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HomeMy WebLinkAbout FULL PACKET_2015-03-03MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA FEBRUARY 17, 2015 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:15 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor (5:30 p.m.) VINCENT F. SARMIENTO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA COUNCILMEMBERS Absent: SAL TINAJERO 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 5:15 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: Maria Gomez, et al. v. City of Santa Ana, CASE NO.: SACV06 -245 DOC (RNBx). CITY COUNCIL MINUTES 1 0A1 1 FEBRUARY 17, 2015 2. CONFERENCE WITH LEGAL COUNSEL -- ANTICIPATED LITIGATION Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9 of the Government Code: (One Case *) *Matter placed on the Agenda for legal update at the request of Mayor Pulido, pursuant to Santa Ana Charter Section 411. 3. CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8: Address of Property: Lee Property -1411 N. Bristol Street Zambrano Property -1417 N. Bristol Street Gonzalez Property -1415 N. Bristol Street Chavez Property -1607 N. Bristol Street Negotiators: City Manager, David Cavazos and Director Public Works Agency, Fred Mousavipour Terms: Price and Terms of Property Acquisition 4. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Personnel Services Executive Director, Ed Raya Employee Organizations: Santa Ana Police Officers Association (POA) Santa Ana Police Management Association (PMA) Service Employees' International Union (SEIU) Full -Time Employees Service Employees' International Union (SEIU) Part -time Civil Service Employees Confidential Association of Santa Ana (CASA) Santa Ana Management Association (SAMA) Agency Negotiator: City Manager, David Cavazos Employee Organizations: Executive Management (EM) CITY COUNCIL MINUTES 1 0A?2 FEBRUARY 17, 2015 CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:05 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 10A3 3 FEBRUARY 17, 2015 REGULAR OPEN MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:07 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VINCENT F. SARMIENTO, Mayor Pro Tem ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS COUNCILMEMBERS Absent: SAL TINAJERO STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council ISAAC LARRIVA AND VICTORIA MEDINA, TAFT ELEMENTARY SCHOOL JANE HEATHERINGTON- RAUTH, POLICE CHAPLAIN CERTIFICATE OF RECOGNITION presented by MAYOR PULIDO in recognition of the TeenSpace Circle of Mentoring Program. CLOSED SESSION REPORT — No reportable actions. PUBLIC COMMENT - None CITY COUNCIL MINUTES 10A4 w FEBRUARY 17, 2015 CONSENT CALENDAR MOTION: Approve staff recommendations on the following Consent Calendar items: Items 10A through 31A, with the following modifications: • Per staff's request, Agenda Item 25F continued; • Councilmember Martinez pulled Agenda Items 19D and 20A for separate action; and • Mayor Pro Tem Sarmiento pulled Agenda Items 19E and 25B for separate action. MOTION: Martinez SECOND: Reyna VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF FEBRUARY 3, 2015 {STRATEGIC PLAN NO. 5, 1} - Clerk of the Council Office MOTION: Approve Minutes. BOARDS / COMMISSIONS / COMMITTEES 13A. REAPPOINTMENT OF MEMBERS {STRATEGIC Agency WORKFORCE INVESTMENT BOARD PLAN NO. 5, 1) - Community Development MOTION: Reappoint Ignacio Alegre, Brent Beasley, Patrick Korthuis, Lee McMurtray, Robert Ruiz, Robert Tucker, and Caleb Everett to the Santa Ana Workforce Investment Board for a four -year term, expiring March 1, 2019. CITY COUNCIL MINUTES 10A5 5 FEBRUARY 17, 2015 13B. NOMINATED BY COUNCILMEMBER AMEZCUA AS THE WARD 3 (REGULAR) REPRESENTATIVE TO THE YOUTH COMMISSION, FOR FULL TERM EXPIRING DECEMBER 13, 2016 {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Appoint Ivan Enriquez (Ward 3 Resident) replacing J. Madrid. 