreate and resolve the problem(s) reported. During this time it is expected that members of your staff will be available to answer questions and provide information regarding your system, if required. Ou -site support will be charged at GST oer call rlites and terms then in effect, plus travel and per diem for GST staff sent on -site. III. SYSTEM MODIFICATION (a) GST- ¢ouerated modifications: Changes or replacement of the computer equipment, operating system and its related software, or other third party software may require GST software support and/or 25H -11 ('G'ST software modification to allow GST products to work with the new equipment, operating system, and/or third party software. These support and/or modification services will be provided by GST at the End User's request at cur then quoted prices, (b) End User - generated modifications: GST will not be responsible for any damage to your GST software or data caused by upgrades to the operating system or replacement of hardware without GST's prior written concurrence that said upgrade would function properly, Services required as a result of modifications to GST's systems made by the End User are not considered normal maintenance and are not provided as part of ST's Software Mainte tape Prog -am (c) External System Modifications: In the event any external system is modified beyond that anticipated by the terms of the underlying End User License Agreement, the End User shall notify GST of such changes immediately upon receipt of notification from the respective entity /entities and request that GST prepare a proposal to include a time and cost estintate,.for the work to be performed which constitutes a change from the originally agreed upon configuration and work description as presented in the underlying End User License Agreement. GST shall, within thirty (30) days after receiving said notice, furnish a written proposal to the End User provided the required modifications are commercially, technically and practically feasible. Upon receipt of GST's proposal, the End User shall determine whether it desires the work to be performed and if so shall issue a Notice to Proceed within ten (10) days, at which time GST will perform the necessary modifications for the additional mutually agreed upon compensation. IV. END USER RESPONSIBILITIES (a) Software Problems and Reporting: The End User agrees to limit use of GST maintenance service to occasions when GST system software fails to operate in accordance with the product specifications as defined in the original parchase contract. To facilitate the problem solving process, the End User agrees to assist GST in their efforts to duplicate the software problem by providing a written problem report. Additionally, GST may ask that you famish a listing of software problems rather than calling on each individual item over a short period of time so that our support team can better assist you. (b) Payment: The End User is responsible for ensuring that all muounts payable under the software annual maintenance program are received by GST on or before the commencement of the maintenance program The End User's failure to remit payment to GST for such maintenance services provided or to be provided shall entitle GST to deny further maintenance services to the End User, (c) Updates; The End User and all users of GST software are responsible for installing all updates to software, hardware, and fixes in a timely manner, Failure to keep your system updated can, at CST's sole discretion, result in the immediate discontinuation of maintenance support. (d) System Administration: The End User is responsible for identifying a System Administrator, as well as a back -tip System Administrator, who will function as GST's primary and secondary contact for any maintenance services to be provided under dte software maintenance progrurn. Such System Administrator, or, in the absence of the Systems Administrator, the back up, shall be CST's sole contact for technical assistance. The System Administrator and backup System Administrator must 25H -12 �ST be txained in the administration of computer hardware, operating system, networking, and database. GST support staff will assist you in identifying system problems as a function of maintenance support. However, if a problem is identified as a system administration responsibility, further assistance from GST support staff is billed at our then current hourly rates and terms. V. WARRANTIES (a) Limited Warranty for Services Any services being provided to the End User in accordance with the software maintenance program are offered on a best - efforts basis only, GST may not be able to resolve every service request made. Although GST will attempt to provide some guidance and direction, GST is not responsible for resolving issues related to networks, operating systems, back, end databases or hardware. It is the End User's responsibility to keep adequate data backups. GST will not be responsible for any lost data. ALL OTHER WARRANTIES EXPRESS, IMPLIED OR STATUTORY, INCLUDING ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR PARTICULAR PURPOSE, ARE HEREBY EXCLUDED. VI. LIMITATION OF LIABILITY The End User's sole and exclusive remedies for any damage or loss in any way connected with any software or services furnished by CST, after acceptance of the GST software system, whether by CST's breach of warranty, negligence, or any other breach of any other duty, shall be, at GST option, replacement of the software or re-performance of service or rehtm or credit of an appropriate portion of any payments made, or to be made, to GST with respect to such software or services. Under no circumstances shall GST be liable to you or any other person for any special, incidental, indirect or consequential damages of any character, including, without limitation, damages for loss of good will, work stoppage, computer failure or malfunction, or any and all other commercial damages or losses, even if GST has been advised of the possibility of such potential loss or damage. VILCHOICE OP LAW Interpretation of this Agreement shall be governed by the laws of the State of California. VIII. STATUTE OF LIMITATIONS No action or claim relating to or arising out of the software annual maintenance program may be instituted more than one (1) year after the event giving rise to such action or claim. 25H -13 E3, MIT B -Quote 25H -14 ('GST GeoSpatlal Technologies, Inc. Quote for Santa Ana Police Department 10055 Slater Ave., Suite 214 Fountaln Valley, GA92708 Phone: (714) 861 -7033 Fax: (714) 861-7032 1011 n17014 9T Public Safety System GIST Part Number I Description QTYI Unit Price I Amaujit AMF covering 1211612014- 1211812015 Original Agreement A- 2008.332 dated 12/1612008 Service SVSW -AMF Software Annual Maintenance Fee for City of Santa Ana Police Department on the following Software Licenses 1 $ 20.898.00 $ 20,898.00 1. GST Tracker Server AVL Software License 2. GST Viewer AVL Software Site License 3. GST Mapper MDC AVL Software Site License 4. GSTInterOp Bridge AVL Software License 5. GST Wireless Host ServerAVL Software License (up to 200 vehicles Annual Malntenence Fee Total $ 20,898.00 Grand Total (AMF and Service ) $ 20,898.00 Notes: 1 AMF paid client is entitled to technical support through small and telephone (M -F, 9:00AM -e;OOPM, PST), bug fixes and free software upgrades through the year, and disocunts for GST's training programs and customttatlon. 2 Price stated above Is good for ninety (90) days from the date of this quotation. 3 Payment Terms: AMF payment Is due prior to the rommencoment date of each 12 -month period. 25H -15 ILAsaw CERTIFICATE OF LIABILITY INSURANCE °AT NYYq nAl7t/711 \A -amil"OAm 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: n the certificate holder is an ADDITIONAL INSUREDSUBROGATION , the poncy(les) must be endorsed. If SUBRO 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 Ilan of Ruch andareamanMel CS &S/NEW CENTURY INS SERVICES INC. PO BOX 946580 Maitland, FL 32794.6660 1- 877. 724.2669 B: GEOSPATIAL TECHNOLOGIES, INC. 10055 SLATER AVENUE, SUITE 214 FOUNTAIN VALLEY, CA 92708 �rvry rvMmocn: THIS IS TO CERTIFY THAT THE POLICES CR INSURANCE LISTED BELOW HAVE BEEN ISSUED TO 7HE INSURED NAMED ABOVE FOR THE PEHJOU INDICATED. NOTWRHSTANDINGANY RECUIREMEWr, TERM OR CONDmON OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESIDRDED HEREIN !S SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONOIP.ONS OF SUCH POUCIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAMS, LTwBR A TYPE OFINSUAANO! wsn yD POW" NUMBER POLCY EFF .IDONY POLICY EXP MMIT& A GENERALLIABILRY Y 4029432517 06/01/14 06/01/15 ' EACH OCCJAFtaCE 1000000 COMMERC AL GENERAL LIABILITY ® PO fu9TO RM, �' A 300 000 MID EXF' (APY M MAW s 10 000 CLMMS-MADE OCCUR PERSONA. &ADY INJURY $ 000000 GENERAL AGGREGATE S 2 000 000 GENL AGGREGATE POL CV LIMIT APPLIES PER Pfla X ! PHOOUCTS- COMPADPAGG $ 2000000 A AUTOMOBILE UABILITY 4029432517 06/01/14 06/01/15 'rnMe1 LE LIMn I, axlaanp 1,000,000 JHIREDAUrC3 ANY AUTO ALL OftGO SCHEDULED ALnCO AUTOS BODILY INJURVIPM Garran) $ BODILY IWURY(PM aOdaMM) NONCM W AUTOS PROPERTY DAtMGE PR MINTy.Q $ B XUM BRELLA LIAR X OCCUR 4029432490 06/01/14 06/01/15 EACH OCCURRENCE IS 1 OOO 000 E %CESS CLAIM3MAOE AGGREGATE S t 000 OOO _ ED RETEWONI tO OOO WGRKERB COMPENBATION AND EMPLOYERS' UABIL TY YIN ANYPROPI119ORPARTNEWEXECUTIYE OFRCERAtENBEnEXCWDE01 (Wnaa1MY Y, NH) It ya, Daan.� UMM N/A A a� /1a PRO r� A �+ •r r, GD I'AJ ! O I' (� `,a ECM TORY LINTS ER �^ E. L. EACH ACCIDENT -- 5 EL.OLSEASE- EASMPLOYM $ DESCRIPTION OF OPERATIONS babx E.L. g92A8E•POMCY LMR It OTHEFt 1, urn A. Rossi TCRV LI ITS ER Senior A is ant City torney EL EACH ACCIDENT E.LDISEASE•EAELWLOYEE $ EL.MSEASE• POUCYLMR RI I A tae A00r4 10 A Wh one alnazka CNaOU a, mDn apnea a rasa r Certificate Holder and It's officers, employees, agents, volunteers & representatives. Named as Additional Insured - Owners, Lessees or Contractors. Insurance Is primary & non - contributory. Per SB147082 -0 CERTIFICATE HnInFR City of Santa Ana SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN 20 CIVIC Center Plata ACCORDANCE WITH THE POLICY PROVISIONS. Santa Ana, CA 92701 Rom -- -- ; ACORD 25 (2010105) The ACCRD name and logo are registered marks of ACORD 25H -16 Acorro CERTIFICATE OF LIABILITY INSURANCE 01/1012014 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, EMNO 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(les) must be endorsed. N SUBROGATION IS WAIVED, subject to the terms and conditions of the poficy, certain policies may require an endorsement A statement on this certificate does not confer rights to the certificate holder in lieu of such andorsomontfs). -R DUCFR Pwne: 6211- 955dNfl Far' (828) 856-0019 KCAL INSURANCE AGENCY 2048 S. HACIENDA BLVD. CeNrACi Emery Lee fy1O^E .628- BS5.8288 �P"X (628) 655.0979 Irg• v. jseSeeaL LMpurY COMMERCIAL GENERAL DASIUTY 'CLAIMS -MADE 7OCCUR HACIENDA HEIGHTS, CA 91745 INSURER(S) AFFORDING COVERAGE I HAIC a Agency Unk 0807015 ms qA ; HARTFORD NTH PREMME91ERxcwe ASURED GEOSPATIAL TECHNOLOGIES, INC. NauRERO E 10055 SLATER AVE., STEA214 FOUNTAIN VALLEY CA 92708 -- HBVRER 0: GENERALAGGREGATE S GERL AGGREGATE LIMIT APPLIES PER: POLICY PRO- LOC JECT N &IaFAE ' ; NSUPERF COVERAGES CERTiFiCA1CNUmCERi 18441 It"IRIrTN hill" App. THIS IS TO CERTIFY THAT POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSLED TO THE INSLREO NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTI'ICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALLTHE TERMS, EXC' USIONS AND CONDITIONS OF SUCH POLICIES. LIMIT SHOWN MAY HAVE BEEN REDUCED BY PAI CLAIMS. INaR TYPE OF INSURANCE AUDI Aen POLICY xUMBE0. P�� TO POItM roL'OY exP uMrts jseSeeaL LMpurY COMMERCIAL GENERAL DASIUTY 'CLAIMS -MADE 7OCCUR j I ! APPROVED A EACH OCCURRENCE ; NTH PREMME91ERxcwe E �MEO. EXP (Any one persenl E PERSONAL 4 ADV INJURY E GENERALAGGREGATE S GERL AGGREGATE LIMIT APPLIES PER: POLICY PRO- LOC JECT PRODUCTS - COMB +OP AGO ' ; 4 AUTOMOBILE LM.eILIN ALI. SGHEOULEU AUTOS AUTOS HIRED AUTOS NO CYNEO AUTOS Lama A. Senior Assistant Gssini City Att me V ✓ COMSNEO SINGLE MMR fees -n DocILVINJLRYcPEaaaR,)''.; BOCILY INJURY (Pm acdden0 $ Rtt M" E E uaeeFlu UAe ace aJ I OCCUR ;AGGREGATE EPCX OCCURRENCE ; 3 OCD RETENTIONS ; A woetn'" .0 9MIM1AYeRs. uaem R AYY PROrNErOmPA11TNER2tELUTrve OFRdHBMFHa j excLUOm+ (r"deary MNNI Owen ;PrpHOF OPERAnWSeNex NIA 72WECEV7186 i 01122114 122/15 - '.EL xGST -- 9 vACFI ACCIDENT 8 1,000,000 E.L CIEEASE EA EMPLOYEE S 1,000,000 E.L. CISEASE.POLIGY LIMIT IS 1,000,000 DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES (AUsch ACORD 101, A6dlaenel Remarks Schadel0, a more epees b rsqulred) N City Of Santa Ana 20 CIVIC Center Plaza 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. Attention: AI REED W%iESENTA"IVE ACORD 25 (2010105) W 1988 -2010 ACORD CORPORATION. All rights reserved. The ACORD name and logo are registered marks of ACORD 25H -17 ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company CNA /National Fire Insurahce of Hartford This endorsement modifies such insurance as is afforded by the provisions of Policy #4029432517 relating to the following: I. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability, The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ann, 20 Civic Center Plaza, Santa Ana, California 92701, (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective 06/01/14 this endorsement form as a pan of Policy# 4029432517 Issued to Geosoatial Technologies Inc Named Insured Countersigned by i Authorized Representative APPROVED AS TO FORM 4 Laura A. Rossini Senior Assistant City Attorney 25H -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AMENDMENT TO AGREEMENT WITH C3 OFFICE SOLUTIONS FOR MANAGED PRINT SERVICES {STRATEGIC PLAN NO.1,5;7,5} CITY MANAGEN RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to amend the agreement with C3 Office Solutions for managed print services for the amount of $163,908 for additional multi - function copiers and services, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On October 15, 2012, Council approved a three -year agreement with C3 Office Solutions for citywide managed print services. Under the stated agreement, the City is utilizing a cost - per -click program for its printer and copier leases encompassing supplies, maintenance, and print assessment services. The program has increased efficiencies by eliminating the need for multiple vendor contracts, establishing shared equipment centralization, reduced purchase requisitions, and has eliminated the need for toner inventory management. Total savings in the first two years has amounted to a cost savings of more than $250,000. Recently, C3 Office Solutions and the Finance Department mutually agreed that the print managed program has proven to be more successful than originally envisioned. The consolidation of printers and copiers has resulted in cost savings and energy efficiency. This has been achieved by reducing the number of individual printers and copiers and replacing them with new multi - functional copiers through a consolidation of at least a four -to -one ratio. Since the program's inception, the City has successfully reduced the equipment count from 587 to 302. Moreover, other accomplishments include upgrading to newer technology, incorporating software to monitor toner levels, managed meter counts on machines and on- demand device maintenance. The Police Department in particular has improved operational efficiencies by the use of multi- functional copiers. Staff has saved time by eliminating workflow redundancy and tasks have been 251 -1 Agreement Amendment with C3 Office Solutions November 18, 2014 Page 2 simplified in operation and in format. In addition, a more secure printing, scanning and copying technology has been implemented ensuring traceable and secure documents. Originally, the program was limited to the administration section in the Police Department. However, once the benefits were realized, the Police Department requested expansion to all operational areas. As such, the print managed program was expanded throughout the Police and Jail facility. In order to meet their demand and continue to replace leased copiers from other vendors, end of life equipment and high cost small printers throughout the organization, additional funds in the amount of $163,908 will be required to complete the first term of the contract. This will allow C3 Office Solutions to replace the remaining 95 printers and copiers with only 26 multi- function copiers on a cost - per -click basis. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 1 Community Safety, Objective # 5, provide high quality Police and Fire /Emergency Medical Services response within the City of Santa Ana and Goal# 7 Team Santa Ana, Objective # 5, create a culture of innovation and efficiency within the organization. FISCAL IMPACT Funds are available in various departmental Contract Services - Professional accounts (no. 62300). 9 �Zs_A jam+ I h � Francisco Gutierrez Executive Director Finance and Management Services Agency' EG 251 -2 AMENDMENT TO AGREEMENT THIS AMENDMENT TO AGREEMENT, is entered into on November 18'h, 2014, by and between C3 Office Solutions, a California corporation (hereinafter "Consultant'), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS: A. The parties entered into a Purchase Order Contract # 2182 (Agreement #A- 2012 -219) effective date November 1, 2012, (hereinafter "said Agreement') by which Consultant has provided citywide managed print services utilizing a cost-per-click program for its printer and copier leases encompassing supplies, maintenance and print assessment services. B. The Term of said Agreement was three (3) years with a renewal option for an additional three (3) year period. C. In accordance with the terms and conditions of said Agreement, the parties wish to amend the Compensation for the third year of the Term. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, the parties agree as follows: 1. The Compensation for the third year of the Term shall be amended to increase compensation to Consultant by adding an additional One Hundred Sixty Three Thousand Nine Hundred Eight Dollars ($163,908.00) for additional multi- function copiers and services. 2. Except as hereinabove modified, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Amendment to Agreement on the date and year first written above. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City rAttorney - �.1� -- Lisa Storck Assistant City Attorney DAVID CAVAZOS City Manager C3 Office Solutions By: Title: 251 -3 251 -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT WITH MUNITEMPS TO FACILITATE ADDITIONAL POLICE PERSONNEL {STRATEGIC PLAN NO. 7,5) CITY MANAG R 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 RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an agreement with Government Staffing Services, Inc. (dba MunTemps Municipal Staffing Solutions), subject to non- substantive changes approved by the City Manager and City Attorney, to provide temporary staffing services for the Personnel Services Department for a one -year period in an amount not to exceed $150,000. The agreement includes a provision for a one -year renewal option exercisable by the City Manager and City Attorney, in an amount not to exceed $150,000, a total of $300,000 for the two-year period. DISCUSSION MuniTemps Municipal Staffing Services (MuniTemps) specializes in contract staffing for municipalities that need temporary personnel to work on limited term projects and assignments. The agency employs workers who are familiar with public sector processes and functions and have skills and experience comparable to City employees. The Executive Director of Personnel Services is requesting authorization of an agreement with MuniTemps to provide for the limited term employment of two additional staff members to assist with Police Department recruitments. One of these two staff members, a Personnel Technician, will assist in screening applicants, conducting examinations, and ensuring that State and Department hiring standards are met. The other staff member, a Personnel Specialist, will provide clerical support to process applications, record test results, and meet notification requirements. These additional temporary staff will work on Police Department recruitments exclusively and will augment staff currently assigned to handle Police Department recruitments, thus accelerating the process of hiring personnel and establishing lists to fill future job vacancies. Although approximately 3,500 Police Recruit applicants have been screened and tested in the last year, there are still 31 positions to be filled (including the ten positions allocated in the recently awarded COPS grant). In addition, while over 1,100 applicants have been processed to fill part-time Correctional Officer positions, there are 15 vacancies remaining. The addition of limited term staff from a temporary staffing agency will expedite the timeframe for Police recruitments and allow for 25J -1 Agreement with MuniTemps November 18, 2014 Page 2 of 2 increased testing of job applicants to fill current vacancies and meet the anticipated needs for additional personnel as employees retire. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7, Team Santa Ana, Objective #5 Create a culture of innovation and efficiency within the organization. FISCAL IMPACT The Police Department will fund these temporary staff additions. Funds are available in the Contract Services- Professional Account no. 01114402- 62300. Edwar . Raya Executive Director Personnel Services Carlos Rojas Police Chief Police Department APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency `t- 25J -2 CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this 18th day of November, 2014 by and between Government Staffing Services, Inc., dba MuniTemps, 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 temporary staffing services in the field of new employee recruitments. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall provide two (2) temporary staff personnel consisting of one (1) human resources clerk and one (1) human resources technician to perform those services as requested, including, but not limited to, assisting with Police Department recruiting and retention of prospective employees. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in the Temp Staffing Request attached hereto as Exhibit A. The total sum to be expended under this Agreement shall not exceed $150,000 per year during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be wade for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 25J -3 3. TERM This Agreement shall commence on the date first written above and terminate on November 17, 2015 unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended for one (1) additional year at the same terms and conditions upon a writing executed by the Executive Director of the Personnel Agency and the City Manager, 4. INDEPENDENT CONTRACTOR Consultant and all temporary employees furnished by Consultant shall, during the entire term of this Agreement, be construed to be independent contractors and not employees 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. S. 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 performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 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. 25J -4 c. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. d. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. (iv) Certificates and renewals shall be sent to the Executive Director of the Personnel Services Agency. e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of 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; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from 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 challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 25J -5 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. 8. 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. 9. NOTICE With the exception of insurance certificates and renewals covered by Section 5.d.iv, above, any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714 - 647 -6956 With courtesy copies to: Executive Director of the Personnel Services Agency City of Santa Ana 20 Civic Center Plaza (M -24) P.O. Box 1988 Santa Ana, California 92702 Fax 714 -647 -6930 25J -6 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 -647 -6515 To Consultant: Government Staffing Services, Inc. dba MuniTemps Attn: John Herrera P.O. Box 718 Imperial Beach, CA 91933 Facsimile: 1- 866 -498 -6678 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 11. ASSIGNMENT 25J -7 Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 12. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 13. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, 25J -8 the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 16. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council SONIA R. CARV City 4"mey / City Attorney RECOMMENDED FOR APPROVAL: Edward Raya Executive Director — Personnel Services Agency CITY OF SANTA ANA David Cavazos City Manager CONSULTANT Government Staffing Services, Inc. dba MuniTemps John Herrera (Title) 25J -9 W U GC � wW F R. W W V Z M LL CL 2 LU w S P s� 0E �3 n g� w� 0 U Z d in �Npp �y�p ry N 25J -10 :w W f I I fig. .Ea p KU 3 O C m� 2 � �ti;� ps = =C $i 8 . c �r b•e�$�s ,,Nat { y° gg �W E c lg $ Ep w r U `o ZI ° °m Z cam E t c F 8 25J -10 :w W f I I fig. .Ea p KU 3 O C m� 2 � �ti;� ps = =C $i 8 . c �r b•e�$�s ,,Nat { y° gg �W E c lg $ Ep w F r 6. R c 3 ca ° m a 25J -10 :w W f I I fig. .Ea p KU 3 O C m� 2 � �ti;� ps = =C $i 8 . c �r b•e�$�s ,,Nat { y° gg �W E c lg $ Ep w REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT FOR WATER RESOURCES SCADA NETWORK SUPPORT SERVICES (STRATEGIC PLAN NO. 6, 1, C) 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 Authorize the City Manager and Clerk of the Council to execute an agreement with XV Solutions, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide Water Resources SCADA network support services, for a three -year period, with the provision for one two - year extension exercisable by the City Manager and City Attorney, in an amount not to exceed $65,000 annually. DISCUSSION On August 14, 2014, a request for proposals (RFP) was issued for Water Resources Supervisory Control and Data Acquisition (SCADA) Network Support Services. The services to be provided include SQL database support, SharePoint server support for data management, SCADA server maintenance, software and file backups, and routine information systems maintenance. These support services are vital to water system daily activities, given the around - the -clock nature of the operations. Any downtime due to errors in the Water Resources Division computer network limits staffs ability to monitor the water production system and increases response times for addressing operational fluctuations in the water system. Twelve firms requested the RFP and one proposal was received. A selection committee evaluated the proposal for content and responsiveness. The final scoring for the proposal is as follows: Firm Score XV Solutions, Inc. 93 Staff recommends that XV Solutions, Inc. be retained for SCADA network support services. This firm has demonstrated they have the experience and resources needed to respond to a variety of SCADA network needs. 25K -1 Agreement for Water Resources SCADA Network Support Services November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Water Administration & Engineering account (06017645- 62300). B J �,� Fred IMousavipour Executive Director Public Works Agency FM /NS /RR APPROVED AS TO FUNDS AND ACCOUNTS: Nk M,Z! I 1�-\ IC A ) �\ . Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Agreement & Fee Schedule with XV Solutions 25K -2 CONSULTANT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND XV SOLUTIONS THIS AGREEMENT, made and entered into this _ day of 2014, by and between XV SOLUTIONS, a sole proprietorship (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 maintenance and supportive services for the City's water supervisory control and data acquisition (SCADA) computer systems. The City's Public Works Agency Water Resources Division owns, operates and maintains a number of computer servers that manage automated industrial processes for the water production facilities and support all infrastructure data. The services that will be provided include SQL database support, Sharepoint server support for data management, SCADA server maintenance, software and file backups and routine maintenance. B. Consultant represents that Consultant is able and willing to provide such scheduled and on call services to the City. C. On August 14, 2014, the Water Resources Division of the Public Works Agency issued a request for proposals (RFP) for water resources SCADA network support services. D. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall provide scheduled and on call water resources SCADA network support services to the City. The scope of services is attached hereto as Exhibit A and is incorporated by this reference to this Agreement. 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 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, Exhibit 1 25K -3 Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that the authors of all such material, whether copyrighted or not, award to the 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. 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 B attached hereto and incorporated herein by this reference. The total sum to be expended under this Agreement shall not exceed $65,000.00 annually during the Term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. 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 the date first written above and terminate three (3) years from said commencement date or upon the depletion of the maximum contract amount as stated in Section 3 above, unless terminated earlier in accordance with provisions below. The term of this Agreement maybe extended for up to two (2) years upon a writing executed by both parties, including the City Manager and the City Attorney for the City. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: 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, and in the aggregate. Such insurance shall (a) name the 25K -4 City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work perfonmed prior to approval of insurance by the City. INDEMNIFICATION To the fullest 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 for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, claims), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (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 25K -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 indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a Innitation 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 non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by 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 I988 Santa Ana, CA 92702 -1988 Facsimile: 714- 647 -6956 Copies to: Public Works Agency— Executive Director City Hall — Ross Annex — 4°i Floor 20 Civic Center Plaza (M -21) Santa Ana, California 92702 Facsimile: 714 -647 -5622 4 25K -6 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: XV Solutions Attn: Servando Varela 344 Orange Blossom Irvine, California 92618 Facsimile: 714 - 918 -6277 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 terns or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terns and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by 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 25K -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 performance specified in the Recitals of this Agreement. 14. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16, PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 17. 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 temps 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. 25K -8 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director - PWA CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: XV Solutions Servando Varela Owner 7 25K -9 EHII3IT A SCOPE OF SERVICES (Attached) 25K -10 EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WATER RESOURCES SCADA NETWORK SUPPORT SERVICES SCOPE OF SERVICES INFORMATION TECHNOLOGY ENVIRONMENT The successful firm will have experience and/or knowledge of the components of the Water Division's technical Environment. The Water Division currently operates 12 individual host servers interconnected by way of several network 1 0/1 0011 000 24 port switches. The data servers run Windows Server 2008 R2, Windows Server 2003 and Redhat Linux operating system. This network supports the Water Division's SCADA, Video Server, GIS and file archive systems. Current Water Resources Computer Network (WRCN) Overview At a high level, the main objective behind the current IT network is to provide the Water Division a centralized computing network that provides a high speed processing and storage environment that offers increased storage capacity, performance, robust fault tolerance and flexible storage administration. The WRCN is also very reliable and experiences very little downtime due to failures. The following is the functionality of the current infrastructure: • Ability to use a combination of high -end and lower end storage media Ability to create data replication groups • Ability to present LUNs to individual or multiple hosts including VM hosts, their guests and traditional fiber /Ethernet connected hosts • Alarm notification thresholds • Remote administration • Ability to expand capacity on demand without downtime • Ability to create different RAID level LUNs such as 0, 1, 5 & 6 High block level 110 performance Ability to present LUNs directly to VMs • Ability to send out packet data to remote sites over the radio network for control, status and monitoring. The WRCN is located in the Water Resources SCADA Server Room. It is a temperature controlled environment powered by a Symmetra LX Extended Run Backup universal power supply. Due to the nature of the water system, it is of the utmost importance to maintain system reliability and uptime for all equipment. Equipment Overview Dell Poweredge R910 (3) Deli Poweredge R820 (2) — SCADA Servers (Redhat Linux OS) Dell Poweredge R210 Dell Poweredge 2950 Dell Powervault NF500 Dell Poweredge R610 Dell Poweredge R320 Dell Poweredge 1900 (2) — Legacy SCADA Servers (Redhat Linux OS) Neo Overland Storage 200S Tape Backup Drive RFP 914 -048 —Water Resources SCADA Network Support Services Page 10 25K -11 Description of Services The Consultant shall be expected to perform the following list of duties and assignments. On- Call /Accessibility Requirement a. The Consultant will provide qualified and competent technical support staff on a regularly scheduled basis for SCADA networking maintenance as well as SQUWindows programming services at the City Central SCADA Control Room. The SCADA networking components are critical assets and as such require technical support 24 hours per day, 7days per week on demand. 2. The Consultant must be able to install, troubleshoot, diagnose and repair all existing networking equipment as it relates to SCADA Servers utilizing a Redhat Linux operating system. The Consultant shall also be able to provide network configurations for the Linux environment. Special consideration shall be given towards firms with experience with SCADA networking services and the City's DYNAC ES SCADA software. Special consideration shall also be given towards firms that staff personnel who will work on the SCADA network with a Bachelor of Science Degree in Computer Science. 3. The Consultant shall be responsible for core infrastructure and network assessments for all network servers (physical and virtual), and one MDS network radio. Monthly tasks shall include the following: a. Keep the firewall functional and current. b. Review connectivity at all sites and make necessary upgrades to ensure optimal network performance and security. c. Establish and maintain virus protection on all servers and SCADA workstations. d. Address and maintain all backup procedures and system restore protocols. e. Establish and maintain secure remote accessibility. f. Private Network shall authenticate and authorize each remote connection in the Water Resources Division via private network access with specified feature codes. g. Establish, monitor and maintain remote access profiles within a specific IP pool range which are assignable only to Santa Ana Water Resources Division authorized devices. h. Prepare and create RAID configurations as recommended or necessary. L Manage and monitor VPN networks for Netgear and Cisco VPN hardware. j. The private network shall provide redundancy utilizing both a primary and a secondary gateway. The secondary gateway shall act as a hot standby to provide support when the primary gateway has experienced a failure and can no longer operate. Once the primary gateway becomes fully operational, data traffic will be redirected back to the primary gateway and the secondary gateway will revert to hot standby mode. Consultant shall monitor and maintain this operational parameter. k. Prepare monthly summary reports with backup status, event logs, patches applied, RAID status and other pertinent information. I. Assess and maintain MDS radio connectivity at the WRCN in the SCADA server room. m. Assess and apply server software patches as applicable. n. Consultant shall be familiar with APC Symmetra LX batteries to monitor, maintain and manage the backup power supply. Reports shall be provided if any anomalies occur. Recommendations shall be made towards replacement when applicable. 4. The Consultant shall have the ability to perform the following services on an as- needed basis. Compensation will be provided based upon the hourly fee rate submitted in Exhibit C. a. Consultant shall have the ability to deploy, configure, manage and maintain VMWare Vsphere software. Consultant shall configure, monitor and optimize all VMware systems for performance and reliability. b. Consultant shall have experience with the NASSCO sewer rating system and provide RFP #14 -048 - Water Resources SCADA Network Support Services Page 11 25K -12 programming support for the Sewer Video Server. c. Consultant shall have experience troubleshooting Inter"Comm USA (ICU) Ticket Management software and provide networking setup and system support for this software. Coordination with the City Vendor will be required. d. Consultant shall have the ability to deploy, configure, manage and maintain Sharepoint servers as they relate to backflow records and Water Resource Division digital records. 5. The Consultant shall provide ongoing support and maintenance including, but not limited to the following tasks: a. Training availability for end users. b. Proactive care and maintenance to provide stability, availability and reliability. c. 24/7 server, network and workstation monitoring. d. Remote management and support tools. e. Antivirus management. f. Hardware and software patch management. g. Onsite services on an as- needed basis. h. Coordinate with City IT Staff as necessary. Compensation for services under Item 5 shall be based on the hourly fee rate submitted in Exhibit C. RFP #14 -048 - Water Resources SCADA Network Support Services Page 12 25K -13 EHIBTT B FEESCHEDULE (Attached) 25K -14 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WATER RESOURCES SCADA NETWORK SUPPORT SERVICES PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understa rid and agree 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 based on 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. Monthly Fee for Services as described in Exhibit A, Description of Services, Item 3 $ 500.00 /Mon h Proposer shall attach a separate hourly rate schedule with hourly rates for staff per lob classification. The hourly rate fee schedule shall include response times during normal business hours, after regular business hours and weekend hours. The use of Subcontractors is allowed but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the f irst $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work. XV Solutions (714) 269 -8190 LEGAL NAM C OF COMPANY PHONE AND FAX NUMBERS 344 Orange Blossom, Irvine CA, 92618 BUSINESS ADDRESS Servando Varela Owner PRINTED NAME OFA THORIZ DAGENT TITLE 1 09/09/2014 xsvarela @gmail.com SIGNATURE OF AUTHORIZED AGENT DATE E -MAIL ADDRESS FEDERAL ID NUMBER(IF APPLICABLE) ENVIRONMENTAL LABORATORY ACCREDIDATION PROGRAM CERTIFICATE NUMBER (ELAP #) THIS DO NOT CONTAIN THIS FORM WILL BE RFP #14 -046 —Water ReSOUr,es SCADA Network Support Services Page 20 25K -15 �kf XV SOLUTIONS September 9, 2014 XV Solutions P.O. Box 28373 3101 W, Sunflower Avenue Santa Ana, CA 92799 city or Banta Ana, Public Works Agency Request for Proposal for Water Resources Network Support Services RFP # 14 -048 Hourly Rate Fee Schedule, To Accompany Exhibit C XV Solutions hourly rates and job classifications Job Classification: Sr. I'f Consulting Enginect Classification Description; Sr. IT Consulting Engineers have a considerable breadth and depth of experience in computer systems that include: computer progntriming, networking, storage, data backup, disaster recovery, lmowledge of SCADA systems, VIN /Firewall configuration, Windows Server operating systems, Linux operating systems, Microsoft SQL Server, and network security. Additionally; Sr. IT Consultng Engincers have a Bachelor's Degree in Computer Science from an acaedited university. Hourly Rate; 5150 /Hour Sincerely, . 411�- R 1/?12VI y Servando Vuela Owner, XV Solutions 25K -16 25K -18 A /. J, �(V SOLUTIONS September 9, 2014 Mr. Rodolfo Rosas, P.E. City of Santa Ana Public Works Agency City Corporation Yard, Bldg. A 220 S. Daisy Avenue Santa Ana, CA 92703 XV Solutions P.O. Box 28373 3101 W. Sunflower Avenue Santa Ana, CA 92799 Re: Request for Proposal for Water Resources Network Support Services RFP # 14 -048 Dear: Mr. Rosas, XV Solutions appreciates the opportunity to provide you with a response to address the Water Resources Network Support Services RFP. XV Solutions has been providing IT services to the City of Santa Ana's Water Division for the past 4 years, and we are confident in our ability to meet your specific needs through superior quality services in: Networking, SC ADA, Security, and all of your other IT needs. Attached you will find our proposal, which includes our service offerings and meets all the requirements outlined in Exhibit A of the RFP # 14 -048. Owner, Servando Varela, will be available to answer any questions or concerns you may have regarding this response, and assist you through the contract period. You may reach Servando on his mobile phone, (714) 269- 8190. Thank you for your time and consideration. 'We look forward to continue serving your IT needs and establishing a mutually beneficial partnership. Sincerely, Servando Varela Owner. XV Solutions 25K -19 wFI Descriptionof Services ......................................................................................... ..............................4 QualificationMatrix .............................................................................................. ..............................4 Exhibits................................................................................................................... ............................... 8 ExhibitD — References ......................................................................................... ............................... 9 Exhibit E — Proposers Statement ......................................................................... .............................11 Exhibit F — Certification of Non- Discrimination by Contractor ............................ .............................13 Exhibit G — Non - Collusion Affidavit ..................................................................... .............................16 25K -20 Firm and Personnel Experience 25K -21 Water Resources Network Support Servicesl RFP # 14.048 Statement of Qualifications Firrn and Personnel Experience About XV Solutions XV Solutions is an IT consulting company focused on providing best -in -class service to small and medium size organizations. We strive to provide our clients with customized IT solutions, to enable them to run their core work functions and relieve them from the burdens of managing IT. We have strong technical expertise that allows us to deliver innovation- driven solutions, no matter how complex the business problem may be. Our service offering is spread across: ➢ Networking Servers and Applications SCADA ➢ Storage and Backup v Custom Application Design and Programming Brief History XV Solutions was founded in 2010 and has been providing services to the City of Santa Ana's Water Division group for nearly 4- years. Servando Varela is the owner and sole proprietor, who personally handles all client engagements. About Servando Varela Servando has been working in the IT industry for 17 years. He started his career working for the City of Santa Ana's Water Division as an Engineering Intern, in 1997. While working for the Water Division, Servando's responsibilities included running daily backups, network support, and custom application programming using MS Visual Basic and MS SQL Server. Experience & Background In the year 2000, Servando went to work for FileNet Corporation as a Software Engineering Intern. He was hired as a permanent employee in early 2002, immediately after he completed his B.S. degree in Computer Science and Engineering from CSULB. While at FileNet, Servando was responsible for programming automated tests using various programming languages and his responsibilities included setting up test environments. Setting up the test environments deepened Servando's expertize with various operating systems (Windows, Unix and Linux), database servers XV SOLUTIONS k Page 1 Water Resources Network Support Servicesl RFP # 14 -048 (MSSQL, Oracle, and IBM DB2), application servers (Microsoft Internet Information Services, WebLogic, and IBM WebSphere), and networking equipment (switches, routers, VPNs, and firewal Is). In addition to the Computer Science and Engineering degree, Servando also holds an advanced degree in Business Administration from Pepperdine University. He has formal training in project management, pragmatic marketing, and agile software development. Pre-6ous Project Experience XV Solutions has been working for the City of Santa Ana's Water Division group, servicing an array of IT related issues. • June 2014: Implement a new Microsoft SharePoint environment using a DELL R910 Server and VMWare vSphere. XV Solutions built the environment from the ground up. The solution design included the use of: Windows 2008 R2, Microsoft SQL Server 2012, VMWare vSphere, two RAID 5 configurations to optimize VMWare disk 1/0 performance, and 4 network cards to maximize the network throughput from the vSphere host server plus the virtual servers needed to run the software. Customer: City of Santa Ana, Water Resources Division. 0 August 2014: Implement a SharePoint bulk loading program to add over 25,000 backflow reports to SharePoint. The import required that custom content types be used in SharePoint with customer data fields. The metadata for the backflow records was collected by the custom bulk loading program, from .csv files that accompanied the backflow reports. Customer: City of Santa Ana, Water Resources Division. • August 2014: Recommend specifications for new Dynac ES SCADA servers, mount new servers into the server rack, and configure networking for the servers. Customer: City of Santa Ana, Water Resources Division. • November 2010 / September 2013: Implemented a Netgear VPN, Firewall and Gateway for the City of Santa Ana, Water Resources Division and trained key SCADA technicians on how to remotely connect to the internal network using VPN. On September 2013, successfully performed a major firmware upgrade to the Netgear appliance, which required the configuration of the appliance to be wiped out and reconfigured manually again. Customer: City of Santa Ana, Water Resources Division. • August 2013: Replaced the APC UPS Symmetra battery for the City of Santa Ana, Water Resources Division. As part of this replacement, we also increased the number of batteries to allow extend the runtime on the APC UPS and added an external bypass switch to the system. Customer: City of Santa Ana, Water Resources Division. a page 2 XV SOLUTIONS 5K -23 Description of Services 25K -24 Water Resources Network Support Servicesl RFP # 14 -048 Description of Services Qualification Matrix Each row represents XV Solutions' response to the RFP requirements outlined in Exhibit A. Description on -call Accessibility SCADA Technical Support 3 —a IFirewoll Maintenance 3 —b INetwork Performance & Security XV Solutions Response Y Unlimited XV Solutions is familiar with DYNAC ES, which is a SCADA software product that runs on the Red Hat Enterprise Linux (RHEL) operating system. XV Solutions has experience monitoring the DYNAC ES servers to ensure they are running in dual mode and respond when the primary server fails and the secondary server takes control. XV Solutions is also experienced with the Linux operating system in the areas of networking, security, backup and restore. Servando, the owner and primary consultant has a B.S. in Computer Science and Engineering and part of his experience includes working with putty, writing Linux bash scripts, programming against the Linux operating system, setting up Linux operating systems from scratch, and Firewalls are used to isolate the internal network from external threats, by implementing packet filtering and application gateways. Cisco and Netgeor periodically release firmware patches to update hardware /software firewall components needed to maintain security definitions up -to -date. XV Solutions has experience in both implementing and maintaining firewalls. We are experienced in analyzing network efficiency utilizing network monitoring tools such as 'netstat' and Wireshork, to monitor incoming /outgoing network connections, routing tables, and network interfaces. We are also familiar with Dell DRAG, which monitors the health of the servers to identity any failures and provide the administrator with information to isolate components with problems. 3 —c Server /Desktop Y XV Solutions understand the importance of protecting assets against Virus Protection malicious software attacks. It is critical to maintain anti -virus software up- to -date, given viruses are released into the web daily. We are experienced with Symontec and McAfee anti -virus tools to monitor and prevent virus and malware intrusion. 3 —d Routine Y We ore experienced in configuring scheduled - automatic backups to prevent Backups data -loss due to hardware failures, database corruption, and natural disasters. We've configured the Water Division's backup process, to send alerts to SysAdmins when a failure is detected and /or the backup process fails. XV Solutions takes an active approach to ensure the data is backed -up safely, by performing periodic restore jobs to validate the backup process is reliable and functional. ff XV SOLUTIONS k Page 4 5K -25 Req Description 3 —e I Remote Access 3 f IPrivate Network Security 3 —g IStatic /Dynamic IP Address Management Water Resources Network Support Servicesl RFP # 14 -048 Support XV Solutions Response Y Establishing secure remote access can be done via VPN or Citrix. VPN provides a secure & encrypted communication tunnel to allow the use of tools such as RDP or VNC These tools allow secure- remote connectivity to servers /computers within the network. XV Solutions is experienced in creating VPN gateways, and training staff on methods to securely connect into internal networks. Y Remote connections are validated for access into the private secured network via two different methods: (1) the VPN profile for each user has unique feature codes that are only known to the City of Santo Ana devices. This prevents brute force attacks into the VPN from external threats. (2) The SCADA server configuration for DYNAC ES contain specific end -point devices and their IP addresses that are allowed access to the SC40A portal. XV Solutions is familiar with both access control validation methods for remote connections. Y XV Solutions has experience managing both Dynamic IP addresses, which are typically used for mobile devices and workstations, and static IP addresses, which are usually required for servers. Dynamic IP addresses are managed with a DHCP Server. Windows Server operating systems, such as Windows 2003, Windows 2008, and Windows 2012 come with a built -in DHCP Server service that can be turned on and configured to dynamically assign 1P addresses to devices connected to the network. Some appliances, like the Netgear SRX5308 also come with a built - in DHCP server that can be used for this purpose. ff XV SOLUTIONS Page 5 Critical servers, like SCADA servers, SMTP /Email servers, Microsoft SharePoint, and other application servers require a static IP address. Static IP addresses can be reserved in a DHCP server. 3 —h RAID Y RAID (Redundant Array of independent Disks) is a method of grouping. Configuration multiple hard- drives, so that the OS views multiple drives as one logical Support drive. There are several advantages to RAID configurations, such as increased read /write performance and redundancy. XV Solutions has expertise in creating various types of RAID configurations, and has configured RAID -5 for the Water Resources Division. 3 —i VPN Support Y Knowledge in configuring Netgear VPN Router and Cisco ASA firewalls to allow external systems VPN access to internal network. 3 —i Network Y Experience with SCADA Dynoc ES redundant server, where there is a primary Redundancy server and a stand -by server. When the primary server faits, the secondary server takes over and becomes the primary server. Servers use a virtual iP address, so that the primary server is always seen on the virtual IP address. Both servers have their own typical IP address, but users always connect using the virtual IP address which will always connect users to the whichever server is the primary server. 3 —k Reporting Y Yes, monthly reports can be easily prepared and delivered via email, posted on the SharePoint server, added to o file server, or any other method that is convenient or desired. ff XV SOLUTIONS Page 5 Req Description 3 -1 MDS Radio Programming Support 3— Server Software m Maintenance 3 —n APCSymmetro ME. 4 —b 4 —c VMwore v5phere Support Water Resources Network Support Services) RFP # 14 -048 Support XV Solutions Response Y MDS Radios can receive and send transmission to SCADA PLCS. The SCADA servers need to be connected to the some Ethernet network where the MDS Radio is dropping network packets; so that the SCADA server can process the packets received and also send out changes to PLCs. XV Solutions is experienced with networking requirements for MDS Radios and verifying that they are working properly forSCADA operations Y XV Solutions has experience in managing and applying patches via several methods: (1) Command line updates for Linux distributions. (2) Manually deploying Windows Updates via the Desktop. (3) Remote software deployment using tools such as SSCM or Desktop Authority. Y The APCSymmetro is a modular, redundant, backup bottery for enterprise servers. It has multiple controller cords so that if one fails the other takes over and multiple battery modules that allows for redundancy and capacity expansion. We ore familiar with monitoring the APCSymmetro type systems, configuring emall alerts that report the status and health of the battery and its modules, capacity sizing, and dealing with Schnieder Electric, the APC Symmetry vendor. In 2013, XV Solutions managed the replacement and upgrade of the APC Symmetrafor the City of Santa Ana, Water Production Server Room. The replacement and upgrade was executed on time and without onv:Issaes. Y Yes, XV Solutions has experience deploying VMWare v5phere. The v5phere platform can be optimized for performance using various methods, including: setting up the RAID configuration and swap partitions for the VMWare servers, so that each server using its own LUN; ensuring that the CPU capacity is properly partitioned per VMWare server; allocating enough memory for each virtual server, and following other best practices and techniques for virtualization environments. XV Solutions has experience catrinn un rmmniete vSohere environments. NASSCO Sewer Y XV Solutions is familiar with the NASSCO sewer rating system. CCTV sewer Rating System reports are usually accompanied by a small Microsoft Access Database file Programming that contains the NASSCO ratings for the pipe. XV Solutions has completed a Support project for the City of Santa Ana, Water Department where we programmatically extract the NASSCO ratings from the Access Database and aggregate them into a Microsoft SQL Server. The SQL Server database is then accessed via a custom -built application that allows Water Department employees to query CCTV reports by NASSCO rating and identify the sewer pipe segments that need the most attention. ICU Ticket Y The ICU Tickets system Is a client side software application that received USA Troubleshooting DigAlert notifications. The ICU software is an aging 32 -bit Microsoft Windows Application. It allows the printing of the tickets and storing of tickets for future use, reference, and for retention compliance. XV Solutions is familiar with this software. In March 2014, XV Solutions migrated the ICU Tickets software for the City of Santa Ana from an old Windows XP workstation to a new Windows 732 -bit workstation XV SOLUTIONS > Page G 5K -27 Water Resources Network Support Services) RFP # 14 -048 Req Description Support XV Solutions Response 4 —d ShorePoint Y In 2014, XV Solutions developed an automated method to transfer hundreds Maintenance & of documents into the City of Santa Ana's ShorePoint server repositories. We Support are experienced at building Share Point tools for additional functionality, as well as architecting SharePoint document libraries to standardize the ways in which organizations store documents. 5 —a End -User Y XV Solutions values continuous learning and takes on active role in Training empowering clients through training and detailed documentation. 5 —b Proactive Y We believe In continuous improvement and implementing industry standard Infrastructure methods of operation to make your network most effective and efficient. XV Maintenance Solutions performs routine hard-drive health tests, server performance monitoring, and server software maintenance to prevent fallures from happening, and keep the infrastructure running smoothly. 5 —c 2417Server, Y Monitoring the overall health of servers, network, and workstations is done Network, and by utilizing health monitoring tools that enable Event Tracing and Workstation performance monitoring. XV Solutions has experience configuring systems to Monitoring send notification and alerts when systems fail -over or immediate actions are required to ensure system uptime. 5 —d Remote Y Familiar with Dell DRAG, allowing remote console for managing remote . Network servers and us of Dell XVM switches, to remotely connect to any computer Management connected to the switch. 5 —e Anti -Virus Y In addition to services provided in 3 —c (see above); XV Solutions has services Management routinely run system anti -virus scans. 5 —f Hardware & Y XI/Solutions is pro- active in updating /patching software & hardware devices Software Patch as described in 3 —m. and Upgrade Support 5 —g On -Site Support Y XV Solutions has on -site services: server /desktop installation and maintenance, hardware /software troubleshooting, routine backups, and any other IT related issues that need on -site services. 5 —h Collaborate Y We value building relationships with clients and working closely with ITStaff with City IT to betterserve you. XV Solutions is familiar with the responsibilities of the Support City of Santa Ana central IT department and how they relate to the Water Production SCADA network. XV Solutions has skillfully worked on collaborative projects with central IT, including the installation of the TI line for SCADA notifications, and the upgrade of the ICU Tickets system. 