13C. NOMINATED BY MAYOR PULIDO AS THE CITYWIDE (ALTERNATE) REPRESENTATIVE TO THE YOUTH COMMISSION, FOR FULL TERM EXPIRING DECEMBER 13, 2016 {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Appoint Roy Rodriguez (Ward 2 Resident) replacing I. Ramos. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — None 19B. EXCUSED ABSENCES — Clerk of the Council Office MOTION: Excuse the absence of Councilmember Tinajero from the February 17, 2015 City Council meeting. MOTION: Sarmiento SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) 19C. QUARTERLY REPORT FOR HOUSING DIVISION PROJECTS AND ACTIVITIES OCTOBER 2014 — DECEMBER 2014 {STRATEGIC PLAN NO. 5, 31 - Community Development Agency MOTION: Receive and file. CITY COUNCIL MINUTES 10A6 FEBRUARY 17, 2015 Councilmember Martinez, would like a report on what items have been completed, to see a timeline for when tasks are performed, and a matrix provided at each Council Committee. MOTION: Receive and file. MOTION: Martinez SECOND: VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) Mayor Pro Tern Sarmiento, thanked staff for following Council direction; indicated that cameras at intersection of 17th and Tustin are exempt and excluded pursuant to County Board of Supervisor's decision. Councilmember Amezcua noted that cameras will be turned off on June 17, 2015. MOTION: Receive and file. MOTION: Sarmiento SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) BUDGETARY MATTERS CITY COUNCIL MINUTES 1 0A7 -7 FEBRUARY 17, 2015 APPROPRIATION ADJUSTMENTS Councilmember Martinez, asked for clarification on appropriations received from Orange County Transportation Authority. MOTION: 1. Approve an amendment to the Fiscal Year 2014/15 Seven -CIP, to add the projects listed below, both of which are funded through the OCTA Measure M2 program, subject to non - substantive changes approved by the City Manager and City Attorney. AGMT NO. 2015 -024 — With OCTA, Letter Agreement No. 9, C -1- 2783, to add the Safe Transit Stops Project AGMT NO. 2015 -025 — With OCTA, Letter Agreement No. 10, C -1- 2783, to add Residential Catch Basin Connector Pipe Screen Installation Project 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -130 - Recognizing $887,519 in Measure M2 grant funds into the Measure M Street Construction Fund revenue account, and appropriating $687,519 for the Safe Transit Stops Project and $200,000 for the Residential Catch Basin Connector Pipe Screen Installation Project in the Measure M Street Construction expenditure account. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) CITY COUNCIL MINUTES 10AII 8 FEBRUARY 17, 2015 2013. APPROPRIATION ADJUSTMENT ACCEPTING SUPPLEMENTAL LAW ENFORCEMENT SERVICES FUNDS (SLESF) {STRATEGIC PLAN NO. 1, 313) - Police Department MOTION: Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -133 - Recognize $216,659 in the Supplemental Law Enforcement Services Fund revenue account and appropriate same to the grant expenditure account for special enforcement and gang detail overtime. SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 14 -084 - SANITARY SEWER LINING SERVICES (NON - GENERAL FUND) {STRATEGIC PLAN NO. 6, 1 C & F) - Finance & Management Services and Public Works Agency MOTION: Award a contract to Sancon Engineering Inc. for a three - year period in an annual amount not to exceed $500,000, with provisions for one two -year renewal exercisable by the City Manager and City Attorney, subject to non - substantive changes approved by the City Manager and City Attorney. 22B. SPEC. NO. 14 -088 - MILESTONE XPROTECT VIDEO MANAGEMENT SOFTWARE AND ASSOCIATED LICENSES TO MONITOR AND CONTROL TRAFFIC SIGNALS (NON- GENERAL FUND) {STRATEGIC PLAN NO. 6, 1C) - (PWA) - Finance & Management Services and Public Works Agency MOTION: Award a contract to Siemens Industry, Inc., in an amount not to exceed $20,435, subject to non - substantive changes approved by the City Manager and City Attorney. The purchase when combined with additional procurements made by various departments during the current fiscal year, exceeds the $25,000 aggregate limit. 22C. SPEC. NO. 14 -092 - SEWER REPAIR SERVICES (NON- GENERAL FUND) {STRATEGIC PLAN NO. 6, 1 C & F) - Finance & Management Services and Public Works Agency MOTION: Award a contract to Dominguez General Engineering, Inc., for a three -year period expiring on February 28, 2018, in an CITY COUNCIL MINUTES 10A9 9 FEBRUARY 17, 2015 annual amount not to exceed $500,000, with provisions for one two - year renewal exercisable by the City Manager and City Attorney, subject to nonsubstantive changes approved by the City Manager and City Attorney. 22D. SPEC. NO. 15 -006 - ASPHALT CONCRETE MATERIALS (NON - GENERAL FUND) {STRATEGIC PLAN NO. 6, 1 C) - Finance & Management Services and Public Works Agency MOTION: Award a contract to Vulcan Materials Co. for a one -year period expiring February 29, 2016, in an annual amount not to exceed $50,000, with provisions for three one -year renewals exercisable by the City Manager and the City Attorney, subject to nonsubstantive changes approved by the City Manager and the City Attorney. 22E. SPEC NO. 15 -013 - REPAIRS TO ELEVATOR NO. 4H IN POLICE DETENTION CENTER (STRATEGIC PLAN NO. 6,1,1c) - Finance & Management Services and Police Department MOTION: Award a contract to KONE, Inc. in an amount not to exceed $32,000.00, subject to non - substantive changes approved by the City Manager and City Attorney. AGREEMENTS 25A. LANDSCAPE MAINTENANCE SERVICES {STRATEGIC PLAN NO. 6, 1131 - Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute amendments, subject to non - substantive changes approved by the City Manager and the City Attorney: 1. AGMT NO. 2015 -026 - With Landscape West for landscape maintenance services in District 1 to adjust the scope, extend the term 11 months and provide compensation in an amount of $284,900, which includes a 10% contingency, for the term February 1, 2015 through January 31, 2016. 2. AGMT NO. 2015 -027 - With DIMS for landscape maintenance services in District 2 to adjust the scope and provide compensation in an amount of $318,331.20, which includes a 10% contingency, for the term February 1, 2015 through January 31, 201. 3. AGMT. NO. 2015 -028 - With Mariposa Landscape for landscape maintenance services in District 3 to adjust the scope and reduced the CITY COUNCIL MINUTES 1 0A' 1 0 FEBRUARY 17, 2015 PA741 compensation to $882,208.80, which includes a 10% contingency, for the term February 1, 2015 through January 31, 2016. In addition, for landscape maintenance services in District 4 to adjust the scope, extend the term 11 months and provide compensation in an amount of $861,612.44, which includes a 10% contingency, for the term February 1, 2015 through January 31, 2016. Executive Director of Community Development, Kelly Reenders, clarified that gap funding provided through Neighborhood Stabilization Program (NSP) and HOME Investment funds through a Request for Program process. MOTION: Authorize the City Manager, or designee, and Clerk of the Council to execute agreements, subject to non - substantive changes approved by the City Manager and City Attorney for 815 North Harbor Boulevard. 