9— XV SOLUTIONS r Page 7 Exhibits 25K -29 Exhibit D — References 25K -30 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WATER RESOURCES SCADA NETWORK SUPPORT SERVICES REFERENCES List and describe fully the contracts Performed by your firth which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages it required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: City of Santa Ana Contact Individual Bran IQe Address: 220 S. Daisy Ave Phone Number 714-647 -3385 Santa Ana, CA Facsimile Number. contract Amount 25,000 / Year Year: 2010 to 2014 Description of supper, equipment, or services provided: SCADA network support, backup servers, VPN /FirewaU setup and maintenance Reference Customer Name: Contact Individual: Address: Phone Number.. Facsimile Number Contract Amount Year: Description of supplies, equipment, or services provided: Reference Customer Name: Contact Individual: Address: Phone Number. Facsimile Number Contract Amount _ _ -- _ -_ Year: ___ - -- Description of supplies, equipment, or services provided: THIS FORM MUST BE COMPLETED AND RFP #14 -448 — Water Resources SCADA Network Support Services 25K -31 Exhibit E — Proposers Statement 25K -32 EXHIBIT E CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WATER RESOURCES SCADA NETWORK SUPPORT SERVICES PROPOSER'S STATEMENT Proposer understands and agrees that this wnden RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duty authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will fumish City al required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposers bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain, otherwise said funds, check draft, or proposers bond substituted in 6eu thereof shall be resumed to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantifies of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Finn XV Solutions Signed and Printed Name: SerVando Varela Title Owner Date September 9, 2014 25K -33 Exhibit F — Certification of Non- Discrimination by Contractor 25K -34 EXHIBIT F CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WATER RESOURCES SCADA NETWORK SUPPORT SERVICES CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certilles as follows: 1 The contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin- Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or lamination-, rates of pay or other forms of compensation. and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The contractor shall send to each labor union or representative of workers with which he has a colleclive bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment 4. The contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rites, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to hislher books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further government contracts or federally assisted constructiontservices contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The contractor shat include the portion of the sentence immediately preceding paragraph 1 and the provisions of paragraphs 1 through 7 in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation by a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request that the United States enter into such litigation to protect the interests of the United States. RFP #14 -048 — Water Resources SCADA Network Support Services 25K -35 8. Pursuant to Caltomia Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended, no discrimination shall be made in the employment of persons because of race, religious peed tmen national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor violating this section is subject to 31 the penalties Imposed for a violation of the chapter. Firm XV Solutions Signed and Printed Name: Servando Varela True Owner Date September 9, 2014 THM FORM MUST BE COMPL�Fn AND INCLUDED WITH THE PROPOSAL PROPOSALS HAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE EXHIBIT G RFP #14 -1348 — Water Resources SCADA Network Support Services 25K -36 Exhibit G — Non - Collusion Affidavit 25K -37 CRY OF SANTA ANA REQUEST FOR PROPOSALS FOR WATER RESOURCES SCADA NETWORK SUPPORT SERVICES NONCOLLUSION AFFIDAVIT NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7166) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7166 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California, County Subscribed and swom to (or affirmed) before me on this day of 26 by appeared before me. Proved to me on the basis of satisfactory evidence to be the person(s) who Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE EXHIBIT H RFP #14 -048— Water Resources SCADA Network Support Services 25K -38 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WATER RESOURCES SCADA NETWORK SUPPORT SERVICES PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree 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 based on 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. Monthly Fee for Services as described in Exhibit A. Description of Services, Item 3 $ 500.00 /Month Pro oser shall attach a separate hourly rate schedule with hourly rates for staff per lob classificatio n. The hourly rate fee schedule shall include response times during normal business hours, after regular business hours and weekend hours. The use of Subcontractors is allowed but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work. XV Solutions (714) 269 -8190 LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS 344 Orange Blossom, Irvine CA, 92618 BUSINESS ADDRESS Servando Varela Owner NAME OF ALJTHOKIZ7u AUtry I -- ���,� 4. 09/09/2014 xsvarela @gmail.com RE OF AUTHORIZED AGENT DATE E -MAIL ADDRESS FEDERAL ID NUMBER (IF APPLICABLE) PROGRAM CERTIFICATE UMBER (ELAP gDATION THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP it14 -048 — Water Resources SCADA Network Support Services Page 20 25K -41 XV SOLUTIONS September 9, 2014 XV Solutions P.O. Box 28373 3101 W. Sunflower Avenue Santa Ana, CA 92799 uny of Santa Ana, Public Works Agency Request for Proposal for Water Resources Network Support Services RFP # 14 -048 Hourly Rate Fee Schedule, To Accompany Exhibit C XV Solutions hourly rates and job classifications Job Classification: Sr. TT Consulting Engineer Classification Description: Sr. I"T Consulting Engineers have a considerable breadth and depth of experience in computer systems that include: computer programming, networking, storage, data backup, disaster recovery, knowledge of SCADA systems, VPN /Firewall configuration, Windows Server operating systems, Linux operating systems, Microsoft SQL Server, and network security. Additionally, Sr. IT Consulting Engineers have a Bachelor's Degree in Computer Science from an accredited university. Hourly Rate: $150 /Hour Sincerely, qlr %zc /� Servando Varela Owner, $V Solutions 25K -42 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED [I As Recommended FINAL AMENDMENT TO AGREEMENT ❑ As Amended WITH STRATEGIC SOLUTIONS FOR ❑ Ordinance on 1s`Reading GRANT WRITING SERVICES ❑ Ordinance on Reading Implementing Resolution E] Re (STRATEGIC PLAN NOS. 4,1 AND 5,2) ❑ Set Public Hearing For I CITY MANAGER RECOMMENDED ACTION CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute an amendment to the agreement with Strategic Solutions for grant writing administration services in an amount not to exceed $6,500 subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Finance and Management Services Agency, Facilities, Fleet Maintenance, and Central Stores Division (FFCS) is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. To meet its 5 -Year Alternative Energy Strategic Plan, FFCS initially contracted with Strategic Solutions to search and apply for grant funding in order to expand the City's efforts in alternative fuel technologies. In 2013, FFCS prepared a Request for Proposal and Strategic Solutions was selected to continue providing these services. Strategic Solutions has been successful in obtaining numerous grants totaling over $1 million in alternative fuel technologies (Exhibit A). However, grant applications will now be administered by Fleet staff and as such services of Strategic Solutions will no longer be required. The recommended amount will pay for any services provided to date as well as for Strategic Solutions to close out any recent applications. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #4 City Financial Stability, Objective #1 Maintain a stable, efficient and transparent financial environment and Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #2, Expand opportunities for conservation and environmental sustainability. 25L -1 Amendment — Strategic Solutions November 18, 2014 Page 2 FISCAL IMPACT Funds for this amendment in the amount of $6,500 are available in the Fleet Maintenance contracts account (no. 07510100 62300). APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez yF' Executive Director Finance and Management Services Agency CL / /es Exhibit: Agreement 25L -2 SECOND AMENDMENT TO AGREEMENT THIS SECOND AMENDMENT TO AGREEMENT is entered into on November 18, 2014, by and between Strategic Solutions, a California independent consulting firm which provides grant consulting services to public and private agencies/companies, with its principal place of business located at 2825 South Palm Canyon Drive, Palm Springs, California 92264 (herein after referred to as "Consultant "), and the City of Santa Ana, a charter city and municipal corporation of the State of California ( "City "). RECITALS: A. The parties entered into a Consultant Agreement dated November 2013 (hereinafter "original Consultant Agreement ") by which Consultant has provided grant consulting services. Consultant will use her extensive experience in grant writing in order to assist the City in maximizing access to grant funds. B. A First Amendment to the original Consultant Agreement was executed in June 2014. That amendment only extended the term of the original Consultant Agreement through June 30, 2015, C. The amount of compensation under the original Consultant Agreement's was not to exceed $25,000.00. By this Second Amendment to Agreement, the parties wish to add an additional $6,500.00 to the compensation. NOW THEREFORE, in consideration of the covenants contained in original Consultant Agreement and the First Amendment to Agreement, and subject to all the terms and conditions of the original Consultant Agreement, except those amended in this SECOND Amendment to Agreement, the parties agree as follows: 1. Section 2 (a). COMPENSATION. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The total sum to be expended under this Agreement, as amended, shall not exceed $31,500.00 during the Term of this Agreement. 2. Except as herein amended, all terms and conditions of said original Consultant Agreement shall remain in full force and effect. [Signatures on next Page] 25L -3 IN WITNESS WHEREOF, the parties hereto have executed this SECOND Amendment to Agreement on the date and year first written above. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia Carvalho City Attorney for Jose Sandoval Chief Assistant City Attorney CITY OF SANTA ANA David Cavazos City Manager RECOMMENDED FOR APPROVAL: Francisco Gutierrez Executive Director Finance & Management Services CONSULTANT Charlotte D. Whitney dba StrategicSolutions Consultant/Owner /President Employer ID # or Individual SS # 043 -36 -2895 25L -4 N Z _O F J O WjVi V 0 W H oc N N O N M N 0 0 N � O m c N t7 y Y LL .-e z Q F .a y 25L -5 O C e �C R J s N N N N C 6 6 N H Q H c0 N V fn `m �,Qi�Q El cf -a awitga Y c & N w U o� c o c n E E o c ° E o 9 CL v E "" '? F� N p E a° B S 2 aE H c y� �' pip L d C O pip O ' E «• E y O a CL �• N S C F' r A O F.. •' "' A O a 3 E c E n Q t u E u "; c a A .+ •Et u E u N Ea a E ► CL >> cr r N Q U d m U w C. � m L N K pq N kc i+ Li N N a7 W N N C d O•on N � N w C 9 aq-• V A 8 m IV amt 4) 3s `o d E n> VF E N Ct u O . 88 8 ° `> A N= w m c E v E o c w w N d M y_ to $ C N C A 7 tl1 w N N~ 'NO > d _ O R u V y N 0 N O N N N N C •_ N p LL m CL.- +n L N N c u d w w i'i •n m E N ? C C U o N C (C U H o 9 �$ N c O Q d W d _oa a o w d Q a N C N 8 a w w c �• d E c c A> d v 25 p G c w c.c E cL a o•-. w y O a' d 3 wt Q w W N N n VO O o> vi d w x W 0 IL pc m H h 4 K 6 2 N> N N F G' N 1%1 VT H 'y N \ rl �-1 w � N LA LA o m e a N � c U ; 3 O j .0 K .y 1= a 1 V N K N h W O O '-, i O 'ti .y O O 3 cw d> d co ca CZ d o g p �• lu E Q CL E d d g N C E a ` A d y 7 d dWc° w o> o^Z t ru Y«U' 3 E ` U' d� m t ?'E E N LO ( w _O V H ° O O �77 �+ m w cc p c° O < U O U O J U U N 25L -5 O C e �C R J Ln Z _O H D r 0 N LW-V, U W H H H N O N M O N I C � 3 O Q In N C N V� � d Y S L6 I�1 H ol a i-I Z � •D Fhr^ 25L -6 D N a C fi �I p O T ti v- > N N M b 6 O p, G N e O Ic 1 w 9 cc w yN uu U y e a �yy _ cy (.1 LL C uF�F _� a L V a E_• E C m O IO C a V.2 CC R w C — W O c. O C io O.0 m vi w §5 ° cs'°aoBg l > yy�N� I� O A N r C N m m O w o0 m w V! p Q8 Q p VI 1- C Q m K L+ a N Ln Q fOV Q cc O N O yy N N +M C of C O NN 19i O N O a m a" n E c v c 25 w m z 25 C 02 C c N O r p A O R y .2 L t0 oQ > (� 0 O y MIU TO- c^ am+ K r 3 L Z• ✓ O 8 u L 2 O `! m U� �C�ep c W C >> m_ N O L H> Y1 U Y 4, w L' N w Q U O w W > N �+• LL N B N t C— 11 7 w II C 11 �' �i r C V G y w m N •` 9i m LJ ii a 0:2 A v 3 °° A c N c o oo0mi3'"amm O, b pp. yA�° yinw ° >v`OioEcoEao y a d e C e Q 1- c m— m In It K D. !- N N N C C N u w .+ r N O N O N m O« O G N �\•1 a l\O F m C c Y c u E N . y o o 0 O Q .'� E It $ a E E 3'A c a o it o v o o° ° c V w rt1 Y> 4 U G u d �caam Ow cv �0 E E °c _ o ow m m E u E N W w .7 ,0 a W U u j E 10 s tJ U G C U' N m A N O N lO N E m ono u m a0 a a E m m v 3 o �q 7 L° 2 O w °- a CdJ i m 0 A V U i In 3 0 I.J m V m J s u W ri N th 25L -6 D N a C fi �I p O T ti v- N Z O r ,-W, U W r a r N a O M a "I I C � N N N L N d N S r4 cC � Q •� V m Q v4 _ NI- 25L -7 n O 4 Q z y N Q T U� r N q. N i C E L ° O M rq, dMCC y N O W v U In N N p 3 j cN c r` ti + n z ° a �0 0 C I>E ~ '� E 'C m o C C ; C Q i ° m Q I �, m ; ° m .2 °i I c m A w g a E- Q Q L° In n 5 2 CL GG"ry c o H w mm m N J... Q O O U l9 M u kv Do N N M C N m O Q 9 b G c d m N CE ♦r O 3 L N y1 EI c E m p a `m > o Y n i .0 E1 m r EI D- m a '`E CO m N o .+ 3 a_ « u 4 y ._ E �_ > O a d a $ A a c y Z W c E Z y C c i, O L 4 d c �' {A N E E_N, L N C N N C N 9 .Y Q N m 2 L 1^ m CL 04 N u w w Y E..3 0 E o U E) > w rl cc M yon °. CL EI 3 r C 2 = li 6 Y O Z > 4 ac N Cu m �'��j'c�iiCuic°�svbw. m CL e`o� v v u L C N> M H O M ry O O Ego v O 13 Z y1 g m YJ Vhf Y N O aj tiZ E C W y � U U> �yy a W G C M Y N G d > C O m C C )f d "u Q N c uo ou d ua �o Gc+;ko ` W N V U d W d Y+ lD El G D Q V n m d G. m 3v v 3 •'F U> W m i N .� d i L _O �� p O@JO 0 V1 c W ^ u e C O m m vvi : n v C Ln r R R a > E Eu °— A° °m ¢1� n p u d �i V' ml� u ur �•°_'- uu 31n 3 `iwh �n In N N M 25L -7 n O 4 Q z y N Q T U� LO) g \ G IALWA / 2 § k� �§ �} C 0 } � $ � . § : ] «.� ! � � \ \ �) 25L- / % § F- 7� !Ln Ln E k ` ( 2222 rl } LM a a ■@ f § d $- ° E - \ c :§ tA \ ■fE� W �LA 2� #k = |)w \$\ i a 0. #wko ) {)�.._ a�.« . �� {t & } ; ;7§ E�k� k §� `f K{ » � ) ;! 'a Z «0= C; �=7� ;■0§ \ )k \)a &A )) ■('U !6 �\ / 0 . k m § ƒ) E E { }§ ) \ % �� coma U 0. �f § }\ ��,\2«& q /}§\( ` �| } ƒ) »-.1 C ) \f ) aNeLn)� ■B2 �� , )& ` 3 ¥3`CLr §� §2,!£e�kG tt9 -o a2� is 3 «o #& \(�k aa, « uo 6 _� 25L- / REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT AMENDMENT WITH SERVICE FIRST FOR FOUNTAIN MAINTENANCE SERVICES (STRATEGIC PLAN NO. 6, 1B) CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with Service First for fountain maintenance services, increasing the compensation by $19,490 to an amount not -to- exceed $63,480, which includes a 15% contingency, annually, for the period through December 31, 2015, subject to non - substantive changes approved by the City Manager and the City Attorney. DISCUSSION The Parks, Recreation and Community Services Agency is responsible for the routine maintenance of the fountains located in the Downtown Civic Center, including the Plaza of the Fountains (three fountains), Plaza of the Sun, Sasscer Park, the 2nd Street Mall fountain, and the Santa Ana Regional Transportation Center ( SARTC) fountain. On December 16, 2013, the City Council approved the first of two, two -year contract extensions to maintain the fountains. The first of the two -year agreement extensions is set to expire December 31, 2015. Staff recommends an increase to the scope of work to provide two additional days of service per week for the fountains in the civic center area and one additional day of service per week for the SARTC fountain. Additionally, staff requests an adjustment to the contingency amount to reflect 15% of the annual contract amount. The cost of the increased scope of work and adjusted contingency will result in increasing the existing contract by $19,490. The fountains are currently maintained one day per week. The increase in activity in the Civic Center requires additional weekly maintenance of the fountains to clean the skimmers, vacuum the bottom of the fountain, review the chlorine balance and equipment to avoid any blockage and breakdown of the pump and filtration system. Filtration blockages and vandalism have caused fountains to overflow, increased stress on the fountain equipment and breakdowns, which then results in emergency repairs. For this reason staff is recommending a contingency of 15% of the contract amount. 25M -1 Agreement Amendment with Service First November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 Community Facilities & Infrastructure, Objective #1, Establish and maintain a Community Investment Plan for all City assets, Strategy b, Equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe and aesthetically pleasing for all users. FISCAL IMPACT Funds are available in the Civic Center - Regular Maintenance expenditure account (no. 07413250 62320) and the Santa Ana Regional Transportation Center - Maintenance & Repair - Buildings and Grounds account (06717650 62320). Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: 3zrk> `N Fran s co Gutierrez, uo, Executive Director Finance and Management Services Agency 25M -2 SECOND AMENDMENT TO FOUNTAIN MAINTENANCE AGREEMENT THIS SECOND AMENDMENT TO AGREEMENT, made and entered into this _ day of 2014, by and between Service First Contractors Network dba Service 15`, a California corporation ( "Contractor "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS A. City and Contractor entered into Agreement #A -2011 -249, dated November 7, 2011, for a contractor having special skill and knowledge in the provision of fountain maintenance and repair services ( "said Agreement'). B. City and Contractor entered into a First Extension of Fountain Maintenance Agreement #A- 2013 -192 to revise the Scope of Services, Compensation, and Term sections of said Agreement. C. In accordance with the terms and conditions of said Agreement, the Parties desire to add to the scope of services and increase the compensation in said Agreement. 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: 1. Section 1, SCOPE OF SERVICES, shall be amended to increase existing fountain maintenance contract from one day a week (Mondays) service to three days a week (Monday, Wednesday, and Friday) service of the five Civic Center fountains and the Second Street Mall fountain. 2. Section 2, COMPENSATION, the relevant portion of said section shall be amended to increase the annual compensation of $43,990.00 by $19,490.00, such that the total annual amount to be expended under said Agreement shall not exceed $63,480.00 during the remaining term of said Agreement, which pursuant to the previously amended terms of said Agreement terminates on December 31, 2015, unless terminated earlier pursuant to the terms of said Agreement. 3. Except as hereinabove modified, all terms and conditions of said Agreement shall remain in full force and effect. /// 25M -3 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Ate A By. , Ryan RECOMMENDED FOR APPROVAL: GERARDO MOUET Executive Director Parks, Recreation & Community Services Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager SERVICCE FIRST CONTRACTORS NETWORK dba SERVICE I" Frank Vandenberg President 25M -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT AMENDMENT WITH SUPERIOR PROPERTY SERVICES FOR PRESSURE WASHING SERVICES {STRAGEGIC PLAN NO. 69 1 B} CIT MANAG PIR RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' 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 an amendment to the agreement with Superior Property Services for pressure washing services, increasing the compensation by $30,900 to an amount not -to- exceed $88,850, which includes a contingency of $10,000, annually, for the period through December 31, 2017, subject to non - substantive changes approved by the City Manager and the City Attorney. DISCUSSION Through the Civic Center Authority joint powers agreement with the County of Orange, the Parks, Recreation and Community Services Agency (PRCSA) is responsible for providing grounds maintenance services in the Santa Ana Civic Center, including hardscape pressure washing. On October 15, 2012, a Request For Proposals was issued for providing hardscape pressure washing services in the Civic Center. On December 17, 2012, the City Council awarded a five - year contract to Superior Property Services in the amount of $57,950. Staff is recommending that the scope of service be increased. Attached is a map of the existing service area and proposed service area. The cost of the increased scope of work will result in increasing the existing contract by $30,900. The increase activity in the Civic Center has caused a need to expand the pressure washing service areas and frequency around City Hall, Council Chambers, Ross Annex, the Main Library, OC Hall of Administration, Tax Collector's Building and the OC Record's Building. The agreement amendment will add 61,695 square feet to the contract service area and services will increase from monthly service to weekly service. Services will include high powered pressure washing and deodorizing key areas around the Civic Center. 25N -1 Agreement Amendment with Superior Property Services November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 Community Facilities & Infrastructure, Objective #1, Establish and maintain a Community Investment Plan for all City assets, Strategy b, Equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe and aesthetically pleasing for all users. FISCAL IMPACT Funds are available in the Civic Center - Regular Maintenance expenditure account (no. 07413250 62320). APPROVED AS TO FUNDS AND ACCOUNT: 4 Gerardo Mouet, Francisco Gutierrez, Executive Director Executive Director Parks, Recreation and Community Finance and Management Services Agency Services Agency 25N -2 FIRST AMENDMENT TO AGREEMENT FOR PROVISION OF PAVEMENT CLEANING SERVICES THIS FIRST AMENDMENT TO AGREEMENT, made and entered into this _ day of 2014, by and between Superior Property Services, Inc., a California corporation ( "Contractor "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS A. City and Contractor entered into Agreement #A- 2012 -248, dated January 1, 2013, for a contractor having special skill and knowledge in the field of hardscape pressure washing and cleaning services ("said Agreement'). B. In accordance with the terms and conditions of said Agreement, the Parties desire to add to the scope of services and increase the compensation in said Agreement. 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 1, SCOPE OF SERVICES, shall be amended to increase existing contract pressure washing frequency and clean additional locations of the Civic Center area, as set forth in the cleaning schedules and maps attached hereto as Exhibit A and incorporated herein by this reference. 2. Section 3, COMPENSATION, the relevant portion of said section shall be amended to increase the annual compensation of S57,950.00 by 530,900.00, such that the total annual amount to be expended under said Agreement shall not exceed $88,850.00 during the remaining term of said Agreement, which pursuant to the terms of said Agreement terminates on December 31, 2017, unless terminated earlier pursuant to the tenns of said Agreement. 3. Except as hereinabove modified, all terms and conditions of said Agreement shall remain in fall force and effect. /// 25N -3 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Att91<9 a r A By: . Ryan . Assistant FOR APPROVAL: GERARDO MOUET Executive Director Parks, Recreation & Community Services Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager SUPERIOR PROPERTY SERVICES, INC. Larry DeCrona President 25N -4 EXHIBIT A SCOPE OF SERVICES (Attached) 25N -5 f ..4 I .I E 1 " f cr It 00 ' p N �Ir V N a r - i illl rii " a a ! •4 1 . Y 14 r I 25N -6 25N -7 25N -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT AMENDMENT WITH FIESTA DE CARNIVAL TO PROMOTE CARNIVALS AT CITY OWNED PARKS (STRATEGIC PLAN NO. 5, 4B) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' 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 an amendment to the agreement with Fiesta de Carnival to include Fiesta de Carnival as the promoter for the Cesar Chavez/Campesino Park Carnival for $4,500 payable to the City, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Annually, the Parks, Recreation and Community Services Agency (PRCSA) provides safe, clean, low cost carnival events for the community. On January 21, 2014 the City Council approved agreements with Robert Acosta & Associates, O'Entemtainment, and Fiesta de Carnival to promote various park carnivals. City staff has been in discussions with Robert Acosta and Associates. The promoter was unable to undertake the carnival scheduled for October 17 -19, 2014 at Cesar Chavez/Campesino Park. Fiesta de Carnival indicated to the City that they are able to promote a carnival at Cesar Chavez/Campesino Park on November 14-16, 2014. Therefore City Staff is requesting an agreement amendment to include this event as part of the carnivals promoted by Fiesta de Carnival. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4, Support neighborhood vitality and livability, Strategy b, Improve neighborhood quality by locating or providing access to complementary services and public facilities, including access to healthy food options (community gardens, farmers' markets, corner markets, etc.) in neighborhoods. 250 -1 Carnival Agreement Amendments November 18, 2014 Page 2 FISCAL IMPACT There is no change in the revenue payable to the City therefore there is no fiscal impact associated to this action. Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency 250 -2 SECOND AMENDMENT TO NON- EXCLUSIVE AGREEMENT TO PROVIDE CARNIVALS AT CITY PARKS THIS SECOND AMENDMENT, made and entered into this 22 "d day of October, 2014 by Fiesta De Carnival (hereinafter "Promoter "), 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. On January 21, 2014, the City Council approved the Agreement for Promoter to promote various park carnivals (Agreement A- 2014 -021) hereinafter referred to as "said Agreement'. B. On April 16, 2014, the parties amended said Agreement (A- 2014 -094) to add an additional carnival event for Promoter to promote. C. The parties now desire to amend said Agreement again, to include an additional carnival event for Promoter to promote, and increase the fee to be paid by Promoter to the City. NOW THEREFORE, in consideration of the mutual and respective promises set forth herein, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. Section 3 of said Agreement shall be amended to add the carnival at Campesino Park to be held on November 14 -16, 2014. Promoter agrees to pay the City and City agrees to accept from Promoter an additional $4,500 for promoting this carnival. The total amount of fees Promoter shall pay to City shall accordingly be increased to Thirty One Thousand Five Hundred Dollars ($31,500.00). 2. Exhibit A, attached hereto and incorporated herein, reflects all of the carnival events and fees undertaken by Promoter. 3. All other terms and conditions included in said Agreement shall remain unchanged and have the same force and effect. 250 -3 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment 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:,&4, L 12 Lisa Storck Assistant City Attorney CITY OF SANTA ANA DAVID CAVAZOS City Manager PROMOTER: FIESTA DE CARNIVAL Ted Holcomb Owner 250 -4 EXHIBIT A Fiesta de Carnival 2014 Carnival Dates 250 -5 Park Cesar Chavez /Cam pesino Rosita Madison El Salvador Madison Cesar Chavez /Campesino Date April 4 -6 May 9 -11 May 23 -26 June 13 -15 August 29 -31 &Sept. 1st Nov 14 -16 Promoter Fiesta De Carnival Fiesta De Carnival Fiesta De Carnival Fiesta De Carnival Fiesta De Carnival Fiesta De Carnival Revenue 4 ,500 4,500 8,750 2,250 7,000 4,500 31,500 1 2 3 4 5 6 250 -5 250 -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED AUTHORIZE AN AGREEMENT WITH ❑ As Recommended As ❑ As d TIBURON TO PROVIDE COMPUTER E] on 1st Reading AIDED DISPATCH SERVICE TO THE ❑ Ordinance on 2n' Reading POLICE DEPARTMENT {STRATEGIC ❑ implementing Resolution ❑ Set Public Hearing For PLAN NO. 1, 3A) CONTINUED TO FILE NUMBER CITY MANAG RECOMMENDED ACTION Authorize the City Manager and the Clerk of the Council to execute a one -year agreement, commencing December 1, 2014, with Tiburon, Inc. to provide software maintenance and support services in an amount not to exceed $47,056, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Police Department entered into an agreement with Tiburon (formerly known as Positron) in 2005 to provide a computer aided dispatch (CAD) system called IQ /CAD. This critical system manages calls for police service and the activity of field personnel. It connects the community's needs for police services with City resources. It is also vital in protecting the safety of police personnel. Due to the essential nature of this system, the City contracted with Tiburon, Inc. to maintain and support this system as needed on a 24/7 basis. Tiburon owns the licenses for this software and is the only company able to completely support this system. Staff recommends continuing this maintenance in order to ensure the continued operation of the IQ /CAD computer aided dispatch system. The agreement will be for a one -year term, commencing December 1, 2014, in the amount of $42,056, plus a $5,000 contingency for unanticipated costs. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3, Promote fiscal accountability to ensure financial responsibility at all levels of the organization, Strategy 3a, Continuously evaluate and assess fiscal aspect of service delivery to ensure that the Police Department provides programs and services efficiently and effectively. 25P -1 Agreement with Tiburon, Inc. November 18, 2014 Page 2 FISCAL IMPACT Funds for this agreement are available in Police Department's Information Services Division - contract services account (no. 01114425 62300). ( ilx� Carlos Rojas Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNT: 1� A• .�- Francisco Gutierrez Executive Director Finance and Mgt. Svcs. Agency /, _ 25P -2 CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this 1" day of December, 2014 by and between Tiburon, Inc„ a Virginia corporation with its principle place of business at 30000 Executive Parkway, Suite 500, San Ramon, California, 94583 (hereinafter "Tiburon" and/or "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 and/or the Client "), hereinafter collectively referenced as "the Parties." RECITALS A. In 2005, City purchased a computer aided dispatch (CAD) system from Tiburon which requires ongoing maintenance and support. B. The City requires to retain a consultant having special skill and knowledge in the field of providing the City with ongoing maintenance and support services relating to the Police Department CAD system. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit "A" to this Agreement ( "Maintenance Renewal for Santa Ana, CA, ") attached hereto and incorporated by reference. 2. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for all services provided by Consultant to City, the rates and charges identified in Exhibit "A" ( "Maintenance Renewals ") to this Agreement, which is attached hereto and incorporated by reference. The total sum to be expended under this Agreement shall also include a contingency of $5000.00 for unanticipated costs. The total agreement shall not exceed $ 47,056.00 during the term of this Agreement. 3. TERM This Agreement shall commence on the date first written above and terminate on November 30, 2015, unless terminated earlier in accordance with Section 12, below. 25P -3 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be 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. 5. INSURANCE Prior to undertaking performance of work Linder this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily 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. Consultant shall supply City with a frilly executed additional insured endorsement in substantially the form attached hereto as Exhibit `B" upon execution of this Agreement and shall be approved in form by the City Attorney. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. 25P -4 e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of 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; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terns of, or effects, arising from 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 challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 7. CONFIDENTIALITY If 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 25P -5 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. 8. 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. 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714- 647 -6956 With courtesy copies to: City of Santa Ana Police Department City of Santa Ana 20 Civic Center Plaza (M95) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 245 -8097 Attn: Commander Pete Semelsberger 25P -6 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -6515 To Consultant: Tiburon, Inc. 3000 Executive Parkway #500 San Ramon, CA 94583 Telephone: (514) 345 -2230 x2830 Attn: TatsianaLukashevich, Representative Tatsiana.Lukashevich@tiburonine.com A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, e-mail, commur ication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 25P -7 12. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Chief of Police 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. 13. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Consultant shall, throughout the teen of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 16. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall 25P -8 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 D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By -&WW� A. 4 "l11 LAURA A. ROSSINI Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: CARLOSROJAS Chief of Police CITY OF SANTA ANA DAVID CAVAZOS City Manager TIBURON, INC. TATSIANA LUKASHEVICH Representative 25P -9 EXHIBrr A SCOPE OF SERVICES 25P -10 s � • Maintenance Renewal For Santa Ana, CA 25P -11 R Annual Maintenance Yearly maintenance for 11 licenses of IQ/CAD, CAD Visor, 1 State Interface, 1 XML output for CAD to Police RMS and 100 licenses of IQ/Mobile only. ***The prices indicated above do not Include Installation and /or confJguration of 3rd party software and /or hardware• "• ***Tiburon requires remote VPN access to the customer site (minimum 1Mbps )"'" The information contained in Nis doaiment is propdelary to Tiburon and is offered solely for the purpose of evaluation. Copyright 2014 Tiburon CONFIDENTIAL Q 14012 - Santa Ana, CA - OCAD and Mobile Maintenance Renewal - Summary 25P -12 N PRICING All prices are in U.S. Funds. Taxes, if applicable, are extra. PAYMENT Payable 100% on December 1st, 2014 VALIDITY 60 days - Services will be performed in accordance with the attached Maintenance and Support Guidelines, which are incorporated herein. By signing in the space provided below, I am representing that I am authorized to sign on behalf of Customer: Signature Date The Information contained In this document is proprietary to Tiburon and is offered solely for the purpose of evaluation. Copyright 2014 Tiburon CONFIDENTIAL Of 40127 - Santa Ana. CA- IOCAD and Mobile Maintenance Renewal - Notes 25P -13 Revision History !Revision Level Reason for Revision Date Revised Original August 6, 2014 The Information contained in Nis document Is proprietary to Tlbpron and Is offered solely for the purpose o! evaluation. Copyright 2014 Tiburon CONFIDENTIAL 014D127 - Santa Ana, CA - IOCAD and Mobile Maintenance Renewal - Revision History 25P -14 Maintenance and Support Guidelines Applicability...................................................................................................................................... ............................... 2 Term................................................................................................................................................. ............................... 2 Description of Technical Support Services ..................................................................................... ............................... 2 TechnicalSupport Services ......................................................................................................... ............................... 2 HelpDesk Service ....................................................................................................................... ............................... 2 HelpDesk Call Taking Process ................................................................................................... ............................... 3 EscalationProcedure ................................................................................................................... ............................... 3 Table A: Ticket Priorities and the Service Level Agreement ( SLA) ............................................. ............................... 4 SoftwareUpdates Program ......................................................................................................... ............................... 5 Product Specialist and Training Services ........................................................................................ ............................... 5 ClientResponsibilities ..................................................................................................................... ............................... 5 Termination.. ........................................................................................................... ................ ...................................... 7 Exclusions to Technical Support Services ....................................................................................... ..............................8 25P -15 Applicability These Maintenance and Support Guidelines ( "Maintenance and Support Guidelines ") applies if the Client has ordered any of the services detailed herein pursuant to the receipt of a Price Quote from Tiburon, Inc. (hereinafter "Tiburon "). Any services detailed herein that have not been ordered by the Client shall not apply or be provided to the Client by Tiburon. These terms represent Tiburon's standard terms. These terms apply unless superseded by a specific Client agreement. Term Upon payment of the appropriate annual maintenance and support fees, Tiburon shall provide the Client with maintenance and support services as set forth In these Maintenance and Support Guidelines for a twelve (12) month period commencing on the anniversary date of final acceptance and shall be automatically renewed for additional twelve (12) month periods until terminated in accordance with its terms. Description of Technical Support Services Technical Support Services Tiburon's Technical Support Services department consists of technical specialists dedicated to providing the highest level of technical support services to its Clients. Technical Support Services include the Help Desk Service, Software Updates Program, Product Specialist Services and Training Services. The Help Desk Service and Software Updates Program are provided on a per - product basis and available on an annual or multi -year basis as detailed in the Client Quotation. Help Desk Service The Help Desk service includes technical support on products purchased from Tiburon including Tiburon licensed products and 3rd party products. The Help Desk provides 24 x 7 technical support to Clients for all Tiburon products. The Help Desk is staffed by technical specialists, backed by 24 x 7 engineering support to handle high priority issues. High priority issues that cannot be addressed expediently by the technical specialists alone are assigned to the 24 x 7 engineering support staff. If the issue cannot be addressed within the defined service level agreement (SLA) in Table A, an escalation process is automatically triggered involving senior management in order to take immediate action calling upon product experts as needed. This level of specialized technical support ensures timely, accurate and effective support for Tiburon's Clients, For urgent and high priority tickets (see Table A), Clients are requested to contact the Help Desk by phone in order to obtain immediate technical support using the following toll -free number; 1 (877) 441 -4648. For routine and lower priority tickets (see Table A), Clients are encouraged to send an email to DispatchNowSupportC &tiburoninc.com which includes caller contact information, site identification, affected product and a short problem description. An email reply will acknowledge that Tiburon has received the Client's email. A Help Desk representative will contact the Client with a ticket # and status within the timeframes defined in the SLA (see below for details). 25P -16 Help Desk Call Taking Process When a Help Desk call is received, it is answered by a Help Desk representative. The representative takes the caller's general information such as caller contact information, site identification, affected product and a short problem description. Based on the priority definitions detailed in Table A, the caller advises the Help Desk representative on the priority of the issue. The caller is given a ticket reference number and is passed onto a Help Desk technical specialist for problem investigation and resolution. If there are no Help Desk technical specialists available to immediately take the call, the caller is called back within the agreed upon SLA. The Help Desk technical specialist will work over the phone and through remote high speed facilities (e.g. Cisco VPN, Sonic Wall, Remotely Anywhere, Remote Desktop) to troubleshoot and resolve the issue. The ticket is only 'closed' by Tiburon upon positive confirmation from the Client. Escalation Procedure When the call -back SLA specified in Table A is not met, the Help Desk is instructed to escalate the ticket to the people identified below and advise the Client that this escalation is in progress. Should the Client not receive a call from the Help Desk within the call -back SLA, the Client is free to contact the following escalation contacts directly (in the order indicated): Help Desk Team Leader (514) 916 -0199 Sr. Manager Technical services (514) 804 -9334 Sr. Manager, SW Development (514) 916 -3995 VP Products (514) 916 -0423 Internal escalation is automatically triggered in the timeframes defined in the last two columns of Table A in order to ensure that high priority tickets are resolved as quickly as possible. Note: The call -back time is defined as the interval of time from the moment Tiburon Help Desk received a call for service to the moment a Tiburon technical specialist contacts the site. 25P -17 i rj, C O E (U N CD i N U w N C a m V C 0 N .mac 'O c ro 0 N O n m ro c ro w D O 0 C N 0 m of c 0 0 O d s F- 25P -18 a cc m at m m N U U 2 ¢ Z a a N m Z w J u� us W J ] ] w O 0 2 2 Z 6 N C N n N n O INtl N O N N 0 0 N O D 0 CO O U o D d �O m E K .a E K E p E U d w d n v fu .a ° d .a LD 0 y. N N Q� ro N .01LL_ f0 tatl L d N_ b= S) Y— 3 Y — p ro _ O O H p C ro 0 C !1f N C ; ro O D 'O N O O N 0 O f0 0 N l0 Y= C N N = C N N j t? L N L= .O- N 6 a D y�y N .� Q m ro .c "-' ro c C -o o C o E C °1 ° D 6 aci m m aci v m a m F E a n H E$ a H a v a z v' vD v° m E 0 0 W Q N R Z 0 LU N N Z } O = Z 2 O S Ln N m � N m tM. -O 12 5 'p 6 ry ro C U C O m ro A E O T i N o .� y .L.. N U C C pl a V y D - C E° 0 E ro y y E o E b 4` 0 m o ro ° 0 N an ro °= Z ltl ° 0 C D E _ C N N d E 0 D O N 0 d N y 0 y y_ D° fS C O y O O N 0 H O O N N O C ° Y E 0 N N O o V C CD .. ro .a ro N « O 2} C N F- U rG F- d J F- ?$ Z F'L- O CCI C7 C U 0 w y _ x Z ¢ v x _O x¢ O O CL x ? 25P -18 Software Updates Program If the Client has purchased the Software Updates Program, the Client will be entitled to receive new General Availability (GA) releases of the Tiburon licensed software products purchased by the Client. The Software Updates Program provided hereunder does not include any of the following (a) Installation, configuration and training services. Upon reasonable notice from the Client, Tiburon will provide a Price Quote to the Client on a time and materials basis at Tiburon's then current rates for such services; (b) Modifications or customization of the Software other than corrections of Defects made or provided under these Maintenance and Support Guidelines; (c) Consultation for new programs or equipment; (d) Correction of problems, and assistance regarding problems, caused by operator errors, including but not limited to the entry of incorrect data and the maintenance of inadequate backup copies and improper procedures; and /or (e) Correction of errors attributable to software other than the licensed Software Upgrade of the Client's Hardware, Operating System, and /or third party software may be required from time to time to support New Releases, Maintenance Releases or Upgrades of the Software. The Client shall be solely responsible for the cost of such upgrades unless expressly stated otherwise. Product Specialist and Training Services Clients can contact the Help Desk to request the services of Product Specialists and Trainers. The Help Desk will direct the call to the appropriate technical services representative to provide details on the services offered and their associated rates and to schedule resource availability. Client Responsibilities (a) Technical Service Tickets The Client shall provide all information requested by Tiburon necessary to complete its Technical Support Services form for each request for technical services, Enhancements, and Out of Scope Services. (b) Remote Access The Client will facilitate high speed 512Kbps or greater remote VPN access for Tiburon to access the servers and workstations at the Client Site. Remote access will require the use of interactive applications including but not limited to PC Anywhere, Remote Desktop, VNC, teinet, secure shell (ssh) , and application -level TCP /IP socket connectivity as determined necessary by Tiburon. Tiburon personnel will require local administrative control of all servers and workstations involved in Tiburon implementation. In addition, Tiburon requires the ability to dynamically upload /download 25P -19 files to the server(s) without third -party intervention. Tiburon technicians may need remote access to the System to analyze the System configuration, aid in problem analysis or to modify the System configuration for a problem work- around. Remote access may also be used for transmission of Software updates to the Client. Remote access must be available twenty -four (24) hours a day, seven (7) days a week. Tiburon's request to halt any System functionality shall require the Client's appropriate management approval. Tiburon shall not perform any service - affecting activity without informing the Client's appropriate management in advance and receiving proper authorization. Tiburon recognizes the need for security of remote access facilities. Tiburon shall work within the Client's security guidelines whenever possible. If the Client's remote access facility is dysfunctional, Tiburon shall not be held liable for response times. Tiburon shall not be responsible for any costs relating to the procurement, installation, maintenance and use of such equipment and all associated telephone use charges. Tiburon shall use the data connection solely in connection with the provision of its services hereunder. The Client may be required to run tests deemed necessary by Tiburon following each remote access as requested by Tiburon. (c) Access The Client shall provide Tiburon's personnel or its local service provider with full access to their site at all required times. (d) Maintenance and Back -Ups The Client shall ensure that maintenance and back- up activities relating to the Tiburon proprietary software and the System, including without limitation backing up databases and journal logs, purging out of date records and running reports and performing diagnostics, are timely carried out. (e) Data Input The Client shall enter, update and maintain the input data as required for satisfactory operation of the Tiburon proprietary software, and be responsible for the accuracy of all Client - provided data. (f) Third -Party Product Support Unless otherwise agreed, the Client shall obtain, pay for and maintain in effect during the term of these Maintenance and Support Guidelines the technical support contracts for certain third party products as specified by Tiburon, and shall ensure that, in addition to authorizing the Client to request support services there under, each such support contract also expressly authorizes Tiburon to request support services there under on the Client's behalf. (g) System Securit}I The Client shall ensure that the security of the System conforms in all respects to the federal, state, and /or local mandated law enforcement telecommunications requirements. (h) System Chanae. Alteration, or Modification The Client shall ensure that, with respect to the Tiburon proprietary software, such software is installed only on the authorized server and workstations and only at the authorized site. The Client shall ensure that each authorized site conforms in all respects to the site specifications as required by Tiburon. The Client shall ensure that no change, alteration or modification is made to the System configuration without the express prior written consent of Tiburon; provided, however, that said consent is not intended to constitute in any manner Tiburon's approval, certification, endorsement, or warranty of the System configuration or System performance. (i) Database Administration Chance Authorization Client shall maintain a system 25P -20 to ensure that only authorized personnel have the ability to perform database administration activities and that a list of all such authorized personnel (and any updates thereto) be promptly delivered to the Tiburon's Technical Support Services department. Database administration shall be in compliance with Tiburon provided guidelines. Tiburon cannot assist Client personnel other than those on the most current authorization list. 6) Authorized Client Representatlya The Client shall designate, in a written notice a single individual to act as the Client's authorized representative for purposes of these Maintenance and Support Guidelines. Such individual (a) must be authorized to act on the Client's behalf with respect to all matters relating to these Maintenance and Support Guidelines; (b) shall ensure the Client's compliance with its responsibilities under these Maintenance and Support Guidelines; and (c) shall coordinate appropriate schedules in connection with Tiburon's services under these Maintenance and Support Guidelines. The Client may change the individual designated hereunder by providing Tiburon advance written notice designating the new individual authorized to act as the Client Representative. (k) Technical Support Coordinators The Client shall designate, in a written notice one or more individuals to act as the Client's technical support coordinator (a "Technical Support Coordinator"). The Client shall ensure that each Technical Support Coordinator designated hereunder shall have received the appropriate Tiburon proprietary software and System training and shall otherwise be familiar with the Tiburon proprietary software and the System. The Client shall ensure that, at all times, a Technical Support Coordinator is available (a) to screen operational assistance calls and handle operational problems, where appropriate; (b) to provide access to the System as required; and (c) to provide on -site technical assistance as required by Tiburon to aid Tiburon in performing its services hereunder. The Client may change any individual designated hereunder by providing Tiburon with advance written notice designating the new individual authorized to act as a Technical Support Coordinator. (1) Training The Client shall ensure that all Technical Support Coordinators and other personnel have received appropriate training on the Tiburon proprietary software and the System, and otherwise maintain sufficient personnel with sufficient training and experience to perform its obligations under these Maintenance and Support Guidelines. (m) Error Reproduction Upon detection of any error in any of the Tiburon proprietary software applications, the Client shall provide Tiburon a listing of command input, resulting output and any other data, including databases and back -up systems, that Tiburon may reasonably request in order to reproduce operating conditions similar to those present when the error occurred. Termination (a) Termination for Payment Defaults In the event that the Client fails to pay when due all or any portion of the annual maintenance and support fees required, Tiburon may immediately, and without further notice to the Client, terminate these Maintenance and Support Guidelines or suspend all or any portion of the services hereunder for all or any portion of the Tiburon proprietary software applications until the Client's account is brought current. (b) Termination for Other Defaults In the event that either party hereto materially defaults in the performance of any of its obligations hereunder (other than payment defaults covered above), the other party may, at its option, terminate these Maintenance and Support Guidelines, by providing the defaulting party thirty (30) days' prior written notice of termination, which notice shall identify and describe with specificity the basis for such termination. If, prior to the expiration of such 25P -21 notice period, the defaulting party cures such default to the satisfaction of the non - defaulting party (as evidenced by written notice delivered by the non - defaulting party, termination shall not take place. (c) Consequences of Termination Upon termination of this Agreement for whatever reason, (a) Tiburon shall be under no further obligation to provide support or any other services hereunder; (b) Tiburon shall return to the Client all Client confidential information in Tiburon's possession and shall certify in a written document signed by an officer of Tiburon that all such information has been returned; (c) the Client shall return to Tiburon all Tiburon confidential information in the Client's possession (including, without limitation, all devices, records, data, notes, reports, proposals, lists, correspondence, specifications, drawings, blueprints, sketches, materials, equipment or other documents or property relating to such Tiburon confidential information and all copies of any of the foregoing (in whatever medium recorded) but not including any such information licensed to and paid for by the Client and shall certify in a written document signed by the authorized Client representative that all such information has been returned. Exclusions to Technical Support Services The following services are outside the scope of the Technical Support Services provided by Tiburon and may result in additional charges, on a time and material basis: (a) Repair of damage or the increase in service time due to any cause external to the System which adversely affects its operability or serviceability, including but not be limited to, fire, flood, water, wind, lightning, and transportation of the System from one location to another; (b) Repair of damage or the increase in service time caused by failure to continually provide a suitable installation environment, including, but not limited to, the failure to provide adequate electrical power, air conditioning or humidity control, or the Client's improper use, management or supervision of the System including, without limitation, the use of supplies and accessories. Proper use and environmental requirements are determined by the Product documentation; (c) Repair of problems caused by the use of the System for purposes other than for which it is designed; (d) Repair of problems caused by changes to the Hardware and /or the network made without obtaining Tiburon's prior approval; (e) Repair or replacement of any item of the System which has been repaired by others, abused or improperly handled, improperly stored, altered or used with third party material, software or equipment, which material, software or equipment may be defective, of poor quality or incompatible with the System, and Tiburon shall not be obligated to repair or replace any component of the System which has not been installed by Tiburon or a Tiburon authorized technician; (f) Removal, relocation and /or reinstallation of the System or any component thereof; (g) Diagnosis time directly related to unauthorized components and /or misuse of the System, whether intentional or not; 25P -22 (h) Any design consultation such as, but not limited to, reconfiguration analysis, consultation with the Client for modifications and upgrades which are not directly related to a problem correction; W Provision of any operational supplies, including by not limited to, printer paper, printer ribbons, toner, printer cartridges, photographic paper, magnetic tape and any supplies beyond those delivered with the System; (j) Repair of problems caused by computer / network security breaches and /or virus attacks; (k) Repair or replacement of any Hardware not purchased from Tiburon and explicitly covered by a Tiburon warranty or maintenance program. 25P -23 25P -24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT WITH KAPSCH TRAFFICCOM USA, INC., FOR SUPERVISORY CONTROL AND DATA ACQUISITION SYSTEM MAINTENANCE (STRATEGIC PLAN NO. 6, 1, C) CI ANAGLYR RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1�' Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Kapsch TrafficCom USA, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, for Supervisory Control and Data Acquisition system maintenance, in an amount not to exceed $50,000, for the term ending December 31, 2015. DISCUSSION The City's SCADA system software was purchased and installed in 1992 and was recently upgraded in 2013. The software company, Kapsch TrafficCom USA, Inc., is a technical firm that provides SCADA system software and support to the City on a sole- source basis. No other vendor can provide these services to the existing SCADA software system. The Public Works Agency Water Resources Division currently operates 22 active water wells and seven water pumping stations to supply the City's drinking water. These facilities are controlled by a Supervisory Control and Data Acquisition ( SCADA) system. The SCADA system uses programmable controllers at each water production site to communicate with a central computer system located at the City Corporation Yard and remotely operate the wells, pumps, and reservoirs. The control system is designed to send out alarms that identify water pump, well, or electrical irregularities throughout the water system. This SCADA technology is vital for monitoring the condition of the City's water system and promptly responding to irregularities. The City's SCADA system software was purchased and installed in 1992 and was recently upgraded in 2013. The software company, Kapsch TrafficCom USA, Inc., is a technical firm that provides SCADA system software and support to the City on a sole- source basis. No other vendor can provide these services to the existing SCADA software system. Staff recommends that Kapsch TrafficCom USA, Inc.,. be retained to provide routine and on -call SCADA system maintenance, to ensure continued and reliable water system monitoring and operation. This vendor has provided excellent service to the City in the past and has been very responsive in addressing system needs. 25Q -1 Agreement with Kapsch TrafficCom USA, Inc., for SCADA System Maintenance November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Water Production & Supply account (06017640- 62300). APPROVED AS TO FUNDS AND ACCOUNTS: q d Mousavipo r Francisco Gutierrez l.�� Exe tive Director Executive Director Public Works Agency Finance & Management Services Agency FM /NS /CB Exhibit: 1. Agreement with Kapsch TrafficCom USA, Inc. 25Q -2 CONTRACTOR AGREEMENT THIS AGREEMENT, made and entered into this 18th day of November, 2014 by and between Kapsch TrafficCom USA, Inc. (hereinafter "Contractor "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge to provide preventive software maintenance and support for the servers and workstations of the City's Water Supervisory Control and Data Acquisition System (hereinafter "SCADA "). B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES A. Contractor shall provide software maintenance and support for the City's Water SCADA System servers and workstations and additional miscellaneous professional and support services, as set forth Contractor's Proposal dated July 17, 2014, attached hereto as Exhibit A and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for all services provided pursuant to this Agreement, an amount not to exceed $50,000 during the term of this Agreement. Such services shall be provided at the following rates and charges: i. Software support and maintenance services shall be provided for an annual fee of $20,000.00, payable within thirty (30) days of execution of this Agreement. ii. Miscellaneous Professional and Support Services shall be billed at Contractor's published Professional and Support Services rates, in an amount not to exceed $25,000.00. iii. Additional services in an amount not to exceed $5,000.00 may be authorized by the Director of Public Works or his designee if required to complete the purposes of this Agreement. Exhibit 1 25Q -3 Payment by City for services under subsections ii and iii 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, where the City has notified Contractor promptly of such failure and allowed the Contractor a reasonable opportunity to re- perform the subject work to bring it to standard. b. 3. TERM Notwithstanding the date of execution of this Agreement, performance of services under this Agreement shall commence on November 18, 2014 and continue through December 31, 2015, unless terminated earlier in accordance with Section 12, below. 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employees social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Due to the nature of services provided, Commercial General Liability insurance is not required. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 25Q -4 6. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, to the extent such claims may arise from the operations of the Contractor or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement. 7. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. S. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Public Works Agency — Water Division City of Santa Ana 220 South Daisy Avenue Santa Ana, CA 92703 telefacsimile (714) 647 -3378 To Contractor: Kapsch TrafficCom USA, Inc. Philip J. Jacobs, Sr. Project Manager 4256 Hacienda Drive, Ste. 100 Pleasanton, CA 94588 Telefacsimile (925) 225 -1610 25Q -5 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, any communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor the City. Each parry to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Such prior consent is not required when an assignment or transfer is necessitated by an internal restructuring of Contractor's business. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 12. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement, where the City has notified Contractor promptly of such failure and allowed the Contractor a reasonable opportunity to re- perform the subject work to bring it to standard. 25Q -6 13. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 16. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. c. In no event shall Contractor be liable for any consequential, indirect, special or incidental damages. In no event shall Contractor's liability hereunder for direct damages exceed the amounts paid to Contractor. d. Contractor shall not be responsible for delays or failure in its performance caused by factors outside its reasonable control such as, but not limited to, extreme weather events, acts of the Government, war or conflict or acts of terrorism. 25Q -7 /// IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Cy sy: J h Str a ssistant City Attorney FOR APPROVAL FRED MOUSAVIPOUR Executive Director Public Works Agency 25Q -8 CITY OF SANTA ANA DAVID CAVAZOS City Manager Kapsch TrafficCom USA, Inc. Mark Thompson Sr. Vice President Kapsch TrafficCom USA, Inc. EXHIBIT A Kapsch TrafficCom USA, Inc. MAINTENANCE AND SERVICE CONTRACT PROPOSAL JULY 17, 2014 25Q -9 Kapsch TrafflcCom USA, Inc. City of Santa Ana Public Works Division 220 S. Daisy Ave Santa Ana, CA 92703 Attention: Mr. Cesar E. Barrera Reference: City of Santa Ana Water SCADA System Subject: Kapsch TrafficCom USA, Inc. DYNAC SCADA System Maintenance and Service Contract Dear Mr. Barrera: kC7 Scn July 17, 2014 Kapsch is pleased to respond to your request for the above referenced Maintenance and Service Contract Proposal. The term of the contract will be from July 1 2014 to June 30, 2015. The following paragraphs comprise the terms and conditions upon which the Maintenance and Service Contract will be based. Software Maintenance a) On a bi- annual basis, Kapsch will provide two, 2 -day on -site visits (32 hours total) preventative software maintenance for the SCADA System servers and workstations. Services will include general system diagnostics as provided with original installation, file and disk management, software backup and archiving, etc. Any additional time requested will be billed at our published Professional and Support Services rates. Accepted: $ Included Standard Telephone Support a) Kapsch's Applications Engineering staff will be made available for telephone support to answer questions regarding the use, modification or troubleshooting of PLC /RTU software provided by Kapsch. b) Kapsch's Software Engineering staff will be made available for telephone support to answer questions regarding the use, modification or troubleshooting of the DYNAC SCADA software provided by Kapsch. c) Kapsch's Software Engineering staff will be made available for telephone and modem support to remotely diagnose, troubleshoot and resolve any problems found in the DYNAC SCADA software provided by Kapsch. d) Client personnel will be required to work with Kapsch personnel via telephone as needed to ensure that any reported problem may be accurately diagnosed. Total Standard Telephone Support Accepted: $ Included Kapsch TrafficCom USA, Inc. 14256 Hacienda Drive, Suite 1001 Pleasanton, CA 94588 Phone: (925) 2261600 1 Fax: (925) 225 -1610 1 w Aapscxocom 25Q -10 Kapsch TrafricCom USA, Inc Kap7C1I ° e44k- City of Santa Ana July 17, 2014 Page 2 of 5 Hardware Maintenance a) On a bi- annual basis, Kapsch will provide on -site preventative hardware maintenance for the SCADA System servers, workstations and peripheral devices. Services will include general system diagnostics as provided with original installation, cleaning, consumables replacement (i.e. changing printer ribbon), etc. Accepted: $ Not - included b) Kapsch will provide for repair or replacement of the SCADA System servers, workstations and peripheral devices via service sub - contracts with original equipment manufacturers or their authorized representatives. Availability of these services will be based upon the terms and conditions of the manufacturers' standard contracts. Accepted: $ Not included LIMITATION OF LIABILITY. IN NO EVENT SHALL KAPSCH BE LIABLE FOR SPECIAL, INDIRECT, OR CONSEQUENTIAL DAMAGES ARISING IN ANY WAY WHATSOEVER. Kapsch, its contractors and suppliers of any tier, shall not be liable in contract, tort or otherwise for damage to or loss of other property or equipment or systems, cost of capital, cost of replacement power or equipment, increased operating expenses, delay damages, or claims of City of Santa Ana's customers no matter how caused, including if caused by: abuse; accident; alteration or repair by anyone other than Kapsch's authorized representatives; improper storage; misuse; improper maintenance; failure to observe instructions; improper or unauthorized access or use; hacker or cracker intrusion or disruption; distributed denial of service attacks; computer viruses or worms; loss, theft, misuse, alteration or corruption of data, programs or information; failure of network security; or other acts, omissions, torts or crimes. City of Santa Ana's remedies stated herein are exclusive and the Kapsch's liability with respect to any contract, or the performance or breach thereof, relating in any way to any work or equipment covered by this contract, whether in contract, tort, or otherwise shall not exceed the price of the particular equipment or part or service for which such liability is claimed. This provision shall survive termination of the contract. WARRANTIES. Kapsch warrants the equipment and services of its own manufacture against defects in material and workmanship for one year from delivery or, if installed by Kapsch, for one year from installation of equipment/performance of services or portions thereof but not to exceed eighteen months from shipment, provided City of Santa Ana must give Kapsch immediate written notice upon discovery of the defect and immediately ceases use of equipment to prevent further damage. Kapsch's obligation is limited to furnishing a repaired or replacement part or, at its option, to repairing the defective part F.O.B. Kapsch's plant. City of Santa Ana shall pay cost of field labor. This warranty excludes equipment or services damaged due to: abuse: accident; alteration or repair by anyone other than Kapsch's authorized representatives; improper storage; misuse; improper maintenance; failure to observe instructions; improper or unauthorized access or use; hacker or cracker intrusion or disruption; distributed denial of service attacks; computer viruses or worms; loss, theft, misuse, alteration or corruption of data, programs or information; failure of network security; or other acts, omissions, torts or crimes. Kapsch reserves the right to investigate claims by City of Santa Ana as to defects. City of Santa Ana shall pay costs to investigate invalid claims and for any repair or replacement shown by investigation not to be covered by warranty. Kapsch TraKicCom USA, Inc. 1 4256 Hacienda Orim Suite 100 1 Pleasanton, CA 94588 Phone: (925) 225 -1600 1 Fax: (925) 225 -1610 1 . kapsch.com 25Q -11 Kapsch TrafficCom USA, Inc. K�7,05Cf7 >>> City of Santa Ana July 17, 2014 Page 3 of 5 Products supplied but not manufactured by Kapsch shall be subject only to the warranty extended by the original manufacturer. THE WARRANTIES SET FORTH IN THIS PROVISION ARE EXCLUSIVE AND IN LIEU OF ALL OTHER WARRANTIES WHETHER STATUTORY, EXPRESS OR, IMPLIED (INCLUDING ALL WARRANTIES OF MERCHANTABILITY AND FITNESS FOR PARTICULAR PURPOSE AND ALL WARRANTIES ARISING FROM COURSE OF DEALING OR USAGE OR TRADE), EXCEPT OF TITLE AND AGAINST PATENT INFRINGEMENT. Maintenance and Service Requests a) All maintenance and service requests shall be documented by the Client (i.e. fax, memo, etc.) for future reference and administrative purposes. All maintenance and service requests shall be acknowledged in writing by Kapsch, including diagnosis and corrective actions taken. b) All on -site services provided will be documented on field service reports which will be submitted to the Client daily as services are provided. Standard Scheduling and Availability a) Kapsch personnel will be generally available during normal working hours, 8:00am - 5:00pm, Monday through Friday. Scheduling of maintenance and service work will be based upon current personnel schedules and availability (i.e. at the time of any given request), and the priority of the request. Priorities for maintenance and service requests will be determined on a case -by -case basis. b) Kapsch personnel will also be available for on -call telephone consulting and troubleshooting services, outside the normal work schedule defined above. Accepted: $20,000 Miscellaneous Professional and Support Services c) Additional services and /or materials provided on request will be billed at our published Professional and Support Services rates on a Not to Exceed (NTE) basis. Accepted: NTE $25,000 Resident Maintenance and Service Personnel a) One resident Kapsch Service Engineer will be assigned on a full -time basis to perform preventative and corrective maintenance on -site during normal working hours based upon an 8- hour /day, 40- hour /week schedule. The starting time of daily shifts will be in accordance with normal Client maintenance personnel. Accepted: $ Not included Kapsch Tra@ICCom USA, Inc. 14256 Hacienda Drive, Suite 100 1 Pleasanton, CA 94588 Phone: (925) 225 -1600 1 Fax: (925) 225 -1610 1 wl Aapsch.corh 25Q -12 Kapsch TrafficCom USA, Inc. kapsc% City of Santa Ana July 17, 2014 Page 4 of 5 One resident Kapsch Service Engineer will also be available for on -call telephone consulting and troubleshooting services, outside the normal work schedule defined above. All services provided upon an on -call basis will be billed per Kapsch's published Professional and Support Services rates. Accepted: Time &Material Not Included Billing a) The fixed price amounts) quoted above are due upon acceptance of the Contract and will be invoiced in full based upon Net 30 payment terms. b) An authorized purchase order for the total amount of all fixed price option(s) selected is required prior to any services being rendered. c) The duration of the Contract will be 12 months from the date of acceptance. The Contract can be renegotiated and renewed on a yearly basis. Contract Acceptance Kapsch, Inc. authorized signature title date Client authorized signature title date Kapsch TraXicC= 0SA, Inc. 14256 Hacienda Drive, Suite 100 1 Pleasanton CA 945 8 Phone'. (925) 225 -1600 1 Fax.. (925) 225 -1610 1 `^^�+w kapsch.wrh Kapsch TrafficCom USA, Inc. /iwC^17 >>> City of Santa Ma July 17, 2014 Page 5 of 5 Kapsch looks forward to your favorable review of this proposal. If this proposal is deemed acceptable, please initial each option desired and sign and date both copies and return them to Kapsch as soon as possible. An executed copy will be returned to you for your records. If you have any questions or concerns regarding this proposal please contact the undersigned at our Pleasanton, CA. facility. Yours Truly, Kapsch TrafficCom, USA, Inc. F�� Philip J. Jacobs Sr. Project Manager Attachment (1) Professional and Support Services Kapsch TraRicCom USA, Inc. 14256 Hadenda Drive, Suite 100 1 Pleasanton, CA 94588 Phone. (925) 225 -16001 Fax, (925) 225 -16101 w kapsch corn 25Q -14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: MODIFICATION TO CONDITIONAL USE PERMIT NO. 2000-10 TO ALLOW AN ADDITION TO AN UNMANNED TELEPHONE EQUIPMENT FACILITY AT 417 WEST WARNER AVENUE — AT8rT, APPLICANT {STRATEGIC PLAN NO. 3, 21 G CITY MANA R 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 Receive and file the staff report approving modifications to Conditional Use Permit No. 2000 -10 as conditioned. PLANNING COMMISSION ACTION On October 27, 2014, the Planning Commission adopted a resolution approving modifications to Conditional Use Permit (CUP) No. 2000 -10 as conditioned by a vote of 6:0 (Alderete absent) to allow a 6,700 square foot second floor addition to an unmanned telephone equipment facility for AT &T at 417 West Warner Avenue located in the Arterial Commercial (C5) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION Mac Kamberian, representing AT &T Corporation, is requesting approval of a modification to an existing conditional use permit to allow a 6,700 square foot second floor addition at 417 West Warner Avenue. The parcel contains a single -story, 10,479 square foot telephone switching equipment building constructed in 2001 for AT &T. The approval of the modification to the CUP for the proposed addition will allow AT &T the ability to provide communication services to the community as well as future data and internet capacity for Santa Ana and adjacent areas in central Orange County. Full sized site plans are available for public viewing in the Clerk of the Council Office. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). 31A-1 Modification to CUP No. 2000 -10 November 18, 2014 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency AN:rb AniMp51VAl mm2\CUPOO- 10MOO.ATBT.W Exhibit: A. Planning Commission Staff Report 31A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: OCTOBER 27, 2014 TITLE: PUBLIC HEARING — FILED BY AT&T FOR MODIFICATION TO CONDITIONAL USE PERMIT NO. 2000-10 TO ALLOW AN ADDITION TO AN UNMANNED TELEPHONE EQUIPMENT FACILITY AT 417 WEST WARNER AVENUE {STRATEGIC PLAN NO. 3, 2} Prepared by Ann Hsin -An Ni _ _ �CI.LQ•ul _}- �zv_�cl Interim Executive Dir ctor RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Acting PI nning pager Adopt a resolution approving modifications to Conditional Use Permit No. 2000 -10 as conditioned. Request of Applicant Mac Kamberian, representing the AT &T Corporation, is requesting approval of a modification to an existing conditional use permit to allow a 6,700 square foot; second floor addition at 417 West Warner Avenue. Pursuant to Section 41424.5(d) of the Santa Ana Municipal Code (SAMC), public utility structures require the approval of a conditional use permit in the C5 (Arterial Commercial) zoning district, while Section 41 -649 of the SAMC requires the refilling of a new application to modify an approved conditional use permit. Planning Commission Action On July 28, 2014, the Planning Commission held a public hearing on the proposed project. During the hearing, the Commission commented on several topics, including the potential aesthetic impact to the adjacent residences, enhancement of the existing landscaping and architecture. The Planning Commission continued the applicant's request to allow staff time to perform additional neighborhood outreach to property owners to the north and west of the project location, to work with the applicant to enhance the design of the project, and to explore the option of adding additional landscaping to the proposed project. Based on the Commission's comments, the applicant is proposing to add new landscaping, including shrubs and ground cover to the existing landscaping on both Warner and Van Ness Avenues. A total of eight new 15- gallon size drought - tolerant Bougainvillea, including five new and three replacement, will be added to add color to the exterior elevations. Additionally, the applicant has incorporated numerous architectural enhancements to the building to modernize the overall EXHIBIT A 31A-3 Modification to CUP No. 2000 -10 October 27, 2014 Page 2 aesthetic of the building. For example, a variety of quality building materials including metal panels, metal trim, spandrel glass and concrete masonry unit and horizontal slats will be incorporated into the design. Further, the equipment screen will be curved to add visual interest to the building. Finally, anodized aluminum frames will be used on the spandrel glass panels. Since the public hearing, staff contacted three property owners north and west of the project location to review the project and discuss potential concerns with the proposed second floor addition. All three property owners are in support of the proposed project. Pro ect Location and Site Description The subject site is a 0.70-acre, flag - shaped parcel that is located at the northeast comer of Warner and Van Ness Avenues. The parcel contains a single -story, 10,479 square foot telephone switching equipment building constructed in 2001 for AT &T. A total of four parking spaces are provided on the premises. The site is surrounded by residential uses to the north and west, commercial and industrial uses to the south, and a school to the east (Exhibits 1, 2 and 3). Protect Description The applicant is proposing to constrict a 6,700 square foot second floor addition to the existing AT &T facility. The facility is used to house telephone switching equipment for Santa Ana and adjacent communities. The facility is typically unmanned except for the occasional servicing and maintenance by one to two employees. The modification to the previously approved conditional use permit is necessary for the second floor addition. The additional mechanical and electrical equipment is necessary to enhance and expand the existing telephone network in Central Orange County. The proposed second floor addition will utilize split face concrete block and stucco to create color and texture variations to match the existing building. The existing building elevation on Warner Avenue has tubular steel vine trellises for design detail. Acoustical louvers are used on the east and west sides of the building to provide ventilation for the equipment. There is an existing eight -foot high solid concrete block wall along the north and west property lines and a sliding gate on Warner Avenue. Parking for public utility substations is one combination parking space and loading /unloading zone. A total of four spaces will be provided for the site. No modifications are proposed to the parking area as part of the proposed addition (Exhibits 4, 5 and 6). 31A-4 Modification to CUP No. 2000 -10 October 27, 2014 Page 3 Protect Background The existing one -story AT &T facility was constructed in 2001. The facility is an unmanned telephone switching facility that is needed to provide wireless and data service to Santa Ana and adjacent areas in central Orange County. The existing facility has reached its capacity to adequately serve the area, with the proposed addition incorporating additional mechanical equipment to provide communication services to the community. It will accommodate future data and Internet demand for Santa Ana and adjacent areas in central Orange County. General Plan and Zonina Consistenc The General Plan land use designation for the site is General Commercial (GC). General Commercial land use districts are key components in the economic development of the City. They provide highly visible and accessible commercial development along the City's arterial transportation corridors and provide important neighborhood facilities and services, such as this public utility facility. The project site is consistent with this General Plan land use designation. The zoning for the site is Arterial Commercial (C5). The project meets the City's minimum development standards for the C5 zoning district relating to site design, parking and landscaping. A public utility structure is a permitted use subject to the approval of a conditional use permit in the C5 zone. Therefore, the proposed project is consistent with the zoning designation. Protect Analysis Conditional use permit requests are governed by Section 41 -1338 of the 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 will 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. 31A-5 Modification to CUP No. 2000 -10 October 27, 2014 Page 4 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 public utility facility meets all of the requirements specified in the Arterial Commercial (C5) zoning district relating to the proposed use. The subject property is in compliance with the development standards for the C5 zone, including setbacks, landscaping and parking. Additionally, appropriate conditions of approval have been included for this project that will ensure it remains in compliance with the provisions of the zoning district and does not become an attractive nuisance or disrupt the surrounding commercial and residential uses found in the area. Finally, the proposed public utility facility at this location will support several General Plan Goals and Policies and will provide a service to Santa Ana residents as well as the business community locally and regionally. The proposed public utility facility will provide a service to the community. The proposed public utility use will accommodate future telephone service demand for the adjacent residential and industrial uses in Central Orange County and will assist in diversifying the range of services available to those working or residing in the south sections of the city. Further, the proposed public utility use is best suited within a building that is typically located in the City's commercial zoning districts. The proposed public utility facility will not be detrimental to persons residing or working in the vicinity because the public utility facility will operate within a completely enclosed concrete block building, thereby minimizing potential impacts, such as noise, on the surrounding commercial, industrial and residential uses. Additionally, conditions of approval have been incorporated into the project approvals to minimize impacts from occurring on the premises. The proposed public utility facility will not adversely affect the economic stability of the area. The proposed public utility facility will result in a positive addition to the surrounding area and will complement and improve the economic viability of the area as the use will accommodate the future telephone and internet demand of Central Orange County and improve the quality of communication citywide. Further, the project will identify the area as a stable location for future economic investment. The proposed public utility facility will be in compliance with all applicable regulations and provisions of Chapter 41 of the Santa Ana Municipal Code and all other provisions that are applicable to a public utility use. 31A-6 Modification to CUP No. 2000 -10 October 27, 2014 Page 5 The proposed public utility facility will not adversely affect the General Plan. The proposed public utility facility at this location supports several General Plan Goals and Policies, including Land Use Element Goal 2, which promotes land uses that enhance the economic viability of the City; Goal 4, which protect and enhance development sites and districts that are unique community assets that enhance the quality of life; Policy 2.2, which supports commercial land uses in adequate amounts to accommodate the City's needs for goods and services; and Policy 4.3, which aims to support land uses which provide community and regional economic and service benefits. The proposed facility will provide a communication service to Santa Ana residents as well as the business community locally and regionally. Policy 5.5 encourages development which is compatible with and supportive of surrounding land uses. The proposed addition to a public utility facility is consistent with the adjacent commercial, industrial and residential uses. The facility will provide a vital service to Santa Ana residents as well as the business community in Central Orange County. Additionally, Urban Design Element Policy 1.5 encourages enhanced architectural forms, textures, colors and materials are expected in the design of all projects. The building design is unique and non - traditional. The proposed second floor addition will utilize two different kinds of split face concrete blocks and stucco to create color and texture variations and to match the existing building. The existing building elevation on Warner Avenue has tubular steel vine trellises for design detail. Acoustical louvers are used on the east and west sides of the building to provide ventilation for the equipment. Public Notification The project site is located within the Memorial Park Neighborhood Association. Staff contacted the chairperson of the Memorial Park Neighborhood Association by telephone, with no concerns raised by the chairperson. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and occupants within 500 feet of the project site. At the time of this printing, no correspondences, by phone, written or electronic, have been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt from further review per Section 15301. This Class 1 exemption allows the licensing of existing facilities with additions to existing structures up to 10,000 square feet in an area where all public services and facilities are available to allow for maximum development permissible in the General Plan. Categorical Exemption Environmental Review No. 2013 -72 will be filed for this project. Stratealc Plan Allonment Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). 31A-7 Modification to CUP No. 2000 -10 October 27, 2014 Page 6 Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve modifications to Conditional Use Permit No. 2000 -10 as conditioned. Ann H. Ni Associate Planner AN:jm AMwpE1 WGW.Mr 2CUPW- 10- MOD.A73T.102714.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Elevations Exhibit 7 — Colored Site Plan and Elevations 31A-8 I . HMO 0HE R7 0 R/ PI A c' RI - R11 PI - fll Rl 0.t ai m � R1 RI PI s RI I P1 O I C2 » M+ iBg— C/'� CI CliE MI MI C2 fll RI R1 PI Rl R _ MI M1 1.11 MI M/ C2 M1 M1 R1 RI RI M1 Al y ssd� Q MI i I – , 1 CS I 11CR RI __I " 0 = "L� RI II ii' ij I Nl 5 RI C1 _t Y Al Ge*RV- N:3MrJf4 01 OOMMHUALRODBANL m BNGEFAMILYR3DBfMl -B RRINGNI PICAl10N OC Gokff" J2Mm R TAOPAMURESID910E OBA 00MASON -SO PMAIN M1 N09IN019IRAL W MULIIPLEDENSW l2lB,E OI O M OOMMBU7 M2 K INDLISDM P YRR]CEN E C,WD 09AM.00VA4EU /MLJMND6rRU MD MLrPNOF9NlM Pt aBLOWN.ARVOMBII5 C2 GeRhLOONMASU L 0 0FEN9%M FE FBDMMESwIE Cf CermLR9Nm P ♦R)FEBONLI B2 OWFICDeALORA84T CSA CEN`ML"NEEGARMPMLUCE POD RANNOMAMUM,YDEaOMB2f B' WMACRAN G RANNSDacmNG03I181 RO PANNED WSDBNMLOEBOiMBR Cs ARr C MMEC4 CUP 2000 -10 -MOD AT &T CORPORATION s: 417 WEST WARNER AVENUE — — = 500F117 i ".,ODO FAT P L A N N I N._ G A N D B U I L D N G A G E N C Y 31A-9 CUP 2000 -10 -MOD AT &T CORPORATION 417 WEST WARNER AVENUE P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31A -10 J J W V1 J Z W � z z ¢ r N v) N 0O W J W W Q (n to S C H O O L Z PROJE " Z SITE W Q WARNER AVENUE I N O U 5 T R I A L CUP 2000 -10 -MOD AT &T CORPORATION 417 WEST WARNER AVENUE P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31A -10 CUP 2000 -10 -MOD AT &T CORPORATION 417 WEST WARNER AVENUE Site Photo Exhibit 3 31A-1 1 � � E oil all , E. E K ' � e I � 15 E�iii��l idu o°oo IN _® E Y 1 wpl a' 1 1 alli Ey � E o z all v II l IYPP�IE aEY eii va-vr+ 1 E v ! 9:fitiE, e o EXHIBIT 4 i s Ul i rA ,F1-.1 .11 M 4 i p e e � Y 6 �p Wfill ra EXHIBIT 5 Page 1 of 2 YN ray 4 7 r.. A E• W �co"T � H F r Id I I of 11 --- 7�u R!LL LA OL x. r� Y. r Page 2 of 2 ii c 111 u 8 d 31A -17 m z' a' w v� \�J 0 0 I z 7 �F Gy o S ❑51 a -o z 0 ¢ w w� O. N 31A -18 z O ¢ w aN Q 0 z O :" Q <Q N CD \�J 0 0 I z 7 �F Gy o S ❑51 a -o z 0 ¢ w w� O. N 31A -18 z O ¢ w aN Q 0 O O �1 c c o� � ao O- a -4 a 0 Z Q a w z Z 0 `aQ M O wU o w&x °wu �wQ 31A -19 0 QI cd w N I m O O �1 c c o� � ao O- a -4 a 0 Z Q a w z Z 0 `aQ M O wU o w&x °wu �wQ 31A -19 0 QI cd w N I 31A-20 *fee o JTC are.Pvteets. n ISSUE DATE: 09.29.2014 ChENT' AT &T Corporate Real Estate PROJECT Building Addition 417 W. Warner Avenue Santa Ana, CA SHFFT TM F 3D EXTERIOR VIEWS 3D.01 Page 4 of 5 JTC =,- ,r r I 155UE DATE 09.29.2014 CLIENT AT &T Corporate Real Estate FWJECT Building Addition 417 W. Warner Avenue Santa Ana, CA SHEET TITLE 3D EXTERIOR VIEWS 3D.02 31A-21 Page 5 of 5 ROH - 10/27/14 RESOLUTION NO. 2014 -39 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING MODIFICATION TO CONDITIONAL USE PERMIT NO. 2000 -10 TO ALLOW AN ADDITION TO AN UNMANNED TELEPHONE EQUIPMENT FACILITY ON THE PROPERTY LOCATED AT 417 WEST WARNER AVENUE BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting modification to Conditional Use Permit No. 2000- 10 to allow a 6,700 square foot, second floor addition on the property located at 417 West Warner Avenue. B. Pursuant to Santa Ana Municipal Code Section 41- 424.5(d), public utility structures require the approval of a conditional use permit in the C5 (Arterial Commercial) zoning district, which Section 41 -649 requires the refilling of a new application to modify an approved conditional use permit. C. Modification to Conditional Use Permit No. 2000 -10 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on July 28, 2014. At that time, the Planning Commission continued the hearing for staff to conduct additional public outreach and to work on the project design with the applicant. On October 27, 2014, the concluded the public hearing on the matter. D. Santa Ana Municipal Code Section 41 -638 authorizes the Planning Commission to grant a conditional use permit upon making certain findings. 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed public utility facility will provide a service to the community. The proposed public utility use will accommodate future telephone service demand for the adjacent residential and industrial uses in the area and will assist in diversifying the range of services available to those working or residing in Resolution No. 2014 -39 Page 1 of 5 31A-22 the south sections of the city. Further, the proposed public utility use is best suited within a building that is typically located in the City's commercial zoning districts. 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 public utility facility will not be detrimental to persons residing or working in the vicinity because the public utility facility will operate within a completely enclosed concrete block building, thereby minimizing potential impacts, such as noise, on the surrounding commercial, industrial and residential uses. Additionally, conditions of approval have been incorporated into the project approvals to minimize impacts from occurring on the premises. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed public utility facility will not adversely affect the economic stability of the area. The proposed public utility facility will result in a positive addition to the surrounding area and will complement and improve the economic viability of the area will accommodate the future telephone and internet demand of the community and improve the quality of communication citywide. Further, the project will identify the area as a stable location for future economic investment. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? The proposed public utility facility will be in compliance with all applicable regulations and provisions of Chapter 41 of the Santa Ana Municipal Code and all other provisions that are applicable to a public utility use. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed public utility facility will not adversely affect the General Plan. The proposed public utility facility at this location supports several General Plan Goals and Policies, including Land Use Element Goal 2, which promotes land uses that enhance the economic viability of the City; Goal 4, which protect and enhance development sites and districts that are unique community assets that enhance the quality of life; Policy 2.2 supports commercial land uses in adequate Resolution No. 2014 -39 Page 2 of 5 31A-23 amounts to accommodate the City's needs for goods and services; and Policy 4.3 which aims to support land uses which provide community and regional economic and service benefits. The proposed facility will provide a communication service to Santa Ana residents as well as the business community locally and regionally. Policy 5.5 encourages development which is compatible with and supportive surrounding land uses. The proposed addition to a public utility facility is consistent with the adjacent commercial, industrial and residential uses. The facility will provide a vital service to Santa Ana residents as well as the business community. Additionally, Urban Design Element Policy 1.5 encourages enhanced architectural forms, textures, colors and materials are expected in the design of all projects. The building design is unique and non - traditional. The proposed second floor addition will utilize two different kinds of split face concrete blocks and stucco to create color and texture variations and to match the existing building. The existing building elevation on Warner Avenue has tubular steel vine trellises for design detail. Acoustical louvers are used on the east and west sides of the building to provide ventilation for the equipment. E. In accordance with the California Environmental Quality Act the recommended action is exempt from further review per Section 15301. This Class 1 exemption allows the licensing of existing facilities with additions to existing structures up to 10,000 square feet in an area where all public services and facilities are available to allow for maximum development permissible in the General Plan. Categorical Exemption Environmental Review No. 2013 -72 will be filed for this project. Section 2. The Planning Commission, after conducting the public hearing, hereby approves modification to Conditional Use Permit No. 2000 -10 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 July 28, 2014, and exhibits attached thereto; the Request for Planning Commission Action dated October 27, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 27th day of October, 2014 by the following vote: Resolution No. 2014 -39 Page 3 of 5 31A-24 AYES: Commissioners: Bacerra, Bauer, Gartner, Mill, Nalle, Yrarrazaval (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Alderete (1) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Karen Gerardo, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -39 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on October 27, 2014. Date: Planning Commission Secretary City of Santa Ana 31A-25 Resolution No, 2014 -39 Page 4 of 5 Conditions for Approval for Modification to Conditional Use Permit No 2000-10 Modification to Conditional Use Permit No. 2000 -10 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below Prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division All proposed site improvements must conform to the Site Plan Review approval DP No. 2013 -34 and the staff report exhibits. 2. Any amendment to this conditional use permit must be submitted to the Planning Division and Police Department for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. Testing of the emergency equipment can only occur during daylight hours. 4. Landscaping shall be maintained in compliance with the submitted plan. Any modifications to this plan shall be submitted to the Planning Division for review and shall be subject to the approval of the Planning Manager. Resolution No. 2014 -39 Page 5 of 5 31A-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2014 -29 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR BLAZE PIZZA RESTAURANT LOCATED AT 2800 NORTH MAIN STREET, UNIT 1968 — ALVARO MORALES, APPLICANT (STRATEGIC PLAN NO. 3, 2) CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ 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 -29. PLANNING COMMISSION ACTION On October 27, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2014 -29 by a vote of 6:0 (Alderete absent) which approved a Type 41 Alcoholic Beverage Control license to allow the on- premise sale and consumption of beer and wine at the Blaze Pizza restaurant located at 2800 North Main Street, Unit 1968 located in the General Commercial (C2) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION Blaze Pizza restaurant is requesting approval of a Type 41 ABC license to allow the on- premise sale of beer and wine as part of the eating establishment's operations. The restaurant will be maintained as a full - service, sit -down eating establishment with two patio areas. The dining area will contain approximately 38 seats and will have all necessary equipment to be considered for a Type 41 ABC license. The proposed interior patio area will have seating for 24 patrons and the exterior patio area will have seating for about 30 patrons, both of which will be enclosed with a 36 -inch high fence that will be in compliance with all applicable City and State Department of Alcoholic Beverage Control standards. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. The hours of operation for the restaurant will be from 11:00 a.m. to 10:00 p.m. Monday through Sunday. Full sized site plans are available for public viewing in the Clerk of the Council Office. 31 B -1 Conditional Use Permit No. 2014 -29 November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for businesstjob growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Direct Planning & Building Agency IO:rb 10: Planning Canmicalon@800 N Main #19681CUP14 -29 Blatt Pizza 7ype41 ABC.= Exhibit: A. Planning Commission Staff Report 31 B -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: OCTOBER 27, 2014 TITLE: PUBLIC HEARING — FILED BY ALVARO MORALES FOR CONDITIONAL USE PERMIT NO. 2014-29 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR BLAZE PIZZA RESTAURANT LOCATED AT 2800 NORTH MAIN STREET, UNIT 196B (STRATEGIC PLAN NO. 3, 2) Prepared by Ivan OrOZCA Interim Executive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Adopt a resolution approving Conditional Use Permit No. 2014 -29. Request of Applicant Acting PI nni Manager Alvaro Morales, representing Blaze Pizza restaurant, is requesting approval of a conditional use permit for a Type 41 Alcoholic Beverage Control (ABC) license for the on- premise sale and consumption of beer and wine at a new eating establishment. Establishments that sell alcoholic beverages require a conditional use permit (CUP) pursuant to Section 41 -196 of the Santa Ana Municipal Code (SAMC). Protect Location and Site Description Blaze Pizza restaurant is currently constructing tenant improvements to open a new eating establishment at 2800 North Main Street, Unit 196B. The overall site is approximately 52 -acres in size and contains a multi - tenant regional mall known as Westfield MainPlace that is located at the northwest comer of North Main Street and MainPlace Drive. The site is anchored by the JC Penney, Macys, and Nordstrom department stores and contains numerous retail and eating establishments. Blaze Pizza restaurant will be locating within a 1,766- square foot tenant space with a 292 - square foot interior patio and a 418- square foot outdoor patio area located on the west portion of the mall. Westfield MainPlace contains approximately 1,127,836 square feet of tenant space that was significantly remodeled and expanded in 1987. Mall tenants currently share 4,768 parking spaces that are provided in a combination of surface parking lots and parking structures. The site is surrounded by the Garden Grove (State Route 22) Freeway to the north, professional and administrative office uses to the south, commercial and residential uses within the City Place development to the east, and the Santa Ana (Interstate 5) Freeway to the west (Exhibits 1, 2 and 3). EXHIBIT A 31 B -3 Conditional Use Permit No. 2014 -29 October 27, 2014 Page 2 Although overconcentration criteria are not applicable to on -sale ABC licenses, a review of the project vicinity indicates that there are currently four ABC licenses located within 500 feet of the project site in addition to the proposed license. These four ABC licenses include one Type 41 license (on -sale beer and wine only) and three Type 47 licenses (on -sale beer, wine and distilled spirits). Two additional licenses, a Type 47 ABC license and a Type 41 ABC license, were recently approved by the City but are not yet active. However, this information does not affect the analysis or recommendation contained in this report. Protect Description Blaze Pizza restaurant is requesting approval of a Type 41 ABC license to allow the on- premise sale of beer and wine as part of the eating establishment's operations. The restaurant will be maintained as a full- service, sit -down eating establishment with an outdoor patio area. The dining area will contain approximately 38 seats and will have all necessary equipment to be considered for a Type 41 ABC license. The proposed interior patio area will have seating for 24 patrons and the exterior patio area will have seating for about 30 patrons, both of which will be enclosed with a 36 -inch high fence that will be in compliance with all applicable City and State Department of Alcoholic Beverage Control standards. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. The hours of operation for the restaurant will be from 11:00 a.m. to 10:00 p.m. Monday through Sunday. The storage area for alcoholic beverages will be located in a refrigerator behind the service counter and within a storage room located to the rear of the unit. The alcohol display and storage areas total 51 -square feet in size, which is two percent of the floor area of the restaurant. This percentage of alcohol storage 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). Protect Backaround Blaze Pizza is a fast casual restaurant that offers specialty pizzas and salads. There are currently eighteen Blaze Pizza restaurants in full operation in the Southern California area, with eighteen more scheduled to open. Blaze Pizza is a nationwide franchise, with 28 restaurants in full operation, with plans to open an additional 49 locations in the continental United States. Blaze Pizza restaurant will occupy a new tenant space on the west side of the mall that is undergoing significant tenant and facade improvements. The space was recently created through reconfiguring of existing retail tenant spaces. As such, there is no conditional use permit to allow the on -site sale of alcoholic beverages at the tenant space. 31 B -4 Conditional Use Permit No. 2014 -29 October 27, 2014 Page 3 General Plan and Zonlna Consistenc The General Plan land use designation for the site is District Center (DC). District Center land use districts provide highly visible and accessible commercial development along the City's arterial transportation corridors and provide important neighborhood facilities and services, such as this restaurant. The project site is consistent with this General Plan land use designation. The site is located within the General Commercial (C -2) zoning district. The C -2 zoning district allows for retail and service uses such as restaurants, making the proposed use consistent with the zoning designation. Project Analysis Conditional use permit requests are governed by Section 41 -638 of the 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 rase, 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 will 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 by allowing them the ability to purchase beer and wine with their food throughout the establishment. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Additionally, standards are applicable to the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 31 B -5 Conditional Use Permit No. 2014 -29 October 27, 2014 Page 4 • The proposed license for the on -sale consumption of beer and wine at this location will not be detrimental to persons residing or working in the vicinity because the code applicable standards for an alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. 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 guests and other visitors. Moreover, the offering of alcoholic beverages allows the restaurant to remain economically viable and contributes to the overall success of Westfield MainPlace, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. The proposed project will be in compliance with all applicable regulations and standards imposed on a restaurant selling beer and wine pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be maintained as a full service eating establishment, having the kitchen equipment necessary to be considered a bona fide restaurant use and is eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize two 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 Santa Ana residents and visitors, especially those to Westfield MainPlace, which continues to develop as a dining, entertainment, and retail destination with regional significance. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. Blaze Pizzas' tenancy will include significant tenant and fagade improvements that stand to enhance the site and promote commercial activity in the area. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operational standards for the proposed Type 41 ABC license will maintain a safe and attractive environment at Westfield MainPlace. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. Blaze Pizza restaurant will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. Blaze Pizza is proposing to open a new restaurant in the city. The site will be in compliance with all standards of SAMC Section 41- 196(g) for the on- premise sale of alcoholic beverages (Exhibit 6). These 25 operational standards will mitigate potential impacts on the adjacent uses and ensure the use does not become an attractive nuisance to the community. RIUM Conditional Use Permit No. 2014 -29 October 27, 2014 Page 5 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 compared to the number of crimes in other reporting districts. In keeping with the standard used by State ABC and Business and Professions Code, 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. The project at 2800 North Main Street, Unit 196B is located in Reporting District No. 161. This reporting district is 20 percent higher than the average number of reported crimes in all reporting districts. Although the crime rate is 20 percent higher, the Police Department contends that the operational standards applicable to an on -sale ABC license will mitigate any potential negative impacts to the surrounding community. Public Notification The project site is not located within the boundaries of any neighborhood association. However, staff contacted the presidents of the nearby Park Santiago, Fisher Park and Floral Park Neighborhood Associations, who identified no concerns with the project. The project site was also 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 tenants within 500 feet of the project site. At the time of printing of this report, no areas of concern were raised, nor had any correspondence, either written or electronic, 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 application is to approve an alcoholic beverage control license and allow the sale of beer and wine within an existing structure that is already served by municipal services, such as roadways, utilities, and parking in a variety of forms. Categorical Exemption Environmental Review No. 2014 -64 will be filed for this project. 31 B -7 Conditional Use Permit No. 2014 -29 October 27, 2014 Page 6 Strateaic Plan Alianment Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2014 -29. a Ivan Orozco Planning Technician IO:jm IO:Plaminp Comm W loM2800 N Main #19001CUP14 -29 BJ a Pim Type 41 ABC. pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Existing Conditions Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Vemy Carvajal Senior Planner Exhibit 6 — Operational Standards for On -Sale Establishments MWOO GARDEN GROVE At O � FREElp4Y At R1 RI At Pi 50-77 9< SO-59 s R4 Rl upl Rt � f Ri O i O At RI i - `P so- O ` q' D-31 RI R1 R1� S 29 SD -65 RI P R1 i Rt R1 Rt At At At [5- R1 RI D;L ». RI At At Al (;646*LAGR0A Mit CA COPAMSDALFE90RCK At SNSEBWXYRSDDd L A RAIWIGMODMAMkl x GOAIMENT@R9t m rAORWILYFi®G94CE 09A CCM9A9nksD MMWN M, UDffl DLSWL m MULIIREDENST ULTRE 0 WMYM.NRYOCMIMSDAL w Wf WRMUSTRFL FARWR®O@10E D1 MD oow.commWawmtS3musrAcT MO MYl1AMOF9 lrm RI SJOUSWAIMIMBI,S C7 ( LODMMSCK O pBISTICE RE R9034M MIATE C3 CSIRMLEIHIILS P ADFiFMQI L S1 MFICI)BEDRAERT C7A C�Sl19NESAFWI5'MUAGE Fm RANND0 MMLPDVDeALoFm91f w 5f9RCRM1 G Fl. N 91CPiWGC8418t RD RA)WRES II&DE41iORASIF 6 KRHiALOJMMS w CUP 2014 -29 BLAZE PIZZA TYPE 41 ABC 2800 NORTH MAIN STREET, UNIT 1968 - -5W FEEr ,•• =1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT t VICINITY MAP 31 B -9 CUP 2014 -29 BLAZE PIZZATYPE 41 ABC 2800 NORTH MAIN STREET, UNIT 196B �: P L A N N I N G A N D B U I L 0 1 N G A G E N C Y EXHIBIT 2 LAND USE MAP 31 B -10 14112KOEN41 2800 NORTH MAIN STREET, UNIT 196B EXHIBIT 3 SITE PHOTO 31 B -11 Alp s wnnwrx i I :I 'EIN'fi C � c i i, Amrsom 1 i �jj .�4MONW, 5 14 a f� p d i i EXHIBIT 4 31 B -12 i m ii folk Ilk a o 0 o m o® Cap r7qir : O 8 I 'i CPPg :p- j LL 1 J � w� � - zp LLI J, rc �•;. I _ IS �e EXHIBITS 31 B -13 Sec. 41 -196. Establishments selling alcoholic beverages. Operational standards for on -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41 -196 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 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. 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. Such 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. EXHIBIT 6 1 of 4 31B-14 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. All stanchions or barriers located on public property 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. 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ( "SAMC ") Chapter 11 — Entertainment, 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. 2of4 31 B -15 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 II, 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 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. 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. Procedures for calling the police regarding observed or reported criminal activity. Procedures for management of queuing lines. h. The location and description of any video games proposed to be on the premises. 3of4 31 B -16 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. 4of4 31 B -17 ROH - 10/27/14 RESOLUTION NO. 2014 -40 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2014 -29 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE PROPERTY LOCATED AT 2800 NORTH MAIN STREET, UNIT 196B 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- 29 for a Type 41 (on -sale general) Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer and wine for the property located at 2800 North Main Street, Unit 196B. B. Santa Ana Municipal Code Section 41 -196 requires a conditional use permit for the sale of alcoholic beverages for on -site consumption. C. On October 27, 2014, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2014 -29. D. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2014 -29 to allow for the sale of alcoholic beverages for on -site consumption: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed alcohol beverage license will provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer and wine with their food throughout the establishment. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Additionally, standards are applicable to the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 31 B -18 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 and wine at this location will not be detrimental to persons residing or working in the vicinity because the code applicable standards for an alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the 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 guests and other visitors. Moreover, the offering of alcoholic beverages allows the restaurant to remain economically viable and contributes to the overall success of Westfield MainPlace, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? The proposed project will be in compliance with all applicable regulations and standards imposed on a restaurant selling beer and wine pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be maintained as a full service eating establishment, having the kitchen equipment necessary to be considered a bona fide restaurant use and is eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize two 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? 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 Santa Ana residents and visitors, especially those to Westfield MainPlace, which continues to develop as a dining, entertainment, and retail 31 B -19 destination with regional significance. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. Blaze Pizzas' tenancy will include significant tenant and facade improvements that stand to enhance the site and promote commercial activity in the area. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operational standards for the proposed Type 41 ABC license will maintain a safe and attractive environment at Westfield MainPlace. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. Blaze Pizza restaurant will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. 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 application is to approve an alcoholic beverage control license and allow the sale of beer and wine within an existing structure that is already served by municipal services, such as roadways, utilities, and parking in a variety of forms. Categorical Exemption Environmental Review No. 2014 -64 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Conditional Use Permit No. 2014 -29. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated October 27, 2014 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 27th day of October. 2014 by the following vote AYES: Commissioners: Bacerra, Bauer, Gartner, Mill, Nalle, Yrarrazaval (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Alderete (1) ABSTENTIONS: Commissioners: None (0) 31 B -20 Eric Alderete Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -40 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on October 27, 2014. Date: Planning Commission Secretary City of Santa Ana 31 B -21 31 B -22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2014 -41 TO ALLOW A 60 -FOOT HIGH WIRELESS FACILITY FOR AT &T AT 2200 EAST MCFADDEN AVENUE - COASTAL BUSINESS GROUP, INC. {STRATEGIC PLAN NO. 3, 21 I j CITY MANAG 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 Receive and file the staff report approving Conditional Use Permit No. 2014 -41 as conditioned. PLANNING COMMISSION ACTION On October 27, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2014 -41 as conditioned by a vote of 6:0 (Alderete absent) to allow a 60 -foot high wireless facility screened as a mono pine and a 228 square foot equipment shelter to house the ground equipment for AT &T at 2200 East McFadden Avenue located in the Light Industrial (M1) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION AT &T is proposing to construct a 60 -foot high wireless facility disguised as a pine tree. This facility is intended to provide increased cellular coverage and call capacity in this area of the City. To give the facility the appearance of a natural tree, the tower has been designed to have branches that will extend seven feet above the antennas to a maximum height of 60 feet. Equipment for the wireless facility will be installed within an enclosure that measures approximately 11 feet, six inches by 20 feet for a total of 230 square feet. This enclosure will be located at the rear (east) of the site, while the monopole itself will be freestanding to the north of the enclosure. Two 36 -inch box Aleppo Pine Trees will be installed to the sides (north and south) of the facility to assist with the stealthing of the monopole, with vines planted along the block walls of the equipment enclosure. Full sized site plans are available for public viewing in the Clerk of the Council Office. 31 C -1 CUP No. 2014 -41 November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency IO:rb 10:Plannin0 Commission @200 E McFaddenxCUP14 -41 AT&T Pudic Storege.a Exhibit: A. Planning Commission Staff Report 31 C -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: OCTOBER 27, 2014 TITLE: PUBLIC HEARING - FILED BY COASTAL BUSINESS GROUP, INC. FOR CONDITIONAL USE PERMIT NO. 2014 -41 TO ALLOW A 60 -FOOT HIGH WIRELESS FACILITY FOR AT &T AT 2200 EAST MCFADDEN AVENUE (STRATEGIC PLAN NO. 3,2) Prepared by Ivan Orozco F- a.�..� Interim Executive Lector PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO Acting PI nnin anager RECOMMENDED ACTION Adopt a resolution approving Conditional Use Permit No. 2014 -41 as conditioned. Request of Applicant Coastal Business Group, representing AT &T Wireless, is requesting approval of a 60 -foot high wireless facility disguised as a pine tree at 2200 East McFadden Avenue. Major wireless communication facilities require approval of a conditional use permit pursuant to Section 41 -198.3 (b) of the Santa Ana Municipal Code (SAMC). Project Location and Site Description The project is proposed to be constructed on an 8 -acre parcel of land located on McFadden Avenue between the Costa Mesa (State 55) Freeway and Village Way. The site is currently utilized as a public storage facility. Land uses surrounding the site include commercial uses to the north, the McFadden Place Development to the south, the Costa Mesa (State 55) Freeway to the east and industrial uses to the west (Exhibits 1, 2 and 3). Project Description AT &T is proposing to construct a 60 -foot high wireless facility disguised as a pine tree. This facility is intended to provide increased cellular coverage and call capacity in this area of the City. To give the facility the appearance of a natural tree, the tower has been designed to have branches that will extend seven feet above the antennas to a maximum height of 60 feet. Equipment for the wireless facility will be installed within an enclosure that measures approximately 11 feet- six inches by 20 -feet for a total of 230 square feet. This enclosure will be located at the rear (east) of the site, while the monopole itself will be freestanding to the north of the enclosure. Two 36 -inch box Aleppo Pine Trees will be installed to the sides (north and south) of the facility to assist with the stealthing of the monopole, with vines planted along the block walls of the equipment enclosure (Exhibits 4, 5 and 6). EXHIBIT A 31 C -3 CUP No. 2014 -41 October 27, 2014 Page 2 The proposed wireless facility will contain three arrays with four panel antennas on each side, for a total of 12 panel antennas. A GPS will be placed on the equipment shelter and the parabolic antenna will be located on the monopole. In addition to the monopole and equipment enclosure, the applicant also proposes to construct a new eight -foot tall block wall to screen the equipment shelter. There is currently an existing wrought -iron fence along the Costa Mesa (State 55) Freeway that will remain. The new wall is intended to provide additional screening not only for the equipment shelter but also for an AT &T gas generator that will service the facility. The applicant will not be removing any of the existing plant materials along the wrought -iron fence. Protect Backaround The site is owned and occupied by Public Storage, a self - storage facility that has been at this location since 2000, when the site was acquired by Public Storage and developed to fit the needs required by the business. In late 2000, plans were submitted to improve the existing 109,000 square foot building and build an additional 30,000 square feet of self - service storage facility. In May 2013, Costal Business Group submitted plans to install a new wireless facility at this location. After a review of the proposal, staff acknowledged that the submittal met all S.A.M.C. requirements for wireless facilities. General Plan and Zoning Consistenc The General Plan land use designation for the site is Industrial (IND), which allows for manufacturing and industrial uses. Uses such as wireless facilities are consistent with this General Plan land use designation. The zoning for the site is Light Industrial (M -1). The Light Industrial zoning district is a zone that also allows for manufacturing, industrial and warehouse uses. The proposed use is also consistent with the zoning designation. Proiect Analysis In July 1998, the City Council adopted Ordinance No. NS -2356, which established regulations for wireless communication facilities throughout the City. Major wireless communication facilities such as the proposed AT &T facility are required to have a stealth design and be located in an area that provides the greatest amount of visual screening. Further, these major facilities require the approval of a conditional use permit. Also, Section 41 -198.4 of the Santa Ana Municipal Code (SAMC) identifies several site improvements that may be required at sites with major wireless facilities. 31 C -4 CUP No. 2014 -41 October 27, 2014 Page 3 These improvements include: 1. Landscaping around the base of the facility, including vines, groundcover and a 24 -inch box tree; 2. Decorative fencing (wrought iron or block) around the facility; 3. A six -foot high solid wall between the facility and property zoned or used for residential; 4. One parking space, if on -site parking is not available; 5. Repairing, repaving and restriping of a parking lot which is in poor condition; 6. The repainting of buildings on a site; and, 7. The construction of a new trash enclosure. As part of the development project review portion of the project, staff worked with the applicant to identify improvements to be required in tandem with the proposed monopole and equipment enclosure. These improvements reflect the requirement to screen the facility from view, to provide enhanced landscaping through the planting of new trees and vines, to deter graffiti through the planting and maintenance of landscaping materials, to provide screening for outdoor storage of materials, and to minimize the project's overall impacts on the surrounding community. Conditional use permits are governed by Section 41-638 of the SAMC. Conditional use permits 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 will 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. 