1. AGMT NO. 2015 -029 - Loan agreement for HOME Investment Partnership Program funds not to exceed $380,000 with 815 N. Harbor, L.P. 2. AGMT NO. 2015 -030 - Neighborhood Stabilization Program amendment to agreements, Loan Agreement with 815 N. Harbor L.P. (A -2013 -158) and the Affordability Restrictions on Transfer of Property, not to exceed $880,000 with 815 N Harbor, LP. MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN: SECOND: Martinez Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) None (0) None (0) ABSENT: Tinajero (1) ON -CALL HOUSING FINANCIAL ANALYSIS AND ADVISORY SERVICES {STRATEGIC PLAN NO. 5, 31 - Community Development Agency CITY COUNCIL MINUTES 1 OA 11 1 FEBRUARY 17, 2015 MOTION: Authorize the City Manager and the Clerk of the Council to execute agreements, subject to non - substantive changes approved by the City Manager and the City Attorney. 1. AGMT NO. 2015 -031 - With Keyser Marston Associates in an amount not to exceed $100,000 for a two -year term. 2. AGMT NO. 2015 -032 — With CSG Advisors, Inc., in an amount not to exceed $100,000 for a two -year term. 25D. AGMT NO. 2015 -033 - MEMORANDUM OF UNDERSTANDING TO ESTABLISH A PROCESS TO CONSIDER A POTENTIAL JOINT USE OF A PORTION OF THE SANTA ANA ZOO AND THE ELKS PROPERTY LOCATED AT ELKS LANE AND FIRST STREET {STRATEGIC PLAN NO. 3, 5, A) - Community Development Agency MOTION: Authorize the City Manager and the Clerk of the Council to execute a Memorandum of Understanding with the Elks Building Association of Santa Ana, subject to non - substantive changes approved by the City Manager and City Attorney. 25E. AGMT NO. 2015 -034 - GRAFFITI REMOVAL SERVICES (NON - GENERAL FUND) {STRATEGIC PLAN NO. 6, 1 B) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute the fourth and final option to renew the agreement with Graffiti Protective Coatings, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, expiring February 29, 2016, in an amount not to exceed $600,000. 25F. AGMT - ADULT CROSSING GUARD PROGRAM {STRATEGIC PLAN NO. 1, 11 - Police Department MOTION: Continue consideration of matter, at the request of staff. 25G AGMT NO. 2015 -035 - INCLUSIONARY HOUSING AGREEMENT WITH C &C N. HARBOR, LLC FOR A NEW MIXED USE DEVELOPMENT AT 1206 NORTH HARBOR BOULEVARD — {STRATEGIC PLAN NOS. 3, 2; 3, 5; 5, 3; 5, 4) - Planning and Building Agency and Community Development Agency MOTION: Approve an Inclusionary Housing Agreement with C &C N. Harbor, LLC and the payment of an in -lieu fee for a mixed -use development. CITY COUNCIL MINUTES 1 0A1z1 2 FEBRUARY 17, 2015 LAND USE MATTERS CONDITIONAL USE PERMIT/VARIANCES 31A. CONDITIONAL USE PERMIT NO. 2014 -47 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR TORTAS SINALOA LOCATED AT 701 SOUTH HARBOR BOULEVARD, UNIT A {STRATEGIC PLAN NO. 3, 2) - PARISSIS CHRISTOS, APPLICANT - Planning and Building Agency Planning Commission approved recommended action on January 26, 2015, by a vote of 5 -0 (Alderete, Gartner absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -47. * *END OF CONSENT CALENDAR ** BUSINESS CALENDAR ORDINANCES /FIRST READING 50A. CODE ENFORCEMENT REMEDIES AND ADMINISTRATIVE FINES RELATING TO CODE VIOLATIONS {STRATEGIC NO. 3, 4, AND 51 - City Attorney's Office and Planning and Building Agency Councilmember Martinez, request staff analyze fees to recover actual costs. MOTION: 1. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2876 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 1 AND CHAPTER 8 OF THE SANTA ANA MUNICIPAL CODE REGARDING CODE ENFORCEMENT PROVISIONS, INCLUDING CIVIL PENALTIES, RECOVERY OF ATTORNEYS' FEES, AND REMOVAL OF UTILITIES 2. Adopt a resolution. CITY COUNCIL MINUTES 1 0A 1 3 FEBRUARY 17, 2015 RESOLUTION NO. 2015 -007 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA SETTING ADMINISTRATIVE FINES FOR VIOLATING PROVISIONS OF THE SANTA ANA MUNICIPAL CODE MOTION: Martinez VOTE: AYES: NOES: ABSTAIN ABSENT: RESOLUTIONS SECOND: Sarmiento Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) None (0) None (0) Tinajero (1) 55A. APPROPRIATION ADJUSTMENT TO RECOGNIZE FUNDING AND RESOLUTION TO ADD TEN MEDICAL MARIJUANA DISPENSARIES ENFORCEMENT PLAN POSITIONS (ONE POLICE SERGEANT AND FIVE POLICE OFFICER POSITIONS, TWO COMMUNITY PRESERVATION INSPECTOR POSITIONS, ONE REVENUE AND CONTRACT COMPLIANCE EXAMINER POSITION, AND ONE ASSISTANT CITY ATTORNEY POSITION) TO THE FY 2014 -15 BUDGET {STRATEGIC PLAN NO. 1; 4; 5) — City Manager's Office Councilmember Martinez, request staff returns to City Council in five to six months to re- evaluate staffing needs and proper allocation. MOTION: 1. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -131 - Recognizing $880,580 in Medical Marijuana Registration Application and Regulatory Safety Permit revenue and appropriate to various departmental budget accounts to offset the Medical Marijuana Dispensaries Enforcement Plan costs from February to June 30, 2015. 2. Adopt a resolution. RESOLUTION NO. 2015 -008 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND AND REESTABLISH THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN TO ADD ONE NEW FULL -TIME CITY COUNCIL MINUTES 1 0A' 1 4 FEBRUARY 17, 2015 CLASSIFICATION TITLE, RESCIND RESOLUTION NO. 2015 -005, AND TO AMEND THE CURRENT ANNUAL BUDGET TO ADD TEN FULL -TIME POSITIONS TO ENSURE COMPLIANCE WITH THE MEDICAL MARIJUANA DISPENSARIES ENFORCEMENT PLAN MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Amezcua Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) None (0) None (0) Tinajero (1) 55B. RESOLUTION IN SUPPORT OF THE UNITED STATES DEPARTMENT OF TRANSPORTATION'S SAFER PEOPLE, SAFER STREETS INITIATIVE {STRATEGIC PLAN NO. 1,1 E; 5,6B) - City Manager's Office Councilmember Amezcua, staff to consider adding bike lanes. Councilmember Martinez, circulation element and safe mobility plan will inventory infrastructure and include need. Mayor Pulido, would like staff to obtain a copy of the presentation made at Orange County Transportation Authority and forward to Councilmembers. MOTION: Adopt a resolution. RESOLUTION NO. 2015 -009 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA IN SUPPORT OF THE UNITED STATES DEPARTMENT OF TRANSPORTATION'S SAFER PEOPLE, SAFER STREETS: PEDESTRIAN AND BICYCLE SAFETY INITIATIVE MOTION: Amezcua VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Martinez Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) None (0) None (0) Tinajero (1) CITY COUNCIL MINUTES 1 0A' 15 FEBRUARY 17, 2015 REPORTS 65A. REVIEW COUNCIL COMMITTEES & APPOINTEES; RECEIVE AND FILE BYLAWS, AND APPROVE 2015 CALENDAR OF MEETING DATES {STRATEGIC.PLAN NO. 5, 1) - - Clerk of the Council Office Continued from the December 16, 2014 City Council Meeting by a vote of 7 -0. Continued from the January 20, 2015 City Council Meeting by a vote of 6 -1 (Reyna dissented). Continued from the February 3, 2015 by a vote of 7 -0. Council discussion ensued. Councilmember Martinez noted that Clerk of the Council had prepared a list of Council interest for each committee and presented prior to the meeting. Noted that she would like to be considered on the Development and Transportation Committee; Finance, Economic Development and Technology Committee; and Legislative Committee. Councilmember Amezcua expressed interested on the Parks, Recreation, Education & Youth (PREY) Council Committee and on the Public Safety Committee. Councilmember Benavides expressed interest on the Parks, Recreation, Education & Youth (PREY) Council Committee; the Development and Transportation Committee; and on the Legislative Committee. Mayor Pro Tern Sarmiento noted that Councilmember Tinajero absent. Mayor Pulido noted that item may be re- agendized, if necessary. Mayor Pulido motion to move with changes as noted and all others remain status quo. MOTION: 1. Review list of established Council Committees and recommend changes as noted in discussion. 