31 C -5 CUP No. 2014 -41 October 27, 2014 Page 4 Section 41- 198.5(b) of the SAMC establishes site selection order of preference criteria for wireless facilities. These provisions require the exploration of various options before proposing a new monopole. The applicant has explored aftematives to this monopole, including providing a roof mounted facility on an existing building in the area and co- locating on another facility. The heights of the nearby buildings (predominantly one -story) in the immediate area do not provide the necessary height to provide adequate service. • The project will provide a service or facility which will contribute to the community. The proposed monopole will provide a service to Santa Ana residents, businesses and motorists who subscribe to AT &T's services by reducing the gaps in cellular service and providing additional calling capacity for its users in the southeast sector of Santa Ana. • The proposed wireless facility at this location will not be detrimental to persons residing or working in the area as the proposed facility will be in compliance with Federal law that govern health related issues for wireless facilities, including safety regulations from the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA). • The proposed monopole, in conjunction with the new live pine trees and site improvements, will be compatible with the surrounding area and will not adversely affect the economic viability in the area. The stealth appearance and site enhancements will maintain and increase the economic stabiifty.for this industrial corridor by providing an additional service for business owners, workers, and residents in the area. • The use will comply with all provisions pertaining to the construction and installation of wireless facilities identified in Chapter 41 (Zoning Code) of the Santa Ana Municipal Code. The proposed facility will be stealthed as a pine tree, will feature new and enhanced landscaping, will provide additional screening for the current use's warehousing operations, and will comply with other standards outlined in the SAMC. • The proposed monopole will not adversely affect the General Plan as cellular facilities that are designed to be compatible with the surrounding environment are consistent with the goals and objectives of the Land Use Element. Goal 1 promotes a balance of land uses to address community needs, which includes means of communication that will be served by the proposed monopole. In addition, Goals 3 and 5 require preservation of neighborhood character and integrity as well as mitigation of developments' impacts. The proposed monopole is designed to minimize visual impact on the area and to assist with the steafthing of industrial operations at the project site. Further, Policy 2.2 encourages land uses that accommodate the City's needs for services. Enhancing a cell phone providers coverage in the area enhances services that are readily available for business owners, workers, and residents in the immediate vicinity. 31 C -6 CUP No. 2014 -41 October 27, 2014 Page 5 A facility disguised as a pine tree would provide the best stealth possible for this location. The facility is located within an industrial district and will be installed toward the east side of the site, away from other industrial buildings. The pine tree design will easily blend into the area and will be designed to allow for future co- location by another provider. Of the various tree designs, the pine tree is a design that can stealth the equipment needed by additional wireless providers. All associated wiring and conduit for the facility will be underground or hidden within the interior of the monopole. This location is also optimal to provide the coverage necessary for existing and expanding service. The proposed cellular antennas will provide a benefit to Santa Ana residents, businesses and motorists who subscribe to AT &T by closing service gaps and providing enhanced cellular service in the area. Equipment for the facility will be located within a new enclosure behind the building, with vines planted on the block walls to assist in screening the wireless facility and the warehouse operations on the site. The proposed wireless facility complies with the City's Wireless Communications Facility Ordinance and will provide needed service to this area of the City. Further, the project is consistent with the goals and objectives of the General Plan that safeguard residents and workers in the area while encouraging land uses that accommodate the City's needs for services. Public Notification The project site is located at the edge of the City boundary to the east and is not near any neighborhood association. Staff contacted the City of Tustin to ensure that they were notified of this project and to identify any areas of concern. Tustin staff has identified no present concerns for this project. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and 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 This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The project is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in -fill developments for the construction and location of limited numbers of new, small facilities or structures; the installation of small new equipment and facilities in small structures; and the conversion of existing small structures from one use to another. The wireless facility is a new, small facility that has been found by the City's development review agencies to not create any adverse impacts such as noise, traffic, or safety concerns. As a result, Categorical Exemption Environmental Review No. 2013 -102 will be filed for this project. 31 C -7 CUP No. 2014 -41 October 27, 2014 Page 6 Strategic Plan Alignment Approval of this Item supports the City's efforts to meet Goal No, 3 Economic Development, Objective No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2014 -41 as conditioned. ,0 Ivan Orozco Planning Technician IO:jm IO:PWminp Cmmissbn12=l E l4cFaddenlCUP14 -41 AT &T Public Slaege.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Elevations Exhibit 6 — Photo Simulations Vemy Carvajal Senior Planner 31 C -8 q4 R4 L MI R3 I Al MI U� 7A. w 11 R I1 1 M1 MI li 1 II �S� IE�S5I//�\I� POEa �1 SD 85 SD 85 Ml 50 -W \ 5060 MI F M1 SD,60 SD-60 FORGER AV. D MI MI D MI D M1 SO -69 SD-69 M1 ,v J ,h.T- 4 Y� 5D -69 M] SD 69 Al G MRALAGRICULTURAL C-SM 5WTH"N STREET COMMERCAL DSTRKT PD P NEODEVELOPMENT E PMRNGMDDFKATION F FLOD AREA RATIO PRO RANNEOPESIOENTIALOEVELOPMENT CI COMMMTY COMMERCIAL GC GOVERNMENT CENTER RI SINCIE +AMILYRERWKE CIYO CLRMMUMlY COMM1EPCIM.MVSEUM DMICT MI WHTINDVSiWAI R2 TWO�FMIV RES.DENCE C2 GENERAL COMMFACIAL M2 HEAVY1N IWL Rl WLMLE -FWILY RESIOMCE 0 CEMRAL 809NESS MO MIUTARYORRAFIONS RA SUBURBAN APARTMENT C3 -A CENTRAL WW5S- Mil5l'S VLL -Aid 0 DRN SPME RE RF5R101ALWATE PLANNEDSNOPPINGCEM A -OZ CME0.AY 2DNF SD SPEi IFI[OEVELOPMENI Ci AARRIALCONMFNOAL P PROFESSIONAL SP SPEC &K RAN CP COMMEROALRESIDENML PCD PL EDCOMMUMTYDEV>JyNMENT CUP 2014 -41 k AT &T MCFADDEN MONOPINE 2200 EAST MCFADDEN AVENUE _ — = SOO FEET 1" = 1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y VICINITY MAP EXHIBIT 1 31 C -9 C I T Y OF T U S T I N CUP 2014 -41 AT &TMcFADDEN MONOMNE 2200 EAST McFADDEN AVENUE P L A N N I N G A N D 8 U I L D I N G A G E N C Y EXHIBIT 2 LAND USE MAP 31 C -10 IN DU S T R 0 AL 1 R I A L z WILSHIRE AVENUE 1 N Dealer V S r R I Parking I u, � 3 1 < volkswagan ro^ F Vacant �G�O Parking r S D a 5 ri ?y 1 G S D I S A Vacant Commomvealth Audi 1 AUTO fqq LL n I h DR- DAN GURNEY Mirti Q 1 � W 1 Vdvo w {� Q ¢ V Volkswagen Q in r Z Q Har u, = z Honda 0 CUP 2014 -41 AT &TMcFADDEN MONOMNE 2200 EAST McFADDEN AVENUE P L A N N I N G A N D 8 U I L D I N G A G E N C Y EXHIBIT 2 LAND USE MAP 31 C -10 CUP 2014 -41 2200 MCFADDEN AVENUE EXHIBIT 3 SITE PHOTO 31 C -11 ¢ �o LEEx(i y �ry6 ye ��yp^ ■i lag, III 9 �z ■���� Y a9 ig���A �d��b.���i11��3�3.1 N' _ �- r = _ � � � .i� 33�1s�ssea��1!���d��8 @a�ee ■ ■e I��i :�s.$i 013 80180 00 Ou■aEa �66,.c Dare ■Go.li.xi,e ■ ®ueeE�,,,, 4 fm`N @ I muso �rAwy � I 'A r r)¢Y a i Rpy� MiiYIY Y! iSZ:M1CW'uGZ J b 6 N I e.P ■�s b �u m 0 N U� owe xn LbyNf. B#YYi. nury �� p31 M.Y vk`•�i� �ZZ 6N'n .Mm _]tNc n `� 4s ,.o �,W -1 1., 1., o�1 -1 31 C -12 o � u p{ S m I a I � s s a� Ima �wVV� .Vb �nw.9 mu W ,V ima�e� /ve w eaaNaM, w • ,.q w.^ Nye u n w� wwB t 4.I.I�d wi.ew�ery �nWaO Wea ueiw w 1. .�� (YOLaw! ] r.VOV O nMJYOJ 31 C -13 310.14 k a ` , ; | »- � \ ` § all - | §!# \ : �tog � |!f 1 2 .... . .�� ^` � W_ . .. \ \\ > . EXHIBIT 6 Page @, 310.14 r i t r, it{ -fi ] t� i $J 1 { 1 .g y. lklmt ROH — 10/27/14 RESOLUTION NO. 2014 -41 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2014 -41 TO ALLOW A 60 -FOOT HIGH WIRELESS FACILITY ON THE PROPERTY LOCATED AT 2200 EAST MCFADDEN AVENUE BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Conditional Use Permit No. 2014 -41 was filed with the City of Santa Ana seeking to allow a 60 -foot high wireless facility disguised as a pine tree on the property located at 2200 East McFadden Avenue. B. Pursuant to Santa Ana Municipal Code Section 41- 198.10, a Conditional Use Permit is required for major wireless communication facilities established in the City of Santa Ana. C. Conditional Use Permit No. 2014 -41 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on October 27. 2014. D. Santa Ana Municipal Code Section 41 -638 authorizes the Planning Commission to grant a conditional use permit upon making certain findings. 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The project will provide a service or facility which will contribute to the community. The proposed monopole will provide a service to Santa Ana residents, businesses and motorists who subscribe to AT &T's services by reducing the gaps in cellular service and providing additional calling capacity for its users in the southeast sector of Santa Ana. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? Resolution No. 2014 -41 Page 1 of 7 31 C -16 The proposed wireless facility at this location will not be detrimental to persons residing or working in the area as the proposed facility will be in compliance with Federal law that govern health related issues for wireless facilities, including safety regulations from the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA). 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed monopole, in conjunction with the new live pine trees and site improvements, will be compatible with the surrounding area and will not adversely affect the area and existing use on site. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? The use will comply with all provisions pertaining to the construction and installation of wireless facilities identified in Chapter 41 (Zoning Code) of the Santa Ana Municipal Code. The proposed facility will be stealthed as a pine tree, will feature new and enhanced landscaping, will provide additional screening for the current use's warehousing operations, and will comply with other standards outlined in the SAMC. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed monopole will not adversely affect the General Plan as cellular facilities that are designed to be compatible with the surrounding environment are consistent with the goals and objectives of the Land Use Element. Goal 1 promotes a balance of land uses to address community needs, which includes means of communication that will be served by the proposed monopole. In addition, Goals 3 and 5 require preservation of neighborhood character and integrity as well as mitigation of developments' impacts. The proposed monopole is designed to minimize visual impact on the area and to assist with the stealthing of industrial operations at the project site. Further, Policy 2.2 encourages land uses that accommodate the City's needs for services. Enhancing a cell phone provider's coverage in the area enhances services that are readily available for business owners, workers, and residents in the immediate vicinity. Resolution No. 2014 -41 Page 2 of 7 31 C -17 E. This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The project is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in -fill developments for the construction and location of limited numbers of new, small facilities or structures; the installation of small new equipment and facilities in small structures; and the conversion of existing small structures from one use to another. The wireless facility is a new, small facility that has been found by the City's development review agencies to not create any adverse impacts such as noise, traffic, or safety concerns. As a result, categorical Exemption Environmental Review No. 2013 -102 will be filed for this project. Section 2. The Planning Commission, after conducting the public hearing, hereby approves Conditional Use Permit No. 2014 -41 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 October 27, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 27th day of October, 2014 by the following vote: AYES: Commissioners: Bacerra, Bauer, Gartner, Mill, Nalle, Yrarrazaval (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Alderete(1) ABSTENTIONS: Commissioners: None (0) APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:_ Ryan O. Hodge Assistant City Attorney Eric Alderete Chairperson 31 C -18 Resolution No. 2014 -41 Page 3 of 7 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Karen Gerardo, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -41 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on October 27, 2014, 2014. Date: Planning Commission Secretary City of Santa Ana 31 C -19 Resolution No. 2014 -41 Page 4 of 7 Conditions for Approval for Conditional Use Permit No 2014-41 Conditional Use Permit No. 2014 -41 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division 1. The applicant must comply with all conditions and requirements of the Development Review Committee for the development project (DP No. 2013 -46). 2. Any amendment to this conditional use permit must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. The proposed monopole shall be constructed as per approved plans and any existing landscaping shall be protected in place during the construction period for the 60 -foot high wireless facility. 4. The proposed monopole shall be constructed per the following specifications: a. The monopine facility should have 3.1 branches per foot for full density coverage with limited spacing between the branches; 70 percent of the branches should be eight feet or longer. b. Branch disbursement should be random so that longer branches and shorter branches are intermingled to give a natural appearance. C. Branches should exceed all antennas by a minimum of 12 inches. d. Branches should start at 15 feet above the ground. e. There should be a minimum space of seven feet between the top of the antenna and the top of the branches. Resolution No. 2014 -41 Page 5 of 7 31 C -20 f. Branches should have a sweep similar to that of an actual Pine Tree. g. Branch foliage color should be an olive or forest green with some other appropriate coloring to match an actual Pine Tree. A sample shall be submitted for approval prior to fabrication. h. Full bark cladding with a custom color should be submitted for approval prior to fabrication. L All antennas shall be covered with "antenna socks" that match the approved foliage color. j. All "stand -off mounts" and support pipe mounts shall be concealed behind antennas and painted a darker shade or green (or black) with a "flat' paint finish to reduce reflection and visibility of the mounting. k. Include the tree specifications (selected manufacturers and models) with photo simulations (also a site plan review requirement). I. Show the location of the GPS antenna on all elevations. M. Provide a "unistrut" detail for the utility cabinet; an "H- frame" is not acceptable. n. Provide a note on the plans stating "install underground utilities sleeving for two carriers during construction of the structure ". Shrouds on the outside of the pole are not acceptable. o. All exterior conduit and electrical meters shall be installed and screened in one metal enclosure painted to match the structure. 5. The permit applicant shall provide a 24 -hour phone number to which interference problems may be reported. This condition will also apply to all existing facilities in the City of Santa Ana. 6. The permit applicant will provide a "single point of contact' in its Engineering and Maintenance Departments to insure continuity on all interference issues. The name, telephone number, fax number and e-mail address of that person shall be provided to the City's designated representative upon activation of the facility. 7. The permit applicant shall insure that lessee or other user(s) shall comply with the terms and conditions of this permit, and shall be responsible for the failure of any lessee or other users under the control of permit applicant to comply. 8. The permit applicant shall provide a coverage and cell site location map for each existing and proposed facility in Santa Ana. Resolution No. 2014 -41 Page 6 of 7 31 C -21 9. Locate all equipment and related appurtenances (appleton plug and electric meter) on the inside of the existing equipment enclosure or inside the building and underground all electrical power from the utility source shown on the approved site plan. 10. Conditional Use Permit No. 2014 -41 expires 10 years from the date of City Council approval. Resolution No. 2014 -41 Page 7 of 7 31 C -22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: CONSIDERATION OF OPTIONS REGARDING A PROPOSED EMERGENCY SHELTER AND MULTI - SERVICE CENTER AT 1217 NORMANDY PLACE {STRATEGIC PLAN NOS. 1, 1G; 5,3D) 1 �y CITY MANAGE RECOMMENDED ACTION OPTIONS: CLERK OF COUNCIL USE ONLY: •l:• O, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adoption of a resolution requesting inter - agency cooperation between the City of Santa Ana and County of Orange that will include establishing a role for the involvement of the community and the further development of the emergency shelter. 2. Denial of an emergency ordinance for a 45 -day moratorium. 3. At the pleasure of the City Council, establish findings required to adopt an emergency ordinance for a 45 -day temporary moratorium on the establishment of a new or expansion of any existing emergency shelter and multi- service center in the Light Industrial (M -1) and Heavy Industrial (M -2) zoning districts; and include in the emergency ordinance. DISCUSSION On October 21, 2014 the City Council considered several options to address community concerns regarding a proposed emergency shelter and multi- service center at 1217 Normandy Place. At that meeting the City Council directed staff to prepare both a resolution requesting cooperation with the County of Orange to involve interested stakeholders in the process of establishing the facility, and a draft emergency moratorium ordinance. BACKGROUND In September 2013 the City Council adopted the Emergency Shelter and Transitional Housing Ordinance in furtherance of compliance with California's Senate Bill 2 which requires cities to identify zones where emergency shelters may be allowed by right. The City's ordinance allows for one multi - service center with a maximum of 200 beds within limited Industrial zones. 50A -1 Consideration of Options for a Proposed Emergency Shelter & Multi Service Center November 18, 2014 Page 2 On July 15, 2014 the Orange County Board of Supervisors voted to approve a purchase and sale agreement for a property located within one of the permitted zoning areas at 1217 E. Normandy Place, beginning a 90 -day feasibility period. Escrow is not anticipated to close until January of 2015. The Board of Supervisors is scheduled to consider finalization of the purchase on November 18, 2014. Prior to the Board's action On July 15, 2014 a community meeting was held on July 2, 2014 at Kennedy Elementary School to provide information on the requirements contained within the City's zoning ordinance related to emergency shelters and the County's proposed purchase of a facility in the area, however the specific address of the facility was not released during the meeting due to the fact that real estate negotiations were still in progress. Following the Board of Supervisors' action on July 15, and concerned that the surrounding neighborhoods had not had sufficient notification and information about the impending purchase, community members organized an informational forum held on August 19, 2014 at Kennedy Elementary school to express their concerns about potential impacts of an emergency shelter at the proposed location. On September 30, 2014 staff provided a presentation to the City Council Development and Transportation Committee which discussed the provisions of the City's emergency shelter ordinance, confirmed that the property selected by the County is within the permitted zone, and explained limitations on the City's ability to stop the establishment of the shelter at this location due to the County's preemption authority under State law. In order to provide an avenue to address the neighborhood's concerns Councilmember Samtiento requested information on potential actions that the City could take in regards to the County's proposed emergency shelter. Staff identified the following two actions, which were presented to the City Council on October 21, 2014: Adopt a Resolution Requesting Inter - Agency Cooperation and Community Involvement — The City Council could request that a resolution be prepared that would establish a process for inter- agency cooperation between the City and the County, and that would establish a role for the involvement of the community in the further development of the emergency shelter. This action would be in alignment with the City's Strategic Plan. Adopt a 45 -Day Emergency Moratorium — This option would establish a 45-day period of time during which the provisions of the City's previously adopted emergency shelter and transitional housing ordinance would be set aside in order for further study to be conducted, thereby prohibiting the establishment of new emergency shelters. This would, however, not apply to the County due to the preemption authority previously described. This option would require that the City Council make findings that there was an imminent threat to the public health, safety and welfare resulting from the provisions of the previously- adopted 50A -2 Consideration of Options for a Proposed Emergency Shelter & Multi Service Center November 18, 2014 Page 3 ordinance. Given that there is little evidence to suggest that emergency shelters result in increased crime or other public safety impacts as evidenced by crime reporting data for the two existing shelters in Santa Ana (the Santa Ana Armory and the Salvation Army shelter), and in light of the fact that the Council made findings in September of 2013 that the adoption of the ordinance would not be injurious to the public health, safety and welfare, it would be difficult to make findings to the contrary at this time. Adoption of the emergency moratorium would require a super - majority vote of the City Council. This action would not be in alignment with the City's Strategic Plan. Should the City Council move forward with this option, the City would cease to be in compliance with State law regarding both the Housing Element and the requirements of SB 2. Based on this information the City Council voted to direct staff to prepare both the resolution and the emergency moratorium ordinance. STRATEGIC PLAN ALIGNMENT The Strategic Plan contains two strategies relating to addressing the needs of the City's homeless population: Goal 1: Community Safety Strategy 1g — Participate and collaborate with government agencies and community groups to assist in reducing criminal behavior and providing resources for the homeless population. Goal 5: Community Health, Livability, Engagement & Sustainability Strategy 3d — Continue to implement the Emergency Shelter and Transitional Housing Ordinance (SB -2) to locate facilities for homeless shelters within the Light Industrial (M -1), Heavy Industrial (M -2) or Specific Development (SD) zones, which meet all of the required development and operational standards. FISCAL IMPACT There is no fiscal impact associated with this action. Karen A. Haluza Interim Executive Director Planning and Building Agency KH:rb RbkeportsVEmergency Shelter Options 11 -18 -14 Exhibits: 1. Resolution of Interagency Cooperation 2. Draft Emergency Moratorium Ordinance y 1 4 J y' 1 I RESOLUTION NO. 2014 -_ A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REQUESTING INTERAGENCY COOPERATION BETWEEN THE CITY OF SANTA ANA AND THE COUNTY OF ORANGE FOR PURPOSES OF ESTABLISHING AN EMERGENCY SHELTER AND MULTI - SERVICE CENTER BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1.The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The State of California adopted Senate Bill 2 (SB2) effective January 1, 2008 modifying State Housing Element law to require local planning and zoning regulations to facilitate homeless shelters. Specifically, SB2 requires all cities and counties to provide at least one zoning category in which emergency shelters can be located without discretionary approval from the local government. The zoning category must be identified in the locality's housing element, and include sites with sufficient capacity to meet the local need for emergency shelter. B. The City of Santa Ana seeks to be in compliance with the State of California's regulations for the allowance of emergency homeless shelters as required by SB2. C. On August 5, 2013, after a thorough period of research and public involvement, the City Council of the City of Santa Ana adopted an ordinance in compliance with the requirements of S132. D. On January 27, 2014, the City of Santa Ana received formal notification from the State of California Department of Housing and Community Development that its 2014 -2021 Housing Element was in compliance with state housing law in part due to the City's adoption of the emergency shelter and transitional housing ordinance. E. The 2014 -2019 Santa Ana Strategic Plan contains goals and strategies to address the needs of the City's homeless population including: Goal 1: Community Safety Strategy 1 g — Participate and collaborate with government agencies and community groups to assist in reducing criminal behavior and providing resource s for the homeless population y 1 Goal 5: Community Health, Livability, Engagement & Sustainability Strategy 3d — Continue to implement the Emergency Shelter and Transitional Housing Ordinance (SB2) to locate facilities for homeless shelters within the Light Industrial (M -1), Heavy Industrial (M -2) or Specific Development (SD) zones, which meet all of the required development and operational standards. F. The City of Santa Ana's Emergency Shelter and Transitional Housing Ordinance contains operational standards to address the potential for community impacts including a management and operation plan. G. The City of Santa Ana seeks to involve the community in the development and operations of any emergency shelters and multi - service centers. Section 2. The City hereby requests that the County of Orange agree to form an advisory and oversight committee, or similar entity, which includes representatives from the following: a) Residential and industrial communities adjacent to the proposed emergency shelter at 1217 E. Normandy Place b) City of Santa Ana C) Santa Ana Unified School District d) County of Orange Section 3. The purpose of the advisory and oversight committee shall be to provide input, in an advisory capacity only, in the following areas: a) The development of a Request for Qualifications /Proposals to select an operator for the emergency shelter, b) The selection of the operator for the emergency shelter, c) The development of the management and operation plan, d) Ongoing oversight of the management and operation plan and performance of the shelter operator. 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. 'WAR AR ADOPTED this 18" day of November 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By Lisa Storck, Assistant City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify the attached Resolution No. to be the original resolution adopted by the City Council of the City of Santa Ana on November 18, 2014. Date: Clerk of the Council City of Santa Ana 50A -7 y 1 � • les 10(31/14 ORDINANCE NO. NS -_ AN EMERGENCY ORDINANCE OF THE CITY OF SANTA ANA ADOPTING A 45 DAY TEMPORARY MORATORIUM ON THE CONSTRUCTION OR ESTABLISHMENT OF NEW EMERGENCY SHELTERS OR TRANSITIONAL AND SUPPORTIVE HOUSING IN THE M1 OR M2 ZONES THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of Santa Ana hereby finds, determines and declares as follows: A. In 2013, the City adopted Ordinance No. NS -2848 to amend Chapter 41 of the Santa Ana Municipal Code to adopt the City's regulation of emergency shelters and transitional and supportive housing ( "shelters "). B. Currently shelter facilities are allowed as a matter of right in certain industrial zones. Questions have arisen as to whether or not the current provisions of the Santa Ana Municipal Code fully take into account the potential impacts associated with the establishment of new shelter facilities in certain industrial zones near existing residential uses. As such, provisions of the Santa Ana Municipal Code ( "the Code ") need review, study and possible revision in order to respond to recent concerns relating to the impacts of shelter facilities in the City. C. Given these concerns, the City Council hereby requests that a study be undertaken of certain provisions of Chapter 41 of the Code to address shelters and determine where such facilities should be permitted in the M1 and M2 zones of the City and under what conditions. D. Without adoption of this ordinance, properties in the City could quickly receive entitlements to establish new shelters in an M1 or M2 zone despite the fact that the City Council has directed that a study be done to recommend new standards and revise the Code to address concerns created by such uses. E. It has come to the City Council's attention that the County of Orange has approached city staff seeking entitlements to establish a homeless shelter in an industrial zone near residentially zoned property. F. If the shelter is permitted in the City without further review and potential regulation, it will pose a serious threat to the public interest, health, safety and welfare for the following reasons: Shelters can create detrimental impacts such as noise, trash, traffic, and criminal activity. Ordinance No. NS - Page lo—f3 ' m • y 2. Residents living near shelters have complained about [CITY COUNCIL: LIST A SAMPLE OF COMPLAINTS HEREf G. In order to prevent frustration and detrimental impacts on residents, the public interest, health, safety and welfare require the immediate enactment of this ordinance. The absence of this ordinance would create a serious threat to the orderly and effective implementation of any code amendments, general plan amendments or specific plan amendments which may be adopted by the City as a result of the studies in that the establishment or construction of new shelters in the M1 or M2 zones may be in conflict with or frustrate the contemplated updates and revisions to the Code. Moreover, permitting such shelters to be established or constructed during said studies and implementation would create impacts on the public health, safety and welfare that the City Council, in adopting this ordinance, has found to be unacceptable. H. The Request for Council Action for this ordinance dated November 18, 2014 duly signed by the City Manager shall, by this reference, be incorporated herein, and together with this ordinance, any amendments or supplements, and oral testimony constitute the necessary findings for this ordinance. I. The City Council finds, determines and declares that the current and immediate threat to the public health, safety and welfare of the city and its citizens necessitates the immediate enactment of the ordinance. The facts constituting such urgency are set forth as follows: [CITY COUNCIL;, LIST FINDINGS, :HERE] Section 2. No new shelter as defined in Article I of Chapter 41 of the Code shall be established, constructed, permitted or expanded in an M1 or M2 zone of the City of Santa Ana. Section 3. California Government Code Section 65858 authorizes the City Council to adopt an interim urgency ordinance, by a four -fifths vote, without following the procedures otherwise required for the adoption of an ordinance, to protect the public safety, health, and welfare, prohibiting any uses that may be in conflict with a contemplated general plan, specific plan, or zoning proposal that the City Council, Planning Commission or the planning department is considering or studying or intends to study within a reasonable time. This ordinance shall be immediately effective pursuant to Section 415 of the City Charter. Section 4. This ordinance shall have no further force and effect forty -five (45) days from the date of its adoption; unless, however, after public hearing the City Council members, by four -fifths (4/5) vote, extend this ordinance for an initial period of ten (10) months and fifteen (15) days and thereafter, after public hearing, the City Council members, by four -fifths (4/5) vote, extend this ordinance one more year. Ordinance No. NS - _ Page 2 of 3 50A -10 Section 5. It shall be unlawful and a misdemeanor for any person to violate or fail to comply with any provision of the ordinance. The violation of any provision of this ordinance shall be punished as provided in Section 1 -8 of the Code. Section 6. The Clerk of the Council shall certify to the adoption of this ordinance and cause the same to be published in the manner prescribed by law. Section 7. This ordinance is introduced, passed and adopted at one and the same meeting and is thereafter immediately effective. The City Council finds that this ordinance is necessary to protect the public safety, health and welfare. The reasons for the emergency are set forth in Section 1, paragraphs A -I, inclusive of this ordinance. ADOPTED this 18"' day of November 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck, 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 November 18. 2014. Date: Clerk of the Council City of Santa Ana 50A -11 Ordinance No. NS - _ Page 3 of 3 50A -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: ADOPT ORDINANCE REPEALING ARTICLE III OF CHAPTER 10 OF THE SANTA ANA MUNICIPAL CODE REGARDING BICYCLE LICENSING AND REGISTRATION {STRATEGIC PLAN NO. 1, #1} CITY MA ER 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 Adopt an ordinance repealing Article III of Chapter 10 of the Santa Ana Municipal Code relating to bicycle licensing and registration. DISCUSSION The Police Department recommends repealing Article III of Chapter 10 requiring mandatory bicycle licensing and registration based upon the fact that the vast majority of the City's residents do not obtain the required license and do not register their bicycles. The Police Department will continue to offer a bicycle registration program, but residents will not be required to participate. The Police Department encourages residents to voluntarily register their bicycles so that their bicycles can be easily identified and returned if lost or stolen. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #1, Modernize the Community Policing philosophy to improve customer service, crime prevention and traffic safety /pedestrian /bicycle safety. FISCAL IMPACT Ther n is pact associated with this action. Carlos Rojas Chief of Police Santa Ana Police Department 50B -1 50B -2 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING ARTICLE III OF CHAPTER 10 ENTITLED REGARDING BICYCLE LICENSING AND REGISTRATION REQUIREMENTS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City's current mandatory bicycle licensing program is not utilized by a large majority of the City's residents; B. However, the City believes that residents should have a way of voluntarily registering their bicycles to aid law enforcement in returning a bicycle to the rightful owner in the event that the bicycle is misplaced or stolen; and C. To that end, the City will continue to maintain a bicycle registration program which is now voluntary through the Santa Ana Police Department. Section 2. Chapter 10, Article III of the Santa Ana Municipal Code is hereby deleted in its eh5re -to re—ad as-follmm __ -- - - - - - -- Secs. 10. 196 -10 -204. Reserved. Secs. 10- 206 -10 -209. Reserved. ADOPTED this day of 2014 Miguel A. Pulido Mayor Ordinance No. NS -XXX Page 1 of 2 50B -3 APPROVED AS TO FORM: By: 4'a u'+A- A . l� ►L� 'Lt 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 Ordinance No. NS -XXX to be the original ordinance adopted by the City - -Comncii of theity of -5anta An—a on- November 18, 2014' and that said- was published in accordance with the Charter of the City of Santa Ana. Date: Ordinance No. NS -XXX Page 2 of 2 Clerk of the Council City of Santa Ana 50B -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: APPROPRIATION ADJUSTMENT, RESOLUTION AND AGREEMENT ACCEPTING COPS HIRING GRANT FUNDS {STRATEGIC PLAN NO. 1, 3B} 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 CITY MAN ER RECOMMENDED ACTION Approve an appropriation adjustment recognizing $1,250,000 in COPS Hiring Grant funds in revenue account (no. 12714002 52000), and appropriating same to expenditure account (no. 12714407 - various). 2. Adopt a resolution allocating ten new Police Officer positions to the FY 2014 -15 Police Department budget. 3. Authorize the City Manager and the Clerk of the Council to execute a three -year agreement with the U.S. Department of Justice, commencing September 1, 2014, for the COPS Hiring Grant in an amount not to exceed $1,250,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION In June of this year, the Police Department applied for a competitive grant made possible through the Office of Community Oriented Policing (COPS). The grant is designed to assist state and local law enforcement agencies in the hiring and retention of police officers. The federal government reviewed over 1,296 applications ultimately awarding over $1 billion through the COPS Hiring Program (CHP) by way of 215 grants nationwide. The Police Department has received a grant award from the COPS Hiring Program for 10 police officers' positions in the amount of $1,250,000 over a three -year grant period. The grant allows for a cost sharing partnership with the Federal Government where the grant funds approximately 113 of the associated costs and the City General Fund covers the remaining 213 cost of $2,624,485. The City match will be $541,494 Year 1, $1,041,494 Year 2 and $1,041,497 Year 3, for a total match of $2,624,485. 55A -1 COPS Hiring Grant November 18, 2014 Page 2 The grant requires that at the end of the three -year performance period, the City must retain these 10 additional positions for a minimum of 12 months, over and above locally- funded positions that would have existed in the absence of the grant. The City cannot satisfy the retention requirement by using these grant funded positions to fill any vacancies from attrition. The Department plans on using these additional officers to enhance Community Policing initiatives by increasing frontline law enforcement staffing which will allow officers much needed time to more positively engage with the community. STRATEGIC PLAN ALIGNMENT Approval of these items assists the City in meeting Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing and reducing criminal activity and traffic collisions). FISCAL IMPACT The appropriation adjustment will recognize $1,250,000 in COPS Hiring Grant funds in revenue account (no. 12714002 52000), and appropriate same to expenditure account (no. 12714407 — various. Matching funds will be identified at year -end and appropriated as part of the FY 2015- 16 budget process. Carlos Rojas Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNT: Francisco ut errez, L Executive Director Finance and Management Services Agency 55A -2 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND THE CURRENT ANNUAL BUDGET TO ADD TEN FULL TIME POLICE OFFICER POSITIONS IN THE POLICE DEPARTMENT. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. On July 1, 2014, the City Council passed and adopted Ordinance No. NS -2867, establishing the City's Budget and authorizing position allocations for Fiscal Year 2014 -2015. The Ordinance also sets forth the requirement that alterations in the allocation of authorized positions be reviewed and approved by the City Council. B. On March 18, 2014, the City Council adopted the 5 -year Santa Ana Strategic Plan. This plan established specific goals, objectives and strategies to guide the City's major efforts during the next five years. C. To assist the City in meeting Santa Ana Strategic Plan Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), and Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing and reducing criminal activity and traffic collisions), the Police Department applied for and received a grant award from the Office of Community Oriented Policing (COPS) Hiring Program in the amount of $1,250,000. The terms of the Grant contain numerous guidelines and requirements with which the Department must comply. D. The Police Chief proposes to add ten (10) full time Police Officer positions to the Police Department's budget to comply with the requirements of the COPS Hiring Program Grant. E. It is now desired to amend the Adopted Budget for Fiscal Year 2014 -2015, as amended, to effect this change. Section 2: That Ordinance No. NS -2867, the Annual Budget for Fiscal Year 2014 -2015, as amended, shall be further amended by adding ten (10) full time Police Officer positions in the Police Department, at the monthly five -step salary rate range as indicated: 55A -3 Classification Title Police Officer 5 -Step Salary Rate Range Effective 11/18/14 Monthly Salary SRR Minimum - Maximum .e $6050 - $7355 Section 3: That except as amended by this Resolution, all other provisions of Ordinance No. NS -2867 setting forth the Annual Budget for Fiscal Year 2014 -2015, as amended, shall remain in full force and effect. 2014. Section 4: This Resolution shall be operative from and after November 18, ADOPTED this 18th day of November, 2014. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney 0 City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Miguel A. Pulido Mayor Councilmembers Councilmembers Councilmembers Councilmembers 55A -4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2014 -_ to be the original resolution adopted by the City Council of the City of Santa Ana on November 18, 2014. Date: 55A -5 Clerk of the Council City of Santa Ana 'P�PM U.S. DEPARTMENT OFJVSTICE COM OFFICE OF COMMUNITY ORIENTED POLICING SERVICES 145 N Street, N,E., Washington, DC 20530 Grants Administration Division COPS Hiring Program Treasury Account Symbol (TAS) 15X0406 Grant #: 2014ULWX0039 ORI #: CA03019 Applicant Organization's Legal Name: Santa Ann, City of DUNS #. 0831532470000 Law Enforcement Executive: Chierot otiee arl Government Executive: City Ma 111)311 Cavazos Full -Time Oircers Funded: 10 New Hires: 10 Rehires - Previously Laid Off: 0 Award Amount: 51,250,000.00 Ronald L. Davis Director Rehires - Scheduled for Lay -Off. 0 09/28/2014 Date By signing this Award Document, the grantee agrees to abide by all FY 2014 COPS Hiring Program (CHP) grant terms and conditions and, if applicable, the Special Award Conditions and /or High Risk Conditions in the Award Document Supplement. Carton Rojas 10/14/2014 Signature of the Law Enforcement Executive /Agency Executive Date David Cavazos 10/14/2014 Signature of the Government Executive /Financial Officer Date False statements or claims made in Connection with COPS grants may result in foes, imprisonment, debarment from participating in federal grants or contracts, and /or any remedy available by law to the Federal Government. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 55A -7 U. S. Department of Justice Office of Community Oriented Policing Sm4ces 2014 COPS Luring Program Grant Terms and Conditions By signing the Award Document to accept this COPS Hiring Program (CHP) grant, die grantee agrees to abide by file following gram terms and conditions I. Grant Owner's Manual. The grantee agrees M comply %'fill the terms and conditions in die 2014 COPS Hiring Progrmn Grant Owner's Mannsl; COPS statute (42 U.S.C. §. 3796dd, of seq.); 28 C.F.R. Part 66 or 28 O.F.R. Part 70 as applicable (governing administrative requirements for grants and cooperative agreements); 2 C.F.R. Part 225 (ONIB Circular A -87), 2 C.F.R. Part 220 (OMB Circular A-21),2 C.F.R. Part 230 (OME Circular A -122), and 48 C.F.R. Part 31.000 et seq. (FAR 31.2) as applicable (governing cost principles); OMB Circular A -133 (governing audits); mpresenmtions made in the CHP grant application and all other applicable program requirements, laws, orders, regulutions, or circulars. 2. Aunumaces and Certifications The grantee acknowledges its agreement to comply with the Assurances and Certifications forms dust were signed as part of its CHP application. 3. Allowable Costs. The finding under this project is for the payment of approved full -time entry -level salaries and fringe benefits over tluee years (fora total of 36 months of funding), up to a maximum federal share of $125,000 perof£icar position forcamer law enforcement officer positions (tired and/or rehired on or after the official grant award start dale. Any salary and fringe benefit costs higher than entry-level that your agency pays a CHP -Pooded officer must be paid with local funds. Your agency is required to use CHP grant funds for the specific biting categories awarded. Funding under this program truly be used for the following categories: a. Hiring new officers, which includes filling existing officer vacancies that are on longer funded in your agency's budget; b. Rehiring otrcm laid off by any jurisdiction as a result of state, local, or Bumm of Indian Affairs (BIA) budget cuts; and/or c. Rehiring officers who were, at the time of grant application, scheduled to be laid off (by your jurisdiction) on a specific future dam as a result ofstate, local, or BIA budget cuts. If you agency's local fiscal conditions have changed and your agency needs to change one or more of the funded hiring categories, your agency should request a post- award grant modification and receive prior approval before spending CHP funding order the new category. The Financial Clearance Memorandum (FCNI), included in your award package, specifies the amount of CHP funds awarded to your agency. You should carefully review your FCM, width contains the foul officer salary and fringe benefit categories and amouras for which your agency was approved. Plane now that tine salary and fringe benefit costs requested in your CHP application may have been adjusted or removed. You agency may only be reimbursed for the approved cost categories that tun documented within die FCM, up in the amounts specified in the FCNt Your agency may not use CHP funds for any emu that are not identified as allowable In the Financial Clearance Memorandum. Only actual allowable costs incurred during cite grant award period will be eligible for reimbursement and drawdawn. If your agency experiences any cost savings over cite course of die grant (for example, your grant application overestimated cite total entry-level officer salary and fringe benef m package), your agency may not use that excess funding in extend the length of the grant beyond 36 months. Any funds remaining after your ageney frail drawn down for the costs of approved salaries and fringe be<efits incurred for each awarded position during tine 36 -month funding period will be deobligated during the closeout process, and should tut be spent by your agency. 4. Latin Match. Gannets are required to contribute a local match of at least 25 percent towards the mail cost of die approved grant project, umlow waived in writing by the COPS Office. Tho local ninth mustbe a etch match tram funds not previously budgeted for law enforcement purposes and must be paid during the grant award period The local match contribution must be made on an increasing basis during each year of the three -year grant period, with the Federal share decreasing accordingly. 5. 5uppkementing, Not Supplanting. State, local, or BIA foals budgeted to pay forsworn officer positions irrespective of the receipt of CHP grant funds may not be reallocated in odor purposes or refunded as a result of a CHP grant being awarded. Non - federal funds most remain available for and devoted to that purpose, with CHP funds supplementing those non- fbdemt funds. Funding awarded cannot be obligated until afterdte grant award start date. This means that CHP funds cannot be applied no any agency castor obligation incurred prior to the award start date. In addition, you agency must akaactive and finely steps pursuant wits slandardprocedures in fully fund law enfocemenr costa already budgeted as well as fill all locally -funded vacancies; resulting from attrition during the life of His grant. 6. Retention. At the time of grant application, your agency committed to retaining all swam officer positions awarded under die CHP grant with state anrVor local funds for a minimum of 12 months following the conclusion of 36 months of federal funding for each position, over and above [the number of locally - funded swom officer positions that would have existed in the absence of the gram. Youragency cannot satisfy die retention requirement by using CHP -funded positions to All locally- funded vacancies resulting fmm attrition. 7. Extensions- Your agency may request an extension of dm grant award period to receive additional Him to implement your grant program. Such extensions do not provide additional funding. Grants may be extended a maximum of 36 months beyond the initial award expiration dune. Any request for an extension beyond 36 mouths will be evaluated an a case -by -case basis. Only those grantees that can provide a masonablejustification for delays will be granted no -cast extensions. Reasonablejusdfications may inoludo difficulties in filling COPS -funded positions, officer turnover, or other circumstances tat interrupt the 36 -month grant funding period. An extension allows your agency to complawate for such delays by providing additanal time in complete the full 36 monthhs of funding for each position awarded. Extension requests mutt be received prior to the and date a( the award. 8. Modifications. During the CHP grant award period, it tray become necessary for an agency to modify its CHP grant award due to changes in an agency's fiscal or law enforcement situation. Modification requests should be submitted in the COPS Office when an agency determines that it will need to shift officer positions awarded in one hiring category into a different hiring category, reduce the toil number ofpwitim, awarded, shift funds among benefit categories, and/air reduce the entry-level salary and fringe benefit amounts. For example, an agency may have been awarded CHP grant funding for can new, additional full -time sworn officer positions, but due in severe fiscal distress/consmaints, the agency determines it is unable to snsain all ten positions and must reduce its request to five full -time positions; or an agency may have been awarded CHP grist funding for two cow, additional sworn officer positions, but due to fiscal disttess/consvaints the agcocy needs an change the hiring category from the new hire category to tle relhim category Car officers laid off or scheduled for lay -off on a specific future date post - Page l ors y a • U. S. Department of Justice Office of Community Oriented Policing Services 2014 COPS Hiring Program Grant Terms and Conditions application. Grant madifmations ender CHP are evaluated on a case -by -case basis. The COPS Office will only consider a modification request after an agency makes final, approved budget andor personnel decisions. An agency my implement the modified grant award following written approval from the COPS Offcm Please be aware that the COPS Office will not approve any modification request Rini results in an increase of federal finds. 9. vF- ,valuations. The COPS Office may conduct monitoring or sponsor national evaluations of die COPS Hiring Program. The grantee agrees to cooperate with the monitors and evaluators. 10. Reports. To assist die COPS Office in the monitoring of your award, yotu agency will be responsible for submitting quarterly programmatic progress reports and quarterly Federal Financial Reports using Standard Foram 425 (SFA25). 11. Federal Civil Walvis Laws. Asa condition of receipt of federal financial assistance, you acknowledge and agree that you will not (and wilt require any subgrantees, contractors, successors, transferees, and assignees not to), on the ground of race, color, religion, national origin (which includes providing limited- English proficient persons meaningful Stems to your programs), sex, disability or age, unlawfully exclude any person from participation in, deny the benefits of, or employment to any person, or subject any person to discrimination in connection with any programs or activities funded in whole or in part with federal frtnds. These civil rights requirement, am found in the non - discrimination previsions of Title VI of the Civil (tights Act of 1964, as amended (42 U.S.C. § 2000d); the Omnibus Cruse Control and Safe Streets Act of 1968, as amended (42 U.S.C. § 3789d); Section 504 of the Rehabilitation Act of 1973, as amended (29 U. S.C. § 794); the Age Discrimination Act of 1975 (42 U.S.C. §6101, et seq.); Title IX of the Education. Amendments of 1972, as unaided (20 U.S.C. 1681 at sets.); and the corresponding DOJ regulations implementing those statutes at 28 C.F.R. Part 42 (subparts C, D, E, G. and 1). You also agree to comply with Executive Order 13279 Equal Treatment for Faidi -Based Organizations and its implementing regulations at 28 C.F.R Part 38, which requires equal treatment of religious organizations in the funding process and non - discrimination of beneficiaries by Faith -Based Organizations on the basis of belief or non - belief. 12. Equal Employment Opportunity Plan (EEOP). All recipients of funding from the COPS Office must comply with the federal regulations pertaining m the development and implementation of an Equal Employment Opportunity Plan (28 C.F.R. Pert 42 subpart E). 13. Grant Monitoring Activities. Federal law requires that law enforcement agencies receiving federal hording from the COPS Office must be monitored to ensure compliance with their grant conditions and other applicable statutory regulations. The COPS Office is also interested in tracking theprogress of our programs and the advancement of community policing. Both aspects of start implementation -- compliance and programmatic henefits —are partuf the monitoring process coordinated by the U.S. Department of Justice. Grant monitoring activities conducted by the COPS Offrco include site visits, office -based grant reviews, alleged noncompliance reviews, financial and programmatic reporting, and audit resolution. As a CHP grantee, you agate to cooperate with and respond to any requests for information Pertaining to your grant. 14. Employment Eligibility. The grantee agrees to complete and keep on file, as appropriate, a Bureau of Cidwnship and lmmigration Services Employment Eligibility Verification Form (t -9). This form is to be used by recipients of federal funds to verify that persons are eligible to work in the United States. 13. Community Polteine Community policing activities to be initiated or enhanced by your agency were identified and described in your CHP grant application. Your agency developed a commuNry policing plan for the CHP grant with specific reference to a crime or disorder problem and the following elements of cotmnunlry policing: a) problem solving —your agency's plan to assess and respond to the problem identified; b) community partnerships and support, including related govermrmmal and community initiatives that complement your agency's proposed use of CHP funding; and c) organizational menafnrmation —how your agency will use die funds in reorient its mission to community policing or enhance its involvement in and commitment to community policing. The COPS Office defines community policing as a philosophy that prim mles organizational suatcgim which support the systematic use of partnerships and problem - solving techniques, to prcuctively, address the immediate conditions that give rise to public safety issues such ae nine, social disorder, and fear of crime. Clip grants must be used to initiate or enhance community policing activities. All newly lumd, additional or mlinn d officers (or am equal comber of redeployed veteran officers) funded under CHP must implement your agency's approved community policing plan, which you described in your grant application. 16. Community Policing Self Assessment Tool (CPSAT). The COPS Office will require your agency to complete the Community Policing Self Assessment Tool (CP -SAT) twice within the grant period, at the beginning and again towards the and of your grant period. 17. Contracts With Other durlsdictlom. Grantees that provide law enforcement services to anmdierjurisdiction trough a contract must emum that officers funded under this grant do not service the otherjunin ictfon, but will only be involved in activities or performserviom that exclusively benefit the grantee's osm jurisdiction. IS. False Statements, False statements or otsims made in connection with COPS grants may result in fines, imprisonment, or debarment fpm participating in federal grants or contracts, and/or any other remedy available by law. 19. Additional Hiuh -Risk Grantee Reaulrecomin, The recipient agmes to comply with any addidone[ requhdnents that my be imposed during the grant performance period if die awarding agency determines that the recipient is a high -risk grantee (28 C.F.R. Parts 66 and 70). 20. System for .Award Management (SAM( and Universal Identifier Reaniremm . The Office of Management and Budget requires federal agencies in include the following standard award tens in all grants and cooperative agreements made an or after October I, 2010: A. Requiremenrfor System for Award Management (SAM) Aegistmilon Ualwt; you are exempted from this requirement under 2 G.F.R. Part 25.110. you as the recipient must maintain the currency of your information in the SAM until you submit tat fatal financial report required under thus award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. Page 2 of 5 55A -9 O. S. Department of Justice Office of Community Oriented Policing Services 2014 COPS Hiring Program Grant Terms and Conditions B. Requirertenr for Dart. Universal Numbering System (DUNS) V,,,bers If you are authorized to make subawards under ids award, you: L Must notify pmendal subreclpients that no entity (see definition in paragraph C of this award tern) may receive a subaward from you unless the entity has provided its DUNS number to you. 2. May not rake a subaward to an entity unless the entity has provided its DUNS number to you. C Defbtidow For purposes of this award term: I. System for Award Management (SAM) means die federal reposinty into which an entity must provide Infonation required for the conduct of business as a recipient Additional information about registration procedures may be Laird at the SAM Internet site at www, nm.gov. 2. Data Universai Numbering System (DUNS) number means the nine- or thirteendigi t number established and assigned by Dun and Bradstreet, Lou. (D &B) to uniquely identify business entities. A DUNS number may be obtained from D &B by telephone (currently 856.705.5711) or the Internet at htmJ /fedaovAnb.cont webform. 3. Enliry, as it is used in :his award mat, means all of the following, as defined at 2 C.F.R. Part 25, subpart C; a. A governmental organization, which is a state, local gavernmm m; or Indian Tribe; b. A foreign public entity; c. A domestic or foreign non -profit organizatou; d. A domestic or foreign for -profit organization; and e. A federal agency, but only as a subrecipient under an award or subaward to a non. federal entity. 4. Subaward. a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b. The tern does not include your procurement of property and services needed to carry out the project or program (for fimther explanation. see Sec. .210 of die samliment to OMB Circular A- 133, "Audits of States. Local Governments, and Non -Profit Organizations "). c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5. Subrecipient means m entity that: a. Receives a subaward from you under this award; and b. is accountable to you for the we of the federal funds provided by die subaward. 21. Reuordom Subaward and Executive Compensation_ The Office of Management and Budget requires federal agencies to include the fallowing standard award term in all grants and cooperative agreements made on or after Ocmber 1, 2010: a. Reporting of first -tier sahanvards. I Apphcability. Unless you are exempt as provided In paragraph d. of this award term, you must report each action that obligates 525,000 or more in fderal hinds that does act include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Roinvesunent Act of 2009, Pub. L. I I 1 -5) for a subaward to an entity (sea definitions in paragraph e, of this award term). 2. Where and when to report. i. You incon report each obligating action described in paragraph a.1. of tlds award term to www.fshs.nov. ii. For subaward hifam itlon, report no later than the end of the mouth following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation most be reponed by no later than December 31, 2010.) 