2. Receive and file bylaws for the Development and Transportation Committee; Public Safety and Neighborhood Improvement; Parks, Recreation, Education & Youth (PREY) and Joint Santa Ana Unified School District; and Finance, Economic Development and Technology Council Committees. 3. Approve the 2015 calendar of Council Committee Meeting dates. CITY COUNCIL MINUTES 10A 1 6 FEBRUARY 17, 2015 10401--1 MOTION: Sarmiento SECOND: Pulido VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) REVIEW OF REGIONAL BOARD APPOINTEES {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office Continued from the December 16, 2014 City Council Meeting by a vote of 6 -1 (Tinajero dissented). Continued from the January 20, 2015 City Council Meeting by a vote of 6 -1 ( Reyna dissented). Continued from the February 3, 2015 by a vote of 7 -0. Council discussion ensued. Mayor Pro Tern Sarmiento nominated Councilmember Reyna to the Orange County Water District and Councilmember Tinajero to serve on the Orange County Sanitation District and Councilmember Amezcua to the Orange County Fire Authority, Councilmember Martinez to the Metropolitan Water District, and Councilmember Benavides to the Transportation Corridor Agency. MOTION: Review the regional appointment list and recommend changes, as necessary. MOTION: Sarmiento SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) Councilmember Reyna expressed interest in serving on the Orange County Vector Control. CITY COUNCIL MINUTES 1 0A- 17 FEBRUARY 17, 2015 MOTION: Appoint Councilmember Reyna to the Orange County Vector Control.* MOTION: Martinez SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) *Motion was rescinded at the March 3, 2015 City Council meeting, pursuant to provisions of California Health and Safety Code section 2022. 65C. ADOPTION OF FISCAL YEAR 2015 -16 FORECAST AND REVIEW OF FOUR YEAR PROJECTIONS {STRATEGIC PLAN NO. 4, 2) - City Manager's Office FY 2015 -16 Forecast & 4 -Year Projections by David Cavazos, City Manager General Fund(s) Unassigned Fund Balances FY 2012 -13 to FY 2013 -14 Fiscal Year - Ending Fund Balance: Unassigned 2012 -13 $30,687,835 2013 -14 $45,297,705 Total — increase / (decrease) $14,609,870 Percentage Increase ( %) from prior year 48% Unassigned Fund Balance includes: Reserve (20% of operations and surplus) $41,452,113 Economic Uncertainty $ 3,845,592 $45,297,705 FY 13 -14 Year -End Results Total General Fund 2nd quarter 2014 -15 projections vs. actuals total general fund CITY COUNCIL MINUTES 1 0A118 FEBRUARY 17, 2015 Total Revenues' $ 67,968,279 $ 70,390,642 Total Expenditures* $ 103,370,062 $ 101,078,470 2nd quarter - 2014 -15 GF Major Revenues F ns vs. Actuals *From July 1, 2014 to December 31, 2014 FY 14 -15 Protected Year -End Results Total General Fund Total Revenues $ 208,918,360 $ 215,691,000 Total Expenditures $ 208,918,360 $ 204,684,000 Projected Year -End Results: $10M - $12M Fiscal Year 2015 -16 Forecast and 4 -year Projections February 2015 Major Assumptions: • Higher than forecasted revenues (Forecast: $201.8M vs Actual: $211.5M) and lower expenditures (Forecast: $200.9M vs Actual: $197.7M) in