3. What to report. You must report die information about each obligating action that the subrnission instructions posted at www.fsrs.eov specify. b. Reporting Total Compensation afRecipletrtGrecativor, I. ApplieabiUly and what to report. You mwr report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if— I the total federal funding aru ierized to date under this award is $25,000 or more; ii in the preceding fiscal year, you received — (A) 80 percent or more of your annual gross revenues from federal procurement contracts (and subcontracts) and federal financial assistance subject to tie Transparency Act, as defined at 2 C.F.R. Part 170.320 (and subawards); and (B) 525,000,000 or more in annual gross revenues from federal procurement contracts (and subcontracts) and federal financial assistance subject to the Transparency Apt, u defined at2 C.F.R. Part 170.320 (and subawards); and di. The public does amt have arms to information about the compensation of the executives tuouglh periodic reports tiled under section 13(a)or IS(d) of the Securities Exebange Act of 1934 (15 U.S.C. 73m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public bas access m the compensation information, see die U.S. Security and Exchange Commission total compensation filings at wwwsec.aovsiuwemloxecotno.hnn.) 2. Where and when to report. You must report executive roust compensation describeal in paragraph b.l of this award term: L As part of your registration pmille at www.sam.eov. ii. By the end of the month following the month in which this award is made. and annually thereafter. e. Reporting of Total Compensation of Subreripiern Qxecrilivr, Page 3 of 5 55A -10 U. S. Department of lustica Off ce of Community Oriented Policing Services 2014 COPS Hiring Program Grant Terms and Conditions dpplicabtitoj and what to report. Unless you arc exempt as provided in paragraph d. of this award am. . for each first -tier subrecipient under this award, you shall report the names and total compensation of each of the subrocipient's five most highly compensated executives for the subrecipient's preceding completed fiscal your, if- i, in the subrecipient's preceding fiscal year, the subrecipient raccived- (A) 80 percent or more of your annual gross revenues from federal procurement contracts (aid subcontracts) and federal financial assistance subject to the Transparency Act. as defined at 2 C.F.R. Part 170.320 (and subawunds); and (B) $25,000,000 or more in annual gross revenues from federal procurement contracts (and subcontracts) and federal financial assistance subject m the Transparency Act, as defined at 2 C.F.R. Part 170.320 (and subawards); and ii. The public does trot have access to information about tliecompenvetion of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 ( h5 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, seethe U.S. Security and Exchange Commission total compensation filings at cocoa sec aov;areweroicxecomu hhn,) 2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term: i. To the recipient. ii. By the end of the monthfollowing ire month during which you make the subaward. For example, if a subaward is obligated on any dare during the month of October of given year (i,e., between October 1 and 3 p, you must report any requited compensation information of the subrecipient by November 30 of that year. d. ExenrpUons If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report i. Subawards, and H. The total compensation of the Five most Iii&y compensated executives of any subrecipient a. Definitions. For purposes of this award term: 1. Entity means all of the following, as defined in 2 C.F.R. Part 25: i. A governmental organization, which is a state, local govemtnemq or Indian Tribe; ii. A foreign public entity; iii. A domestic or foreign nom -profit organization; iv. A domestic or foreign for -profit organization; v. A federal agency, but only as a subrecipient under an award or subaward to a non- federal entity. 2. Executive means officers, managing partners, or any other employees in management positions. 3. Subawaed: i. This term means a legal instrument to provide supper for the performance of any portion of the substandve project orprognnn for which you received this award and tail you as the recipient award to an eligible subrecipient. it. The tern does not include your procurement of pmperty and services needed m cany out ire project or program (for furtfwr explanation, see Sec. — 210 of the attacliment to OMB Cimular A -133, "Audits of States, Local Governments, and Non -Profit Organizations"). iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. 4. Subreciplent means an entity that L Receives a subaward from you (the recipient) under tlus award; and ii. Is accounmble to you for theme of die federal funds provided by the subaward. 5. Total coinpensabon means the cash and notscash dollar value earned by the executive during the recipient's orsubrocipicnt s preceding fiscal year and includes the following (for more information see 17 C.ER Part 229A02(c)(2)): i. Many and bona. ii. Awards of stack, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting pupusas with respect to the fiscal year in accordance with de Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123 R), Shared Bayed Payments. iii. Earningsfor services under non- equily incentive plans. This does not include group life, health, hospitalization or medical reimburscnnent plans that do pm discriminate in favor of executives, end am available generally to alt salaried employees. iv. Change in pension vahte. This is the change in present value of defined benefit and actuarial pension plans . v..9bove- market earnings on deferred compensation that is not tar- qualifled. vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds S10.000, 22. Debarment and Suspension. The recipient agrees not to award Federal funds under this program to any party which is debarred or suspended from participation to Federal assisomea programs 23. pnolicative Funding, The recipient nnderstords and agrees to natify the COPS Off" ifit rerives, from any other source, finding for die same iem or service also funded under this award. 24, Whisrloblower Protection. The recipient agrees not to discharge, demote, or otherwise discriminate against an employee as reprisal for the cmploycc disclosing information that halshe reasonably believes is evidence of gross mismanagement of a Fcd:ml contract or groat, a gross waste of Federal funds, an abuse of authority relating to a Federal contract of grant, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related in a Federal contract (including the competition for or negotiation ofa contract) or grant. The recipient also agrees to provide to their employees in writing (in the predominant native Page 4 of 5 55A -11 U. S. Department of Justice Office of Community Oriented Policing Senices 2014 COPS Hiring Program Grant Terns and Conditions language of the workforce) of the rights and remedies provided in 4t U S.C. 4712. Please see Appendix F in the Grant/Award Owner', Manual for a fidt ten of the statute. Page 5 of 5 55A -12 Award Document Supplement 2014 COPS Hiring Program (CHP) By signing the Award Document to accept this COPS Hiring Program (CHP) grant, the grantee agrees to abide by the following Special Award Conditions and/or High Risk Conditions: Special Award Conditions Advancing Department of Justice Priority Crime Problem Awards Your agency has been selected for a COPS Hiring Program (CHP) grant to address a particular Department of Justice priority crime problem, based specifically on your CHP grant application's community policing plan to improve your agency's public safety response to the critical issues of school based policing through School Resource Officers (SRO), Trust Problems, Homeland Security, Gun Violence or Homicide Reduction. Please be advised that, in accepting this grant, your agency is agreeing to this Special Condition to its CHP grant award that requires your agency's COPS- funded officers (or an equivalent number of locally - funded officers) to initiate or enhance your agency's community policing plan to address one of the priority crime problem identified above. By signing the 2014 CHP grant award, your agency understands and agrees to the following: • Your agency will implement the one specific community policing plan identified in your CHP grant application; • Your agency will address its specific priority crime problem throughout the entire CHP grant period; • Your agency will implement any organizational changes identified in its CHP grant application in Section 6B, Questions 13 and 14; • Your agency will cooperate with any grant monitoring by the COPS Office to ensure that it is initiating or enhancing its community policing efforts to address its priority crime problem, which may include your agency having to respond to additional or modified reporting requirements. Memorandum of Understanding Requirement (School Resource Officers Problem Area Only Grantees using CHP funding to hire and/or deploy School Resource Officers into schools must submit a signed Memorandum of Understanding (MOU) between the law enforcement agency and the school partner(s) to the COPS Office before obligating or drawing down funds under this award. 55A -13 41�_ 1U.S. DEPARTMENT OF JUSTICE COPIS OFFICE OF COMMUNITY ORIENTED POLICING SERVICES 45 N Street, N.E., Washington, DC 20530 . t ioularandum COPS Hiring Program (CHP) To: Chief of Police Carlos Rojas Santa Ana, City of Re: COPS Hiring Program Financial Clearance Memo A financial analysis of budgeted costs bas been completed. Costs under this award appear rasonaile, allowable, and consistent with existing guidelines. Exceptions /Adjustments are noted below. ORI #: CA03019 Total Officers Awarded: 10 Grant #: 2014ULWX0039 Officer Costs: Project Costs Per Officer, Grand Total Project Costs: Salaries and Fringe Benefits: 5387,448.00 Salaries and Fringe Benefits: 53,874,485.00 Federal Shore: $125,000.00 Federal Share: 5112501000.00 Applicant Share: $262,448.00 Applicant Sher.: 52,624,485.00 Waiver Granted: No Budget Cleared Date: 09i28/2014 erall Comments: A financial analysis of budget costs has been completed, and this Financial Clearance Memorandum jFCM) reflects the amount of federal funds awarded to your agency for officer salaries and approved benefits. Please note that the salary and benefit costs requested in your original application may have been updated or corrected from the original version submitted to COPS. You should carefully review your FCM. The FCM contains the final officer salary and fringe benefit categories and amounts for which your agency was approved. You will note that some costs may have been adjusted or removed. Your agency may only be reimbursed for the approved cost categories that am documented within the FCM. Fringe benefits already reflected In the base salary may not be drawn down individually under Fringe Benefits. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 55A -14 Year 1 — Approved Costs Per Entry-level Officer Year 2 — Approved Costs Per Entry-level Officer Year-3 —Approved Coats Per Entry -level Officer Base Salary tnforn ioa: $78,375,00 S82,286.00 886,406.00 Fringe Benefits 541,866.44 T46,732.15 $49,782.89 Social Security'. $silo $0.D0 $0.DO Modesto, $1,136.44 S11193.15 $1,252.89 Health (nsurance $16,921.00 $18,443.00 $20,104.00 Life husursuce $0.00 $0.00 $0.00 Vacation: $O.OD $0a0 $0.00 Tick Leave: $000 Iran $0.00 Rstuctru : $78,794.00 $19,732.00 $20,72000 Worker's Corcpensatiue' $4427.00 $6,747.00 $7,05800 unemploymeu! lasaronce: $0.00 $OAO Soot) Other Costs' $589.00 561700 $548.00 Total Per Year: $132,241.44 Tt39,018.15 4716,188.89 Officer Costs: Project Costs Per Officer, Grand Total Project Costs: Salaries and Fringe Benefits: 5387,448.00 Salaries and Fringe Benefits: 53,874,485.00 Federal Shore: $125,000.00 Federal Share: 5112501000.00 Applicant Share: $262,448.00 Applicant Sher.: 52,624,485.00 Waiver Granted: No Budget Cleared Date: 09i28/2014 erall Comments: A financial analysis of budget costs has been completed, and this Financial Clearance Memorandum jFCM) reflects the amount of federal funds awarded to your agency for officer salaries and approved benefits. Please note that the salary and benefit costs requested in your original application may have been updated or corrected from the original version submitted to COPS. You should carefully review your FCM. The FCM contains the final officer salary and fringe benefit categories and amounts for which your agency was approved. You will note that some costs may have been adjusted or removed. Your agency may only be reimbursed for the approved cost categories that am documented within the FCM. Fringe benefits already reflected In the base salary may not be drawn down individually under Fringe Benefits. ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 55A -14 U.S. DEPARTMENT OF JUSTICE0� OFFICE OF COMMUNITY ORIENTED POLICING SERVICES 7 145 N Screet, N.E., Washington, DC 20530 October 1, 2014 City Manager David Cavazos Santa Ana, City of 20 Civic Center Plaza Santa Ana, CA 92702 Chief of Police Carlos Rojas Santa Ana, City of 60 Civic Center Plaza Santa Ana, CA 92702 Subject COPS Hiring Program Grant# 2014ULWX0039 ORIN: CA03019 Dear City Manager Cavazos and Chief of Police Rojas: Congratulations on your agency's award for 10 officer position(s) and $1,250.000.00 in federal funds over a three -year grant period under the 2014 COPS Hiring Program (CHP). The local cash match required for this award will be $2,624,485 00. Your agency may use CRP grant funding to hire new officers or rehire officers who have been laid off, or are scheduled to he Iaid off on a specific future date, as a result of local budget cuts, on or after the official grant award start data Please note that any changes to the awarded hiring categories require an official review and approval by the COPS Office. A list of conditions that apply to your grant is included on your grant Award Document and Award Document Supplement, if appl icable. A limited number of agencies may be subject to an Additional Award Notification as a result of an ongoing federal civil right: investigation or other grant review or audit of your agency by the Department of Justice. If applicable in your agency, the Additional Award Notification is included at the end of this letter and is incorporated by reference a t part of this letter. In addition, a limited number of agencies may be subject to Special Conditions as a result of high risk designation or other unique circumstances. If applicable to your agency, these Special Conditions will he found in an Award Document Supplemen: in your award package. You should read and familiarize yourself with these conditions. To officially accept your grant, the award document must be signed electronically via the Account Access link in the COPS website at www.cops,usdoj.gov within 90 days from the date of this letter. The offmial start of your grant is September 1, 2014. Therefore, you can be reimbursed for allowable and approved expenditures made on or after this date. Please carefully review the Financial Clearance Memorandum (FChI) included in your award package to determine your approved budget, as some of your requested items may not have been approved by the COPS Office during the budget review process, and grant funds may only be used for approved items. The FCM will specify the final award amount, and wilt also identity any disallowed costs. Supplemental online award information for 2014 COPS CHP grantees can be found at htp /Iw% coo= idol agWC)Ofanll aaovltem =2367, We strongly encourage you to visit this site immediately to access a variety of important and helpful documents that will assist you with the implementation of your grant, including the2014 CHP Grant Owner's Manual, which specifies the programmatic and financial terms, conditions, and requirements of your grant In addition, the above website link includes the forms and insvuctions necessary to begin drawing down funds for your grant. Please print out a copy of your application and maintain it with your grant file records. Once again, congratulations on your CHP award. If you have any questions about your grant, please do not hesitate to call your Grant Program Specialist through the COPS Office Response Center at 1.800.421.6770. Sincerely, Ronald L. Davis Director ADVANCING PUBLIC SAFETY THROUGH COMMUNITY POLICING 55A -15 ATTEST: MARIA HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R, CARVALHO City Attorney By �, • IiO.G+� Laura A, Rossini Sr. Assistant City Attorney FOR APPROVAL: Carlos Rojas Chief of Police Santa Ana Police Department CITY OF SANTA ANA DAVID CAVAZOS City Manager 55A -16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: APPROPRIATION ADJUSTMENT TO RECOGNIZE ADDITIONAL PLANNING AND BUILDING AGENCY REVENUE AND RESOLUTION TO ADD BUILDING SAFETY POSITIONS TO THE FY 14 -15 BUDGET (STRATEGIC PLAN NOS. 3, C; 5, 3; 4, 2A} CITY MANAQ#k RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1° Reading ❑ Ordinance on 2"0 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve an Appropriation Adjustment recognizing $393,000 in additional Planning and Building Agency Revenue. 2. Adopt a resolution amending the City's basic classification and compensation plan and to amend the Fiscal Year 2014 -2015 annual budget to create four Building Safety positions. DISCUSSION For many years the Building Division met or exceeded a turnaround time of three weeks or less for over 90 percent of plan check submissions. This level of service compared favorably with surrounding municipalities and represented the generally accepted performance goal for plan review in the County. The Building Division had attained this level of service with seven in -house plan check staff, a contract plan checker at the public counter, streamlined internal processes, and outsourcing plan checking services during especially high volume months. Beginning in 2009, budget constraints resulted in the reduction of over 50 percent of in -house plan check staff, as well as the cancelation of both the contract plan checker and outsourced plan check services. These reductions negatively impacted plan check turnaround times. Although the impact was lessened by a concurrent reduction in plan check submittals due to the economic downturn, the addition of new state regulations pertaining to Green Building, Energy, Accessibility and evolving provisions of existing codes further increased the review time required for most projects. Building permit applications and inspection activity have steadily increased since 2010 as major development projects that were put on hold during the recession have restarted and new projects are being proposed. There are a number of large residential and commercial projects in various phases of the planning, design and construction process within the City including: 55B -1 Appropriation Adjustment and Building Safety Positions November 18, 2014 Page 2 ,,,,,Project Name Address Project Description Legado at the 200 E. First American 5 -story, 281 -unit multi - family residential project MET Way Lyon 5 -story, 256 -unit multi- family and 3 -story Communities 1901 E. 1" Street townhouse project 200 N. Cabrillo Park 6 -story, 219 -unit multi - family residential project The Madison Drive with 6,325 square feet of retails ace The 301 by 301 E. Jeanette Lane 4 -story, 182 -unit multi - family residential project Le ado above 2- levels of parking C &C 1206 N. Harbor 112 -unit residential project with a mix of single - Development Boulevard family and livelwork units The Depot at 923 N. Santiago Street 70 -unit multi - family residential project with 9,000 Santiago square feet of retail/office space Parkview Town 555 E. Memory Lane 8 -story, 174 -unit independent senior living facility and Country Renovation of the food court area and Macy's Main Place 2800 N. Main Street building to add entertainment/restaurant uses and Mall Remodel a 24 -hour Fitness Discovery Science Center 2500 N. Main Street 53,868 square foot expansion of exhibit space Expansion C &C Single 520 S. Harbor Boulevard 35 Single Family Homes Family Homes Santa Ana 1200 N. Main Street 9 -story, 149 -unit Residential Lofts, Adaptive Reuse Lofts — existing building conversion 70-unit Multi- family Residential project with 6,170 Harbor Court 815 N. Harbor Boulevard square feet of commercials ace mixed use Development Projects submitted to the Planning Division for design review has increased 12.7 percent from September 2012 -2013 compared to September 2013 -2014. This increase is an indicator of continued future growth as development projects start with the Planning Division before progressing into building plan check and ultimately, permit issuance and construction. Additionally, the valuation of permits issued has also increased over the last year by 9.6 percent over that same period. This increase in building valuation indicates that the scope and scale of projects is also increasing as larger, and thus higher valuation, projects are being developed. These indicators of continued growth further underscore the need for adequate staffing levels to meet the needs of the development community. The Planning and Building Agency currently offers an accelerated plan check program for customers wanting expedited plan check service however the majority of submitted projects do not pursue this option due to the additional costs associated with this service when compared to 55B -2 Appropriation Adjustment and Building Safety Positions November 18, 2014 Page 3 the project's size. Projects not wanting to pay the additional fees for accelerated plan check are then consigned to the current eight to twelve week turnaround time. Outsourcing plan check services during especially high volume periods or for projects which require specific knowledge or expertise is a common practice amongst cities, but is not a viable replacement for in -house plan check staff which can ultimately provide greater availability to walk -in customers, offer increased local knowledge, and provide more consistent code and policy application. Economic Development Task Force On October 14, 2014, a presentation regarding building plan check service levels was given to the Economic Development Task Force, a panel consisting of local and regional economic development and business owners. The purpose of the presentation was to review current staffing and service levels and receive feedback from the panel regarding staff recommendations for ways to improve plan check turnaround times. Following the presentation, many of the Task Force members expressed concerns regarding the negative impacts that delayed plan check turnaround times cause. Most notably among these were the added costs to the developer that result from delays in the plan check and permitting process. The Task Force agreed with the recommended staffing increases in order to return to a 15- working day turnaround level of service. Conclusion / Recommendation Following a thorough review of current and projected workloads and staffing levels, in order to return to a 15- working day plan review turnaround level of service for Building Plan Check, it is anticipated that four additional Building Safety staff are required. This will include three Senior Plan Check Engineers and one Senior Plumbing/Mechanical Systems Specialist. The additional staffing will return the City's plan check service levels back to the gold standard of 15- working days or better. It will provide full time counter plan check services, greatly assist in streamlining the permitting process, decrease reliance on accelerated outsource review, increase availability of in house expedite service, increase availability of permit by appointment program, manage and afford greater flexibility in reviewing major projects, provide consistent application of building codes and state laws, and overall, afford applicants /constituents increased staff availability in realizing development objectives. The Building Division is also implementing a number of technology and process enhancements to maximize the efficiency of both current and proposed plan check staff. These innovations include the development of online services such as online permitting and the development of electronic plan review which will allow customers to submit, track, and communicate on projects electronically. 55B -3 Appropriation Adjustment and Building Safety Positions November 18, 2014 Page 4 Providing adequate staffing to offer 15- working day plan check turnaround and increased over the counter review not only improves customer service and efficiency but also increases the safety and quality of construction by eliminating a common reason why small residential and commercial contractors pursue work without permits. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 3 (promote a solutions -based customer focus in all efforts to facilitate development and investment in the community), Strategy C (explore opportunities to encourage a business friendly environment within the city through the reduction of non - essential regulatory requirements, improved coordination between agencies for development review and addition of monetary incentives); Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Additionally, by utilizing ongoing revenue that exceeds projected revenues this action also supports Goal No. 4 City Financial Stability, Objective No. 2 (provide a reliable five -year financial forecast that ensures financial stability in accordance with the strategic plan), Strategy A (adopt a budget that is in alignment with the financial forecast and strategic plan). FISCAL IMPACT Increased development activity in Fiscal Year 2013 -2014 resulted in approximately $772,000 additional Planning and Building Agency revenue. While construction activity is variable based on market conditions, the number and scope of new residential, commercial and industrial projects received to date indicate a further increase in Planning and Building revenues. of $393,000 above the projected amounts for Fiscal Year 2014 -2015 and the foreseeable future. This additional recognized revenue combined with the remaining balance ($207,000) from the previously recognized revenue on September 16, 2014 will be used to offset the cost increased costs associated with additional Building Division Plan Check staff (4 positions) in the amount of $600,000 in salaries and benefits (Account 01116530). Karen Haluza Interim Executive Director Planning and Building Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services MF:rb rb /Reports- MatttBuilding Safety Plan Check Positions RFCA 11.1 8-2014 55B -4 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND THE CURRENT ANNUAL BUDGET TO ADD FOUR FULL TIME POSITIONS IN THE PLANNING AND BUILDING AGENCY. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. On July 1, 2014, the City Council passed and adopted Ordinance No. NS -2867, establishing the City's Budget and authorizing position allocations for Fiscal Year 2014 -2015, and requiring that alterations in the allocation of authorized positions be reviewed and approved by the City Council. B. On March 18, 2014, the City Council adopted the 5 -year Santa Ana Strategic Plan. This plan established specific goals, objectives and strategies to guide the Citys major efforts during the next five years. C. In keeping with the goals, objectives and strategies outlined in the Santa Ana Strategic Plan, along with recommendations from the Economic Development Task Force, the Interim Executive Director of the Planning and Building Agency proposes adding four (4) full time positions in the Planning and Building Agency budget. The addition of these four (4) positions will assist in returning the City's plan check service levels back to the standard of 15- working days or better turn -around time and assist with providing improved customer service. D. It is now desired to amend the Adopted Budget for Fiscal Year 2014 -2015, as amended, to effect these changes. Section 2: That Ordinance No. NS -2867, the Annual Budget for Fiscal Year 2014 -2015, as amended, shall be further amended by adding four (4) full time positions in the Planning and Building Agency, at the monthly seven -step salary rate ranges as indicated: 7 -Step Salary Rate Range Effective 11/18/14 Number of Monthly Salary Classification Title Positions Added SRR Minimum - Maximum Senior Plan Check Engineer 3 754 $8269 - $11086 Senior Plumbing /Mechanical Systems Specialist 1 663 $5304 - $7107 55B -5 Section 3: That except as amended by this Resolution, all other provisions of Ordinance No. NS -2867 setting forth the Annual Budget for Fiscal Year 2014 -2015, as amended, shall remain in full force and effect. 2014. Section 4: This Resolution shall be operative from and after November 18, ADOPTED this 180 day of November, 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalhoo,, City Attorney By: /�Josejilh Straka Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2014 -_ to be the original resolution adopted by the City Council of the City of Santa Ana on November 18, 2014. Date: 55B -6 Clerk of the Council City of Santa Ana REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: NOVEMBER 18, 2014 TITLE: APPROVED RESOLUTION AFFIRMING ADOPTION ❑ As Recommended OF THE MEASURE M2 YEAR -END ❑ Or amended W EXPENDITURE REPORT p Orrddinancee on 2"' Reading g {STRATEGIC PLAN NO. 6, 1, G} ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO '7% C FILE NUMBER CITY MANA RECOMMENDED ACTION Adopt a resolution approving the Measure M2 Annual Expenditure Report and direct the Executive Director of the Public Works Agency to submit it to the Orange County Transportation Authority, as required by Measure M2. DISCUSSION The recommended action will allow the City to continue receiving Measure M2 Comprehensive Transportation Funding Programs (CTFP) Funds. Each year local agencies are required to submit documentation to OCTA which includes a year -end expenditure report along with a resolution which approves the report to the Orange County Transportation Authority (OCTA). The expenditure report, attached to the resolution (Exhibit 1), is a detailed financial document submitted by each jurisdiction and is used to track financial activity related to the Renewed Measure M2 and other improvement funds. The report accounts for receipt, interest earned, and use of Measure M2 and other funds. This report helps to validate eligible use of funds and must be submitted within six months of the jurisdiction's fiscal year end. The report will allow the City to continue receiving approximately $4 million in Measure M2 Fairshare funds each year, and adoption of the resolution is a required reporting element. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). 55C -1 Resolution Affirming Adoption of the Measure M2 Year -End Expenditure Report November 18, 2014 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. / J) J 44 Fr ousavipour Executive Director Public Works Agency FM /EWG /ML Exhibit 1: Resolution 55C -2 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE FY 2013/14 MEASURE M2 EXPENDITURE REPORT FOR THE CITY OF SANTA ANA 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. Orange County Local Transportation Authority Ordinance No. 3 requires local jurisdictions to adopt an annual Expenditure Report to account for Net Revenues, developer /traffic impact fees, and funds expended by local jurisdictions which satisfy the Measure M2 Maintenance of Effort requirements. B. The Expenditure Report shall include all Net Revenue fund balances, interest earned and expenditures identified by type and program or project. C. The Expenditure Report must be adopted and submitted to the Orange County Transportation Authority each year within six months of the end of the City's fiscal year to be eligible to receive Net Revenues as part of Measure M2. Section 2: The City Council of the City of Santa Ana hereby finds that the FY 2013/14 Annual Expenditure Report, attached hereto as Exhibit 1, is in conformance with the M2 Expenditure Report Template provided in the Renewed Measure M Eligibility Guidelines and accounts for Net Revenues including interest earned, expenditures during the fiscal year and balances at the end of fiscal year. Section 3: The City Council adopts the Annual Expenditure Report, and directs the Executive Director of the Public Works Agency, or his designee, to submit the Expenditure Report to the Orange County Transportation Authority. 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. Page 1 of 2 55C -3 ADOPTED this _ day of 2014. Miguel A. Pulido Mayor i FORM: City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF 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 55C -4 Page 2 of 2 City of Santa Ana Schedule 1 M2 Expenditure Report Fiscal Year Ended June 30, 2014 Beginning and Ending Balances Description Line No. Amount Balances at Beginning of Fiscal Year - - - .... _.._---- - --- -- M2 Fai rshare 1 $ 6,664,205 M2 Fairshare Interest 2 ....3"' $ 50,911 -$---...---- - "(518,779) .—.....--'-------"'--- ...- --...- ---.._---...---"-"--- ;M2CTFP _ ____ �M2 CTFP Interest 4 $ 10,631 ;Other M2 Funding ;Other M 2 I nterest -' 6 — —' — " --- - ----- ------- Other 7 --------- ------------ —' ' - ----------------------------- -------------------- Balances at Beginning of Fiscal Year (sum Lines 1 to 7) 8 $ 6,206,968 -- -- -- -----'-- -... ---- --'- - '-'--- - --' ................ .Monies Made Available During Fiscal Year 9 $ 5,626,417 Sum 1-1-n- en 8-,&,- Total Monies Available -(,S, u' & 9) 10 $ 11,833,385 ;Ex enditures D uri - ng Fiscal Year 11 $ 6,146,718 Balances at End of Fiscal Year ;M2 Fairshare 12 -- $ 7,433,623 - - - - :M2 Fairshare Interest - - - - - --- " - - -- - -- -' ' - -- --' 13 $ 84,408 M2 CTFP 14 $ (1,950,195) -20,093 ;M2 CTFP Interest .. 15- - -$ ' '$- _ ..- -..._'- ..... -' ..... . ....... Other M2 Funding 16 Other M2lnterest 17 ----------------'— $ 1,639 Other' 18 $ . Please provide a specific description CTFP - Combined Transportation Funding Program Revision No. 2 55C -5 4114114 City of Santa Ana M2 Expenditure Report Fiscal Year Ended June 30, 2014 Sources and Uses Description Line No. Amount R.....e.....v....e.. .................... . P $ - ._n ..................... ............. ._. ............... .M2 Fairshare ....................z .1 1111. .... $ 4,064,201 ..........33497 .............................. ......... ..................... ........._........ M2 Fairshare Interest ........... ............. 5 . ..... ..................,........ ..u..e....s..:. ........................ _......... .......... ............... ...... ............................................... ....._.... ;M2 CTFP (Project 0) ..........4.... 3 ....5.............. $ 1,148,018 ............. ................ .... ....... ...... ................................................................................................ M2 CTFP Interest U 9,462 ............................... ........ _.......e ................................................................................................................................................... ;Other M2 Funding ** ..............................fi 5 . .......5.....................1, $ 369,600 ......... � ..................................................................................................................... :Other M2 Interest ............... 639 ............................... :Other* 7 I $ 198,919 TOTAL REVENUES (Sum lines Ito 7) 8 $ 5,626,417 Expenditures: .... .......... ........ ...... ............................... ......... ............... .............. .. ....................................... M2 Fairshare 9 ........ $ 3,294,782 ............................... .. _....., ........ ...................111.1....... _...............1 1... _............... _.........,...........,.............. .............................10 iM2 Fairshare Interest 5... - ............................... .........: ........... ..........e...................................................................................................................................... M2 CTFP (Project O) ............................... 11 $ 2,579,434 _........................ 1111.. _., ......................... _................. .................. .......... _......... _. _.................................................. M2 CTFP Interest 12 $ ...... .......... .. ... .........:....t .e............................* �......................................................................... ............................... Other M2 Fun din 13......5...............272,502 ............................... ......... ..................................................._..._..................................................., :Other M2 Interest 14 TOTAL EXPENDITURES (Sum lines 9 to 15) 1 lb I .) b,14b,/ 10 TOTAL BALANCE (Subtract line 16 from 8) 1 17 1 $ (520,301) Schedule 2 --Please provide breakdown of "Other M2 Funding ". Other M2 Funding includes funding received and /or funds expended by Local Agencies from any other M2 program besides Project O (Regional Capacity Program) and Project Q(LocaI Fair Share Program). Revenues Regional Traffic Signal Synchronization Program P $ - High Frequency Metrolink Service R $ - TransitExtensionstoMetrolink S $ - Convert MetrolinkStation( s) to Regional Gateways that connect Orange County with High -Speed Rail Systems T $ - Senior Mobility Program or Senior Non - Emergency Medical Program U $ 170,681 Community Based Transit /Circulators V $ - SafeTransitStops W $ Water Quality Program % I $ 198,919 Expenditures Regional Traffic Signal Synchronization Program p $ - HighFrequencyMetrolinkService R $ - TransitExtensionstoMetrolink S $ - Convert MetrolinkStation( s) to Regional Gateways that connect Orange County with High-Speed Rail Systems T $ Senior Mobility Program or Senior Non - Emergency Medical Program U $ 172,317 Community Based Transit /Circulators V $ - Safe Transit Stops W $ Water Quality Program % $ 100,185 Revision No. 2 55C -6 4!14/14 Mw 0 CL 0 W m CL x 02 u 0 7 Y E E 0 0 0 0 0� QQ 4:0 O p p m 0 rq a m 0: W W u Y yj=: -W; S W c a71 W- 'EM a. i m E E t E 4 "A!m 6 N VI cc Cz 0:12: 0 LD 0 7 Y E E 0 0 0 0 0� QQ City of Santa Ana M2 Expenditure Report Fiscal Year Ended June 30, 2014 Fairshare Project List Schedule 4 PROJECT NAME AMOUNT EXPENDED 061724 ENHANCEMENTS FOR 2ND RR TRACK ......... .. ..._ _..1111"- 9,898.00 - 111....11.31 0 .....--"----'._ .... ..... ... .... ... ---'-'— -- ...---'-�- - 081732 GRANDAVENUE WIDENING ._.. - -..- 1111 -.- 183.7-- 1,310,1 1111 1111 1111— ....-00 .. _-- --- ----- ----------"---.`_- -- --- '- --_.....- 091745 OCTA RR GRADE CROSSING ENHCMNT 1111 .- _- ---- 1'111--...-- 11, 4 . - - ...--"----... 1111 -- 106719 TRAFFIC SIGNAL EQUIP REPLACMNT 148, 116743 BROADWAY IMPRV:CC -SNTA CLARA 568,124.92 126757 TRAFFIC MGMENT PLANS FY 11/12 ._---------- --- ------- 28 288.00 .....----....c--...._ -..._-.-..._- '1Ny - ..'. 1-111. - ... 126762 ROW MANAGEMENT FY10 /11 & 11/12 95 106.89 �' 1111- '-- �....._. .._----_.----'- ---.....--- .'------------- - ---- 1111 ---......----........-- 126763 BRISTOL ST BIKE LANE EXTENSION 334.00 126774 PROD DEVELPMNT FY10 /11 & 11/12 7,547.48 126775 LYON ST IMPRV:CHESTNUT -FIRST 9 137.55 - -.-'.'----....'.-----..- --..._--- -_...-- .._..-- ..._--- ..._---'.. _1111— ..._---....'.-------'...— 126776 MCFADDEN IMPRV:EUCLID- NEWHOPE 307,757.81 126777 MCFADDEN IMPRV:HARBOR-FAIRVIEW ..-----_.....---.......-------- 3,624.75 ---- -...- --- .....-----iiJsc ............................-------....— 136780 OMNIBUS CONCRETE FY 12/13 20 520.28 136782 PAVEMENT MANAGEMENT FY12/13 -------- -- 245,314.80 --- --- -- ..._-- ..'2'3 ' ----- kiihto....---....-'---.....----------..--------------- 136783 Right of Way Management 44 596.23 -- - ' ' -- ._. — -_ ----.'_'--------------------_-----.---...- 136784MCFADDEN WCLTOEUCLID 1'1'1'1-- 40,427.66 --......-----"'-'----- -- -- ---- ----------------- -------- -....- -----'-'--"------ 136785 Project Development FY 12/13 55,628.65 136787 LOCAL ST PREVENTATIVE MAINT _ _ --- --- ----' - (35,147.72) . '-- --'.._- --- -..-..-- -..'- -----''— '--1111_.-- ---- --- 136788 ARTERIAL ST PREVENTATIVE MAINT 67,376.11 ..._..-----_..- ---_---------------- -.......-- 1111.. -----.'.-----.......-----_...._—'...-- 136795 LINCOLN /FAIRHAVEN ACCESS TRAIL 47,262.21 146798 OMNIBUS CONCRETE FY 13/14 78,845.31 --- ---------- -."-..._. ----"'---- ---...-- ...._- ---'- -----------------_ - - -- -------------------- 146799 NEW TRFFCSGL@ NWHOPE /CAMILLE -'— ' - - --.. 1111 1,494.29 _- -- ......_.-- 1111_ -. --_..-__...-----.. �.----..'.--- ......- -----....— _--- 146800 TRFFC SGL MOD @BEAR /SEGERSTRO `-- -- -- --_ 1,494.29 _._'--- 1... 177 — -- - - -" -- - ..'- 1111 - - --- - -- - - - --- -- 146806 PROJECT DEVELOPMENT FY 13/14 1111.- 1111.. 93 . 102,177.93 -----__......._.----- .......... ......—...---- .......---------- 146808 PAVEMENT MANAGEMENT FY 13/14 __ ___.-- - --. _ __ _ .473.92 . .. ... . ---- -.._.----'- L-----------..._ .. ............... .. .......— 146809 ARTERIAL ST PREVENTATIVE MAINT _..___._....- --- 58,666.90 ��-- --. 1111. ----.-......_..... -..- 11_11_..__- 146810 TRAFFIC SIGNAL PROD DEVELOPMNT —— _11__11.. -. 7,551.84 .__ — 111"1-- - _.._—— ' — —'— -._...__111 146818 NEWHOPE ST BIKE LN:STH- WESTMNS -_._- 1,067.35 ...._...,._-- 1111_. 1111--- - - -----------_---. ..------.......- .._.- .._---- -., __1111- 146819 TRAFFIC MANAGMNT PLANS FY13 &14 .. -.- 1111.._ - 1111. -. 27,288.00 — ... ........ ................... —... 1111 - 1_1_11 156823 PROJECT DEVELOPMENT FY 14/15 .__._......--_...--_..._.....- _.._--.._...._- --.._..._....__ 1111--- `_.___........_......... _. ._..._._...._,...._ .... ... .. ... ............ .... .___- ----- ---.._._.__....__ ..__..._.-- _ .......... ....__...._... -- --�- 1111 - 1111.__.- ......._..- 1111- - .- .- ....._.._... .- ...._._......._. - -. 1_1_11.. - _1111. -_.._- 1111.. _1111... --_ .-- 11_11__ 111_1 ... 1111. 1111. _ 1111. -. _ _1111. .___.._........_- 111_1- ._- .........._. .._- ........._.... .- 1111_. ..._.- ......._..._- 1111 _1_111.. -.._ 1111.. __ . -._ - -. 1111.. ...._..... -- 1111 -.. 1_11_1. ... 11_11. ..._ -.- - ..- _._..__ ................. . .. 1111_ .....- 11____11,.. 1_11_1 ..- _._......- 1111.. .. -._ 1111. 22,408.75 - 11_11. 1111........ 1111... -. - ._ -._ - -. - 1111.. 1111.- _1_111 _..._ -. 111_1... 1_111.. . 1111. 1111.. -.. 1111.. 1111.. 11_11 .. ....... $ 3,294,782.49 Revision No. 2 55C -8 4/14/14 City of Santa Ana M2 Expenditure Report Fiscal Year Ended June 30, 2014 Signature Page I certify that the interest earned on Net Revenues allocated pursuant to the Ordinance shall be expended only for those purposes for which the Net Revenues were allocated and all the information attached herein is true and accurate to the best of my knowledge: Director off Finance (� Revision No. 2 55C -9 4 /141 55C -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: RESOLUTION — MEASURE M2 COMPREHENSIVE TRANSPORTATION FUNDING PROGRAM GRANT APPLICATIONS (STRATEGIC PLAN NO. 6, 1, G) W CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 10 Reading ❑ Ordinance on 2n4 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt a resolution authorizing the City Manager to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program. 2. Direct staff to amend the Seven -Year Capital Improvement Program to incorporate the Comprehensive Transportation Funding Program projects list. DISCUSSION The Orange County Transportation Authority (OCTA) has issued a call for projects under the Measure M2 Comprehensive Transportation Funding Program (CTFP) for FY 2015/16 through FY 2017/18. Funding in the amount of $35 million will be awarded on a countywide competitive basis in the Regional Capacity and Traffic Signal Synchronization programs. Adoption of the recommended resolution and amending the Seven -Year Capital Improvement Program is a qualifying requirement to submit the grant applications. The City will be submitting six applications totaling $11,986,545 in grant fund requests. Existing and future local funding sources will be used to provide the required matching funds for the recommended projects. Staff is requesting authorization to apply for the following projects: RECOMMENDED PROJECTS PHASE GRANT $ FY Fairview Avenue Widening: 15/16 & 12th St to 16th St Design / Right-of-way $506,850 17/18 Bristol Street Improvements: Civic Center to Washington Construction $2,782,500 16/17 Bristol Street Improvements: Warner to St. Andrew Construction 1 $5,910,195 16/17 55D -1 Measure M2 Comprehensive Transportation Funding Program Grant Applications November 18, 2014 Page 2 Westminster Ave /17th St Traffic Signal Synchronization Implementation / maintenance $1,402,000 15/16 Main St Traffic Signal Synchronization Implementation / maintenance $1,260,000 15/16 Bear St Traffic Signal Synchronization Im lamentation / maintenance $125,000 15/16 Total $11,986,545 Given the need for these street improvements and the eligibility requirements defined by OCTA, staff recommends that the City Council adopt a resolution authorizing submittal of these project applications for funding consideration and direct staff to incorporate the projects into the Seven - Year CIP. Staff anticipates a response to the grant funding request in March 2015 and an OCTA Board action on the call for projects in May 2015. STRATEGIC PLAN Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Public Works Agency FM /EWG/ML Exhibit 1: Resolution 55D -2 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE SUBMITTAL OF IMPROVEMENT PROJECTS TO THE ORANGE COUNTY TRANSPORTATION AUTHORITY FOR FUNDING UNDER THE COMPREHENSIVE TRANSPORTATION PROGRAM BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City of Santa Ana desires to implement the transportation improvements listed below. B. The City of Santa Ana has been declared by the Orange County Transportation Authority to meet the eligibility requirements to receive Measure M "tumback" funds. C. The City's Circulation Element is consistent with the County of Orange Master Plan of Arterial Highways. D. The City of Santa Ana will provide matching funds for each project as required by the Orange County Comprehensive Transportation Funding Programs Guidelines. E. The Orange County Transportation Authority intends to allocate funds for transportation improvement projects within the incorporated cities and the County. F. The City of Santa Ana will not use Measure M funds to supplant Developer Fees or other commitments. G. The City of Santa Ana will use Arterial Highway Rehabilitation Funding as a supplement to the existing pavement management program. Reso #2014 - Page 1 of 3 55D -3 Section 2: The City Council of the City of Santa Ana hereby requests the Orange County Transportation Authority allocate funds in the amounts specified in the City's application to the City of Santa Ana from the Comprehensive Transportation Programs. Said funds shall be matched by funds from Santa Ana as required and shall be used as supplemental funding to aid the City in the improvement of the following street(s): PROJECT PROGRAM FY Westminster Ave /17th St. Traffic Signal Synchronization TSSP 15/16 Main St. Traffic Signal Synchronization TSSP 15/16 Bear St. Traffic Signal Synchronization TSSP 15/16 Fairview Ave. Widening from 9th St. to 16th St. RCP 15/16 & 17/18 Bristol St Widening: Civic Center to Washington RCP 16/17 Bristol St. Widening: Warner to St. Andrew RCP 16/17 Section 3: The City Council appoints the City Manager, or the Executive Director of the Public Works Agency or his designee, as agent for the City of Santa Ana to conduct all negotiations, execute and submit all documents, including but not limited to applications, agreements, amendments, payment requests and so on, which may be necessary for allocation of the requested funds to Santa Ana. 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. APPROVED AS TO FORM: Sonia 5,, Galho,Rity Attorney City Miguel A. Pulido Mayor 55D -4 Reso #2014 - Page 2 of 3 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby certify the attached Resolution No. 2014 to be the original resolution adopted by the City Council of the City of Santa Ana on Date: 2014. Clerk of the Council City of Santa Ana 5501-5 Reso #2014 - Page 3 of 3 55D -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: RESOLUTION - ARTERIAL PAVEMENT MANAGEMENT PROGRAM GRANT APPLICATIONS (STRATEGIC PLAN NO. 6, 1, G) CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reeding ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution authorizing the Executive Director of the Public Works Agency to submit applications for funding consideration under the Arterial Pavement Management Program. 2. Direct staff to amend the Seven -Year Capital Improvement Program to incorporate the Arterial Pavement Management Program projects list. DISCUSSION On August 11, 2014, the Orange County Transportation Authority (OCTA) issued a call for projects for Arterial Pavement Management (APM) grants. The APM program is funded with Regional Surface Transportation Program (RSTP) funding under the Moving Ahead for Progress in the 21st Century (MAP -21) Federal Transportation Act. Approximately $20 million in federal RSTP funds will be available in Fiscal Year 2015 -16. Each APM grant application must be for a minimum award of $250,000 up to a maximum of $500,000. Additionally, each candidate project is required to provide at least 50 percent in matching funds. Beginning October 2014, OCTA staff will review and rank the APM applications. The OCTA Board is scheduled to approve the program of projects on January 12, 2015. City staff is requesting authorization to submit three grant applications for APM funding for Fiscal Year 2015 -16: RECOMMENDED PROJECTS GRANT $ Warner Avenue Pavement Maintenance from west city limit to Grand $500,000 Fairview Street Pavement Maintenance from Se erstrom to north city limit $500,000 First Street Pavement Maintenance from Newhope to Main $500,000 Total $1,500,000 55E -1 Resolution - Arterial Pavement Management Program Grant Applications November 18, 2014 Page 2 Given the need for these improvements, staff recommends that City Council adopt the resolution authorizing submittal of these project applications for funding consideration, and direct staff to incorporate these projects into the Seven -Year Capital Improvement Program. STRATEGIC PLAN Approval of this item supports the City's efforts to meet Goal #6 Community vacuities & Infrastructure, Objective #1 (establish and mair assets), Strategy G (develop and implement coordination with the Community Investment and ENVIRONMENTAL IMPACT tain a Community Investment Plan for all City the City's Capital Improvement Program in Deferred Maintenance Plans). There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Public Works Agency FM/EWG /KN Exhibit: 1. Resolution 55E -2 11/12041es RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING APPLICATION FOR FUNDS FOR THE ARTERIAL PAVEMENT MANAGEMENT PROGRAM FUNDED WITH REGIONAL SURFACE TRANSPORTATION PROGRAM FUNDING UNDER THE MOVING AHEAD FOR PROGRESS IN THE 2181 CENTURY FEDERAL TRANSPORTATION ACT FOR THE WARNER AVENUE PAVEMENT MAINTENANCE PROJECT (FROM WEST CITY LIMIT TO GRAND AVENUE), THE FIRST STREET PAVEMENT MAINTENANCE PROJECT (FROM NEWHOPE STREET TO MAIN STREET), AND THE FAIRVIEW STREET PAVEMENT MAINTENANCE PROJECT (FROM SEGERSTROM AVENUE TO NORTH CITY LIMIT) 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 conclusively finds, determines and declares as follows: A. The United States Congress enacted the Moving Ahead for Progress in the 2151 Century (MAP -21) Federal Transportation Act on July 6, 2012, which makes Regional Surface Transportation Program (RSTP) funds available to the Orange County Transportation Authority (OCTA). B. OCTA has established the procedures and criteria for reviewing proposals. C. The City of Santa Ana possesses authority to nominate projects funded using Regional Surface Transportation Program funding, provide sufficient local match, and to finance, acquire, and construct the proposed project(s). D. The City Council hereby authorizes the nomination of the Warner Avenue Pavement Maintenance Project (from West City Limit to Grand Avenue), the First Street Pavement Maintenance Project (from Newhope Street to Main Street), and the Fairview Street Pavement Maintenance Project (from Segerstrom Avenue to North City Limit), including all understanding and assurances contained therein, and authorizes the Executive Director of Public Works as the official representative of the City of Santa Ana to act in connection with the nomination and to provide such additional information as may be required. 55E -3 E. The City of Santa Ana will maintain and operate the property acquired, developed, rehabilitated, or restored for the life of the facility(ies) or activity. F. With the approval of the California Department of Transportation (Caltrans) and /or OCTA, the City of Santa Ana or its successors in interest in the property may transfer the responsibility to maintain and operate the property. G. The City of Santa Ana will give Caltrans and /or OCTA's representatives access to and the right to examine all records, books, papers or documents related to the arterial pavement management project. H. The City of Santa Ana will cause project work to commence within six (6) months following notification from the State or OCTA that funds have been authorized to proceed by the Federal Highway Administration and that the project will be carried to completion with reasonable diligence. I. The City of Santa Ana commits (for each project) $1,250,000 of Measure M2- Fairshare and/or other funding sources and will provide 71.4% of the total project cost as match to the requested $500,000 in OCTA RSTP funds for a total project cost estimated to be $1,750,000 per project. J. The City of Santa Ana is responsible for preparing and submitting all necessary Caltrans- required documentation include E -76 request. The City of Santa Ana agrees to submit an E -76 Request to Caltrans District 12 by February 1 of the fiscal year identified. K. The City of Santa Ana will comply where applicable with provisions of the California Environmental Quality Act, the National Environmental Policy Act, the American with Disabilities Act, Federal Title VI, Disadvantaged Business Enterprise, Buy America provision, and any other federal, state, and/or local laws, rules and /or regulations. Section 2. The City Council hereby authorizes the execution of any necessary cooperative agreements between the City of Santa Ana and OCTA to facilitate the delivery of the project. Section 3. The City Council hereby authorizes the Executive Director of the Public Works Agency as the official representative of the City of Santa Ana to apply for the Regional Surface Transportation Program funding under the Moving Ahead for Progress in the 2151 Century Federal Transportation Act for the Warner Avenue Pavement Maintenance Project (from West City Limit to Grand Avenue), the First Street Pavement Maintenance Project (from Newhope Street to Main Street), and the Fairview Street Pavement Maintenance Project (from Segerstrom Avenue to North City Limit). Section 4. The City of Santa Ana agrees to fund its share of the project costs and any additional costs over the identified programmed amount. 55E -4 Section 5. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of November, 2014. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By; Lisa E. Storck Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers Miguel A. Pulido Mayor CERTIFICATION OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of Council, do hereby attest to and certify the attached Resolution No. 2014- to be the original resolution adopted by the City Council of the City of Santa Ana on November 18, 2014. Date: Clerk of Council City of Santa Ana 55E -5 55E -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: APPROPRIATION ADJUSTMENT RECOGNIZING HOUSING RELATED PARKS PROGRAM GRANT REVENUE AND RESOLUTION UPDATE {STRATEGIC PLAN NO. 5, 4A} CITY MANAGgR RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 � Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve an appropriation adjustment recognizing grant revenue in the amount of $316,350 in the Parks /Recreation Capital Grants revenue account (no. 16113002 52025) and appropriating funds to the State Resources Agency Grant expenditure accounts (no. 16113262 various). 2. Approve an appropriation adjustment recognizing District 1 Acquisition and Development funds in the amount of $175,000 in the Residential Development District 1 revenue account (no. 31113002 57991) and appropriating funds to the Residential Development District 1 expenditure accounts (no. 31113260 various). 3. Adopt a resolution recognizing the Housing Related Parks Grant in the amount of $1,030,800 for the construction of a park at Memory Lane and the Santa Ana River. DISCUSSION The State of California issued a Notice of Funding Availability for the Housing Related Parks Program to provide funds for parks and recreation projects that benefit the community and add to the quality of life. The program awards funds on a per- bedroom basis for residential units, affordable to very low- and low- income households, created or converted during the designated program year. The project site is approximately a half acre of undeveloped, vacant land next to the Santa Ana River Bike Trail. The project will add a park to the inventory of park sites in the City. Improvements will include installation of a rest area with drinking fountains, bike racks, equestrian hitching station, playground equipment and shelter, exercise area, drought tolerant landscaping and river rock bio- Swale, security lighting, hard surface and decomposed granite walkway and other site amenities. The project site is intended for use by the nearby Vista Del Rio Housing site as well as users of the Santa Ana River Bike Trail. 55F -1 Resolution for Housing - Related Parks Program November 18, 2014 Page 2 The Parks, Recreation and Community Services Agency was notified that the grant application was awarded $1,030,800. A resolution is required recognizing the grant funds. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4, Support neighborhood vitality and livability, Strategy a, Support the design and construction of parks to provide increased open space and opportunities for recreation throughout the city, construct the Roosevelt Walker Park and Community Center, and develop concepts and proposals for the Library Park in the Civic Center and Centennial Santa Ana River Eco -Park. FISCAL IMPACT As part of the CIP, the City appropriated $714,450, the anticipated grant amount for fiscal year 2014 -2015. This appropriation adjustment of $316,350 represents the difference between the anticipated amount and actual grant award of $1,030,800. The appropriation adjustments will recognize grant revenue in the amount of $316,350 in the Parks /Recreation Capital Grants revenue account (no. 16113002 52025) and appropriate an equal amount to the State Resources Agency Grant expenditure accounts (no. 16113262 various) and recognize funds in the amount of $175,000 in the Residential Development District 1 revenue account (no. 31113002 57991) and appropriate an equal amount to the Residential Development District 1 expenditure accounts (no. 31113260 various). Gerardo Mouet Executive Director Parks, Recreation & Community Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: Executive Director Finance & Management Services Agency /l' 55F -2 10 -2814 les RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACKNOWLEDGING THE GRANT AWARD FOR HOUSING - RELATED PARKS PROGRAM GRANT AND AUTHORIZING EXECUTION OF STATE STANDARD AGREEMENT FOR SUCH GRANT BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The State of California, Department of Housing and Community Development ( "State ") issued a Notice of Funding Availability dated October 2, 2013 ( "NOFA ") under its Housing - Related Parks ( "HRP ") Program. B. By Resolution No. 2014 -004, the City of Santa Ana was authorized to apply for a HRP Program grant and submitted the 2013 Designated Program Year Application Package released by the State for the HRP Program. C. The State is authorized to approve funding allocations for the HRP Program, subject to the terms and conditions of the NOFA, Program Guidelines, Application Package, and Standard Agreement. D. The State has awarded an HRP Program Grant to the City in the amount of One Million Thirty Thousand Eight Hundred Dollars ($1,030,800.00) for the improvements to the Memory Lane/Santa Ana River Park. Section 2. The application the City submitted was approved by the State for funding to the City in the amount of One Million Thirty Thousand Eight Hundred Dollars ($1,030,800.00) and the City is hereby authorized and directed to enter into, execute, and deliver a State of California Standard Agreement ( "Standard Agreement"), and any and all other documents required or deemed necessary or appropriate to secure the HRP Program Grant from the State, and all amendments thereto (collectively the "HRP Grant Documents "). Section 3. The City shall be subject to the terms and conditions specified in the Standard Agreement. Funds are to be used for the allowable capital asset project consisting of the improvements to Memory Lane/Santa Ana River Park, which is identified in Exhibit A to the Standard Agreement. Any and all activities funded, information provided, and timelines represented in the application are enforceable through the Standard Agreement. City agrees to use the funds for eligible capital asset(s) in the manner presented in the application as approved by the State and in accordance with the NOFA and Program Guidelines and Application Package. 55F -3 10-28.14 les Section 4. The Executive Director of the Parks, Recreation and Community Services Agency, by previous resolution, is authorized to execute in the name of the City, the HRP Program Application Package and the HRP Grant Documents as required by the State for participation in the HRP Program. Section 5. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:� �. Lisa E. Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2014. Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2014- to be the original resolution adopted by the City Council of the City of Santa Ana on November 18, 2014. Date: Clerk of the Council City of Santa Ana 55F -4 STATE OF CALIFORNIA STANDARD AGREEMENT AGREEMENT NUMBER STD 213 (Rev 06M3) 14RAPP.9159 REGISTRATION NUMBER Th is Agreement is entered into between the State Agency and the Contractor named below; STATE AGENCY'S NAME DEPARTMENT OF HOUSING AND COMMUNITY DEVELOPMENT CONTRACTOR'S NAME City orsants Ana __ .... ..... 2 -The term of this Agreement is: Upon TICK) Approval through 095012816 3. The maximum amount of this S110301808.00 Agreement is: 4 The parties agree to comply with the terms and conditions of the following exhibits which are by this reference made a part of the Agreement. Exhibit A - Authority, Purpose and Scope of Work 2 Exhibit B - Budget Detail and Payment Provisions 2 Exhibit C - State of Califomia General Terms and Conditions" OTC - 6I8 Exhibit D - HRPP Terms and Conditions 2 Exhibit E- Special Terms and Conditions I Exhibit F - Additional Provisions 0 TOTAL NUNMER OF PAGES ATTACHED-. 7 pages Items shown with an Asterisk (t), are hereby Incorporated by reference and made part orthis agreement as if enached hereto. These documents can be viewed at http,l/www.documents.des.ca.aovlol.VQTC-610.doc IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CONTRACTOR Califerals Department of OON"fRACTDR'$ NAME (iCathor than sn individusl, state wheNer ymrpomtfon, partnxship,etc) General Service Use Only City of Santa Ana DAT 3(G`NE5(moomttypa) ADDRESS 20 Civic Center Plaza Room 273 b1 -23, Santa Ana, CA 92701 STATE OF CALIFORNIA AGENCY NA't1E Department of Housing and Community Development BY (Authoreed Signmurei DATE SIGNED (Do not typo) PRINTED NAME AND TITLE OF PERSON SIGNING Cathy Parr, Contracts Manager, Business & Coot net Services Branch __ .-._ ._ _____.___.. _ ____—. x Exempt pereSC Yl 4.04.A3(DGS ADDRESS - -- Memo dated 6112/81) 2020 W. El Camino Ave, Sacramento, CA 95833 APPROVED AS TO FORM LISA E. STORCK Assistant 81ty Atterney 55F -5 EXHIBIT A Joni Authority City of Santa Ana 14 -HRPP -9159 Page 1 of 2 Pursuant to Chapter 8 of Part 2 of Division 31 of the California Health and Safety Code, commencing with Section 50700, as added by Section 1 of Chapter 841 of the Statutes of 2008, the State of California Department of Housing and Community Development (herein referred tD as the "State" or the "Department ") has established the Housing- Related Parks (HRP) Program (the "Program "). This Standard Agreement (the "Agreement') Is entered Into under the authority of, and in furtherance of the purposes of, the Program as set forth In Health and Safety Code Section 50701. Pursuant to Health and Safety Code Sections 50702 and 50704.5, the State has issued a Notice of Funding Availability, dated October 2, 2013 (NOFA) and Program guidelines dated September 2013 (the "Guidelines ") governing the Program. 20MV17r. M. In accordance with the authority cited above, the Contractor has applied to the State for financial assistance (the "Application') in the form of a grant from the Program (the "Grant "). The State has agreed to make the Grant, as a financial incentive based on the issuance of housing starts, for housing units affordable to very low- and low-income households by the Contractor pursuant to the terms of the NOFA, the Guidelines and this Agreement. Based on the representations made by the Contractor in Its Application, which is hereby incorporated as if set forth in full, the State shall provide a Grant in the amount shown below for the purpose of paying for capital Improvement(s) related to the acquisition, rehabilitation, or construction of a Park and Recreation Facility. The State and the Contractor have agreed to enter into this Agreement in accordance with the terms and conditions herein, subject to all the provisions of the applicable statutes, the NOFA, the Guidelines and further subject to the State laws and requirements governing State contracts. Capitalized terms herein shall have the meaning of the definitions set forth in the Guidelines. ITT -T-T 7Fi'f"Ii.'i Improvements to Memory Lane / Santa Ana River Park. HRP Program Grant - Round 3 NOFA Date: 10/02!13 Rev. Date: 8115114 Prep Dale: 8120114 55F -6 EXHIBIT A Grant Tlmelines City of Santa Ana 14- HRPP•9159 Page 2 of 2 No work performed prior to the effective date of this Agreement or after June 30, 2018, shall be funded. The effective date of this Agreement is the date it is executed by the State, after execution by the Contractor. All funds must be requested from the Department no later than April 30, 2016. For the purpose of this Agreement, no funds may be expended after June 30, 2016. It is the responsibility of the Contractor to monitor the project and timeliness of draws within the specified dates. CNEW =1k MUt_ -c The total amount of this Grant is $1,030,800.00. HRP Program Grant — Round 3 NOFA Dale: 10/02113 Rev. Date: 8115114 Prep Date: 6120/14 55F -7 EXHIBIT B ):f:1"97M_ MT Lj rant Funds City of Santa Ana 14 -HRPP -9159 Page 1 of 2 A. Grant funds shall only be used for projects approved by the Stale that Involve the construction, rehabilitation, and/or acquisition of capital assets as defined by the California Government Code, Section 18727(a) that benefit the community within the Contractor's jurisdiction and as further set out in Section 108 of the Guidellnes. Capital assets include tangible physical property with an expected useful life of fifteen (15) years or more, equipment with an expected useful life of two (2) years or more, or major maintenance, reconstruction, or demolition for purposes of reconstruction and/or retrofitting work. B. Incidental expenses shall not be paid by Grant funds unless they are directly related to the construction or acquisition of an eligible capital asset. Such expenses include costs associated with planning, engineering, construction management, environmental impact reports, appraisals, site acquisitions, or necessary easements. C. Grant funds shall not be expended for the administrative costs of persons directly employed by the Contractor or for other "soft" coats that are not directly related to the construction, rehabilitation or acquisition of capital assets. 2. Performance Contractor shall take such actions, pay such expenses and de all things necessary to complete the Work specified in Exhibit A In accordance with the schedule for completion set forth therein and within the terms and conditions of this Agreement. �ilrmfx ii = M A. Term: The effective date of this Agreement is the date upon which it is executed by the State (the date stamped in the lower right portion of the Standard Agreement (Std. 213) through September 30, 2018. All funds must be requested by the Contractor by April 30, 2018 and expended by June 30, 2018. This Agreement shall terminate September 30, 2016. B. The Contractor shall make any and all request(s) for disbursement no earlier than ninety (90) days from the anticipated need for the funds, using the forms provided by the State. The forms will be made available at httn: //www.hcd.ca..qov/hod /hroo. The Contractor shall expend the funds within 90 days from the date of receipt from the State, or by June 30, 2016, whichever occurs earlier and subsequent supporting documentation shag be submitted to the Department. C. Failure to expend contract funds in a timely manner may affect future funding. HR Program Grant —Round 3 NOFA Date: 1 D102113 Rev, Dale: 8 /18N4 Prep Date: 8720114 y e, City of Santa Ana 14 -HRPP -9159 Page 2of2 EXHIBIT B D. A separate checking account for the Grant funds is not required. However, the Contractor shall deposit Grant funds in an interest bearing checking or savings account, or the State may require the Contractor to deposit all Grant funds into a segregated account in an Institution whose deposits are insured by the federal or state government. All interest earned from the deposit of Grant funds shall be used for allowable, Program purposes and accounted for to the State. All funds not expended within 90 days of receipt, or by June 30, 2016, as applicable, shall be returned to the State with accrued interest. E. The Contractor shalt make a good faith effort to minimize the number of disbursement requests to the State by anticipating and requesting in advance the maximum amount of funds that can be expended within the (ninety) 90 day time frame. F. The Contractor shall inform the State within a reasonable amount of time in the event that expenditures related to an authorized project(s) are less than the total Grant award. The Contractor may expend the balance of Grant funds on additional capital assets projects, upon written State approval. Contractor shalt provide the State with a letter of request that describes the additional project(s) to be funded. G. The Contractor shalt immediately inform the State, no later than December 31, 2015, 0 the Contractor anticipates it will not be able to expend all Grant funds by June 30, 2016. H. The Contractor is responsible for maintaining records which fully disclose the activities funded by the Grant. Adequate documentation of each transaction shall be maintained to permit the determination, through an audit 9 requested by the State, of the accuracy of the records and the eAowability of expenditures charged to Grant funds. If the allowability of expenditure cannot be determined because records or documentation are inadequate, the expenditure may be disallowed, and the State shall determine the reimbursement method for the amount disallowed. The State's determination of the atiowabiitiy of any expense shall be final, absent fraud, mistake or arbitrariness. 1. Any Grant funds remaining unexpended as of June 30, 2016, must be returned to the State with accrued Interest. Checks shall be made payable to the Department of Housing and Community Development (HCD) and shall be mailed to the Department at the address below, no later than July 31, 2016. Department of Housing and Community Development Accounting Division 2020 K El Camino Ave. P.O. Box 952050 Sacramento, California 94252 -2050 HRP Program Grant — Round 3 NOFA Date: 10112/13 Rev. Date: 8/15114 Prop Data: 8120/14 55F -9 EXHIBIT D HRP PROGRAM GENERALTERMS AND CONDITIONS HRP Prooram Grant 1. Report Requirements City of Santa Ana 14 -HRPP -9159 Page 1 of 2 During the term of this Agreement, the Contractor shall submit the following reports by the deadlines specified, or as otherwise required at the discretion of the State: A. The Contractor shall submit annual reports to the State thirty (30) days after December 31° of each year ( "Annual Report"), during the term of this Agreement for as long as the Contractor has not expended all Grant funds. The Annual Report shall contain (1) the progress the Contractor has made in completing the approved projects partially or wholly funded by the Grant, including a description of the community benefit; (2) the amount of Grant funds drawn down and expended to date by the Contractor; and (3) a description of projects completed. The Contractor shall use the forms provided by the State made available at htto:/www.hcd.ca.00vlhod /hro o; and, B. Upon complete expenditure of the Grant funds, the Contractor shall submit a final report In a manner satisfactory to the State ( "Final Report"). The Final Report shall be submitted to the State within 60 days of June 30, 2016, the date all funds must be expended. The Final Report shall contain (1) a description of the final capital assets constructed or purchased with the Grant funds; and, (2) the number of certificates of occupancy issued in relation to the number of building permits issued in the program year. The Contractor shall use the forms provided by the State made available at hft:J/www.hcc1.ca,cov/hQd/hrpp. 2. State Contract Coordinator The state contract coordinator of this Agreement for the Department is the HRP Program Manager, Division of Housing Po'.icy Development, or the Manager's designee ( "State Contract Coordinator"). Unless otherwise informed, any notice, report, or other communication required by this Agreement shall be mailed first class to the State Contract Coordinator at the following address: Department of Housing and Community Development Division of Housing Policy Development 2020 W. El Camino Ave, P.O. Box 95250 Sacramento, California 94252 -2050 Attention: HRP Program Manager 3. Audit/Ratention and insoection of Records Contractor agrees that the Department or its delegates will have the right to review, obtain, and copy all records pertaining to performance of this Agreement. Contractor agrees to provide the Department or its delegatee with any relevant information requested and shall permit the Department or its delegatee access to its premises, upon reasonable notice, during normal. HRP Program Grant - Round 3 NOFA Date: 10/02/13 Rev. Date: 8/15114 Prep Date: 8120114 55F -10 City of Santa Ana 14- HRPP•9159 Page 2 of 2 EXHIBIT D business hours for the purpose of interviewing employees and inspecting and copying such books, records, accounts, and other material that may be relevant to a matter under Investigation for the purpose of determining compliance with the California Public Contract Code Section 10115 at seq., the California Government Code Section 8546.7 and Title 2, Califomia Code of Regulations, Section 1896.60 at seq. Contractor further agrees to maintain such records for a period of three (3) years after final payment under this Agreement. Contractor shall comply with the caveats and be aware of the penalties for violations of fraud and for obstruction of investigation as set forth in the California Public Contract Code Section 10115.10, The State reserves the right to add any special conditions to this Agreement it deems necessary to assure that the policy and goals of the Program are achieved. 5. Prevailina Mass A. Where funds provided through this Agreement are used for construction work, or in support of construction work, Contractor shall ensure that the requirements of Chapter I (commenting with Section 1720) of Part 7 of the Califomia Labor Code (pertaining to the payment of prevailing wages and administered by the California Department of Industrial Relations) are met. B. For the purpose of this requirement " constructon work' Includes, but Is not limited to rehabilitation, alternation, demolition, installation or repair done under contract and paid for, in whole or In part, through this Agreement. All construction work shall be done through the use of a written contract, with the properly licensed building contractor incorporating these requirements (the "construction contractor"). Where the construction contract will be between the Contractor and a licensed building contractor the Contractor shall serve as the "awarding body' as that term is defined in the California Labor Code. Where the Contractor will provide funds to a third party that will enter into the construction contract with a licensed building contractor, the third party shall serve as the "awarding body ". Prior to any disbursement of funds, including but not limited to release of any final retention payment, the State may require a certification from the awarding body that prevailing wages have been or will be paid. HRP Program Grant - Round 3 NOFA Date. 10102/13 Rev. Date: 8115114 Prep Dale: 820114 55F -11 City of Santa Ana 144HRPP-9159 Page t of 1 EXHIBIT E HRP PROGRAM SPECIAL TERMS AND CONDMONS HRP Proaram Grant The following Special Terms and Conditions are applicable to this Agreement and shall control notwithstanding anything to the contrary herein: 1. No grant funds will be disbursed until the Department has been provided with and approves an acceptable updated resolution authorizing the exact grant award amount encumbered by this Standard Agreement. HRP Program Chant— Round 3 NOFA Date ID /02/13 Rev. Date: 8 /15 /14 Prep Date: 55F -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: APPROVE 2015 CALENDAR OF CITY COUNCIL MEETING DATES {STRATEGIC PLAN NO. 5, 1} RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve the 2015 calendar of City Council Meeting dates. 2. Direct the Clerk of the Council to post a Notice of Cancellation for the regularly scheduled City Council meetings scheduled for January 6, 2015 and July 21, 2015; the City Council hereby waives notice of said meetings as required by the government code. DISCUSSION On May 6, 2013 the City Council adopted Resolution No. 2013 -019 which changed the City Council Meetings from 1St and 3rd Mondays of the month to 152 and 3rd Tuesdays of the month. Attached is a calendar of regularly scheduled City Council Meetings for the year. In addition, the January 6, 2015 and July 21, 2015 regularly scheduled meetings are proposed to be canceled. The Council will resume consideration of regular Council items at their next regular scheduled meeting. The City Council reserves the right to cancel any other meetings and notify the public as legally required. The Calendar will be posted on the City's website to better inform the public of upcoming meetings. City Council Meetings are held in the Council Chamber, 22 Civic Center Plaza, Santa Ana. Council Committee meeting locations vary; please check the agenda for meeting time and location. FISCAL IMPACT There is no fiscal impact associated with this item. aria D. Huizar, Clerk of the Council Attachment 65A -1 65A -2 I.. VI S M T W T F S 1 2 3 4 5r 6 1 7 8 9 10 11 12 13 14 15 16 17 19 19 = 21 22 23 24 25 26 27 28 29 30 31 APRIL _ 5 M T W T F S 1 2 3 4 5 6 = 8 9 10 11 12 13 14 15 16 17 18 19 20 = 22 23 24 25 26 27 28 29 30 JUL[ S M T W T F S 1 2 3 4 5 6 8 9 10 11 12 13 14 15 16 19 20 22 23 24 25 26 27 28 29 30 t S M T W T F S 1 2 3 4 5 = 7 8 : 10 II 12 13 14 15 16 17 18 19 = 21 22 "rW, 24 25 26 27 28 29 30 31 Santa Ana City Council Meetings 2015 FEBRUARY S M T W T F S 1 2_ 4 5 6 7 8 9 10 11 19 13 14 15 16 = 18 19 20 21 22 23 24 25 i„ 27 28 MAY S M T W T F -....5 I 2 3 4_ 6 7 8 9 10 11 12 13 14 'S 16 17 18 _ 20 21 22 23 24 25 26 27 28 99 30 31 5 M T W T F S 1 2 3= 5 6 7 8 9 10 11 12 13 14 15 16 17 a 19 20 21 22 23 24 25 26 27 , 28 29 5 M T W i F 5 1 2= 4 5 7 8 9 10 11 12 13 14 15 16 = 18 19 21 22 23 24 25 26 27 28 29 30 CITY COUNCIL M EETING I1 16/2015 and 7/21 /2015 Meetings Cancelled) HOLIDAY - CITY HALL CLOSED CITY HALL CLOSED- 9/80 WORK SCHEDULE PROPOSED CANCELLATION OF CITY COUNCIL MEETINGS MARCH S M T 2 W I 4 6 S 7 8 IS 9 10 16 II 12 18 19 13 20 14 21 22 23 24 25 26 27 28 29 30 31 JUNE S M T I= W 3 4 - 5 5... 6 7 8 9 10 I1 12 13 14 15 = 17 10 19 20 21 22 23 24 25 26 27 28 29 30 SEPTEMBER 5 M T W T r S 2 3 4 a 6 7 8 9 10 11 12 13 14 = 16 17 I8 I9 20 21 22 23 24 25 27 28 29 30 S M T W T F 5 _ 2 3 4 5 6 7 8 9 10 11 12 13 14 = 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 Meetings listed on colendar am REGULAR meetings. Special Meetings may be scheduled 24 -hours in advance (as permitted by the Brown Ad). For a copy of Agenda and meefing location, please refer to City's website at: http: //wwwsonio�ona.ag /citym tings.asp 65A -3 65A -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: SANTIAGO CREEK FIRE PREVENTION ACTION PLAN {STRATEGIC PLAN NO. 5, 4} 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 CIT AN R RECOMMENDED ACTION Receive and file Santiago Creek Fire Prevention Action Plan. The Santiago Creek Fire Prevention Action Plan identifies the step -by -step implementation of proposed fire prevention and safety efforts in the Santiago Creek Channel between Interstate 5 Freeway and Flower Street in order to reduce the risk of fire to the City's right -of -way and adjacent homes. This is a joint project between the City of Santa Ana Public Works Agency and the Orange County Fire Authority. STRATEGIC PLAN Approval of this item supports the City's efforts to meet Goal #6 Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. Notice from the State Department of Fish and Wildlife has conditionally exempted the city's action plan. FISCAL IMPACT There js no fiscal impact associated with this action. Fr d M u avipour In Leonard E cutive Director Division Chief - Division 6 Public Works Agency Orange County Fire Authority Exhibit 1: Memorandum 65B -1 65B -2 MEMORANDUM ( " -9 To: David Cavazos, City Manager Date: November S, 2014 From: Devin Leonard, Division Chief, Orange County Fire Authority_-", Fred Mousavlpour, Executive Director, Public Works Agency y=,r,,,, Subject: SANTIAGO CREEK FIRE PREVENTION ACTION PLAN Recommendation City staff recommends: a) Removal of the dead trees and brush from the City's right of way at Santiago Creek Channel between Interstate 5 Freeway and Flower Street with assistance from Orange County Fire Authority in order to reduce the risk of fire to the City's right of way and adjacent homes. b) Pick up and haul away at no cost to the residents all combustible plant material and dead vegetation that property owners along this segment gather from their own properties and place at the curbside or at an equally accessible location at the front of their residence. Background Within the City's jurisdiction, Santiago Creek runs west from border with the City of Orange to the Santa Ana River. Along the route, the ownership and corresponding maintenance responsibilities vary, with the City of Santa Ana and the County of Orange owning the majority of land in the creek. However, between Interstate 5 Freeway and Flower Street, the City owns an irregular shaped parcel which only partly covers the creek bed and embankment. Within this segment, large portions of the creek are within the boundaries of private residential lots fronting Park Lane and Riverside Drive (See Exhibit 1). For the discussion purposes, this segment will be referred to as Santiago Creek. Southern California Edison also owns and maintains a 12 KV overhead power line and support poles within the City's creek right of way. A boundary and topography survey within the subject segment of Santiago Creek was conducted by the City In 2013 and a copy of this survey was made available to the property owners along the creek. Process to Perform Santiago Creek Fuel Management Due to the sensitive nature of the creek and neighborhood concerns with any activities that take place in the creek, staff has developed the following action plan depicting a step -by -step Implementation of proposed fire prevention and safety effort. This plan essentially ensures that all neighbors and resident In the immediate vicinity of the Santiago Creek receive full disclosure on what fire safety F.0FCAeAFCA -%&A11 1814 PWA Ha RFCA Memo 6amiapoCreaF FimPlan (n).dou LI W SANTIAGO CREEK FIRE PREVENTION ACTION PLAN November 5, 2014 Page 2 of 4 measures will take place and when the work will be done. Staff proposes at least two meetings with residents and neighbors, one which will include a field trip to review the planned activities. The following table summarizes the steps proposed by staff: Step Description Date } have 6enservatien� and cvM12 ST61) ,;,;n,e- :Rtk-0epa,z,..ewE ef t.. n ...'t F...... them is type 9 Game nt necessaFy eFfO..\. 2 Memo to City Council providing an OVERVIEW and STEPS recommended including City's plan to enhance safety by minimizing fire risk within the City's right of way areas at this location. 11/06/2014 3 Mail / distribute OVERVIEW and STEPS with the immediate neighbors (send with the boundary map). 11/06/2014 4 Meet with the neighborhood to review the OVERVIEW and STEPS after contacting them and agreeing on a meeting date /time. 11/13/2014 Thursday 5:30 pm 5 Distribute to the neighborhood flyers outlining what the City will be doing and why, and invite them to the field review. 11/15/2014 6 Receive and file report to City Council 11/18/2014 7 Field review the boundary and field markings with neighbors after an agreed upon date (agreed to on 11/14/2014). 11/22/2014 Sat AM 8 Consider any feedback we receive, and revise clean -up details as needed 11/25/2014 9 Send out reminder flyer with details of the clean -up effort. 11/25/2014 10 The Orange County Fire Authority (OCFA) has agreed to reduce fire hazards in the Santiago Creek, specifically within the City's Right of Way. OCFA has also agreed to, at no cost to residents, pick up and haul away combustible plant material dead vegetation that property owners gather from their own properties and place curbside at the front of their residence. First or Second week, Dec. 2014. Fire History The Santiago Creek has a fire load (fuels available to burn) similar to many California communities; a mixture of live and dead fuels in a variety of "fuel packages," ranging from grass to trees. The fire load within the creek presents a typical fire risk for any creek bed area. In past years, fires have occurred within the Santiago Creek area. Most of these fires have remained small in size. In some cases, there have been fires which have involved ground level vegetation and have spread vertically to involve large eucalyptus trees. In the majority of cases, the fires have been confined to the creek bed area with little to no involvement of personal property. However, there have been some (# from OCFA) fires which have caused damage to fencing and patio furniture along the rear of properties as well as to the power poles along the creek. L• SANTIAGO CREEK FIRE PREVENTION ACTION PLAN November 5, 2014 Page 3 of 4 Fire Prevention Many of the adjacent property owners have expressed concern at the potential fire behind their houses and have requested the City to manage the risk by removing dead trees or portions of trees as well as dead brush. Other residents along the creek prefer the vegetation left as is. The residential structures along the creek typically have a rear yard setback such that the houses are placed near the street and away from the fire load within the creek bed and embankment. This helps to reduce the threat of fire extending to residences in the event a fire occurs in the creek. However, some habitable structures along Park Lane and Riverside Drive are within 50 feet of the City's creek right of way containing combustible vegetation. The City is responsible for keeping its right of way safely maintained and providing reasonable efforts to reduce the risk of fire. As with any natural land area in close proximity to habitable structures, land owners can lower the risk of a fire by removing dead vegetation from their property. Proposed Fuel Management Efforts Staff recommends working with the Orange County Fire Authority to remove of dead vegetation at no cost to the City or residents adjacent to the creek. The City and OCFA are intending to clean -up dead trees and brush within the City's right of way. The purpose of the fuel management is strictly to reduce the fire danger to those homes near the creek. Regulatory Permits The City provided California Department of Fish and Wildlife with a Notification of Lake or Streambed Alteration in November of 2013 to perform routine maintenance within Santiago Creek between Flower Street and Interstate 5 Freeway, specifically vegetation management to reduce the risk of fire along the creek embankment and within 100 feet of habitable structures. The notification states that no heavy equipment will be used in the creek. In December of 2013, the Department of Fish and Wildlife acknowledged receipt of the notification, determined that the proposed maintenance effort will not have a substantially adverse affect on existing fish or wildlife resource, and informed the City that a Lake or Streambed Alteration Agreement is not needed. The described correspondence allows the City /OCFA staff to perform the referenced maintenance work. Staff will investigate to determine whether the allowance extends to the property owners. Required Permission to Access over Private Properties The City's property within the creek contains steep ground slope, dense vegetation, large rocks and encroachments from neighboring parcels. Access to the City's right of way is made difficult by this L• SANTIAGO CREEK FIRE PREVENTION ACTION PLAN November 5, 2014 Page 4 of 4 varying terrain, and to get to portions of the property, OCFA /City staff would seek to traverse over adjacent private property. Although OCFA /City fuel removals will be limited to City property only, staff will request permission from the adjacent property owners to facilitate access to the creek and haul -off the collected fuel debris either through the their yards along Park Lane, or through the creek bed. The duration of the access will coincide with the period of vegetation removal. City /OCFA staff will ask individual property owners to execute an access agreement. The extent of City property to be cleared will depend on the number and location of neighbors willing to participate in granting temporary access. Of particular importance is cooperation from the parcels at the east and west edges of the narrow section of the City's property. Staff will also request permission from the owners of interior Park Lane parcels through their side and rear yards to access as much of the City property as possible. City staff and OCFA would: 1) Engage in community outreach by sending a the boundary map along with a letter to all residents along the Santiago Creek advising them of the inherent risk associated with combustible vegetation accumulating on their private property and encourage them to remove the dead vegetation on their property. 2) Conduct a community outreach meeting to establish a clear understanding of risks, City /OCFA staff recommendations, requests and actions to be taken. Staff will clarify that the actions are strictly related to safety. 3) Set stakes demarking property boundaries to help residents and staff visualize limits of City's ownership in Santiago Creek. 4) Conduct a second community outreach meeting in the creek to view limits of removals and identify types of vegetation to be removed. 5) Identify access needs and request written permission for ingress and egress for crews during removals (See Required Permission to Access over Private Properties below). 6) Confirm removal dates and send reminder notification to the residents. 7) Where necessary, reset property boundary demarcation to ensure that removals by OCFA and City staff do no extend beyond City ownership. S) When the removals are being done, OCFA with the help of City staff will remove dead or previously burned trees and brush within the City's right of way and within 100 feet of habitable structures. The crews will use hand tools and cut larger trees with small power tools. The waste will be carried to a designated staging location within Fisher Park and /or directly to Park Lane where private property access is granted. The waste will be chipped at the staging sites and loaded into dumpsters. REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: CONSIDERATION OF MEDICAL MARIJUANA DISPENSARIES ENFORCEMENT PLAN (STRATEGIC PLAN NOS,-1i- 1 F; 1,1 B; 4, 2A; 5, 4E) RECOMMENDED ACTION Adopt Medical Marijuana Enforcement Plan. DISCUSSION 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 On September 2, 2014 the City Council requested staff to create an enforcement plan that would more effectively provide for the closure of illegal medical marijuana dispensaries, as well as allow for the monitoring of any collectives that might be allowed to operate legally should either of the two ballot initiatives (Measure BB and Measure CC) scheduled to come before the voters on November 4, 2014 should pass. Since that time Measure BB was adopted by the voters. This staff report details the proposed enforcement plan, staffing requirements and revenue projections. RECOMMENDED ENFORCEMENT PLAN The recommended Enforcement Plan will focus on gaining rapid closure of any collectives /dispensaries operating illegally in the City of Santa Ana and will also provide for the ongoing compliance with the operating standards established in Measure BB, adopted by the voters on November 4, 2014. This enforcement plan will require additional staffing, which will be offset by revenues estimated to be collected through the gross receipts tax on legal collectives. Staff recommends that the process to begin rapid closure of any illegal dispensaries begin no sooner than February 5, 2015. This is the date on which the locations of any legal collectives will be known via the selection process mandated in Measure BB, at which point any dispensaries still remaining in operation will clearly be operating in opposition to the law. All known illegal dispensaries will be sent a letter prior to February 5, 2015 detailing the enforcement process to provide advance notice of the City's intent to ensure that all illegally operating dispensaries are closed. 65C -1 Medical Marijuana Dispensaries Enforcement Plan November 18, 2014 Page 2 Illegal Dispensaries Rapid Closure Process 1. Issuance of administrative citation and fine to property owner and business operator. Location must cease operations within 48 hours. 2. Disconnection of utilities. Upon return for inspection 48 hours after initial issuance of administrative citation the location's utilities will be disconnected by the City. If they have not already vacated the premises, any occupants must do so. 3. Posting of property. Following disconnection of the utilities the location will no longer be in compliance with the requirements of the SAMC for buildings that are safe to occupy. The property will be posted to notify the public that an illegal medical marijuana dispensary has been closed at that location and will also contain contact information should the public wish to contact the City to report any further illegal activity. 4. Arrest for trespassing. As a last resort, and should any individuals still remain in the location, the Police Department may arrest them for trespassing. Enforcement of Reaulatory Safety Permit for Approved Collectives The Chief of Police, Carlos Rojas, has prepared a detailed memo regarding the process by which the Police Department will ensure compliance with the standards contained within the regulatory safety permit approved by the voters under Measure BB. This memo is attached. Staffing Requirements and Revenues Implementation of the rapid closure process and the ongoing enforcement of the requirements of the regulatory safety permit will require the addition of the following staff positions: Medical Mariivana Staffing Costs Police Officer Community Preservation Inspectors i Forensic Auditor 6 Annual Cost Per Projected Total Tide Number Position Annual Cost Police Officer Community Preservation Inspectors i Forensic Auditor 6 $ 150,000 $ 900,000 2 $ 120,000 $ 240,000 1 $ 175,000 $ 175,000 Assistant City Attorney 1 $ 185,000 $ 185,000 TOTAL 10 $ 630,000 $ 1,500,000 65C -2 Medical Marijuana Dispensaries Enforcement Plan November 18, 2014 Page 3 The cost to offset these staff positions will be received from the gross receipts tax charged detailing this revenue estimate is attached. funded by the revenue that is estimated to be to each permitted dispensary. A spreadsheet STRATEGIC PLAN ALIGNMENT The Strategic Plan contains several strategies relating to the enforcement of medical marijuana collectives /dispensaries: Goal 1 - (Community Safety), Objective 1 (Modernize the Community Policing philosophy to improve customer service, crime prevention and traffic / pedestrian / bicycle safety) Strategy f (Enhance the Police Department's community policing philosophy to balance both traditional policing and problem solving strategies to address and reduce violent, property and gang related crimes), Strategy b (Develop a community policing plan based on community input to deliver crime prevention/ community policing/ traffic - pedestrian safety programs in a consistent and uniformed manner.) Goal 4 - City Financial Stability Objective 2 Provide a reliable five -year financial forecast that ensures financial stability in accordance with the strategic plan. Strategy A (Adopt a budget that is in alignment with the financial forecast and strategic plan.) Goal 5 - Community Health, Livability, Engagement & Sustainability, Objective 4 (Support neighborhood vitality and livability.) Strategy E (Implement innovative code enforcement practices and strategies including the use of volunteers, enhanced technologies and increased collaboration with other City departments and outside agencies to address critical livability issues citywide (e.g. overcrowding, absentee landlords, landlord /tenant rights and responsibilities, etc.). FISCAL IMPACT Revenue to fund any increased staffing costs will be provided through a gross receipts tax. 0 Karen A. Haluza Interim Executive Director Planning and Building Agency KH:rb WreportsWedleal Maoivana Enfonbment Plan RFCA 11 -18 -14 Exhibits: 1. Memo from Chief Carlos Rojas Re: Medical Marijuana Dispensary & Narcotics Task Force 2. Revenue Projections 65C -3 65C -4 Memo Santa Ana Police Department Office of the Chief of Police To: David Cavazos, City Manager From: Carlos Rojas, Chief of Police Date: November 12, 2014 Subject: Medical Marijuana Dispensary & Narcotics Task Force BACKGROUND On November 4, 2014, voters of Santa Ana passed a proposition regulating the operations of sanctioned medical marijuana dispensary businesses in the city. On December 16, 2014, a resolution adopting the Medical Marijuana Registration Processing Fee and Regulatory Safety Permit Fee will be presented to the City Council for formal action. This new regulation will require City staff to inspect sanctioned businesses for ordinance compliance and aggressively address complaints of illegal business, in compliance with the law and best investigative practices for appropriate legal disposition. RECOMMENDATION / MISSION I recommend a Team of five (5) experienced police officers, led by a Police Sergeant, be established to serve as the primary enforcement arm to address this new public safety business necessity. The Team would work as part of a larger Task Force with other City partners from Code Enforcement, Building Inspection, City Attorney's Office and the Orange County Fire Authority. The Detective Team members would operate out of the Investigations Bureau of the Police Department. As the scope of some legal MMD's and certainly within the illegal narcotics trade, there is a need to access the appropriate level of expertise in conducting high level investigations related to money laundering and drug trafficking organizations. This strategy may also involve partnerships with state and federal agencies. The Detectives would have the ability and skill set to effectively operate in an undercover capacity in support of all members of the Task Force and the City's overall mission in addressing this public safety concern. As with other traditional investigative units, the Team would work closely in direct support of case preparation for criminal prosecution and/or administrative civil action. FISCAL IMPACT Personnel costs for (1) Detective Sergeant, (5) Detectives; undercover vehicles and smart phones budgeted as ongoing costs. Work space for the Team has been designated within Investigations Bureau, including meeting rooms for the broader Task Force members as needed. EXHIBIT 1 65C -5 Y O u d W .^ N C L 41 a C- a� m c E U E V1 CO CL C�_ L C N G. Q �L C tcC � G � V L a N O C �p M Y WI G �p y H N J ;X S E E •N c_ d X �y H « M Y on S J C M � � N r C N N 7 m (Q C c c g c i5 e c a M �1 _n o n a x h it d t7 Ln °0044 Q0 8 QQ0 $ F o S 8 N e•1 N �•1 H N N N N N VF to % R {/} VY N V/ W iA (R VF 65C -6 A M M O N N .!1 A 6 Ja C a s a N s t0 N r! N d y O 6 ~ x ••I N O Y a u L N 0 m m C N Y E N v 0 m N F m 2 K W MEMORANDUM (9 To: Mayor and City Council Date: November 13, 2014 From: David Cavazos, City Manager Subject: IMPLEMENTATION OF MEASURE BB — MEDICAL MARIJUANA DISPENSARY PERMITS This memo has been developed in coordination with the City Attorney's Office and provides an update on the implementation of Measure BB. Since the adoption of Measure BB on November 4, 2014 a number of questions have arisen about the ordinance, whether near -term changes can be made to it, how the new ordinance will be implemented, and whether the applicant qualifications and operational standards will address public safety concerns. This memo will address each of these questions. The ordinance; including the qualification, registration and selection process, were developed after extensive research and City Council input including: 1. Consulting with experts involved in developing medical marijuana legislation here in California and other states; 2. Researching processes used in other cities that regulate medical marijuana, including the cities of Berkeley, Long Beach, Los Angeles, Palm Springs, Phoenix, AZ, Oakland, San Diego, and others and; 3. Numerous meetings among staff to ensure a rigorous application process. Voter Approved Ballot Measure The City has a legal duty to enforce a voter - approved ballot measure. Cases have suggested that a City Attorney has a duty to enforce a voter - approved measure even while seeking a judicial determination in a post - election challenge. As members of the City Council have noted, the adopted measure includes language reserving the right of the City Council to make future amendments without voter approval (Measure BB — Section 6). However, the primary intent of this section is to allow for updates to the ordinance to ensure that the City remains in compliance with state and federal laws, as well as to allow for the ability to make adjustments to the ordinance should experience gained during its implementation indicate the need to do so. At this time, we have no recommended changes to the ordinance. Mandated Processing Timeline Measure BB mandates a strict processing timeline. Regardless of any challenges to the Measure, the City must proceed with implementation. Staff will bring an enforcement plan before the City Council on November 18, 2014 and there will be several follow -up items, such as the establishment of application fees, which will be brought before the Council on December 16, 2014. Certification of the election results, including Measure BB, will be considered by the City Council on December 9, 2014, 1 65C -7 which begins the mandated implementation timeline. Key dates to which the City must adhere are as follows: December 17, 2014 Applications to register are released to the public. January, 15, 2015 Application period closes. The Planning and Building Agency Executive Director will review the applications to determine if the proposed location is within one of the eligible zones. If the address is not within one of the eligible zones, the application will be rejected. Staff will also map each of the proposed locations to determine which, if any, are within 500 feet of another collective. This information will be used during the lottery. January 26, 2015 Applicants will be notified if the address they propose has qualified. February 5, 2015 A public selection meeting (lottery) will be held to choose specific locations from the qualified registration list. This process will be used to ensure that no two dispensaries are located within less than 500 feet of each other. All of those on the qualified registration list will be assigned a number during the selection meeting (lottery). Locations will be selected until either, all of the allowable areas are covered, or there are no more applications. This does not allow a seller to begin operating. It only qualifies them for the next step in the process — application for the regulatory safety permit. The entire lottery process will be overseen by an outside, independent accounting firm. Extensive Pre - Qualification Process, Thorough Background Check, Operating Standards Upon receipt of the application for the regulatory safety permit, the Police Department will begin background checks and review each component of the extensive and detailed security plan that each prospective operator must submit. Each collective operator(s) and employees shall complete a criminal background check. Employees, managers or volunteers may not have been convicted of, or plead guilty /no- contest to a felony or misdemeanor drug charge within the past four years. The following is a detailed list of the regulatory safety permit application requirements, requirements for approval by the Police Chief and operating standards. Regulatory Safety Permit Application Requirements • The address of the property where the proposed Medical Marijuana Collective(s) will operate; • A site plan describing the property with fully dimensioned interior and exterior floor plans including electrical, mechanical, plumbing, and disabled access compliance pursuant to Title 24 of the State of California Code of Regulations and the federally mandated Americans with Disabilities Act; • Exterior photographs of the entrance(s), exits(s), street frontage(s), parking, front, rear and side(s) of the proposed property; • Photographs depicting the entire interior of the proposed property; 2 65C -8 • If the property is being rented or leased or is being purchased under contract, a copy of such lease or contract; • If the property is being rented or leased, written proof that the property owner, and landlord if applicable, were given notice that the property will be used as a Medical Marijuana Collective, and that the property owner, and landlord if applicable, agree(s) to said operations; • The name, address, telephone number, title and function(s) of each manager, employee, volunteer, etc.; • For each manager, employee, volunteer, a fully legible copy of one valid government issued form of photo identification, such as State Driver's License or Identification Card; • If the Medical Marijuana Collective is a corporation, a certified copy of the Collective's Secretary of State Articles of Incorporation, Certificate(s) of Amendment, Statement(s) of Information and a copy of the Collective's Bylaws; • If the Medical Marijuana Collective is an unincorporated association, a copy of the Articles of Association; • The name and address of the applicant's current agent for Service of Process; • A copy of the applicant's Board of Equalization Seller's Permit; • A copy of the Medical Marijuana Collective Operating Standards, listed in Section 18 -613, containing a statement dated and signed by the responsible party on -site stating under penalty of perjury, that they read, understand and shall ensure compliance with the aforementioned operating standards. Regulatory Safety Permit Requirements for Aporoval by the Chief of Police • The required fee has been paid. • The application conforms in all respects to the provisions of this article. • The applicant has not knowingly made a material misrepresentation in the application. • The applicant has fully cooperated in the investigation of his application. • The applicant has not had a regulatory safety permit or other similar license or permit denied or revoked for cause by this City or any other city located in or out of this state within the five (5) years prior to the date of application. • The collective as proposed by the applicant would comply with all applicable laws including, but not limited to, health, zoning, fire and safety requirements. • The applicant has demonstrated compliance with the California Department of Justice, Office of the Attorney General, "Guidelines for the Security and Non - Diversion of Marijuana Grown for Medical Use' standards. Operating Standards • At all times the collective is open, a collective shall provide at least one security guard who is licensed, possesses a valid Department of Consumer Affairs "security guard card ", and has a valid Santa Ana Business License. Security guards shall not possess firearms. • The security guard and collective personnel shall monitor the site and the immediate vicinity of the site to assure that patrons immediately leave the site and not consume medical marijuana in the vicinity of the collective or on the property or in the parking lot. 3 65C -9 • Exterior signage shall be limited to one wall sign not to exceed ten square feet in area and may not be externally or internally illuminated. Interior signage or advertising may not be visible from the exterior. • No recommendations from a doctor for medical marijuana shall be issued on -site. • There shall be no on -sale sales of alcohol or tobacco products, and no on -site consumption of food, alcohol, tobacco or marijuana by patrons. • Hours of operation shall be limited to: Monday— Saturday 10 a.m. to 8 p.m. and Sunday 11 a.m. to 7 p.m. • The property provides a sufficient odor absorbing ventilation and exhaust system so that odor generated inside the property is not detected outside the property, anywhere on adjacent property or public rights -of -way, or within any other unit located within the same building as the collective. • A collective shall only dispense medical marijuana to qualified patients and their caregivers as defined by California Health and Safety Code section. 11362.5 (Proposition 215). This shall include possession of an original valid doctor's recommendation, not more than one year old, for medical marijuana use by the patient. • A collective shall notify patrons of the following both verbally and through posting of a sign in a conspicuous location: • Use of medical marijuana shall be limited to the patient identified on the doctor's recommendation. Secondary sale, barter or distribution of medical marijuana is a crime and can lead to arrest. • That loitering on and around the collective site is prohibited by California Penal Code section 647(e) and that patrons must immediately leave the site and not consume medical marijuana in the vicinity of the collective or on the property or in the parking lot. • Forgery of medical documents is a felony crime. • A warning that patrons may be subject to prosecution under federal marijuana laws. • That the use of medical marijuana may impair a person's ability to drive a motor vehicle or operate machinery. • A collective shall not provide marijuana to any individual in an amount not consistent with personal medical use. • A collective shall not store more than $200.00 in cash reserves overnight on the premises and shall make at least one daily bank drop that includes all cash collected on that business day. • No one under 21 years of age shall be permitted to enter establishment, unless such person is a qualified patient and is accompanied by his or her Primary Caregiver, licensed Attending Physician, parent(s) or documented legal guardian. • A collective shall provide the name and phone number of an on -site staff person to the Police Department and Community Preservation Division for notification if there are operational problems with the establishment. • Each collective operator(s) and employees shall complete a criminal background check. Employees, managers or volunteers may not have been convicted of, or please guilty /no- contest to a felony or misdemeanor drug charge within the past four years. a 65C -10 • Marijuana shall not be grown or cultivated at collective sites, except that cuttings of the marijuana plant may be kept or maintained on -site for distribution to qualified patients and primary caregivers as follows: • The cuttings shall not be utilized by a collective as a source for the provision of marijuana for consumption on -site, however, upon provision to a qualified patient or primary caregiver, that person may use the cuttings to cultivate marijuana plants off -site for their own use and they may also return marijuana from the resulting mature plant for distribution by the collective. • For the purposes of this paragraph, the term "cutting" shall mean a rootless piece cut from a marijuana plant, which is no more than six inches in length, and which can be used to grow another plant in a different location. • A collective shall comply with the applicable provisions of the California Health and Safety Code sections 11362.5 through 11362.83, inclusive. • If food is distributed, the collective shall comply with all relevant state laws and City ordinances pertaining to the preparation, distribution and sale of food. • The location, interior and exterior, shall be monitored at all times by web -based closed- circuit television for security purposes. The camera and recording system must be of adequate quality, color rendition and resolution to allow the ready identification of any individual committing a crime anywhere on or adjacent to the location. The recordings shall be maintained for a period of not less than ninety days. The Police Department may request the recordings in connection with an investigation. If the recordings are not voluntarily provided, the Police Department may seek a warrant or court order for the recordings. • The location shall have a centrally- monitored fire and burglar alarm system and the building or the portion of the building where the collective is located shall contain a fire -proof safe. • No manufacture of concentrated cannabis in violation of California Health and Safety Code section 11379.6 is allowed. • No collective shall operate for profit. Cash and in -kind contribution, reimbursements, and reasonable compensation provided by members towards the collective's actual expenses of the growth, cultivation, and provision of medical marijuana shall be allowed provided that they are in strict compliance with State Law. All such cash and in -kind amounts and items shall be fully documented. • If the collective operator is not the owner of the property where the collective is to operate, the operator shall provide evidence that the property owner(s) consent to the operation of a collective on the property. s 65C -11 Requirements for Certificate of Occupancy and Business License After the regulatory safety permit has been approved by the Police Chief, the prospective operator must also apply for a Certificate of Occupancy and obtain a business license. After the operator has successfully completed all of these steps, they may begin operating. Operators must remain in compliance with all ordinance requirements. Permits may be revoked in the event that operators cease to comply and they may be charged with a misdemeanor. In addition, each operator must apply to renew their regulatory safety permit on an annual basis. This memo and all of the information pertaining to Measure BB can be found on the City's website at the following address: www.santa- ana.org /cannabiscollectives. r Karen Haluza Interim Executive Director — Planning and Building Agency cc: Sonia Carvalho, City Attorney Carlos Rojas, Police Chief Attachments: Measure BB Ordinance Language Eligibility Map Processing Timeline C 65C -12 PROPOSED ORDINANCE NO. NS -2864 AN ORDINANCE OF THE PEOPLE OF THE CITY OF SANTA ANA AMENDING CHAPTER 18 OF THE MUNICIPAL CODE TO DELETE AND REPLACE ARTICLE XIII, TO DELETE SECTION 41 -121, DELETE SUBSECTION (B) OF SECTION 41 -144, AND AMEND ARTICLE XII OF CHAPTER 21 BY ADDING SECTIONS 21 -126, 21 -127, 21 -128, 21 -129 AND 21 -130 TO REGULATE THE ESTABLISHMENT, OPERATION AND TAXATION OF MEDICAL MARIJUANA COLLECTIVES AND COOPERATIVES WHEREAS, in 1996, the California electorate approved Proposition 215, the Compassionate Use Act of 1996, which allows a patient, with a doctor's recommendation, to use marijuana for medical purposes without the fear of prosecution or arrest; and WHEREAS, in 2003, the California legislature passed Senate Bill 420 (Medical Marijuana Program Act) which amended the Health and Safety Code to permit the establishment of medical marijuana dispensaries for the distribution of marijuana for medical purposes; and WHEREAS, cities where medical marijuana dispensaries have been permitted to operate have experienced significant problems, including burglaries and takeover robberies of dispensaries, robberies of customers leaving dispensaries, an increase in crime (especially thefts and robberies) in the vicinity of dispensaries, illegal re- selling of marijuana obtained from dispensaries, physicians issuing apparently fraudulent recommendations for the use of marijuana, collective staff selling marijuana to customers with obviously counterfeit patient identification cards, street dealers attempting to sell marijuana to collective customers, collective customers using marijuana and then driving under the influence of marijuana, the sale of illegal drugs other than marijuana in the dispensaries, sales of marijuana to minors; and WHEREAS, after studying various alternatives for the regulation of medical marijuana dispensaries, considering testimony from members of the public, and reviewing the legal status of medical marijuana dispensaries under applicable law, the City Council finds that the regulation and operation of medical marijuana dispensaries is necessary to protect the public health, safety, and welfare by mitigating the adverse secondary effects from the operations of medical marijuana dispensaries; and WHEREAS, the City of Santa Ana has a compelling interest in ensuring that marijuana is not distributed in an illicit manner, in protecting the public health, safety and welfare of its residents and businesses, in preserving the peace and quiet of the neighborhoods in which medical marijuana collectives operate, and in providing compassionate access to medical marijuana to its seriously ill residents. 1 65C -13 NOW, THEREFORE, THE PEOPLE OF THE CITY OF SANTA ANA DO ORDAIN AS FOLLOWS: SECTION 1. The People hereby adopt the recitals and findings set forth above and in the request for Council action -staff report prepared in connection with this ordinance. SECTION 2. Article XIII of Chapter 18 of the Santa Ana Municipal Code is hereby deleted in its entirety and replaced with the following: Chapter 18 ARTICLE XIII. MEDICAL MARIJUANA COLLECTIVES /COOPERATIVES 18 -610. Purposes and intent. It is the purpose and intent of this article to regulate the collective distribution of medical marijuana in order to ensure the health, safety and welfare of the residents of the City of Santa Ana. The regulations in this article, in compliance with the Compassionate Use Act, the Medical Marijuana Program Act, and the California Health and Safety Code (collectively referred to as "State Law ") do not interfere with a patient's right to use medical marijuana as authorized under State Law, nor do they criminalize the possession or cultivation of medical marijuana by specifically defined classifications of persons, as authorized under State Law. Under State Law, only qualified patients, persons with identification cards, and primary caregivers may cultivate medical marijuana collectively. Medical marijuana collectives shall comply with all provisions of the Santa Ana Municipal Code ( "Code "), State Law, the 2008 California Attorney General Guidelines for the Security and Non - Diversion of Marijuana Grown for Medical Use, and all other applicable local and state laws. Nothing in this article purports to permit activities that are otherwise illegal under state or local law. 18 -611. Definitions. (a) "Cultivation" and /or "Cultivate' shall mean the planting, growing, harvesting, drying, processing, or storage of one or more marijuana plants or any part thereof. (b) "Medical Marijuana Collective" or "Cooperative" or "Collective" means any facility or location where medical marijuana is made available and /or distributed by or to one or more of the following: a primary caregiver, a qualified patient or a person with an identification card in strict accordance with California Health and Safety Code Section 11362.5 et seq., as sometimes amended. A "medical marijuana collective" shall not include the following uses, as long as the location of such uses are otherwise regulated by this Code or applicable law: a clinic licensed pursuant to Chapter 1 of Division 2 of the Health and Safety Code, a health care facility licensed pursuant to Chapter 2 of Division 2 of the Health and Safety Code, a residential care facility for persons with chronic life- threatening illness licensed pursuant to Chapter 3.01 of Division 2 of the Health and Safety Code, a residential care facility for the elderly licensed pursuant to 2 65C -14 Chapter 3.2 of Division 2 of the Health and Safety C home health agency licensed pursuant to Chapter 8 Safety Code, as long as such use complies strictly with limited to, Health and Safety Code Section 11362.5 Municipal Code, "Dispensary" and "Dispensaries" have Collective or Cooperative. ode, a residential hospice or a )f Division 2 of the Health and applicable law including, but not et seq. For purposes of this the same the same meaning as (c) "Identification Card" shall have the same definition as that contained in Health and Safety Code § 11362.7 et seq., as sometimes amended. (d) "Manager" means any person responsible for the establishment, organization, supervision, or oversight of the operation of a Collective, including but not limited to members who perform the functions of president, vice - president, director, operating officer, financial officer, secretary, or treasurer. Ability to control one or more of the following functions shall be prima facie evidence that such person is a manager: (1) to hire, select, or separate employees or staff, including volunteers; (2) to acquire facilities, furniture, equipment or supplies other than occasional replenishment of stock; (3) to disburse funds of the business other than occasional expenditures for replenishment of stock; or (4) to make, or participate in making, policy decisions relative to the operations of the business. (e) "Marijuana" shall have the same definition as that contained in Health and Safety Code § 11018 as sometimes amended. (f) "Medical Marijuana" shall have the same definition as that contained in Health and Safety Code § 11362.5 et seq., as sometimes amended. (g) "Primary Caregiver" shall have the same definition as that contained in Health and Safety Code § 11362.5 and 11362.7, as sometimes amended. (h) "Qualified Patient" shall have the same definition as that contained in Health and Safety Code § 11362.5 as sometimes amended. 18 -612. Scope of article. The operating standards established in this article apply to any site, facility, location, use, cooperative or business currently operating in the City of Santa Ana, or which commences operations after the effective date of this Article, that distributes, dispenses, stores, sells, exchanges, processes, delivers, or gives away, medical marijuana to qualified patients, health care providers, patients' primary caregivers, or physicians, pursuant to Health & Safety Code § 11362.5 (adopted as Proposition 215, the "Compassionate Use Act of 1996 ") or any state regulations adopted in furtherance thereof. Any collective in the City of Santa Ana shall operate in conformance with the operating standards set forth in section 18 -613 of this Code to assure that the operations of the collective are in compliance with California law and to mitigate the adverse secondary effects from operations of dispensaries. 18 -613. Operating standards. 65C -15 (a) At all times the collective is open, a collective shall provide at least one security guard who is licensed, possesses a valid Department of Consumer Affairs "security guard card ", and has a valid Santa Ana Business License. Security guards shall not possess firearms. (b) The security guard and collective personnel shall monitor the site and the immediate vicinity of the site to assure that patrons immediately leave the site and not consume medical marijuana in the vicinity of the collective or on the property or in the parking lot. (c) Exterior signage shall be limited to one wall sign not to exceed ten square feet in area and may not be externally or internally illuminated. Interior signage or advertising may not be visible from the exterior. (d) No recommendations from a doctor for medical marijuana shall be issued on -site. (e) There shall be no on -site sales of alcohol or tobacco products, and no on- site consumption of food, alcohol, tobacco or marijuana by patrons. (f) Hours of operation shall be limited to: Monday -- Saturday 10 a.m. - -8 p.m. and Sunday 11 a.m.--7 p.m. (g) The property provides a sufficient odor absorbing ventilation and exhaust system so that odor generated inside the property is not detected outside the property, anywhere on adjacent property or public rights -of -way, or within any other unit located within the same building as the collective. (h) A collective shall only dispense medical marijuana to qualified patients and their caregivers as defined by California Health and Safety Code § 11362.5 (Proposition 215). This shall include possession of an original valid doctor's recommendation, not more than one year old, for medical marijuana use by the patient. (1) A collective shall notify patrons of the following both verbally and through posting of a sign in a conspicuous location: (1) Use of medical marijuana shall be limited to the patient identified on the doctor's recommendation. Secondary sale, barter or distribution of medical marijuana is a crime and can lead to arrest. (2) That loitering on and around the collective site is prohibited by California Penal Code § 647(e) and that patrons must immediately leave the site and not consume medical marijuana in the vicinity of the collective or on the property or in the parking lot. (3) Forgery of medical documents is a felony crime. (4) A warning that patrons may be subject to prosecution under federal 4 65C -16 marijuana laws. (5) That the use of medical marijuana may impair a person's ability to drive a motor vehicle or operate machinery. (j) A collective shall not provide marijuana to any individual in an amount not consistent with personal medical use. (k) A collective shall not store more than $200.00 in cash reserves overnight on the premises and shall make at least one daily bank drop that includes all cash collected on that business day. (1) No one under 21 years of age shall be permitted to enter establishment, unless such person is a qualified patient and is accompanied by his or her Primary Caregiver, licensed Attending Physician, parent(s) or documented legal guardian. (m) A collective shall provide the name and phone number of an on -site staff person to the Police Department and Community Preservation Division for notification if there are operational problems with the establishment. (n) Each collective operator(s) and employees shall complete a criminal background check. Employees, managers or volunteers may not have been convicted of, or plead guilty /no- contest to a felony or misdemeanor drug charge within the past four years. (o) Marijuana shall not be grown or cultivated at collective sites, except that cuttings of the marijuana plant may be kept or maintained on -site for distribution to qualified patients and primary caregivers as follows: (1) The cuttings shall not be utilized by a collective as a source for the provision of marijuana for consumption on -site, however, upon provision to a qualified patient or primary caregiver, that person may use the cuttings to cultivate marijuana plants off -site for their own use and they may also return marijuana from the resulting mature plant for distribution by the collective. (2) For the purposes of this paragraph, the term "cutting" shall mean a rootless piece cut from a marijuana plant, which is no more than six inches in length, and which can be used to grow another plant in a different location. (p) A collective shall comply with applicable provisions of the California Health and Safety Code §§ 11362.5 through 11362.83, inclusive. (q) If food is distributed, the collective shall comply which all relevant state laws and City ordinances pertaining to the preparation, distribution and sale of food. 65C -17 (r) The location, interior and exterior, shall be monitored at all times by web - based closed- circuit television for security purposes. The camera and recording system must be of adequate quality, color rendition and resolution to allow the ready identification of any individual committing a crime anywhere on or adjacent to the location. The recordings shall be maintained for a period of not less than ninety days. The Police Department may request the recordings in connection with an investigation. If the recordings are not voluntarily provided, the Police Department may seek a warrant or court order for the recordings. (s) The location shall have a centrally - monitored fire and burglar alarm system and the building or the portion of the building where the collective is located shall contain a fire -proof safe; (t) No manufacture of concentrated cannabis in violation of California Health and Safety Code section 11379.6 is allowed; (u) No collective shall operate for profit. Cash and in -kind contributions, reimbursements, and reasonable compensation provided by members towards the collective's actual expenses of the growth, cultivation, and provision of medical marijuana shall be allowed provided that they are in strict compliance with State Law. All such cash and in -kind amounts and items shall be fully documented. (v) If the collective operator is not the owner of the property where the collective is to operate, the operator shall provide evidence that the property owner(s) consent to the operation of a collective on the property. 18 -614. Reserved. 18 -615. Zones permitted. No collective shall operate within a residential (R -1, R -2, R -3, R -4, RE, CR) zone, Professional (P) zone, Arterial Commercial (C -5) zone, Planned Shopping Center (C -4) zone, Specific Development (SD), Specific Plan (SP) or Agricultural (A -1) zone. A Collective may only operate in an Industrial zone (M -1, M -2) in accordance with this Article. 18 -616. Separation requirements. (a) No collective shall be located within 500 feet of another Medical Marijuana Collective or Cooperative or within 1,000 feet of any: (1) School; (2) Park; (3) Residential zone. 65C -18 18- 617.01 Cooperative /Collective registration required. Within 30 days after the adoption of this Chapter, the Director of Planning and Building shall prepare Cooperative /Collective registration application forms and a related administrative policy. Each collective interested in operating pursuant to this article may submit an application together with a non - refundable processing fee in an amount established by the City Council within 60 days after the adoption of this article, the Director shall stop accepting applications and process all applications received. The Director or his or her designee shall determine whether each application demonstrates compliance with this article. Each application that is in compliance with this article shall be placed on a qualified registration list and the Director shall notify the applicant in writing of its qualified registration status. Once all applications are processed, the Director shall hold a 'lottery" process in an open and public location and select 20 applications. Each applicant may then choose to file an application for a Regulatory Safety Permit pursuant to Section 18- 617.2. The Director shall maintain the qualified registration list and update it on an annual basis. Any applicant on the list must submit a written request each year to maintain its status on the list and the Director may place new applicants on the list in order in which the applications are received. 18- 617.01 Cooperative /Collective regulatory safety permit. (a) Every Medical Marijuana Collective shall obtain a Regulatory Safety Permit from the Police Department. The applicant shall pay a non - refundable fee in an amount established by the City Council. It shall be unlawful for any person, association, partnership or corporation to engage in, conduct or carry on, in or upon any premises within the City a Medical Marijuana Collective without the required permit. (b) A copy of the Regulatory Safety Permit shall be displayed at all times in a place visible to the public. (c) A Regulatory Safety Permit shall be valid for a period of one (1) year, unless sooner revoked. No permit granted herein shall confer any vested right to any person or business for more than the above - referenced period. 18- 617.2. Medical marijuana collective — regulatory permit application process. (a) Any Medical Marijuana Collective desiring a regulatory safety permit required by this article shall, prior to initiating operations and after receiving notice of its successful registration under section 18- 617.01, complete and file an application to the Chief of Police on a form supplied by the Police Department. The application shall be filed together with a nonrefundable fee as establish by resolution of the City Council, to defray, the cost of investigation required by this article. The application shall contain all of the following: 65C -19 (1) The address of the property where the proposed Medical Marijuana Collective(s) will operate; (2) A site plan describing the property with fully dimensioned interior and exterior floor plans including electrical, mechanical, plumbing, and disabled access compliance pursuant to Title 24 of the State of California Code of Regulations and the federally mandated Americans with Disabilities Act; (3) Exterior photographs of the entrance(s), exits(s), street frontage(s), parking, front, rear and side(s) of the proposed property; (4) Photographs depicting the entire interior of the proposed property; (5) If the property is being rented or leased or is being purchased under contract, a copy of such lease or contract; (6) If the property is being rented or leased, written proof that the property owner, and landlord if applicable, were given notice that the property will be used as a Medical Marijuana Collective, and that the property owner, and landlord if applicable, agree(s) to said operations; (7) The name, address, telephone number, title and function(s) of each manager, employee, volunteer, etc.; (8) For each manager, employee, volunteer, a fully legible copy of one valid government issued form of photo identification, such as State Driver's License or Identification Card; (9) If the Medical Marijuana Collective is a corporation, a certified copy of the Collective's Secretary of State Articles of Incorporation, Certificate(s) of Amendment, Statement(s) of Information and a copy of the Collective's Bylaws; (10) If the Medical Marijuana Collective is an unincorporated association, a copy of the Articles of Association; (11) The name and address of the applicant's current agent for Service of Process; (12) A copy of the applicant's Board of Equalization Seller's Permit; (13) A copy of the Medical Marijuana Collective Operating Standards, listed in Section 18 -613, containing a statement dated and signed by the responsible party on -site stating under penalty of perjury, that they read, understand and shall ensure compliance with the aforementioned operating standards. The Chief of Police shall have sixty (60) calendar days in which to investigate the application and background of the applicant. The department of building safety and 65C -20 housing, the fire department and the Orange County Health Department shall inspect the premises proposed to be devoted to the collective establishment and shall make separate recommendations to the Chief of Police or designee concerning compliance with the foregoing provisions. The Chief of Police or designee, after receiving the application and aforementioned recommendations, shall grant the permit if he finds: (1) The required fee has been paid. (2) The application conforms in all respects to the provisions of this article. (3) The applicant has not knowingly made a material misrepresentation in the application. (4) The applicant has fully cooperated in the investigation of his application. (5) The applicant has not had a regulatory safety permit or other similar license or permit denied or revoked for cause by this City or any other city located in or out of this state within the five (5) years prior to the date of application. (6) The collective as proposed by the applicant would comply with all applicable laws including, but not limited to, health, zoning, fire and safety requirements. (7) The applicant has demonstrated compliance with the California Department of Justice, Office of the Attorney General, "Guidelines for the Security and Non - Diversion of Marijuana Grown for Medical Use" standards. 18- 617.3. Medical marijuana collective — regulatory permit annual renewal (a) Applications for the renewal of a permit shall be filed with the Chief of Police at least sixty (60) calendar days before the expiration of the current permit. Temporary permits will not be issued. Any permittee allowing his or her permit to lapse or which permit expired during a suspension shall be required to submit a new registration application and pay the corresponding original application fees. (b) Any person desiring to obtain a renewal of his/her respective permit shall file a written application under penalty of perjury on the required form with the Chief of Police who shall conduct an investigation. The application shall be accompanied by a nonrefundable filing fee established by separate resolution of the City Council to help defray the cost of the investigation required by this article. An applicant shall be required to update the information contained in his/her original permit application and provide any new and /or additional information as may be reasonably required by the Chief of Police in order to determine whether said permit should be renewed. 18.617.4 Maintenance of records. 65C -21 A Medical Marijuana Collective shall maintain records at the location accurately and truthfully documenting: (1) the full name, address, and telephone number(s) of the owner, landlord and /or lessee of the location; (2) the full name, address, and telephone number(s) of all members who are engaged in the management of the collective and the exact nature of each member's participation in the management of the collective; (3) the full name, address, and telephone number(s) of all patient members to whom the collective provides medical marijuana, a copy of a government- issued identification card for all patient members; (4) the full name, address, and telephone number(s) of all primary caregiver members to whom the collective provides medical; (5) all receipts of the collective, including but not limited to all contributions, reimbursements, and reasonable compensation, whether in cash or in kind, and all expenditures incurred by the collective for the cultivation of medical marijuana; and (6) proof of compliance with the California Attorney General Guidelines for the Security and Non- Diversion of Marijuana Grown for Medical Use. These records shall be maintained by the collective for a period of five years and shall be made available by the collective to the Police Department and /or Community Preservation Division upon request. If they are not produced as requested the City may seek a search warrant, subpoena, or court order. In addition to all other formats that the collective may maintain, these records shall be stored by the collective at the location in a printed format in its fire -proof safe. Any loss, damage or destruction of the records shall be reported to the Police Department within 24 hours of the loss, destruction or damage. 18 -617.5 Audits. Annual Audits. No later than February 15 of every year, each collective shall file with the City one copy of an audit of its operations of the previous calendar year, completed and certified by an independent certified public accountant in accordance with generally accepted auditing and accounting principles. The audit shall include but not be limited to a discussion, analysis, and verification of each of the records required to be maintained pursuant to this article. 18 -618. Inspection and enforcement responsibilities. The Community Preservation Division may enter and inspect the location of any collective between the hours of 10:00 a.m. and 8:00 p.m., or at any reasonable time, to ensure compliance with this article. In addition, a designated unit within the Police Department may enter and inspect the location of any collective and the recordings and records maintained as required by this article, except that the inspection and copying of private medical records shall be made available to the Police Department only pursuant to a properly executed search warrant, subpoena, or court order. It is unlawful for any owner, landlord, lessee, member (including but not limited to a member engaged in the management), or any other person having any responsibility over the operation of the collective to refuse to allow, impede, obstruct or interfere with an inspection, review or copying of records and closed- circuit monitoring authorized and required under this article, including but not limited to, the concealment, destruction, and falsification of any recordings, records, or monitoring. 10 65C -22 18 -619. Applicability to existing medical marijuana operations. Any existing medical marijuana collective, dispensary, operator, establishment, or provider that does not comply with the requirements of this article must immediately cease operation until such time, if any, when it complies fully with the requirements of this article. No medical marijuana collective, dispensary, operator, establishment, or provider that existed prior to the enactment of this article shall be deemed to be a legally established use under the provisions of this article, and such medical marijuana collective, dispensary, operator, establishment, or provider shall not be entitled to claim legal nonconforming status. 18.620. Compliance with this article and state law. (a) It is unlawful for any person to (i) cause, permit or engage in the cultivation, possession, distribution or giving away of marijuana or (ii) own establish, operate, use or permit the establishment or operation of a medical marijuana collective or cooperative, or to participate as an employee, contractor, agent or volunteer of a collective or cooperative, except as provided in this article, and pursuant to any and all other applicable local and state laws. (b) It is unlawful for any person to cause, permit or engage in any activity related to medical marijuana except as provided in Health and Safety Code Sections 11362.5 et seq., and pursuant to any and all other applicable local and state laws. (c) It is unlawful for any person to knowingly make any false, misleading or inaccurate statements or representations in any forms, records, filings or documentation required to be maintained, filed or provided to the City under this article, or to any other local, state or federal government agency having jurisdiction over any of the activities of collectives. (d) It shall be the sole responsibility of the members engaged in the management of the collective to ensure that the collective is at all times operating in a manner compliant with all applicable state laws and this article. Nothing in this article shall be construed as authorizing any actions which violate state law with regard to the cultivation, transportation, provision, and sale of medical marijuana. 18 -621. Violation and enforcement. Each and every violation of this article shall constitute a separate violation and shall be subject to all remedies and enforcement measures authorized by this Municipal Code. Additionally, as a nuisance per se, any violation of this article shall be subject to injunctive relief, revocation of the collective's registration, revocation of the certificate of occupancy for the location, disgorgement and payment to the City of any and all monies unlawfully obtained, costs of abatement, costs of investigation, attorney fees, and any other relief or remedy available at law or equity. The City may also 11 65C -23 pursue any and all remedies and actions available and applicable under local and state laws for any violations committed by the collective and persons related or associated with the collective. SECTION 3. Section 41 -121 of the Santa Ana Municipal Code is hereby deleted in its entirety. SECTION 4. Subsection (b) of Section 41 -144 of the Santa Ana Municipal Code is hereby deleted in its entirety. SECTION 5. Chapter 21, Article XII of the Santa Ana Municipal Code, comprised of sections 21 -126, 21 -127, 21 -128, 21 -129 and 21 -130, is hereby added such that it reads as follows: Sec. 21 -126. Purpose. This article is required for the purpose of fixing the rate of taxation for Marijuana Collectives/Cooperatives and for the purpose of providing a tax levy for the usual and current expenses of the City of Santa Ana. The taxes required to be paid under this article are declared to be required pursuant to the taxing power of the City of Santa Ana solely for the purpose of obtaining revenue and are not regulatory permit fees. Sec. 21 -127. Marijuana collectives /cooperatives — Annual business license tax assessment. (a) Annual business license tax assessment for Marijuana Collectives/ Cooperatives: (1) Every Collective /Cooperative whether it is organized or conducted as a "not for profit' business, a "non - profit' business, or a "for - profit' business, shall pay an annual business license tax in accordance with Chapter 21 of this Code and the Sections and Subsections hereunder. (2) For the purposes of this article, a Marijuana Collective /Cooperative is defined in section 18 -611 of this Municipal Code and is considered to be a business as that term is defined in Section 21 -3 of this Chapter. (3) For the purposes of this article, a Collective /Cooperative is not considered to be a religious or charitable organization. (4) "Medical Marijuana Collective /Cooperative' or "Collective/ Cooperative" shall mean any activity regulated or permitted by Chapter 18 of this Municipal Code. (5) For the purposes of this article, a Marijuana Collective /Cooperative is not considered to be a business or person having a "specified exemption" or "specified exclusion" from business license taxation as set forth in Sections 21 -48 12 65C -24 and 21 -49 of this Chapter. (6) For the purposes of this article, a Nonprofit Organization" shall mean any institution or organization that is exempted from taxes measured by income or gross receipts pursuant to Article XIII, Section 26 of the California Constitution as codified under Chapter 4 (commencing with Section 23701) of Part 11 of Division 2 of the Revenue and Taxation Code and Section 37101 (c) of the Government Code or Sub - Chapter F (commencing with Section 501) of Chapter 1 of Subtitle A of the Internal Revenue Code of 1986. An institution or organization operating as a Collective /Cooperative and claiming a gross receipts assessment business license tax exemption under this section shall have the burden of furnishing to the collector such information as the collector may require to validate the claim of exemption including but not limited to such a determination by the California Franchise Tax Board or any other information requested by the collector. (7) For the purposes of this article, "gross receipts" shall mean any transfer of title or possession, exchange or barter, conditional or otherwise, in any manner or by any means whatsoever, of tangible personal property for a consideration including any monetary consideration for marijuana whatsoever, including, but not limited to, membership dues, reimbursements provided by members, regardless of form, or the total amount of cash or in -kind contributions, including all operating costs related to the growth, cultivation or provision of marijuana or any transaction related thereto. "Gross receipts" shall also include without limitation anything else of value obtained by a Collective /Cooperative. The term "gross receipts" shall also include the total amount of the sale price of all sales, the total amount charged or received for the performance of any act, service or employment of whatever nature it may be, whether or not such service, act or employment is done as a part of or in connection with the sale of goods, wares, merchandise, for which a charge is made or credit allowed, including all refunds, cash credits and properties of any amount or nature, any amount for which credit is allowed by the seller to the purchaser without any deduction therefrom, on account of the cost of the property sold, the cost of materials used, the labor or service cost, interest paid or payable, losses, or any other expense whatsoever; provided that cash discounts allowed or payment on sales shall not be included. "Gross receipts" shall also include the amount of any federal, manufacturer's or importer's excise tax included in the price of property sold, even though the manufacturer or importer is also the retailer thereof and whether or not the amount of such tax is stated as a separate charge. "Gross receipts" shall not include the amount of any federal tax imposed on or with respect to retail sales whether or not the amount of such tax is stated as a separate charge. 'Gross receipts shall not include the amount of any federal tax imposed on or with respect to retail sales whether imposed upon the retailer or the consumer and regardless of whether or not the amount of federal tax is stated to customers as a separate charge, or any California state, city or city and county sales or use tax required by law to be included in or added to the purchase price and collected from the consumer or purchaser, or such part of the 13 65C -25 sales price of any property previously sold and returned by the purchaser to the seller which is refunded by the seller by way of cash or credit allowances given or taken as part payment on any property so accepted for resale. "Gross receipts" shall be calculated without any deduction on account of any of the following: (i) The cost of tangible property sold or bartered; (ii) The cost of materials or products used, labor or service cost, interest paid, losses, or other expense; or (iii) The cost of transportation of the marijuana, or other property or product. (b) Business license tax rates for Marijuana Collectives /Cooperatives (1) Every Collective /Cooperative, excepting a qualified "Nonprofit Organization ", whether it is organized or conducted as a "not for profit" business, a "non - profit' business, or a 'for- profit' business, shall pay a separate business license tax at a rate of up to ten percent (10 %) of the gross receipts generated or otherwise received for each branch establishment or separate property location of the business. The gross receipts tax shall be initially set at a rate of five percent (5 %). The maximum tax rate shall not exceed ten percent (10 %) of gross receipts. This tax shall not be adjusted for inflation pursuant to Section 21- 121 of this Chapter. (2) Notwithstanding the maximum tax rate of ten percent (10 %) of gross receipts imposed under subsection (b)(1), the City Council may in its discretion at any time by ordinance implement a lower gross receipts tax rate for all Marijuana Collectives /Cooperatives, as defined in such ordinance, subject to the maximum rate of ten percent (10 %) of gross receipts. The City Council may by ordinance increase any such gross receipts tax rate from time to time, not to exceed the maximum gross receipts tax rate established under subsection (b)(1). (3) As part of the gross receipts tax imposed by this article, each Collective /Cooperative shall pay a minimum basic rate of two thousand dollars annually for each separate branch location or separate property location of the business. (c) Modification, Repeal or Amendment. The City Council may repeal the ordinance codified in this article, or amend it in a manner which does not result in an increase in the tax or taxes imposed herein, without further voter approval. The City Council may likewise by ordinance adopt and add additional provisions to any other article of this Chapter and relate them to this article, or amend any existing provisions of any article of this Chapter as they may already relate to this article in any manner which does not result in an increase in the tax or taxes imposed herein, without further voter approval. If the City Council repeals said ordinance or any provision of this article, it may subsequently reenact it without voter 14 65C -26 approval, as long as the reenacted ordinance or section does not result in an increase in the tax or taxes imposed herein. (d) Administration - rules, regulations, and guidelines; interpretation/ clarification. In order to aid in the City's collection of taxes due under this article and to ensure that all Marijuana Collectives /Cooperatives are taxed consistently to the best of the City's ability, the collector, with the concurrence of the City Attorney, may promulgate rules, regulations, and guidelines, to implement and administer this article including, but not limited to rules, regulations, and guidelines harmonizing other provisions of this Chapter with the provisions of this article in any manner not inconsistent with the intent of this article and which does not result in an increase in the tax or taxes imposed herein. The collector may also, with the concurrence of the City Attorney, interpret or clarify the methodology of the tax, or any definition applicable to the tax, so long as such interpretation or clarification (even if contrary to some prior interpretation or clarification) is not inconsistent with the language of this article. (e) Occasional transactions — Exemptions. (1) The provisions of this article shall not apply to persons having no fixed place of business within the City of Santa Ana who come into the City for the purpose of transacting a specific item of Marijuana Collective /Cooperative business at the request of a specific patient, client or customer, provided that such person does not come into the City for the purpose of transacting business on more than five days during any calendar year. (2) For any person not having a fixed place of business within the City of Santa Ana who comes into the City for the purpose of transacting Collective /Cooperative activities, the business tax payable by such person may be apportioned by the collector in accordance with this Chapter. (f) Reporting and Remittance. Beginning as set forth in subsection (k) below, and monthly thereafter, each Marijuana Collective /Cooperative (except qualified Nonprofit Organizations exempt from taxes measured by income or gross receipts) required to pay a tax based on gross receipts under this article, shall report to the City any gross receipts received during the preceding monthly reporting period and shall likewise remit to the City the taxes due and owing during said period. For purposes of this section, month shall mean calendar month, and taxes shall begin to accrue on the date that a person or entity first receives a business license or other permit to operate as a Collective /Cooperative. The payment of the two thousand dollars minimum basic rate gross receipts tax required annually for each separate branch location or separate property location of the business in accordance subsection (b)(3), shall be made annually prior to the beginning of the fiscal year beginning April first of the current year and expiring on the thirty -first 15 65C -27 day of March of the following year. In the case of a new Collective /Cooperative the minimum basic rate gross receipts tax shall be paid in advance prior to any new business activity being undertaken. Every new licensee shall pay in advance an amount equal to one - quarter ('/4) of the annual minimum basic rate gross receipts tax, for each quarter and fraction of a quarter remaining during the period for which the new license is issued. (g) Delinquent date - Penalty. Any individual or entity who fails to pay the taxes required by this article when due shall be subject to penalties and interest as set forth in accordance with this Chapter. The collector is not required to send a delinquency or other notice or bill to any person subject to the provisions of this Chapter and failure to send such notice or bill shall not affect the validity of any tax or penalty due under the provisions of this Chapter. (h) Payment of tax does not authorize unlawful business. (1) The payment of a business tax required by this article, and its acceptance by the City, shall not entitle any person to carry on any Collective /Cooperative unless the person has complied with all of the requirements of this Code and all other applicable laws, nor to carry on any Collective /Cooperative in any building or on any premises in the event that such building or premises are situated in a zone or locality in which the conduct of such Collective /Cooperative is in violation of any law. (2) No tax paid under the provisions of this article shall be construed as authorizing the conduct or continuance of any illegal or unlawful business, or any legal business in an illegal manner, or any business in violation of any ordinance of the City. Nothing in this article implies or authorizes that any activity connected with the distribution or possession of marijuana is legal unless otherwise authorized and allowed by California and federal law. Nothing in this section shall be applied or construed as authorizing the sale of marijuana. (i) Business license tax certificate - Required. There are imposed upon all persons engaged in transacting and carrying on any Collective /Cooperative business activity in the City taxes in the amounts prescribed in this article. It shall be unlawful for any person, either for him or herself or for any other person, to commence, transact or carry on any business in the City without first having procured a business license from the City under this Chapter and having paid the taxes set forth in this article, and without complying with any and all applicable provisions contained in this Chapter. The carrying on of any Collective /Cooperative without complying with all the provisions of this article shall constitute a separate violation of this Chapter for each and every day that such Collective /Cooperative is so carried on. Q) Classification of business license assessment type — term and renewal. 16 65C -28 The business license issued to Marijuana Collectives/Cooperatives shall be classed as a gross receipts assessment type, issued for the same term of license as set forth in Section 21 -71 (c) and shall be subject to renewal in accordance with Sections 21- 72(c), 21- 73(c), and 21 -77 of this Chapter. (k) Operative Date. Upon the approval by the majority of the voters of the City of Santa Ana at the November 4, 2014 general election, the taxes imposed by this article shall become operative and shall be applied by the collector upon all Marijuana Collectives /Cooperatives. Sec. 21 -128. Effect of state and federal reference /authorization. Unless specifically provided otherwise, any reference to a State or Federal statute in this article or Chapter shall mean such statute as it may be amended from time to time, provided that such reference to a statute herein shall not include any subsequent amendment thereto, or to any subsequent change of interpretation thereto by a State or Federal agency or court of law with the duty to interpret such law, to the extent that such amendment or change of interpretation would require voter approval under California law, or to the extent that such change would result in a tax decrease. Only to the extent voter approval would otherwise be required or a tax decrease would result, the prior version of the statute (or interpretation) shall remain applicable; for any application or situation that would not require voter approval or result in a decrease of a tax, provisions of the amended statute (or new interpretation) shall be applicable to the maximum possible extent. To the extent that the City's authorization to collect or impose any tax imposed under this article is expanded or limited as a result of changes in State or Federal law, no amendment or modification of this article shall be required to conform the tax to those changes, and the tax shall be imposed and collected to the full extent of the authorization up to the full amount of the tax imposed under this article. Sec. 21 -129. Violation deemed misdemeanor - penalty. Any person violating any of the provisions of this article or any regulation or rule passed in accordance herewith, shall be deemed guilty of a misdemeanor, and upon conviction thereof shall be punishable by the maximum penalties provided for in Penal Code section 19. Sec. 21 -130. Severability. Should any provision of this article, or its application to any person or circumstance, be determined by a court of competent jurisdiction to be unlawful, unenforceable or otherwise void, that determination shall have no effect on any other provision of this article or Chapter or the application of this article or Chapter to any other person or circumstance and, to that end, the provisions hereof are severable. 17 65C -29 SECTION 6. Council to Make Future Amendments to Voter Approved Ordinance. This is a City Council sponsored initiative ordinance which traditionally would only be subject to amendment by the Voters of the City of Santa Ana. However, pursuant to Section 9217 of the California Elections Code the City Council reserves the right and authority to amend or repeal the ordinance without any restrictions. SECTION 7. Severability. If any provision of this Ordinance or the application thereof to any person or circumstance is held invalid, such invalidity shall not affect other provisions or applications of the Ordinance which can be given effect without the invalid provision or application, and to this end the provisions of this ordinance are severable. The People of the City of Santa Ana hereby declare that they would have adopted this Ordinance irrespective of the invalidity of any particular portion thereof. SECTION 8. Effective Date. After its adoption by the voters, this ordinance shall be in full force and effect ten (10) days after the vote is declared by the legislative body, pursuant to the provisions of Elections Code sections 9217 and 15400 and as provided by law. SECTION 9. Competing Measures. In the event that this measure and another measure or measures relating to the regulation of medical marijuana in the City of Santa Ana appear on the same ballot, the provisions of the other measure or measures shall be deemed to be in conflict with this measure. In the event that this measure shall receive a greater number of affirmative votes required to pass than the other measure or measures, the provisions of this measure shall prevail in their entirely over the competing measure or measures, and the competing measure or measures shall be null and void. iI3 65C -30 Medical Marijuana Ordinance =_ N Eligible Collective LAVETAAV N Area Map ` N GARDEN GROVE / BLVD F .;>.FAIRHAVEN z� AV W Ito r OJ N w SANTACLARAAV SANTA - ,CLARA AV a m _ 1,m a LL 17TH ST WESTMINS ER AV 4 i J a WAS AI NDIYk 1V Z tt ( < l I W 2 [L W w, CIVIC CENTER DR r 61 z 0 SANTA ANA BLVD , N J m 1 ST ST r 1 ST ST 0 1STST �+ MC FADDEN AV LL � m JI L_ MC FADDEN AV r O EDINGER AV EDINGERAV m EDING AV Legend r a RehA 3 - SNOOIS D MetyHS BuRetArta m Zmmp Ares¢SYd.e /w Co... F Mt WARNERAV N G M2 R AV i LL °EGER3t OM AV qL I N D N m '•%'q a MACARTHUR BLVD ✓ SUNFLOWER AV y"9pq RrH e G �LQ i 65C -31 Medical Marijuana Ordinance — Dates / Action Items Date Action Now— December 17, 2014 Begin preparing forms, applications and administrative policy December 9, 2014 Election Results certified by the City Council (Date of Adoption) December 16, 2014 Resolution adopting Medical Marijuana Registration Processing Fee and Regulatory Safety Permit Fee December 17, 2014 Release Medical Marijuana Registration application December 17, 2014 — January 15, 2015 Application submittal period (Educational workshops /outreach to applicants during this period) January 16, 2015— January 25, 2015 Review received applications for compliance Notify applicants of registration status and provide January 26, 2015 Selection Process Information (Date, Location, Format, etc.) February 5, 2015 Hold Selection Process (February 7th is last date per initiative) February 5, 2015 Applicants placed on qualified registration list February 6, 2015 Regulatory Safety Permit Application period begins Regulatory Safety Permit processing period: 60 -days from receipt of a completed application * Within 30 -days 65C -32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: PUBLIC HEARING — 2015 DOWNTOWN BUSINESS IMPROVEMENT DISTRICT ASSESSMENT (STRATEGIC PLAN NO. 3,4F) CITY MAKkGER 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 Conduct a public hearing to consider all protests regarding the intention to levy an assessment for 2015 for the Downtown Santa Ana Business Improvement District. n- pfetests- filed- pdof -toAhe a lose- oU4he- public - hearing and- -determine -- whether they constitute a majority protest. 3. If the Council determines that no valid majority protest was lodged, adopt a resolution confirming the Assessment Report and levying the assessment for 2015. DISCUSSION At its meeting of October 21, 2014, the City Council approved the 2015 Assessment Report and budget for the Downtown Santa Ana Business Improvement District (BID) with Amezcua, Benavides, Reyna, and Tinajero voting aye; and Martinez, Pulido, and Sarmiento abstaining. In addition, the City Council adopted a resolution of Intention to Levy the 2015 assessment pursuant to California Streets and Highways Code section 35600 et seq. and scheduled the public hearing to consider protests to this action for its regular meeting of November 18, 2014. Business owners affected by the 2015 annual BID assessment may present written and/or oral protests during this public hearing. If written protests are received from business owners within the Downtown Santa Ana Business Improvement District (which will pay 50 percent or more of the proposed assessments and the protests are not withdrawn so as to reduce the number to less than 50 percent), the Council will be precluded from taking any action to levy the 2015 assessment. Any written protests filed and not withdrawn must be reviewed to determine if they meet certain qualifications; this review will include a comparison of names and business owners with official City records. If it is determined that less than a majority protest is filed, the adoption of the 75A -1 PH — 2015 BID Assessment November 18, 2014 Page 2 subject resolution will confirm the 2015 Assessment report for the BID and levy the assessments for 2015 (Exhibit 1). The 2015 Assessment Report includes a description of the BID assessment formula, where certain business classifications are charged 25 %, 100% or 150% of their business license fee as their BID assessment. This formula was established in 1984. To ensure full understanding of how the assessment formula is applied to each business, attached as Exhibit 2 is a listing of all businesses which would be subject to the 2015 BID assessment showing which charge would apply to each business. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #3 (Economic Development), Objective 4 (Continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining, and entertainment destination), Strategy F (Partner with downtown business and merchant associations to program events that showcase restaurants, shopping and entertainment venues). FISCAL IMPACT There is no fiscal impact associated with this action. The City only serves as a pass- through for BID revenue in accordance with the Assessment Report and any approved operating agreements. Kelly R nders Executive Director Community Development Agency Exhibit: 1. Resolution 2. List of Businesses Subject to Assessment KR /le 75A -2 0xs 11- 18 -14) RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA LEVYING AN ASSESSMENT FOR THE DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT AREA FOR CALENDAR YEAR 2015 BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On February 6, 1984, the City Council, by Ordinance No. NS -1715, established the Downtown Santa Ana Business Improvement Area pursuant to California Streets and Highways Code Sections 36500, et seq. (the `BID Law "). B. On October 21, 2014, the City Council received the 2014 Annual Report for the Downtown Santa Ana Business Improvement Area (the `Report"). C. On October 21, 2014, the City Council adopted Resolution 2014 -xxx approving the Report and setting a public hearing for November 18, 2014, at which time protests could be made to the proposed levy of the 2015 annual assessment for the Downtown Santa Ana Business Improvement Area (the "Annual Assessment'). D. On November 18, 2014, at the time and place called for in Resolution 2014 -XXX, the City Council conducted a duly noticed public hearing at which written and oral protests to the proposed Annual Assessment were made and considered as provided in Streets and Highways Code section 36524 and 36525. E. Qualifying written protests constituting a majority of the owners of the businesses paying the Annual Assessment were not received at or before the conclusion of the public hearing. Section 2. The 2015 Assessment Report is hereby confirmed, as is the levy of an assessment for the calendar year 2015 in accordance with Attachment B of the Report. A copy of the Report is attached as Exhibit 1 and incorporated herein by reference, and is hereby approved. Resolution No. 2014 -XXX Page 1 of 3 75A -3 ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Jose Sandoval Chief Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Resolution No. 2014 -XXX Page 2 of 3 2014. Miguel A. Pulido Mayor 75A -4 Oxs 11- 18 -14) Qxs 11- 18 -14) 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: Resolution No. 2014 -XXX Page 3 of 3 Clerk of the Council City of Santa Ana 75A -5 75A -6 Exhibit t DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT DISTRICT 2015 ASSESSMENT REPORT Background On February 6, 1984, the City Council adopted Ordinance No. NS -1715 pursuant to Section 36500, et seq., of the 1979 State of California Streets and Highways Code, creating a Business Improvement District (BID) in Downtown Santa Ana. On October 6, 2003, the City Council appointed the Community Redevelopment and Housing Commission (CRHC) as the Downtown Santa Ana Business Improvement District Advisory Board. As the BID Advisory Board, the CRHC is responsible for making recommendations to the City Council on the expenditure of revenues derived from the levy of assessments, on the classification of businesses, as applicable, and on the method and basis of levying the assessments (including the annual budget). The BID was established as a means of providing the Downtown business community with the funding to promote the Downtown through events and advertising pieces; funding to increase security and enhance the overall aesthetics of the area; and also to maintain the downtown shopping corridors. Improvement Area Boundaries The geographic boundaries of the district remain unchanged from the original 1984 area, and they include over 600 retail, service, and professional members (see Attachment A). Assessment Formula The formula for the BID tax levy also remains unchanged from the original 1984 ordinance and is based on the category and /or sales volumes of the business (see Attachment B). 2015 Budget Plan Based on the feedback from the two Associations, Downtown Inc. and the Santa Ana Business Council Inc., the 2015 BID Budget focuses on the continuation of promotions and marketing of the BID. Some of the promotion and marketing will be focused on Downtown events and advertising pieces; which are all designed to enhance the overall aesthetics of the area and also to maintain the downtown shopping corridors. Detailed breakdowns of the two groups' budgets are attached (Attachment C). The assessments from the 2015 BID are estimated at $200,000 to be split evenly by Downtown Inc. and the Santa Ana Business Council —the two business groups that have spearheaded this BID process. Both associations will have carryover funding from the previous year, which is estimated to be approximately $60,000 for Downtown, Inc. and approximately $100,000 for the Santa 75A -7 Ana Business Council. This carryover has been incorporated into a reserve fund for their 2015 budgets. This reserve funding may be used for additional events and promotions throughout the year. These two representative business associations are proposing to host a variety of major community events and promotions, including, but not limited to the following: Downtown Inc. Sound Downtown /Restaurant Week Art Walk (12x) OC Pride Patchwork (2x) Savor Santa Ana Business Council Valentine's Day Plaza Primavera 5 de Mayo Dia de las Madres Parade /Fiestas OC Film Fiesta Dia de los Muertos Danzantes del Sol Plaza Navidena Art Walk Other programming for the associations will include ongoing social media marketing, funding for the Downtown Restaurant Association, holiday promotions, website development and maintenance, and purchase of streetscape amenities such as benches along the Wellness Corridor. 75A -8 ATTACHMENT A BUSINESS IMPROVEMENT DISTRICT BOUNDARY FLOWER ST. 3 T ❑ El , i ~ Z -* z +v o 0 D ❑ w7 W W /Fl�P i s SY ❑ CA ROSS ST. P S ps O ~ A BIRCH ST. FIEo BROAD WAY ❑ ❑ O ❑ y Vi SYCAMORE ST, SYCAM AE n foolo ❑�❑ ❑ ❑❑ MAIN ST. F-1 F-1 F-1 ❑ ❑ ❑ F-1 BUSH ST. CFPPISS ❑ ❑ ❑ ❑ ❑ ❑ ❑ W O m c SPURGEON ST. 'a D c �' OPPN6E ❑ ❑ Y� 1 FRENCH ST. ❑ O MOHTIMER ST 75A -9 ATTACHMENT B 2015 ANNUAL ASSESSMENT FORMULA The following businesses located within the boundaries of the Business Improvement District (BID), classified under City Ordinance NS 1690 as Amusement Services, Pawnbrokers, Service Station and Classification A, including, but not limited to Retail Sale of Goods, Hotel and Motels, Theaters and Food Establishments, shall pay an amount equal to one and one -half times their annual business license fee. Businesses classified as Commercial Rental Property, Rental Property, Residential and Rooming House shall pay an amount equal to one - quarter times their annual business license fee. All other businesses, including Professions, Trades and Services within the boundaries of the proposed Business District, shall pay an amount equal to their annual business license fee. Once the assessment formula is established, it cannot be changed without written notice to all businesses within the boundaries of the proposed Business Improvement District and a public hearing held by the City of Santa Ana. 75A -10 ATTACHMENT C DOWNTOWN BUSINESS IMPROVEMENT DISTRICT PROPOSED BUDGETS SUMMARY 2015 OPERATING FUND REVENUE 2015 BID Assessments — Projected $200,000 Prior Year Carry Forward $160,000 Total Revenue $360,000 EXPENDITURES Downtown Inc. ADMINISTRATION Overhead (Office Supplies, Insurance, Professional Services) $10,000 MARKETING Sound Downtown Artwaiks (12x) OC Pride Patchwork (2x) Savor Events Total $10,000 $15,000 $5,000 $10,000 $10,000 $50,000 Advertising (Print/Online) $25,000 OTHER PROGRAMMING Restaurant Association $5,000 Artist Retention Program $5,000 Misc. $5,000 Other Total $15,000 2014 CARRYOVER $60,000 TOTAL $160,000 75A -11 Santa Ana Business Council ADMINISTRATION Overhead (Office Supplies, Insurance, Professional Services) MARKETING Serenade on the Streets Special Event Sponsorship Valentine's Day Plaza Primavera 5 de Mayo Dia de /as Madras Parade /Fiestas OC Film Fiesta Dia de los Muertos Danzantes del Sol Plaza Navidena Art Walk Event Sponsorship Total Web, Social Media, Advertising, & Promotional Materials OTHER PROGRAMMING Streetscape Improvements 2014 CARRYOVER 2016 RESERVE (Projected) TOTAL 75A -12 $10,000 $60,000 $10,000 $60,000 $10,000 $100,000 $50,000 $200,000 DATA AS OF 10131;2014 EXHIBIT 2 Intent to Levy BID Assessment List Weighted Protest Value ..eAren BID Area BID EHRible 1% of 100% Total) Number 1 2 3 4 5 _ 6 ] 8 9 Ausmess name PEP BOYS, THE- MANNY /MOE /JACK PEP BOYS, THE- MANNY /MOE /JACK SAWA ANA EXPRESS CAR WASH N_UNEZ AUTO REPAIR _ AB BA AUTOMOTIVE, LLC ____ PURPLE PENUMBRA LLC _ MCDONALDS RESTAURANT __ MCDONALD'S USA LLC G 5 C PRESTON, LLC - UNIT# A -- -- 120E15i ST UNITkA 120 E EST ST UNIT# 8 202 E IST ST 219E15T ST 224E 1ST ST 224E 1ST ST 301 E IST ST 301 E IST ST 302E EST ST Yes Yes Yes _ Yes Yes Yes Yes Yes Yes - Yes Yes Yes Yes Yes Yes Yes Yes Yes 0.]82311 % 0.27�QJ4 %1 %1 0.377843 %' _ 0.1260]8 %� __ 0.140957% 0.017620 %' 0.996683% 0.047084 %I 0.017815% 30 1 & R AUTO GL4S5 302 E IST ST Yes Yes 4.080 6 11 STERICARE STERILIZER REPAIR 302E15T ST Yes Yes 0.068943% -� 12 13 14 _ --' SPORTPLUS ROIC SANTA ANA, LLC (301, 307, 407, 419, 423, 431) GUAOALUPANA_MEOICAL GROUP T- MOBILE 307 E 15T ST 307 E IST ST 307 E IST UNIT #lC 307 E 1ST ST UNIT# IE _ Yes Yes Yes Yes Yes Ves Yes _ Yes _ _ 0.294247% 0.131462 %. 0.088881_ %i 0.241976 %a _35 16 JUGOS ACAPU LC 1307 E IST ST UNJT #B Yes Yes 0.431680 %� 17 KALI BOTANICA LATINA 312E IST ST Yes Yes 0.054817% 18 ITELEMAX TV 314E 1ST ST Yes Yes 0.090447%, - 19 _ 20 K OD 4 LESS 382 ACE AUTO CARE, LLC. 315 E IST ST 401 E 1ST ST Yes Yes Yes Yes 5.422729% 0.169148% _ 21 PAY-LESS SHOE -SOURCE #1011 407E 1ST ST Yes Yes 0.308343 %1 22 DON ROBERTOJEWELERS 407 E 1STST UNIT #2D Yes Yes 0.301295% 23 PROCESSING CENTER OF ORANGE COUNTY /VIGO 407 E 151 ST UNIT# 2E Yes Yes 0.092797 %[ ~ 24 25 26 ILUSION_ SAWA ANA TACO BELL #3434 __- „-_ '.411 MARS HALLS #1220 �?19 407 E IST ST UNIT# 2F _ E IST ST E IST ST Yes Yes Yes Yes _ _Yes Yes _ _ 0.113353YI _-_ 0.567_ 9]0%1 1.117083% 21 _ MICRO COMPUTERS 1200 W 15T ST UNIT# 104 Yes Yes 0.073219%'. 28 RODAS DULCERIA 200 W 15T ST UNIT# 105 Yes Yes 0.093384 %: 29 96 CEM PLUS DISCOUNT STORE 200 W 1ST ST UNIT# 106 Yes Yes 0.113353% 30 GONZALEZAUTO INSURANCE %VCS 230WIST ST Yes Yes 0.12_92 -10% 31 BROADWAY FAMILY DENTISTRY 210W 1ST ST Yes Yes aVW8881%' 32 PROFESSIONAL SERVICES CENTER 210W 1ST ST Yes Yes 0.048552% 3 ALE MICHp 1230W1STST Yes Yes 0.06610 5%i . 34_I NUTRICIO_NT0TAL 230W 1STST UNIT# 307 Yes yes 0.125099Ai _ 35 _ OMALEXA'S BEAUTY SALON 210W 15T ST UNIT #108 _ Yes _ Yes _0.048552 %1 36 MOBIUS PRINT & SIGNS 210 W 15T ST UNIT# 1W Yes Yes 0.160926 %, '. - 37 -AN CLEM ELATE COMERCIAL NUTRITION MEXICANA 121a W IST ST UNIT# 111 210 W 1ST ST UNIT# 112 -11 Yes Yes Yes Yes 0.140370% 0072828 %1 E--38 39_,..,- 40 ~ 41 tZENITY 20 NE THERAPY ______ ___,,,,,__ _ DIN -H MY HOA GONZALEZ, DAVID L. 210W 35T STUNITk 212 -_ _ 1230 W IST ST U NIT# 212 .210 W 1ST ST UNITk 212 __Ves „ -,,, Yes Yes _, -_Yes Yes Yes 0048552 %1 0.028191 %j _ 0.028191 %1 42 TU CENTRO MOBILE 220 W IST ST UNIT# 101 Yes Yes _ 0.120988 %' 43 iADOBE MEDIC_ALGROUP,_INC. 220W IST ST UNIT #102 Yes Yes 0.105326% 44 828 PHO 220 W IST ST UNIT# 103 Yes Yes _ 0.173847 %, _ 45 46 BROADWAY ARCO /AFGHANI FAMILY MYERS, GARY UI 101 S BIRCH ST) 302 W 1ST ST 330 W IST ST _ yes _Ves Yes Yes O.E9703 _ 0.0080000/4 4J CASTELLON,ALFREDO 312W 1ST Yes _Yes 0.028191 %'. �_ 8 SANTA ANA SENIOR HOUSING LP 401W IST ST Yes Yes - 0.200864 %' _ 49 TEKCHANDANI, NARAIN I #F201) '601 W EST 5T Yes _ Yes 0.006069%: _ 50 _ GONZALEZ, ALFONSO /AUCIA(F105) 601W IST ST Yes Yes 0.006069% 51 MOHAMMAD, MOBIN /SINGH, DAVINDER 601 W IST ST UNIT #'101 Yes Yes (10_03034% _ 52 WU, HONG 601 W 1ST ST UNIT# F204 Yes Yes 0.006069 %i 53 KIMBERLY ANNE LLC 611 W IST ST UNIT# E102 Ves Yes - 0.006069 %', 54 DAD, U Q(A109/E103) 611 W 1ST ST UNIT# E103 Yes Yes 0.006069 %: 55 SADEGHI,MITRA &AAIAM 611W 15T ST UNITk E202 Yes Yes___ _ 0�00606�9%. 56 ANDRA, KISHORE_V 611 W IST ST UNIT# E203 Yes Yes _ 0.006069% _ _ 57 58 FWD HONG DAMANIA, MANEK 611 W IST ST UNIT# E204 611 W IST ST UNIT# E205 Yes Yes Yes Yes 0.006069 %. 0.0060_69% 59 60 GAO, QUANVIN & YANG, ZUIRONG GO PRINTING AND SHIPPING CENTER 621 W 15T ST UNIT# D102 104 W 2ND ST Yes Yes Yes Yes 0.006069% 0.089273% 61 62 RUNNING WITH SCISSORS HAIR STUDIO VICE 106W 2ND ST 171W 2ND ST Yes Ves Yes Yes _ 0.048552 %. 0.099257 %'1. 63 JAY'S CATERING, INC. �207W 2ND ST UNIT#A Yes Yes _0.16131]% Page 1 of 10 75A -13 Intent to Levy BID Assessment List Weighted Protest Value Number easiness Name Business Address BID Ar Page 2 of 10 75A -14 ____ ROBBIT N$ NEST WLROBBINS NE BAR & 815TR0 _ _ 20J W 2ND ST UNITN B ea Ves BID Eligible Ves ( %of 100%Total) 00]2828% PAR 211 W 2ND ST Yes _ Yes 0.152703%ND 300 602ND ST UN IT #463 Yes Yes 0.048552% RT AT ARTISTS VILLAGE _ i301 W 2ND ST `- Yes Yes 0.196948 %ADS 114 -- _ 160 2ND Si UNIT #334 Ves Yes 0.0]2828 %� TWARELLC 301 W2NDSTUNIT#413 _- -Yes Yes0.049726 %, SALON_103 E 3RD ST Yes Yes 0.05481]%IA _ LEE C /FESTIVAL 208 E 3RD ST Ves Ves 0.096908%IELD, 210 E 3RD ST Yes Yes 0.013215% 73 TAPIR, CANOELARIO _ 216 E 3RD ST Yes Yes 0012138% 74 FESTIVAL HALL _ _ 220 E_3RD ST Yes _ Ves 0.175021% 75 ROMYS BEAUTY SALON & SUPPLY _ 109 W 3RD ST Yes Yes 0.059907% _ 76 ASAHI, EILEEN _ ISO W 3RD ST Ves Yes 0.006069 %1 77 COMPAX __ 170 W 3RD ST Yes Yes 1.64 720 0% J8 CALIFORNIA TEAM REALTY 190 W 3RD ST Ves Yes 0.048 %1 79 DOWNTOWN SUGAR 218 W 3RD ST Yes Ves 0.052076 %. BO SANDY'S BEAUTY SALON 305 W 3RD ST Yes Ves 0.063431% 81 FOOTSIE ICE CREAM �EQEKOCAFE 307 W 3RD ST Yes Yes 0.089273% 82 _ _ 309W 3RD ST Yes__ Yes __ 0.2419]6% 83 MY OFFICE _ �310W 3RD ST _ WW 3RD ST Yes_ Yes Yes Yes 0.055208% 0.080267% 84 ACE MESSENGER & ATTORNEY -SERVICE -310 85 MASONRY FIREPLACE INDUSTRIES, LLC __ 315 W 3RD ST Yes Yes DD73219% 86 LAW pFFICES DF CHRISTOPHER P. RUIZ 31560 3RD ST_ _ yes Yes 0.281914 % 87 EAST SECOND STREET LLC 315 W 3RD ST Yes Yes 0.109633 %' 88 HARRIS TAYLOR MANAGEMENT INC _ 315W3RD ST Yes Yes 0.160143 %'. 69 LAW OFFICES OF LOIDA D TELLEZ 315 W_3RD ST Yes Yes 0088881 %I, 90 UNITEDTRAINING &TESTING _ 315603RD ST _ Ves Yes 0.048552% 91 BETA HOLDINGS LLC _ 322 W 3RD ST Yes Yes _ 0.022416 %1 92 INTEGRITY ADVISORS X322 W 3RD ST 1,322 W 3RD ST Yes Yes Yes Yes 0.057557%1 0.546991 %1 93 _ WMC INSURANCE SERVICES 94 PMN INSURANCE SERVICES, LLC. 322W 3RD 5T Yes Yes 0.192641% 95 C& S I NTE RG RATED INSURANCE SERVICES, I NC. 322 W 3RD ST Yes Yes 0,196557% 96 PACIFIC DIAMOND INSURANCE SERVICES, LLC. 322 W 3RD ST Yes Yes 0.178154 %' 97 NGUYEN JULIE _ -_ -�- Yes Yes 98 _ HAKIMI FARZIN 0.0060 99 - - - -- ONFIVEROS, ANG ELICA - 600 W 3RD ST UNIT #A104 _ Yes Yes -- 0.003034 100 CHO SUNG HWAN - W 3RD Yes -- Yes_ , 101 pLARINVESTMENTS - �O 5TUNIT #Al1bS Yes Yes 0.006069% 102 CERRUTI- TIPITTO: PATRICIA 600 W 3RDSTUNIT #A118 Yes Yes 0.00606 %,I 103 MINI MAXGRODPLLC 160OW3RDSTUNIT #A202 Yes 0.006069 %'. 104 100- PANAH, FARIOEH 600 W 3RD ST U N IT #A203 Yes Yes 0.006069% 105'1 _ KLVIRORVILLE LLC 600 W 3RD ST UNIT #A210 Yes ___ Yes 106 MAHTANI2011 _ 60060 3RD ST UNITp A212 Yes Yes 0006069%', 107 LABRA, CLAUDIO( #A216) 600W3RD ST UNIT# A216 Yes_ Yes 0.006069 108 1D9 FTI HOLDINGS, INC ( #A218 /0309 /8316 /8306) CORDOVA, MARIANO WA219) 600 W 3RD ST UNIT# A218 _ 600 W 3RD ST UNIT #A219 Yes Yes Yes 0009006 %' 0006069% 110 TEKCHANDANI, NARAIN (#8104) 600 W 3RD ST UNIT #A219 _ Yes _Yes Yes 0.006069% 111 KATO, MAKOTO MARK (#201 -B) WOW3RDSTUNIT #A219 Yes Yes 0.006069% 112 __ TOBINA LLC 600 W 3RD ST UNIT #A302 Yes Yes 0.006069% 113 PRAM, THOMAS 600w 3RD ST UNIT #A305 Yes Yes 0.006069 %I 114 CREEK ROSEOALE LLC_ _ 160060 3RD ST UNIT #A306 I Yes Yes O.D06069 %i 115 TUCKER, GARY 1600 W 3RD ST UN IT #A308 _ Yes- Yes 0.006069 %, 116 DESAI M V (#A310 /C205) _ _ 600 W 3R_D ST UNIT# A31D Yes ____ Yes 0.007048% ill HONLYNX CAPITAL, LLC 60060 3R D ST UNITp A331 yes Yes 0.006069%'. 118 HECTOR &ELVA CORTES _ 600 W 3R D ST UN I T # X313 Yes _ Yes OOOW69%I 119 MATINPOUR FAMILYTRUST 600 W3ROSTUNIT#A318 Yes 0.006069% 120 SAN JUAN INVESTMENT CO., LLC (8106/8212) 600W3RD ST UNIT #8106 Yes ____Yes _ Yes 0007048 %� 121 � HANG, VIHAI /SHI, RU 600 W 3RD ST UNITN 8308 Yes Yes 000 W69 %1. 122G EMS HOLDING NVESTMENTLLC RD ST UNIT #BI13 es Yes 0.0 069% 123 HITCHENS, DEAN AND MARIA 1600 W 3RD ST UNIT# B114 Yes _. Yes 0.006069 %'. 124 WU, HONG IA122/A3D4/B206/G3D2) 1600 -- __ W 3RD ST UNIT# B208 _ Yes Yes 0.009006 %'. 125 HAIDERRICHAA _ 126 127 YANG, JENNY &YINGER, OIANG VANG,TONY /HOU, NANCY 600 W 3RD STUNIT #8213 66WW3RDSTUNIT #8217 � � -� yes Yes - -- Yes Yes 0.006069% -- 0.00606069 %I NGUIYENHVIET & VO HOLDING LLC - _ Yes 0.006069% 129 600 W 3RD ST UNIT# B302 _. - Ves _Yes_ -, 0 006069% Page 2 of 10 75A -14 Intent to Levy BID Assessment List Weighted Protest Value dare.. BID Area BID Elieible I% of LOD%Total) Number 130 Busmess Dame _ DETMERS, ERNEST 1 & MORALES,V --- • ^-_ °--' --- 600 W 3RD ST UNIT# 8304 Yes - Yes 0.006069 %'. %!, _ -�_._ 131 TESSER, PABLO JOSE 1#312- 600 W 3RD ST UNIT #B310 Yes Yes 0.006069 132 SHEN, EDWARDTTRUSTEE 600 W 3RD ST UNIT #8314 Yes Yes 0.007048 %' 133_ TAING, WILLIAM 600 W 3RD ST UNIT #C101 Yes Yes 0.006069% 134 MINI MAX GROUP LLC .600 W 3RD 5T UNIT# C104 _ Yes Yes 0.006069 %I, _ 135 H_ONLVNX CAPITAL LLC 600 W 3RD ST UNIT# C202 Yes Yes 0.006069% 0.006069% 136 RANG, YIHAI 600 W 3RD ST UNIT# C206 Yes Yes 137 'KHORPAM, SHANIA /JAFERKHANI, MEHRI 600 W 3RD ST UNIT #C207 Yes Yes 0.006069 %'. 136 ANES LLC 600 W 3RD ST UNIT# C304 Ves Yes 0.006069 %' 139 ACAPULCOTRAVEL 302 E4TH ST Yes Yes 0.16640]% 1 PRIMAVERBRIDAL AS 102 E4TH ST Yes Yes 0.099844 %1 _40 141 YANEZ, RAUL 1102 E 4TH ST UNIT# 2ND FL Yes Yes 0.01820]% DENTAL 102 E 4TH ST UNIT# 2ND FL Yes Yes 0.209869 %'' 102 E4TH STUNIT #2ND FL Yes Yes 0.074590%' IOYERIA ACAPULCO VA_LNERSERVICES 102 E4TH Sr UNR #2ND FL Yes Yes 0.121380% L14 VALNER INSURANCE SERVICE5,INC. 302 E4TH STUNrr#2ND FL Yes Yes 0.0]6352 %RANCHO DE MENDOZA 104 E 4TH ST Yes Yes 0.416410%TAVISTOCK INVESTMENTS 104 E4TH ST Yes Yes 0.030834% RASPADOS EL SUR 104 E 4TH ST UNIT# B -PE Yes Yes 0.2419]6 %'�, 749 FRUTAS IA PLACITA 104 E 4TH ST UNIT# PC Yes Yes 0.241976 %I 150 RHODES JEWELRY &LOAN 106 E4TH ST Yes Yes 0.483952 %. _ 151 NANA FASHION 108 E4TH ST Yes Yes 0.086923 %. 152 YANEZ, RAUL&G ILDA 108 E4TH ST Yes Yes 0.026136% 153 ANTIQUETIME 110 E4TH 5T Yes Yes 0.057166 %t HOLIDAY TRAVEL &TOURS 110 E4TH ST Yes _____Yes 0.083399 %I _154 155 ___ NANA FASHION 110 E4TH IT Yes Yes_ 0.161513 %i Y110 E 4TH ST UNITk 205 Yes Yes 0.060298 1I 156 IRMA SALON 11OE4THSTUNIT #207 Yes Yes 0.083399%' 15] ]VERONICA'S BRIDAL _ 158 IA ZAPATERIA MEXICO 112E 4TH ST Yes Ves 0.176783% 15 9 R & Q ENTERPRISES, LLC 112 E4TH ST Yes Yes 0.015172 %1 160 SEGURA JEWELRY REPAIR 112 E4TH ST UNIT #200 Yes Yes 0.059515 %�. 161 TELAS FABRIC 114 E 4TH ST Yes Yes 0.013313 %'i 162 TELAS FABRIC 114 E 4TH ST Yes Yes 0.082616 %1 163 BELINDA'S BRI DAL SHOP '114 E 4TH ST Yes Yes 0.067511 %1. 164 CEBALLOS, JOSE /AURORA 116 E 4TH ST _ Yes _ Yes 0.017032 %, ALVAREZ CH ECK CASHING 116 E4TH ST Yes Yes _ 0.069304% ___165 166 BANDOLERO WESTERN WEAR, INC. 116 E4TH ST Yes Ves 0.126Bfi1 %' 167 CW CELULIAR, INC 116 E4TH ST Yes Yes 0.16131] %I _ 168 E.S. DOCUMENT SERVICES 116 E 4TH ST UNIT #F Yes Yes 0.058340% ALAIARA ST ____ -_.__ -Ves _._._.- SHOP 119 E 4TH ST NL� ves LA 120 Yes 0005095 171 (319 N BUSH)' E2 L 173 1BLENDS 0 E 4TH %I 174 4th STREET MARKET 201 E4TH ST Yes Yes 0.241976 %' 175 MAR ___ 201 E 4TH ST Yes Yes ____ 0.241976 %: _ D6 LUNCHBOX BY PLAYGROUND 201E4TH5T Yes Yes_ __0.2419]6Yi 177 _ ELECTRIC CITY BUTCHER 201 E 4TH ST UNIT# 104 Yes Yes 0.2419]6% 178 CHUNK -N -CHIP 201 E 4TH ST UNIT# 107 Yes Yes 0.241976% 179 (FIESTA MARKETPLACE PARTNERS 201 E 4TH ST UNIT# 109 Yes Yes 0.020752 %, 180 RADICAL BOTANICALS 201E 4TH ST DNIT# 120 Yes Yes 0.141976 %' 181 FRONT PORCH POPS/TORCH SMORE 201 E4TH ST UNIT# 121 Yes Yes 0.241976 %'. INK WAFFLES 201 E 4TH ST UNIT# 126 Yes _ Yes 0.241976 %1 182 1183 CAREER COLLEGE OF CALIFORNIA 201 E 4TH ST UNIT #2DO Yes Yes 0.540335 %! _ 184 RIVAS FOOD ,202 E 4TH ST UNIT# PE Yes Yes 0.241976 %' 185 CLA_SANTA ANA LLC 204 E 4TH ST UNIT# 8 Yes Yes_ _ _ 0.241976% __ 186 BOBBY'S SKIN CARE CLINIC 204 E 4TH ST UNIT# D Yes Yes 0_.069304 %I _ _ 187 CWB DE NUTRICION OE HERBALIFE 204 E 4TH ST UNIT# G Yes Yes 0.095733 %'. _ 188 COLORWAVSTUDIOS 204 E 4TH ST UNIT#N Yes Yes 0.066955% 189 PACHANGA DJ, INC 1210 E 4TH ST Yes Yes 0.143306 %. 190 BROOKLYN HARPER 210 E 4TH ST UNIT# A Yes Yes 0.118639 %i 191 THE VAPOR LAIR 210 E 4TH ST UNIT# B Yes Yes 0.139782% 192 AL'S SHOP 216 E 4TH ST Yes Yes OAM419 %! 193 PHOUNSACK CHANTHAPANY 1216 E 4TH ST Ves Yes O.O1a683%I 194 CINCO ESTRELLAS SERVICES 216 E 4TH ST UNIT#A Yes Yes 0.048552 %' 195 TOPAZ I EWELRY REPAI R 216 E 4TH ST UNIT #B _ Yes Ves ___ 0.05990]9:' Page 3 of 10 75A -15 Intent to Levy BID Assessment List Weighted Protest Value Number Business Name Business Address BID M BID EII 196 F 219 E4TH ST Y Yes Y (% of 100% Total) 197 F FANBA G, AL 2 219 E 4TH ST Y Yes Y Yes 0 0354741% 198 R RIVAS FOOD j j 219 E 4TH ST UNIT# PE Y Yes Y Yes _ _ 0 _199 T THEPIAYGRO_UND 2 220 E4TH ST Yes Y Yes 0 _ 0 200 F FIESTAIMPERIAL 220 E 4TH ST UNIT# 101 Y Yes Y Yes 0 0.153878 %' 201 G GALES BTEEN 2 220 E4TH ST UNIT #101A Y Yes 0 0.085749%', 202 C CARRETONES FIESTA 2 220 E4TH ST UNIT #PASEO Y Yes Y Yes M % 203 I I IA REYNA DE MICHOACAN 3 300 E 4TH ST__ _ Yes Y Yes 2 2% 2 204 !A NUEVA REYNA DE MICHOACAN 3 300E 4TH ST _ _ Y Yes % % 2 205 R RANGEL, RAYMOND (300 -308) 3 _ Y Yes Y Yes % M0.259008% % 20fi L LA PIZZA LOCA, INC 3 300 E 4TH ST UNIT# 103 Yes Y Yes % 2 207 K KV SPORTS &SHOES 3 300 E 4TH ST UNIT #105 Y Yes Y Yes % % 2 208 R R & R SPORTWEAR 3 300E 4TH ST UNIT# 106 Y Yes Y Yes_ % % 2 209 L LA FIESTA SHOES /BOOST M081LE 3 210 A AQUERIAS GUADALAJARA #4 - -_ 3 305 E4TH ST Y Yes Y Yes 0 0.4]979 %' 212 M MARCAS GALLERY _ 3 305 E 4TH ST UNIT #103 Y Yes Y Yes _ 0.241976% 213 B BOL00 RESTAURANT 305 E 4TH ST UNIT# 105 _ Yes Y Yes__ 0 _ 0 214 , ,NATIVE SON ALEHOUSE _ _ 3 _ Y Yes Y Yes _ 0.241976% 215 R ROBERTO'S SHOE REPAIR 3 308 E 4TH ST _ Yes Y _ 0 0.048552 %, 216 O ODEREARO CASTING &DESIGNER 3 __ Y Yes V Ves 0 _ 0 217 M MEXICANA TRAVEL _ 312 E4TH ST UNIT #A Y Yes Yes _ _ 0.099453 %'. 218 C _ __ 3 _ 219 A AB COMPUTERS _ 3 312 E4THST UNIT #B Yes Y _Yes_ 0 %', 220 C CE 2 _0.082225 % 114 E 4TH ST UNIT# B Y Yes Y Yes 2 222 ? FIEFS A II NCOME TAX NOTARVY S 314 E 4TH ST UNIT# B Y Yes Y Yes 0 0.0493355% 223 9 99 CENTAND MORE _ X X314 E 4TH ST UNIT #B Yes Y Yes 0 0.081638% 224 F FIESTA _MARKETPLACE PARTNERS II _ _ 3 316 E 4TH ST Y Yes Yes 0 0.036512% 225 C CHARLIE'S TATTOO SUPPLIES /BODY JEWELRY /BOOTS 3 316 E4TH ST Y Yes Y Yes 0 0.135671 %' 226 D DAME ELEGANCE 3 318 E 4TH ST Y Yes Y Yes 0 0.0986101 227 A AMERICAN BARBER SHOP 3 320 E4TH ST UNIT #A Y Yes Y Yes 0 0.0,18552% 228 M MEGA INDUSTRIES INC _ 4 400 E 4TH ST _ Yes Y Yes 0 0.340666 %'. 229 G GON -REY LP - 4 _ Y Yes Y Yes 0 0.048454 %'. 230 N NORTHGATE MARKET #8 4 409E 4TH ST Y Yes Y Yes 4 4.331488% _ 231_ N NORTH_GATE FINANCIAL - 4 409 E 4TH ST _ ____ Yes _ Y Yes 0 0.199689% 233_ N NGHIEM, MINH THU ,450 E E4TH ST UNIT#137 Y Yes Y Yes 0 0.006069% 244 S SAN JUAN INVESTMENT CO. LLC (133/134!141!406 /433) 4 234 M MAHTAW 2011( #120/146/201) 4 _.__ Yes Y Yes 0 0.008027% 236 T TAN, PAUL &JOYCE '450 E E4-TH ST UNIT #237 Yes Y Yes 0 0,006069%. 237 N NGUYEN, H_0_NORA 4 450 E 4TH ST UNIT #240 Yes Y Yes 0 0.00609 %6 238 E EONGRACIA LLC 4 450 E4TH ST UNIT #243 Y Yes V Ves 0 0.006069% 239 W WILLIAMS,JOHN 4 - _ __._._ Yes 0 0.006069 %I 240 L LEE, DR. YEE LEAN -- 4 450 E 4TH ST UNIT# 247 Y Yes Y Yes 0 0.006069% 241 S SHARMA SUDHEEP 4 450E6TN ST UNITp 337 Y Yes Y Yes 0 0.006069% 242 T TRISNO STEVEN - 4 450 E 4TH ST UNITp 338 Y Yes v ves 0 0.006069% 243 IPANDJI E EVELINA 4 450 E4TH ST UNR #348 Y Yes Y Yes O OA06069 %I 245 _ J JAFARIMOJARROD, LIVING TRUST _ 4 __.. Yes 0 0006069 %'. 246 O OROZCO, IESUSA -- 4 450 E 4TH ST UNIT #439_ Y __Ves Y Yes 0 0.006069%I 247 W WAVY, BRIAN _ 4 450 E4TH ST UNIT #441 Yes Y Yes 0 0.006069% 248 H HERNANDEZ, CARMEN - 4 450 E 4TH ST UNIT #446 _ Ves - -yes 0 0.028191 %' 249 J JKLVICFDRVILLELLE _ 4 _ _ V Yes Y Yes 0 0.006069% 250 Z ZUKERMAN, RIVKA 1 101 W 4TH ST Y Yes Y Yes 0 0.047377% 251 T THE IRVINE TRAVEL CO., INC. 1 101 4TH ST UNITp 200 Y Yes Y Yes 0 0.175413% 252 W WORLDVIEW TRAVEL 1 101 W 4TH ST UNIT #400 Y Yes Y Yes 1 1.145275% 253 F FRUTAS IA PIACITA ' 1 101 W 4TH ST UNITk PE Y Yes Y Yes 1 - ..._._ 254 D DORAOR_JAND SANTA ANA I ID2W 4TH ST Y Yes Y Yes 0 0.071262% 255 G GLOBAL ENVIRONMENTAL NETWORK 1 106W4TH ST _ Ves Y Yes 0 0.055991% 256 C CORNERSTONE STUDIOS INC 1 _ _ V Yes Y Yes 0 0.169540951 257 T TOWNSGATE CAPITAL CORPORATION 1 106 W 4TH ST Y Yes Y Yes 0 0.047573% 258 A ALFA INSURANCE SERVICES 3 306 W 4TH ST UNIT# 300 Y Yes Y Yes 0 0.050118 %, 259 A AMERICAN HERITAGE COLLEGE 1 106 W 4TH 5T UNITp 303 Y Yes Y Yes D D D]fi3 % L 260 _ M MOTIVO MUSIC GROUP LLC ERITAGE Page 4 of 10 75A -16 Yes 0.096712% Intent to Levy BID Assessment List Weighted Protest Value Business Address BID Area BID Eligible I% of 10U% Total) Number _Business name 4TH ST UNITp 511 Yes Yes 0.161317 %II 262 SARAKKI ASSOCIATES INC lOfi W i P & O ENTERPRISES, LLC 108 W 4TH ST Yes Yes 0.018794% _263 264 WON 108 W 4TH ST Yes Yes 0.01]130% 0.0]]135 %266 265 OURS &TRAVEL IOBW 4TH ST Yes Yes TCHA, INENTAL HALL 308W 4TH ST UNIT #A Ves _Ves _ 0.05_9126% 26]CO INVESTMENTS, LLC. 109 W 4TH ST Yes Yes _ - 0.035631 %�' 0.281914 268 'COLLEEN O'HARA'S BEAUTY ACADEMY 109 W 4TH ST UNIT# B Ves Yes 269 CAPILIA LAS ROSAS WEDDING CHPL 110 W 4TH ST Yes Yes 0.141740% 270 LA MODA 110 W 4TH ST Yes Yes 0.190292% 271 SOUTHWEST FAMILY 2004 TRUST 110W 4TH ST Yes Yes 0.0180111 272 CHANTHAPANYA, P_HOUNSACKI112 -116 112 W 4TH ST Yes Yes 0.028681% 273 BANDOLERO 112 W 4TH ST Yes Yes 0.098670 % 274 MINA BRIDAL LLC 113 W 4TH ST Yes Yes 0.109242 %. 275 LOPEZ, ADOLFO 113 W 4TH ST Yes Yes 0.013704% P6 HISPANOAMERICAN SERVICES 113W4TH ST UNIT #A Yes Yes 0.072045%1 -0 056383%1 LORENZO'S DIGITAL AN_O ASSOCIATE 114 W 4TH ST Yes Yes _ 278 SERVI CENTRO 4TH ST Yes Yes 0.059124h 279 CASSAORA'S BRIDAL BOEiAm 4TH ST Yes Yes 0.079876 % %i 280 �WDJRC, LLC 4TH ST Yes Yes _ 0021241 %' 281 H & L MULTISERVICES 4TH ST yes yes 0.061864 %' 282 DOLEX DOLLAR EXPRESS W 4TH ST Yes Yes 0.0]]526 %', 283 CENTRO LATINO W 4TH ST Yes Yes 0.055600 %1 286 VALENCIA JEWELRY(202 W 4TH ST Yes Yes 2]0961% _ 285 GUSTAVOS PRODUCTIOW 4TH ST UNIT# 30 Yes Yes 0.048552% PRODUCTOS VIENESTAR HERBALIFE 116 W 4TH ST UNIT #12 Yes Yes _ 0.0]Sll]%' _286 287 ALPHA WIRELESS SERVICES 116 W 4TH ST UNIT #14 Yes _ Yes 0.241976 %. ___ 288 REVOLUTION BEAUTY SALON 116 W 4TH ST UNIT #7 Yes Yes 0.055991% 289 VALENCIA & ASSOCIATES APC 116 W 4TH ST UNIT# A Yes Yes 0185985 %' D.01213 _ 290 KB UNTIED, LLC. 117 W 4TH ST Yes Yes I 291 __ KID AVENUE 117 W 4TH ST UNIT# 102 Yes Yes 0.142719 %; 292 SANTA ANA SALON 118 W 4TH ST Yes Yes 0.087315 %, 293 FRUTAS LA PLACITP 118 W 4TH ST UNIT# PE Yes Yes 0.241976 %, _ 294 DON ROBERTO JEWELERS 120 W 4TH ST Yes yes 0.457523 %'. _ 295 BMA INVESTMENT LLC 120 W 4TH ST Yes Yes 0.012138% 2_96 FAINBARG & FRIEDMAN I, LP 201 W 4TH ST Yes Yes_ _ 0.037882 %'. _ _Yes Yes _ 0.7]8199 %I FALLAS PARED_ES, #105 _ _ 201 W 4TH ST 298 CES HUERTA OCTEL 201 W 4TH ST UNIT# PE Yes Yes 0.241976% 299 CM PROPERTIES (202 -212) 202 W 4TH ST Yes Yes 0.029855% 300 -- D &DS HACK FOOD 202 W 4TH ST UNIT# PE Yes Yes 0 241 301 _ DANIEL SIEWELERS ( #239) - - - -- D 330074% 302RHOM _ eUSINDUSTRIES 303 GRACE'S ENTERPRISES 206 W 4TH ST DNIT# 203 Yes 304 A.L. DRAFTING SERVICES 206 W 4TH ST UNIT# 217 Yes 0053250%; 305 POMADE, INC. 206 W 4TH ST UNIT# 220 Yes 0.072828 %;306 0.096]32 %307 AIRBORN CONSTRUCTION INC. .206 W 4TM ST UNIT #421 Yes LA PALOMA FASHIONS 208 W 4TH ST __- Yes 0.186181% ---�-�308 APR INCESSBRIDA_L 208W 4TH ST Yes TYe 0.085161 %309 __ 209 W4TH ST Yes 0.191340 %I FIESTA JUICE 310 N & M CORP. RET. PLAN ONE (209 -211) 2D9 W 4TH ST Yes 003073fi% 311 LEMUS'SHOP 209 W 4TH ST UNIT #A Yes 0.082812 %312 MI EULR i209W4TH ST UNIT #A Yes .085161h 1 & F CALIFORNIA MULTISERVICES ';209 W 4TH 5T UNIT# D Yes 0.051684% LAS ILUSIONFS BRIDAL 211 W 4TH ST Yes Yes 0.082225% 80TANICA NATURAL 211 W 4TH ST Yes Yes 0.241976% F____ 212 W 4TH ST Ves Yes �.0]2828%j ANGELS 213 W 4TH ST - Yes _Yes 0.151529% _ DUE, EBRAHIM M.O. -INC 214 W 4TH ST Yes Yes 0.021731 %SHEISY'S BRIDAL - -� ----- - - - - -- 214 W 4TH ST Yes Yes 0.091622 %' 320 ROBBINS, ROSALIND K (215 -217) 215 W 4TH ST Yes Yes 0.020067% 321 LA PARISINA 215 W 4TH ST Yes Yes 0.072828 %' 322 AM ERICA'S B RI DAL S HOP 216 W 4TH ST Yes Yes 0.072828%1 0.074002 %� 323 CASTROPROOURI ON 218 W 4TH ST Yes Yes 0.263]0]% _ 324 MISPANOAMERICA JEWELERS (302) 218 W 4TH ST UNR#A Yes Yes 325 219 W 4TH ST TRUST 219 W 4TH 5T Yes Yes _ _ 0.013998%'. 326 VIANNEY CATALOG LLC 1219 W 4TH ST Yes Yes 0.076352 %' 32 HWANG, THOMAS D_____ -_ -___ 220W 4TH ST Yes Yes 0.01]913% Page 5 of 30 75A -17 Intent to Levy BID Assessment List Weighted Protest Value Number Buzine«NV . ....:__.. ...____ _._. ___.. 328 329 330 331 332 333 PH /SCARBROUGH, DAVID _ EBOTANICA NETWORKS FIESTA _ ATINA HQLIDAY TRAVEL &TOURS II ALFA INSURANCE SERVICES "' "..- - __. --. _ 221W 4TH ST __ 221 W 4TH ST j221 W4TH 5T __ 222 W 4TH ST 222 W4TH ST 222 W 4TH ST UNIT# A _:., ,.:.. Yes Yes Yes Yes Yes Yes o:o ugm_:e Yes Yes Yes Yes Yes _ Yes Im orawre iosaq 0.070087% 0.015662%' 0.12333]% 0. 085749 %I O.Oaa4vu? 0.052467 %� 334 CHAPAUI'S BEAUTY SALON __ _ 222 W 4TH ST UNITp A _ Yes Yes _ _ 0.049726% 335 SIGUE CORPORATION 222 W 4TH ST UNIT #A Yes Yes 0.130777% 336 PRIVILEGE PHOTOGRAPHY '�, 222 W 4TH ST UNIT# B Yes Yes 0.062256%'' 337 FRUTAS ACAPULCO 1222 VV 4TH ST UNIT# PE Yes Yes 0.241976% 338 TERESA'S JEWELERS _ 223 W 4TH ST Yes Yes 0347694 561 339 VAIIEJO, ANTONIO(223 W 4TH ST & 409 N BROADWAY ST) 223 W 4TH ST Yes Yes 0.031813% 340 PHILLIPS HUTTON PARTNERS LLC 301 W 4TH ST Yes Yes 0.03582]% 347 STARBUCKS COFFEE #8941 __ _ 301 W 4TH ST Yes Yes 0.513318 %' 342 qIA TELECOMMUNICATIONS INC 302 W 4TH ST _ Yes Yes D.167582% 343 344 PANAMERICANA TRAVEL #665 LEOWIN,BRUNO &PAQUEL(302306) 302W 4TH ST 302W 4TH ST Yes Yes Yes Yes 0.0751�J]% 0.022905%' 345 CARTER BOWL _362 VW 4TH ST UNIT# PE Yes Yes 0.241976% ------- 346 FIESTA LUGGAGE & PARTY SUPPLY - -- 304 W 4TH ST yes Yes 0.079288%! 347 IAURA'S PLACE 306 W 4TH ST _ Yes 0.08]57%1 346 TABU BURGERS AND BITES _ 306 W 4TH 5T yes Yes 0.076939% 349 MEXICAN IMPORTS 308 W 4TH ST Yes Yes 0.072828 %1 350 HUGO'S BEAUTYSALON 3081 /2 W 4TH ST Ves Ves _ _ 0.048552 %' 351 TODD SERVICES 308 W4TH ST Yes Yes 0.055991 %. 352 ROSENOW - SPEVACEK GROUP _____309 _ ._ ___...._.- W 4TH ST Yes Yes 0.52]414 %' 353 THE GOOD BEER COMPANY, INC -- - --- _.._...._. -. !309 W 4TH ST Yes __...._ Yes 0.16131 % 354 __ CHA, WON(330 -318) T -_._.. - -- 332W4TH ST Yes 0.020458 %1 355 ___, -._- DOWNTOwNI & L _ 312 W 4TH ST Yes ___Yes- Ves 0.052859% 356 U.S. FINANCING __ 312 W 4TH ST Ves Yes 0.132]34% 357 DOWNTOWNIEWELRY &LOAN ____ 314 W4TH ST Yes Yes 0.483952% _356 VEDA BRAVO PROFESSIONAL SERVICE _ 316 W4TH 5T UN R #237 _ Yes Yes 0.054033% 359 IA CASA DEL DIAMANTE 318 W 4TH Si Yes Yes 0.18265]%. 360 _ CM PROPERTIES (322 -326) 322 W 4TH 5T Yes Yes 0.012138% 361 CAFE CALACAS _ 324 W 4TH ST UNIT# A _ Yes Yes 0.054033 %', CAFE CAS 324 . .W -_4_T_ H ST UNIT #A ........ Y.._es Yes 0.241976% 363 THE BARREL ROOM _ _ 1324 W 4TH ST UNIT# B Yes _. Yes _.... -_ 0.2419769 364 GUNTHER'S_ 324 W4TH ST UNIT #E _ Ves Yes 0.241976% 365 RASPADOS ESTILOIALISC0 _ 324 W 4TH ST UN PE Yes Yes __ 0- 24 366 BISTRO 4D0 _ _ 400 W 4TH ST Yes Yes _ p.2p2626. ! 367 368 COM BI CAKES BARBERIA EL CATRIN, IN_C. _ 400 W 4TH ST 400 W 4TH ST UNIT# B Yes Yes yes Yes 0.24%i D 048552 %' 369 'COLLIDER, LLC _ 400 W 4TH ST UNIT #C Yes Yes 0.4479]_X. 370 THEATRE OUT 402 W 4TH ST Yes Yes -0 .095146 %�� 371 BROADWAY IMPROVEMENTCOINC _ 1404W 4TH ST Yes Yes 0.025059% 372 LE'VIESHOWROOM 404W 4TH ST UNIT #A Yes _ Yes 0.09044A6i 373 ASAP LEGAL SOLUTION 404 W 4TH ST UNIT# 8 _ Ves Yes _ 0.467899 %1 374 .. HAIR ATELIER BY KARLY GISELLE __.. __._. 404 W 4TH ST UNIT #E Yes Yes Yes 0.050118% 375 CAZ2ELL &ASSOCIATES, ATTORNEYS _._. ---- 406 W 4TH 5T Yes ...._._.. Yes JJ 0.080659% 376 REED, KENNETH ALAN ATfY AT LAW 406 W 4TH ST Yes Yes 0.088881 %' 377 OASIS OENTALSANTA ANA 408 W 4TH A Ves Yes 0.105326% 378 CRAVE _ _ 410 W 4TH ST _ Yes Yes 0.465158%' 9 BE LLA'S GRILL 411 W4 HST Yes Yes 0.241976% 0 LFTPROPEflTV MA_NAGMENT, LLC 414W 4TH ST Yes 0.034848% 1 P383 DOWNTOWN414 _ 414 W 4TH ST Ves _Yes Yes 0.234928% 2 PARIS HAIR STUDIO H TUNIT #103 Vet Yes 0062256% SHOFFNER, GARY 414 W 4TH ST UNIT# A Ves Ves D 080659% Page 6 of 10 75A -18 Intent to Levy BID Assessment List Weighted Protest Value Business Address BID Area BID Eligible I% of 10D% Total) Number Busmess Name Yes 0.029072% 394 'CM PROPERTIES 313 N BIRCH ST Yes yes Yes 0.006069 %I 395 MATTINGLEV, MIKE 1055 BIRCH Si Yes Yes 1.]91914 %. 396 CASTUNDA FURNITURE INC 116NBflOADWAY UNI ST Ves 0.099453 %. _ _ 397_ VIAIES GEAR Ill NBROADWAY ST Yes 0.060298% IH &RBLOCK ENTERPRISES INC S17NBROADWAY ST Yes Yes _ _398_ 399_THELLER, KENNETH BTR_USTEE 117 N BROADWAY ST Yes Yes 0.038959 %i 400 DEARDEN'S 117 N BROADWAY ST Yes Yes 1.204594% 401 JONES, ERIC LEONARD 125 N BROADWAY ST Yes Yes 0028191% 402 HIPCOOKS 125 N BROADWAY ST UNIT #C Yes Yes 0.241976% 125 N BROADWAY ST UNIT# D Yes Yes 0.414061% 403 GYPSY DEN 200 N BROADWAY ST yes Yes 0120245% 404 405 C4 DELI LAST CALL ON BROADWAY 202 N BROADWAY ST Yes Yes 0141976 %1 406 EMPIRE BUILDING LLC 204 N BROADWAY ST Yes Yes 0.036805% 1 407 LENTZ MORRISSEY ARCHITECTURE, INC. 204 N BROADWAY ST UNIT #F Yes yes 0.169540% 408 BMP &Co. 204 N BROADWAY ST UNIT #K Yes Yes 00]4002%'. HAL BRISCOE FINE ART 204 N BROADWAY ST UNIT# M Yes Yes 0.072828% _409 410 VINEYARD ROZ 206 N BROADWAY ST Yes Yes 0.2419]6 %' 411 SANTORA GROUP LLC 207 N BROADWAY ST Yes Yes 0.044636% 412 ATILANO SALON 207 N BROADWAY ST UNIT #100 Yes Yes 0.05246] %i 413 THE ARTBAR 207 N BROADWAY 51 UNIT# B6 Yes Yes 0.0_79 -875 { 414 1VS GALLE RY 207 N BROADWAY ST U N IT #C Yes Yes 008 415 ORANGE COUNTY- GREATIVES 207 N BROADWAY ST UNIT# D Yes Yes 0.072818% 416 LAW OFFICES OF FERNA NDO LEONE 207 N BROADWAY ST UNIT #F Yes Yes 0.080659% 417 TWEENA'S TUNES 207 N BROADWAY ST UNIT #F Yes Yes 0.064605% LAW OFFICE OF ROBERT N_EWMAN 207 N BROADWAY ST UNIT #K yes Yes _0.088881 %j _418__ 419_ CRESCEN_OOH, ILC 1207 N BROADWAY ST UN IT #L Yes _Yes 0.16325 %i 420 ESPARZA,ROSEMARYILRW OFFICES 207 N BROADWAY ST UNR# N Yes Yes 0.088881 %' 421 'CLLCTIV, CORP. 230 N BROADWAY ST Yes Yes 0.1215]5% 422 CLLCTIV CORP, INC. 210 N BROADWAY ST Yes Yes 0.16131]% 423 BLACKMARKET BAKERY SA 231 N BROADWAY ST Yes Yes 0.241976 %:. _ 424 ELITE FITNESS DOWNTOWN, LLC 214 N BROADWAY ST Yes yes 0.053642 %1 r 425 - FRANC_O, VANESSA A. 214 N BROADWAY ST Yes Yes 0.028191 %1 426 CORBIZ LLC 214 N BROADWAY ST Yes Yes 0.069304 %4 215 N BROADWAY ST Yes Yes 0451649 %1 _ 427 ,PROOF ARTIST VILLAGE STUDIO BY BREIHON 217 N BROADWAY ST Yes Yes 0.048552% _429 4_29 _HAIR JANET'S BIKE SHOP 219 N BROADWAY ST yes Yes _0.086923% 430 SUBWAY #26294 220 N BROADWAY ST Yes Yes 0.241976 %. 431 AKINSPARKERCREATIVE, LLC 225 N BROADWAY ST Yes Yes 0.673772% 432 THE COPPER DOOR BAR '2251 /2NBROADWAV ST Yes Yes 0.236690 %1 433 THE COPPER DOOR 2251 /2 N BROADWAY ST Yes Yes 0048552 %I Yes Yes 434 GUM &LIVINGSTSON INVESTMENTS LLC 225NBROADWAY ST 0011 225 N BROADWAY ST UNIT #203 Yes Yes 0048552% 435 RMORZ KUTZ U 225 N BROADWAY ST UNIT# 204 Yes Yes 0.05246]% 436 THAD VU PHOTOGRAPHY, LLC 0.080659% _437 MENARCH 225 N BROADWAY ST UNIT #213 Yes Yes 438 CHAPTER ONE: THE MODERN LOCAL 227 N BROADWAY ST Yes Yes 0.8]3345 %' COSTAAZULTR_AVEL#418-5 300 N BROADWAY ST Yes Yes 0.05_0118- 460 B&_B TAX SMART SOLUTION 300 N BROADWAY ST Yes Yes 0.16131]% 441 GILMAKER, DEBORAH (300 -306) 300 N BROADWAY ST Yes Yes 0.012138% MI MOOR 304 N BROADWAY ST Yes Yes 0.106305% 442 443 ROSA'S BRIDAL 308 N BROADWAY ST Yes Yes 0.088685 % 444 CENTRO NATURISTA 310 N BROADWAY $T Yes Yes --Yes 0096321 %! 1 445 JAS RAJ EYEBROW & PIERCING 323 N BROADWAY ST UNIT #A Yes 0.05990]% 446 SANTOROS BRIDAL 323 N BROADWAY ST UNIT# B Yes Yes 0.075764 % 0.048552 %I 447 CENTRAL DE AUTOBUSES 324 N BROADWAY ST Yes Yes 448 CENTRAL TRAVEL &_TOUR SERVICE 324 N BROADWAY ST Yes Yes 0.063399% 325 N BROADWAY ST Yes Yes_ _ 0025842 %i. Yes Yes 007 1 449 -_ 450 SAADI, JOSEPH1 -- - - - -� THE NORTH LEFT 400N BROAD WAY ST Yes _ Yes 0125687% _.. .__L..._ .._ .....__________. BRIDAL BOUTIQUE 405 N BROADWAY ST UNIT# A _451 452 G ENISES THE DEW SALON 405 N BROADWAY ST UNIT #0 Yes Yes 0056]]4 %. 0.056383 %. 453 MANUELJ. PENA INS. AG ENCV( #E) 407 N BROADWAY ST Yes Yes 0.241976 %1 407 N BROADWAY ST Yes Yes 454 IVIDA BELLA 1409 N BROADWAY ST Yes Yes 0.241976 %, 455 456 HECTOR'S #3 _ LAS BRISAS2 409 N BROADWAY ST Yes Yes 0.2_33166_ %' 411 N BROADWAY ST Yes yes 0.062225%1 457 MILLENNIUM VAPOR Yes Yes 0.071653 %' UNIIEXB1AUTYIAIUON 413 N BROADWAY ST 0012921 %, _458 059 FAINBARG, AUAN 413 N BROADWAY ST Yes Yes Page 7 of 10 75A -19 Intent to Levy BID Assessment List Number Business Name Weighted Protest Value 660 _ RIVAS FOOD CO. -�- _ ___ ........ ...... 413 N BROADWAY ST UNITkA Yes eugime Yes I% of asvri Tow) %�'' 461 LEO'S WATCH & JEWELRY REPAIR _ 4171 /2 N BROADWAY ST _ Yes Yes _0_.239039 0.079 fi 462 BEATNIK BANDITO MUSIC EMPORIUM dllNBROADWAYST Yes Ves 0.241976 %'. 463 464 �MACRES FLORIST ITRUTH$gOVERTISING - ". _....._ 419NBRDgDWAY ST 454N BROADWAY $T Yes Yes Yes _ 0.23903% 0.505271 RgGS ARDO'S AUTO REPAIR NDARD REBUILDERS '454NBROADWAY ST U __N_ITk 100 119 N BUSH 5T Yes _ Yes Ves Yes _ 119 N BUSH ST UNIT# B Yes Yes 0.095929% T GALLERY 201NBUSH ST Yes Ves 0.0]6352% AM INTERNATIONAL 202 N BUSH ST Yes Yes 0.102585% ORDABLE VIDEO_ PRODURIONS, LLG 204 N BUSH ST Ves Ves 0.084966% COM - 205 N BUSH ST Yes Yes 0.243151 %ITENOS SALON 207N BUSH ST Yes Yes 0054033 % IDEAL WORLD 209 N BUSH ST Yes Yes 0.219658% 474 BRIAN KONOSKE PHOTOGRAPHY 215 N BUSH ST Yes Yes _. 0.046552% 475 PACIFIC PONDGROUP 220N BUSH ST Yes ........._ 0.028191% _ 4]6 BTS IBURG ESS TECHNICAL SERVICESI 225NBUSH ST Yes _Ves Yes (1.053642 %'. 4]] IpONALO KROTEE PARTNERSHIP INC _ 230 N BUSH ST Yes Yes 0.121771 %' 478 THEMGOODS DISTRIBUTION '243NBUSH ST Yes Yes 0.09279]%_1' 4)9 480 FORKAN,JOEA. BARBARINO, RICHARD 265 N BUSH ST _ 265 N BUSH ST Yes Yes Yes Yes Op2g191951i 0.006069% 481_ LA CASA BLANCA BEAUTYSALON 300N BUSH ST Yes Yes 0.058340% 482 483 PARKING CO OF AMER CAL PARKINGCO OFAMERICA /CAL __--�- 300N BUSH ST 302NBUSH ST I yes Yes _ Yes Ves _ 0.05442 % 0013215 %'':. 448 EALM CS BEAUTY SALON X308 N BUSH ST -Yes Yes 0.079092 % 08RIDAL FOTO &VIDEO i31USH Si ST 0N B Yes Yes 0.091035 %: 486 LAS CASUELITAS 312 N BUSH ST Yes Yes 0.130972% 487 CA SDELAS PANCHITO _ 312 N BUSH ST Yes Yes 0.2419]6 %' 488 489 LAURA'S NOTARY &TRAVEL SERVIC _ THE_ WILCOX GROUP, LLC. 318N BUSH ST 712 N BUSH ST Yes Yes _ Ves Yes 0.051293% 0.015658% 490 CUSTOM AUTOSERVICE _____ 302 NFRENCHST -yes -yes 0.222399 %1 491 YOST STUDIOS 320 N FRENCH ST Yes Yes 0012138% 492 LEFT OF THE DIAL RECORDS __ 320 N FRENCH ST UNIT# B 0.125687% 493 LABELL EXCHANGE 501 N FRENCH ST _Yes Yes _Yes Yes 0.271734 %' 494 __._ CVS /pharmacy#9583_ 102 N MAIN ST _ Yes 1.564034 %: 495 M & A GABAEE, A CAL LTD PTNERSHIP _____ 102 N MAIN ST _ _Yes Yes __ Yes ____ 904)64% 496 _ RITE AID #5759 _ 111 N MAIN ST Yes Yes 1.489446 %j 497 498 GAUCHO INVESTMENTS, LIC DIAMOND PARKING SERVICES LLC #SA58 200N MAIN ST _ 200 N MAIN ST Yes Yes _ Yes Yes 0.034260 %' 0,060690 %I 499 500 DASCANIO, DENNIS LAW OFFICE OFFICE OF JOSEPH R. RICHARDS - 200NMAIN ST UNITp 200 200 N MAIN ST UNIT# 200 Yes Yes Yes Yes 0.080659 %I 501 502 THE OPHER MARKELZ - -- LAW OFFICE OF PATRICIA EULLOQUI - N MAIN ST UNIT# 200 N MAIN ST UNIT# 200 Yes Yes Yes Yes 0.080659% 0.080659% 504 CS SURTERRE PROPERTIES _ 201 N MAIN ST UNIT# 18 Yes Yes - 0.04 % 505 C3 OFF C_A_O_LUT ON9M 21JNMAIN ST UNITk 119 Yes -D.346519% 506 DGWB INC. 217 N MAIN ST UNIT# M22 _ _Yes Yes_ Ves 1.476523 %, 507 DGWB VENTURES LLC _. 2 D N MAIN ST UNIT# M22 Yes Yes_ 0+051586% 506 FLORAL PARK CAFE _ 300N MAIN ST Yes Yes 0.455173% 509 SWEET TOOTH DENTAL 3011 /2 N MAIN ST Yes Yes 0.088881% 510 DUEL, EBRAHIM 301 N MAIN ST Yes -Yes 0.025940 %1 511 WESTERN WOMENS C_L_INIC _ 301N MAIN ST Yes Yes 0.09]104 %: 512 MI CAMINI _ _ 302 N MAIN ST Ves -Yes 0.173847%' 513 PANINOTECA MAGGIO A 304 N MAIN ST Yes Yes 0.166212% 514 515 QUAN M_. TRAN, 0.0. OPTOMETRY CHARLOTTES BARBER SHOP _ - 305 N MAIN ST 306N MAIN ST Yes Yes Yes Yes 0.0g8881% 0.050510% 516 _ 517 518 _ ....... 519 DVAS BRIDAL &CREATIONS ANGELINA SECRET BRIDAL/ UP AND DOWN PARTY RENTALS CAFE 311$ PLAZA LOUNGE 1309 -3111 _ ESTRADA, LOSE --- _ _.._. _____" 30] N MAIN ST Yes Yes 0.2419]6 %{ 309N MAIN ST 311 N MAIN ST 3.15 N MA IN ST Yes _ Yes Ves Ves Yes Yes 11 0.039938% 0.241976 %i 0.057738 j _ 520 521 522 S MAIN & IMPERIAL, LLC 500 -520 ,500 WESTERN DENTAL SERVICES INC ACLINICA MEOIGq GENERAL __ CEDARS TOWERS SURGICAL MEO GRP N MAIN ST 500N MAIN ST 505 N MAIN ST -- 505 N MAIN ST Yes Yes - -' "' Yes Yes -'" Yes Yes Yes --" Yes '-'-- -_i 0.0382]4% 0.236103 - - -- 0.301883 %' 0.13]433 %' 523 524 ..__ 525 - _. FARMACIA SANTA ANA GUILLERMINA MADRILES 510 N MAIN ST 515 N MAIN 5T Yes Yes Yes - Yes 1.134703 %I --- 0.00)146 %' Page 8 of 10 75A -20 Intent to Levy BID Assessment List Weighted Protest Value am[nable I% of 100% Total) Number Business Name O ° "'O ""'° - - - 0.103368 %II 526 KARMINA RESTAURANT & GRILL 515 N MAIN ST UNIT# B Yes Yes Yes 0.234537% 527 527 LATINO HEALTH SVGS MED G0.P INC 51] N MAIN ST Yes Yes 0.9]923% 528 SOUTH GATE ROSE PHARMACY INC 517 N MAIN ST UNIT# 101 Yes Yes 0.088881% 529 CACERES' JULIO DDS 51]N MAIN ST UNITp 300 Yes Yes Yes Yes 0.0g06wni, 530 BRUSH ADVISORIES (UNIT #11_1) -_ -,_ 520NMAIN ST _ 0.063431 %I - _ -- - "- 520 MAINOPTICAL N MAIN ST Yes - Yes 531 ..- On N MAIN ST Yes Yes O.OWI04 %'. 532 AGUILAR, SERGIO DDS Yes Yes 0.138216 %, 533 MAIN STREET PRENATAL MEDICAL C 520 N MAIN ST UNIT #100 0.113549 %1 534 MARVAM RAHNEMUN M.D. INC. 520 N MAIN ST UNIT# 220 Yes Yes I OpR828 %I 535 JACK IN TH E B0X 93180 601 N MAIN ST Yes Yes 0.02466]%. 536 .THE BNS FUND_, LLC 601 N MAIN ST Yes yes 0.238844 %, 537 WORLD TRAVEL BUREAU INC 618N MAIN ST Yes Yes Yes 0.111982,% 538 PALMER INSURANCE AGENCY 631N MAIN ST Yes 0088881 %! 1 539 PALMER INCOME TAX 1631 N MAIN ST Yes Yes SUBWAY #63865 700 N MAIN ST Yes Yes - __0.241976% 0.2419]6 %II' Yes _Yes _540 541 7- ELEVEN STORE 3]1p1A 700 N MAIN ST UNIT# B - 0.578511 %I _ 542 11 BURGER KING (4309/4916) 701 N MAIN ST Yes Yes 0.09711M% 543 0R6 CO CENTER OF LEGAL SVGS 711 N MAIN ST Yes Yes 544 PLUS VIDEO 1713 N MAIN ST Yes Yes 2105130 % 0.014585 %'. 545 TRANG CHARLIE 715N MAINST Yes _ Yes Yes 0.108654% 546 54] BEIJING EXPRESS RESTAURANT MANAGMENT SOMBRERO STREET 715NMAIN ST 719 N MAIN ST Yes Yes Yes Yes 0.371186 %' 0.-01]42 %I 100 S0UTH MAIN STREET LLC 1005 MAIN ST Yes -4 548 r 549 ORIGINAL M IKE'5 RESTAURANT 100S MAIN ST Yes Yes Yes, -- Yes 64fi T, 0.425807 %' 550__' FIRESTONE COMPLETE AUT0 CARE #2]1F 1015 MAIN ST -_ 01998855% 551 WNC RL ESTATEPARTNE EA 100 N R055 ST -- yes - Yes_ - OlJ]762 %I. 552 BURR & NAYLOR 200 W SANTA ANA BLVD Yes Yes Yes 0089273% 553 ACE PARKING MANAGEMENT 200W SANTAANA BLVD Yes ,_ 0161611 %I HOLDINGS 200 W SANTA ANA BLVD Yes Yes 554 55 5 iQUIZNO'S 200 WEST SANTA ANA BOULEVARD ,LLC SUB 200 W SANTA ANA BLVD UNIT# 175 Ves Yes 0.1]3260% 556 MONTELEONE & MC CRORY, LAW OFC 200 W SANTA ANA BLVD UNIT# 200 Yes Yes -- 0.169540% THE REEVES LAW GROUP 200 W SANTA ANA BLVD UNITp 630 Ves Yes 0.486301 %' 557 558 WILSON, PESOTA & FO %LLP 200 W SANTAANA BLVD UNIT# 9J0 _ Yes Yes 0.3884 y15 %I 0.066955 %i 559 CIM URBAN RE IT PROPERTIES I, L.P. SOD W SANTA ANA BLVD Yes Yes 1.00J842% 560 EVEREST COLLEGE SOOW SANTA ANA BLVD _ Yes Yes 0.046552 %'. 561 ___ HITPROSINC -..- 520 W SANTA ANA BLVD - - -- Yes -' Yes "' " +- - - - - -- OA96A2% _ 562 _____ BESTCONSTRUCTION SERVICES, INC 520 W SANTA ANA BLVD Yes Yes 0.014291 563 ELHAI FAMILY TRUST 1550 SANTA ANA BLVD Y Yes %'1 0143404 %. 564 -- CIVIC CENTER LLC 600 W SANTA ANA BLVD Yes Yes _� 0 0]1262 %. 565 IMMIGRATION 4U ..- _- .....- 600 W SANTA ANA BLVD -- Yes ------- Yes -'- " "' - " "'_ -- - -- 0158185 %.. 566 _._ ...__ SUNNYHILLSPALLADIUM �600W SANTA ANA BLVD �_ Yes Yes 0321852 %;. 567 S68 ORANGE COUNTY REPORTER _ �600WSANTAANA BASCH IN BLVD 600W SANTA ANA BLVD BLVD Yes Yes Yes Yes Yes Yes 0069695 %1 ,_ 0.069521% 569 M C D GENERAL SERVICES 600 W SANTA ANA 0..71653 %, S70 PIAZATOWERS PARKING 600 W SANTA ANA BLVD Yes _Yes Yes 0.15]402%'1 _ 91 .ANTES CAFE, LLC -,- 600 W SANTA ANA BLVD U N IT #100 600 W SANTA BLVD UNIT# 103 Yes Yes .._ Yes _ ...._ _______ 01309]2 %�, ____,_,_ 92 - PLAZA CAFE & DELI - SIMPLE LEGAL SOLUTIONS 600 W SANTA ANA BLVD UNIT# 114 Yes Yes SA _ SLAW OFFICES OF STEPHEN RIGGS 600 W SANTA ANA BLVD UNIT #202 Yes Ves -L 0.080659%' 574 95 �576 LIRA NOTARY HEGGENESS,SWEET, SIMINGTON &PATRICIO AP.C. 600 W SANTA ANA BLVD UNIT# 600 600WSANTAANA BLVD UNIT #700 Yes Yes as Yes 0.48552 %'. 0.291311% _, -_ 600 W SANTA ANA BLVD UNIT #814 Yes Yes _00888- JJ ROLNICKI, ROLF ATTORNEY 0.088881 %. 578 ROSE N, MARKS ATTORNEY 600 W SANTA ANA BLVD UNIT#814 Yes Yes 0080659% 579 - -I{ 580 BARTONE, G REGORY LEE ATTORN EY { W OFFICE OF DEBORAH M VA54UEZ 600 W SANTA ANA BLVD UNIT #814 600 W SANTA ANA BLVD UNIT# 814 Yes Yes yes Yes _ 0080659% "'-- " 0.145655% 600W SANTAANA BLVD UNIT #816 Yes _ Yes 581 LAW OFFICES OF JESSE A. MARINO Yes 0088881 %{ i-' - -- 582 -' -- LAW OFFICE LOLITA KIRK _..___ 600W SANTA ANA BLVD UNIT #900 - Yes - - Ves 0 D80659% 583 W W OFFICE OF 0.ENEE G_ARCIA 600 W SANTA ANA BLVD UNIT #910 Yes ._ _ 584 585 MUNOZ &ASSOCIATES 0SAJIMA,GLENN K LAW OFFICES O 600 W SANTA ANA BLVD UNIT #910 600 W SANTA ANA BLVD UNIT #910 Yes Yes Yes Yes � 0088881%1, p080659 %' _ 0.129210% -� 586 FERRENTINO &ASSOCIATES, INC. '600 W SANTA ANA BLVD UNIT #925 Yes Yes 0.080659%. 587 HUFSTADER, DONALD K LAW OFFICE fi00 W SANTA ANA BLVD UNIT #955 Ves yes __ 0.088881% 588 SCHULMAN THOMASL 600 W SANTA ANA BLVD UNIT #955 Yes Yes 0.226314 %' 589 GRIFFIN LOTZ& HOLZMAN, A LAW CORP. 6DO W SANTA ANA BLVD UN IT #960 Yes Yes 0.014291% 590 CHL0EM.STAT0NTRUST(219E1STST) 116NSPURGE0N5T Yes Yes 0.320285% 591 CRISP BRAND AGENCY -_ 200 N SPURGEON ST - -- Yes Yes Page 9 of 30 75A -21 Intent to Levy BID Assessment List Number Weighted Protest Value —5 592 EV - -- _ EVOUNI USA �20D _ •••• =v ��•••_» _ NSPURGEON ST e��nrea 01U eugiele 1% of 10(96 TOW) 593 NATIONWIDE ENVIRONMENTAL CONSULTANTS, INC. ,212 N SPURGEON ST Yes Yes Yes 0.080463% 594 1 FIESTA MARKETPLACE PARTNERS _ 301 N SPURGEON ST _ Yes 0.080659 %. —,- 595 -_. -. -. VOIIE JAPANESE FONDUE - -. Yes Ves _. .._ 0,009 _ 305NSPURGE0N ST Ves Yes 2419]6% 596 YOST THEATER 30]N SPURG EON ST Yes Yes ]_ THE YOST - 30]NSPURGEON ST Yes Yes —0.46280M 598 QARTSALON 205 N SYCAMORE ST Yes Yes 0.072828 %I 599_ WEACIONES ALEJANOflA FOTO ESTUDIOY BRIDAL SHOP _ '318NSYCAMOfl E ST Ves 600 LOMELI, ARTURO DDS 415 NSYCAMORE ST Yes Yes Yes 0.085161% 601 LOMELI, ARTUROJ 415 N SYCAMORE ST Yes Yes 0.161317% 602 FULL HEALTH UNIVERSITY MEDICAL DIAMOND PARKING SERVICES LLC NSA01 415NSVCAMORE ST 416 N SYCAMORE ST Ye s Yes Yes 0.012138 % 0.105326 %' 603 604 THE SUIT CO. Yes 0.081050_%', _ �SII NSYCAMORE ST Yes Yes 0.2419]6 %'I 605 SDNI, NEIL (701-703) ]01 N SYCAMORE ST Yes Yes _ 0.006754% Page 10 of 30 75A -22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: PUBLIC HEARING — ZONING ORDINANCE AMENDMENT NO. 2014 -02 TO ADOPT AN ADAPTIVE REUSE ORDINANCE — CITY OF SANTA ANA, APPLICANT (STRATEGIC PLAN NO. 3, 2) CITY MAN ER 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 an ordinance approving Zoning Ordinance Amendment No. 2014 -02. PLANNING COMMISSION ACTION On October 27, 2014, the Planning Commission recommended that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -02 by a vote of 6:0 (Alderete absent) to amend Chapter 41 of the Santa Ana Municipal Code to adopt an adaptive reuse ordinance allowing the reuse of vacant and /or obsolete buildings in the city. The Planning Commission made no changes to the attached staff report and ordinance (Exhibit A). DESCRIPTION The City of Santa Ana has numerous buildings that were built in the last 100 years that, over time, have become vacant or underutilized due to various circumstances but which remain structurally sound buildings. To address this issue, an adaptive reuse ordinance is proposed that will remove barriers to the reuse of these functional but vacant buildings, maintain the City's existing character and urban form, promote a green form of development and stimulate reinvestment in the City. The ordinance will provide guidance for code modifications and /or the full use of the Historic Building Code for eligible buildings and will grant relief from development standards such as parking, setbacks and height. This will allow reuse projects to be economically feasible while ensuring adequate health and safety protections are adopted. The proposed ordinance will encourage the preservation of and reinvestment in existing structures that are located within four Project Incentive Zones by allowing additional compatible uses other than the buildings' original intended use and will ensure that development proposals for older buildings are reviewed in a comprehensive, thorough manner to ensure compatibility with the site and surrounding land uses. The proposed adaptive reuse ordinance will recognize the economic, environmental and cultural value of preserving older and /or historic landmark buildings within the City of Santa Ana. 75B -1 Zoning Ordinance Amendment No. 2014 -02 November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Objective No. 2 (create new opportunities for businesstjob growth development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There is no fiscal impact associated with this action. K "J—V, t±� Karen Haluza Interim Executive Director Planning & Building Agency VF:rb VFVep0d520A 2014 -02 Adaptive Rease= Exhibit: A. Planning Commission Staff Report B. Project Incentive Area Maps 75B -2 Economic Development, and encourage private REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: OCTOBER 27, 2014 TITLE: PUBLIC HEARING — FILED BY THE CITY OF SANTA ANA FOR ZONING ORDINANCE AMENDMENT NO. 2014-02 TO ADOPT AN ADAPTIVE REUSE ORDINANCE (STRATEGIC PLAN NO. 3, 2) Prepared by Vince Fre OSO Interim Executive D' ctor RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Acting P n g Manager Recommend that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -02. Request of the Applicant The City of Santa Ana is requesting an amendment to Chapter 41 of the Santa Ana Municipal Code (SAMC) to adopt an adaptive reuse ordinance allowing the reuse of vacant and /or obsolete buildings in the City. Plannina Commission Action On September 22nd, the Planning Commission held a hearing on the proposed adaptive reuse ordinance. During the hearing, the Commission commented on several topics, including the ability to better define project boundaries by adding streets, providing more clear zoning language within the document, the applicability of the Housing Opportunity Ordinance on these projects, consideration of adding another incentive area along South Main Street to the adaptive reuse ordinance, and revisiting the open space criteria. At the conclusion of the hearing, the Commission continued the item for two weeks to allow staff time to review these items. Outlined below is discussion of the items raised by the Planning Commission: Project Area Boundaries — The Project Incentive Area definition has been modified to include street boundaries to the North Main and East First Street Corridors [Section 41- 1651(e)]. Clarification on Allowed Uses - The Zoning language has been modified to clearly state that residential uses are allowed within the Project Incentive Areas (Section 41- 1653). EXHIBIT A 75B -3 Zoning Ordinance Amendment No, 2014 -02 October 27, 2014 Page 2 Housing Opportunity Ordinance — The draft ordinance has been modified to state that adaptive reuse Projects shall be in compliance with the City's Housing Opportunity Ordinance. Uses on the Ground Floor — The language within Section 41 -1652 (b)(2) has been clarified to identify the type of uses allowed on the ground floor. In addition, a maximum of 50 percent of the ground floor may be used for noncommercial /retail space. Consideration of Post 1974 Structures — The intent of the adaptive reuse ordinance is to incentivize the reuse of older vacant and underutilized structure that are considered to be obsolete, with buildings built before adoption of the 1974 building codes more suited as adaptive reuse projects. Clarification on the Applicability of Historic Codes - Section 41 -1652 (bX5) has been modified to clearly note that Chapter 30 (Historic Structures) is applicable to adaptive reuse projects. Open Soace - Staff reviewed the open space standards for an adaptive reuse project in relation to new residential developments in the City. In reviewing the open space requirement for new projects, it was found that the City's existing open space requirements are twice the rate than what is proposed to be provided for adaptive reuse projects, which is warranted since new residential projects are typically built on vacant sites. The 10 percent requirement for adaptive reuse projects can be satisfied through a combination of interior open spaces (community rooms, recreation rooms, etc.), roof top amenity decks (seating, pools and spas), or other open space solutions at a rate that will adequately serve the project. The City's overall lack of open space, the need for open space as an amenity for adaptive reuse projects, and the likelihood that little or no open space can be provided at the ground level, makes it imperative that sufficient open spaces be incorporated into these projects. Given the need to balance adequate open space while providing an incentive via a reduced rate of open space for these projects, the 10 percent rate is appropriate for adaptive reuse projects. Inclusion of South Main Street District - Staff looked at extending the boundaries of adaptive reuse projects to include the South Main Corridor. In reviewing this segment, it was determined that the strength of this corridor is its place as a distinct commercial corridor in the City that has unique zoning standards that promote reinvestment along South Main Street. Further, this corridor consists of smaller, single -story buildings that are not ideal candidates for reuse as residential units and would not benefit from the Building and Fire Code advantages of the proposed ordinance. Maintaining the zoning as is along South Main Street will continue to encourage the viability of South Main as a commercial corridor. Public Works Agency Requirements — The draft ordinance has been modified to incorporate language that will allow adaptive reuse project to have the ability to obtain incentives from Public Works Agency related requirements. The development standards in the proposed ordinance, in conjunction with standards already in place in the Municipal Code, will result in quality at a level similar to new development projects. Further, the proposed ordinance will incentivize the reuse of existing buildings and will establish provisions for significant upgrades to the interior of these structures. 75B -4 Zoning Ordinance Amendment No. 2014 -02 October 27, 2014 Page 3 Prolect Description and Location The proposed ordinance will create new sections in Chapter 41 of the Santa Ana Municipal Code (SAMC) (Sections 41 -1650 through 41 -1654) and will establish an adaptive reuse ordinance that will be applicable within specified areas of the City. Currently, the City has no provisions that allow for the reuse of vacant and /or obsolete buildings for uses other than those originally intended; the proposed ordinance would allow the reuse of buildings for uses other than originally intended, including for residential purposes. Prolect Backaround An adaptive reuse ordinance is a tool which local jurisdictions may adopt to assist in the reuse of buildings that are vacant, underutilized or obsolete. The goal of an adaptive reuse ordinance is to encourage the preservation of and reinvestment in existing structures by allowing additional compatible uses other than the buildings' original intended use. The SAMC does not currently contain standards for the adaptive reuse of vacant and /or obsolete buildings. Such adaptive reuse programs are necessary to ensure that development proposals for older buildings can be reviewed in a comprehensive, thorough manner to ensure compatibility with the site and surrounding land uses. The proposed ordinance will encourage the preservation of and reinvestment in these existing structures within four project incentive areas of the City. Prolect Analysis The City of Santa Ana has numerous buildings that were built in the last 100 years that, over time, have become vacant or underutilized due to various circumstances. Many of these buildings remain structurally sound buildings that benefit the city's overall urban form. Additionally, many of the older high -rise buildings may have construction methods and site configurations that make them suitable for alternate uses beyond the original use intended. To address this issue, staff has explored the potential for creating an adaptive reuse ordinance for the reuse of these buildings. In an effort to maintain these structures, the City is seeking to encourage the adaptive reuse of buildings in order to remove barriers to the reuse of functional but vacant buildings, maintain the City's existing character and urban form, promote a green form of development and stimulate reinvestment. Key to the success of an adaptive reuse program is the ability to provide guidance for code modifications and /or the full use of the Historic Building Code for eligible buildings, and to grant relief from development standards, such as parking standards, setbacks, height, and other development standards on existing structures. This code relief, or incentives, will allow reuse projects to be economically feasible while ensuring adequate health and safety protections are adopted. One of the key challenges in the reuse of existing buildings is complying with present day building and fire codes and other development standards such as parking and setbacks. 75B -5 Zoning Ordinance Amendment No. 2014 -02 October 27, 2014 Page 4 The proposed adaptive reuse ordinance will recognize the economic, environmental and cultural value of preserving older and/or historic landmark buildings within the City of Santa Ana. The proposed ordinance will provide a clear process for reviewing and approving a range of different types of adaptive reuse projects. Further, the ordinance establishes code provisions pertaining to Zoning, Building and Fire to allow for eligible existing buildings present in the City to be safely reused in appropriate circumstances. The regulations establish a consistent and efficient process to review conversions of a range of appropriate types of structures for adaptive reuse. The proposed ordinance will: • Add a definition for adaptive reuse. • Allow uses in adaptive reuse projects that are consistent within the existing context and character of its location. • Establish incentives for relief of project - specific requirements • Remove barriers to reuse by modifying development standards for setbacks, height, open space and parking. • Provide Building and Fire code flexibility for adaptive reuse projects. • Establish geographic incentive areas to stimulate reinvestment in vacant and underutilized properties. Staff has also coordinated with the Building Division and Orange County Fire Authority (OCFA) in the establishment of the proposed ordinance to ensure that the required minimum seismic, fire and life safety code standards are met. The proposed ordinance will allow applicants the ability to propose alternate means and methods as an instrument for said standards and its intent. Alternate means and methods allow applicants to propose methodology that is equal to prescriptive code standards when the standards are found infeasible or prove to be a hardship due to the building code standards in place at the time of the building's original construction. It also encourages a more collaborative approach between the applicant and the City in working through code challenges inherent in reuse projects. Projects proposing an adaptive reuse project are subject to the City's Site Plan Review process, where projects will be reviewed for compliance with the provisions of the Adaptive Reuse Ordinance and applicable provisions of the SAMC. Adaptive reuse projects will be non - discretionary except for instances where modifications are proposed to a building listed on a historical register. The non - discretionary process will help expedite the reuse of buildings, encourage reuse projects within geographic incentive areas will ensure that eligibility criteria are being met. Finally, the review process will ensure that all applicable historic building standards that may be applicable are complied with. 75B -6 Zoning Ordinance Amendment No. 2014 -02 October 27, 2014 Page 5 Economic Development Task Force On October 14th, 2014 a presentation regarding the adaptive reuse ordinance was given to the Economic Development Task Force, a panel consisting of local and regional economic development representatives and business owners. The purpose of the presentation was to review the proposed ordinance and to receive feedback from the panel regarding the ordinance. Following the presentation, the majority of the Task Force members commented on the benefits of an adaptive reuse ordinance. Most notably among these were the streamlined process identified within the ordinance and the ability to convert an underutilized and/or outdated building for an alternate use. At the conclusion of the presentation and discussion, the Task Force agreed with staff's direction to present the adaptive reuse ordinance to the Planning Commission and City Council for adoption. Public Notification The proposed citywide amendments are not located within the boundaries of a specific Neighborhood Association. However, staff has been in contact with various stakeholders including property owners, real estate brokers and developers active in the community that may be affected by the proposed ordinance. A notice of the hearing was published in the Orange County Reporter. At the time of this printing, no correspondence, by phone, 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 from further review pursuant to Section 15061(bx3) of the CEQA Guidelines. This exemption is allowed when the activity, in this case the recommendation of adoption of the ordinance, follows the general rule that CEQA only applies to projects which have the potential for causing a significant effect on the environment. The proposed adaptive reuse ordinance encourages the reuse of existing structures and will not have a significant effect on the environment. A Notice of Exemption (Environmental Review No. 2014 -88) will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 3 Economic development, Objective No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies). 75B -7 Zoning Ordinance Amendment No. 2014 -02 October 27, 2014 Page 6 Conclusion The proposed action would amend the Santa Ana Municipal Code to allow the adaptive reuse of buildings that meet certain eligibility requirements and which are located within certain incentive areas of the City. The ordinance would establish criteria and incentives that encourage the reuse of vacant, obsolete and /or underutilized for buildings with uses that are consistent with the existing context and character of its location. Based on the background analysis provided within this report, staff recommends that the Planning Commission recommend that the City Council approve Zoning Ordinance Amendment No. 2014 -02. Vince Fregos , AIC Acting Planning anger VF:jm VFV80"IZGA 2014-02 Adapuve Re -102714.pc Attachment: Exhibit 1 — Proposed Adaptive Reuse Ordinance 75B -8 City of Santa Ana `.- Adaptive Reuse Project Incentive Areas EXHIBIT B Adaptive Reuse Project Incentive Areas o 0.6 1.2 Mites ONorth Main Street 0 Midtown 0 Transit Zoning Code 0 First/Grand Corridor 75B -9 L ME i y A Q G V G d O CL Aa c y Q N � 7 N � G in v `o a r � .. v Eno � ss 75B -12 0 a v u C .O a` a K c v 75B -14 ROH 10/27/14 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE TO ALLOW THE ADAPTIVE REUSE OF ELIGIBLE BUILDINGS IN PROJECT INCENTIVE AREAS. THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The Santa Ana Municipal Code does not currently contain standards for the adaptive reuse of vacant and /or obsolete buildings. Such adaptive reuse programs are necessary to ensure that development proposals for older buildings can be reviewed in a comprehensive, thorough manner to ensure compatibility with the site and surrounding land uses. B. Older buildings may have construction methods and site configurations that make them suitable for alternate uses beyond the original use intended. C. The adaptive reuse of structures, including historic and non - historic structures, has been found to support environmental sustainability by encouraging the reuse of built structures for alternate uses. D. The proposed zoning code provisions will not adversely affect the character, livability or appropriate development in the City and that the adaptive reuse ordinance is consistent with the goals, objectives and provisions of the City's General Plan. E. Zoning Ordinance Amendment No. 2014 -02 is to amend Chapter 41, establishing a new Article XVI.II, allowing certain buildings to apply for the adaptive reuse of the building. This Zoning Ordinance Amendment will allow the adaptive reuse of a building to be reviewed by all pertinent Departments of the City and the Orange County Fire Authority (OCFA). F. Zoning Ordinance Amendment No. 2014 -02 supports the General Plan policies of encouraging high- density residential development within the City's District Centers, support projects that contribute to the redevelopment and revitalization of the urban centers, promote rehabilitation of commercial properties and encourage increased levels of capital investment, support development which provides a positive 75B -15 contribution to neighborhood character and identity, encourage the retention and reuse of historical buildings and sites, and encourage development which provides a clean and safe environment for the City's residents, workers and visitors. G. On September 8, 2014, and October 27, 2014, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt Zoning Ordinance Amendment No. 2014 -02 to create Article XVI.II of the Santa Ana Municipal Code to adopt standards of approval for the adaptive reuse of buildings for eligible buildings in project incentive areas. H. Zoning Ordinance Amendment No. 2014 -02 came before the City Council of the City of Santa Ana for a duly noticed public hearing on November 18, 2014, to consider all testimony, written and oral. I. The City Council adopts as findings all facts presented in the Request for Council Action dated November 18, 2014 accompanying this matter. For these reasons, and each of them, Zoning Ordinance Amendment No. 2014 -02 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. J. The Request for Council Action for this ordinance dated November 18, 2014, shall by this reference be incorporated herein, and together with this ordinance, any amendments or supplements and the oral testimony before the City Council at this meeting, shall additionally constitute the necessary findings for this ordinance. K. All provisions of the Santa Ana Municipal Code which are repeated herein are repeated solely in order to comply with the provisions of Section 418 of the City Charter. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action or decision of the City Council, but rather such provisions are repeated for tracking purposes only in conformance with the Charter. Section 2. Pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061(b)(3), which is applicable if it can be seen with certainty that there is no possibility that the project may have a significant effect on the environment. The proposed ordinance will only allow the reuse of vacant and /or obsolete buildings with little or no new construction. As a result, a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Article XVI.II, Section 41 -1650 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: 2 75B -16 Article XVI.II Adaptive Reuse Sec. 41 -1650. Purpose. The purpose of this Adaptive Reuse Article is to provide alternative building and fire standards for the conversion of Eligible Buildings, or portions thereof, in Project Incentive Areas from Nonresidential Uses to dwelling units, guest rooms or joint living and work quarters. The alternative building standards are designed to provide a reasonable level of safety to the building occupants and are in conformance with the provisions of Section 17958.11 of the California Health and Safety Code. Section 4. Section 41 -1651 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1651. Definitions. a) Adaptive Reuse Project — Any change of use from Nonresidential Use to dwelling units, guest rooms or joint living and work quarters in all or any portion of any Eligible Building. b) Eligible Building — Any building within a Project Incentive Area that was constructed in accordance with building and zoning codes in effect prior to July 1, 1974, or which has been determined to be a Historically Significant Building. c) Historically Significant Building — Any building that is listed on the National Register of Historic Places, the California Register of Historical Resources, or the City of Santa Ana Register of Historical Properties, or is eligible for such listing based on the criteria of each respective listing process. d) Nonresidential Use — Any use other than dwelling units, guest rooms or joint living and work quarters. e) Project Incentive Area — An area of the City eligible for an Adaptive Reuse Project. These areas include properties located in the Midtown Specific Plan Zoning District (SP -3); the Transit Zoning Code District (SD -84); the North Main Street Corridor on both sides of Main Street from Seventeenth Street to the northernmost Main Place Drive; and, the East First Street Corridor on both sides of First Street from Grand Avenue to Elk Lane. Section 5. Section 41 -1652 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: 3 75B -17 Sec. 41 -1652. Applicability. The change of use of an existing, economically obsolete building into a new, more productive use such as apartments, condominiums or live /work units is permitted subject to compliance with the following standards: a) Eligibility. Projects must meet the following criteria to be an eligible Adaptive Reuse Project: 1. Project site shall be located in one of the Project Incentive Areas, as defined in section 41- 1651(e). 2. The building must be an Eligible Building, as defined in section 41- 1651(b). b) Development Standards. Adaptive Reuse Projects shall, at a minimum, be in compliance with the following development standards: 1. The residential units shall be a minimum of 500 square feet in size. 2. The ground floor of a multi -level building with three stories or more containing street frontage shall be used as commercial /retail space. 3. Common area spaces for the building, such as lobbies and recreation rooms, when located on the ground floor, may not exceed 50% of the ground floor square footage. 4. Open space shall be provided at a rate of 10 percent of the building square footage, and may be public or private and shall be disbursed throughout the building. At least 25 percent of the open space shall be in the form of a community /recreation room(s). The remaining open space may consist of private balconies (50 square feet minimum), pool and spa areas, and public courtyards. Public courtyards shall include seating areas, enhanced landscaping, barbeque areas and other amenities as determined by the Planning Division. 5. Historically Significant Buildings shall comply with chapter 30 of this Santa Ana Municipal Code, facade easements and any other related historic guidelines, including the Secretary of the Interior Standards for any necessary exterior modifications. C) Project Incentives. Adaptive Reuse Projects that comply with the Development Standards are eligible for the following project incentives: H 75B -18 1. The project can exceed the maximum general plan density for the site provided the Adaptive Reuse Project is in compliance with the development standards. 2. Existing building setbacks may remain and shall be considered legal nonconforming, but no further encroachments shall be permitted into any nonconforming setback. 3. The height of the structure, if it exceeds the maximum height of the zoning district, may remain and shall be considered legal nonconforming, and any rooftop construction shall be included within the height exemption. 4. A new loading zone shall not be required if the existing building does not have an existing loading zone. 5. New parking spaces shall not be required for any converted use within the building, but any new square footage that includes any new units shall require additional parking at a minimum rate of 2 spaces per unit. d) Housing Opportunity Ordinance. Projects must comply with the following to be an eligible Adaptive Reuse Project: 1. Project shall comply with Article XVIII.I of the Santa Ana Municipal Code (Sections 41 -1900 through 41- 1910), otherwise known as the Housing Opportunity Ordinance. Section 6. Section 41 -1653 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1653. Zoning Residential uses shall be allowed in the Project Incentive Areas irrespective of the underlying zoning as part of an approved Adaptive Reuse Project. Section 7. Section 41 -1654 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1654. Alternative Building Standards for Adaptive Reuse Projects a) The alternative building regulations adopted pursuant to this section shall be applicable in Project Incentive Areas. The alternative building regulations need not impose the same requirements as regulations adopted pursuant to California Health and Safety Code Section 17922, but W 75B -19 in permitting repairs, alterations, and additions necessary to accommodate Adaptive Reuse Projects, the alternative building regulations shall impose such requirements as will, in the determination of the Building Official, protect the public health, safety, and welfare. b) Alternate Material, Design, or Method of Construction. The property owner must submit an application for an alternate material, design, or method of construction in accordance with Chapter 8 of the Santa Ana Municipal Code. Upon receipt of such application, the Building Official shall have the authority to review and grant approval when the proposed design is found satisfactory and complies with the intent of the provisions of current building codes in effect, and that the material, method or work offered is justified by current accepted performance based engineering and analysis in assessing quality, strength, effectiveness, fire resistance, durability, and safety. C) The Building Official shall review Adaptive Reuse Project proposals on a case -by -case basis, and may require pre - submittal meetings at his or her discretion. d) Nothing in this section shall be construed to allow the reduction of the seismic or fire and life safety elements of an Eligible Building where such elements provide a greater level of protection than the minimum requirements established by this section. Section 8. Section 41 -1655 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1655. Alternative Fire Standards for Adaptive Reuse Projects a) Subject to the approval of OCFA, the use or occupancy of an Eligible Building shall be allowed to be changed as part of an Adaptive Reuse Project, and the Eligible Building is allowed to be occupied for purposes in other groups without conforming to all of the requirements of the California Fire Code (and the California Building Code when applicable) for those groups, provided the new or proposed use is less hazardous, based on life and fire risk, than the existing use. The provisions of the California Fire Code (and the California Building Code when applicable) are not intended to prevent the installation of any material or to prohibit any method of construction not specifically prescribed by the California Fire Code, provided that any such alternative has been approved. b) Alternative Materials and Methods (AM &M). The property owner must submit an AM &M application for any Adaptive Reuse Project to the Orange County Fire Authority (OCFA). OCFA is authorized to approve an AM &M for construction where OCFA finds that the proposed design is 0 75B -20 satisfactory and complies with the intent of the provisions of the California Fire Code, and that the material, method or work offered is, for the purpose intended, at least equivalent of that prescribed in the California Fire Code in quality, strength, effectiveness, fire resistance, durability and safety. c) Fire Life Safety (FLS) Report. A feasibility study or FLS report is required to be provided by the property owner to assist OCFA to identify the status of subject Adaptive Reuse Project. The FLS report is intended to identify the Eligible Building's existing features and evaluate it against the current code requirements. OCFA will review the FLS report and evaluate the proposal for final recommendations. d) OCFA shall review Adaptive Reuse Project proposals on a case -by -case basis, and may require pre - submittal meetings at its discretion. e) Modifications. Whenever there are practical difficulties involved in carrying out the provisions of the California Fire Code, OCFA shall have the authority to grant modifications for individual cases, provided OCFA shall first find that special individual reasons make the strict letter of the California Fire Code impractical and the modification is in compliance with the intent and purpose of the California Fire Code and that such modification does not lessen health, life and fire safety requirements. Section 9. Section 41 -1656 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1656. Alternate Public Works Agency Standards for Adaptive Reuse Projects a) The Public Works Agency may adopt alternate standards for projects within Project Incentive Areas. The Public Works Agency need not impose the same requirements as regulations permitting repairs, alterations, and additions necessary to accommodate Adaptive Reuse Projects, but shall impose such requirements as will, in the determination of the Executive Director, protect the public health, safety, and welfare. b) The Executive Director shall review Adaptive Reuse Project proposals on a case -by -case basis, and may require pre - submittal meetings at his or her discretion. Section 10. 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 rl 75B -21 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 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2014 Miguel A. Pulido Mayor 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 L 75B -22