FY 13 -14. • Includes $6M in additional service levels such as the Strategic Plan, Civic Center Maintenance, additional inspection, permit, plan Check staff • Increased new Jail revenue (Bureau of Prisons) in FY 14 -15 by $200K. • Increased new Building Permit revenue in FY 14 -15 by $1.2M • Sales Tax Revenue growth of 4% in FY 15 -16. • Increased new UUT revenue in FY 15 -16 and to increase in FY 16 -17 by $2.7M. • New measure BB forecasted revenue /costs in FY 15 -16 of $1.5M. • Includes $1 M in matching funds associated with the COPS Grant for 10 Police Officers in FYI 5-16 • 1.0% ongoing innovation and efficiency savings ($2.1M annually) • Includes funding to implement the 5 -year Strategic Plan ($3M annually 2014/15 - 2018/19 CITY COUNCIL MINUTES 1 0A- 1 9 FEBRUARY 17, 2015 Property Tax* $ 14,908,195 $ 16,108,583 UUT* 10,251,432 11,658,103 Sales Tax* 11,404,170 11,252,814 Hotel Visitors Tax* 3,402,742 3,774,813 Business License* 2,310,695 2,418,032 Property Tax In -Lieu of VLF* 203,498 150,097 TOTAL* t a7aan7q2 5 as ae1nn5 ns vs. Actuals *From July 1, 2014 to December 31, 2014 FY 14 -15 Protected Year -End Results Total General Fund Total Revenues $ 208,918,360 $ 215,691,000 Total Expenditures $ 208,918,360 $ 204,684,000 Projected Year -End Results: $10M - $12M Fiscal Year 2015 -16 Forecast and 4 -year Projections February 2015 Major Assumptions: • Higher than forecasted revenues (Forecast: $201.8M vs Actual: $211.5M) and lower expenditures (Forecast: $200.9M vs Actual: $197.7M) in FY 13 -14. • Includes $6M in additional service levels such as the Strategic Plan, Civic Center Maintenance, additional inspection, permit, plan Check staff • Increased new Jail revenue (Bureau of Prisons) in FY 14 -15 by $200K. • Increased new Building Permit revenue in FY 14 -15 by $1.2M • Sales Tax Revenue growth of 4% in FY 15 -16. • Increased new UUT revenue in FY 15 -16 and to increase in FY 16 -17 by $2.7M. • New measure BB forecasted revenue /costs in FY 15 -16 of $1.5M. • Includes $1 M in matching funds associated with the COPS Grant for 10 Police Officers in FYI 5-16 • 1.0% ongoing innovation and efficiency savings ($2.1M annually) • Includes funding to implement the 5 -year Strategic Plan ($3M annually 2014/15 - 2018/19 CITY COUNCIL MINUTES 1 0A- 1 9 FEBRUARY 17, 2015 Forecast Highlights & Accomplishments • Incorporates achievement of 20% General Fund reserve level • Forecast modifies Sales Tax growth factor from 2% to 4% • Updated revenue projections from UUT due to the recent ordinance adoption • Reflects new & used auto sales that have far exceeded the anticipated sales growth • Increased development activity in FY 13 -14 resulting in approx. $772k in additional revenue • Refinanced debt service to realize savings in financing costs: • Police Administration & Jail Facility ($31VI) ■ Water Bond Savings ($1.6M) & Capital Projects Funding ($5.9M) • Secured release of escrow from the Orange County Fire Authority ($2.9M) • Adjusted rates to recover jail costs of $1.41VI • Forecast reflects the utilization of part -time correctional staff achieving $386K in savings • Includes savings with adopted FY 14 -15 budget workforce changes of over $266K • Year - over -year overtime savings in PD ($2.1 M) • Embedded a 7% revised health insurance growth, no changes in salary costs, and maintains adequate staffing levels • Implemented innovative & efficiency measures, such as: • Installation of new parking meters with improved technology in the Downtown • Consolidation of all public front counter services • Installation of a 24 -hour payment kiosk in City Hall ■ Secured $10M in new grants Updated GF Forecast -W /Revisions February 2015 MOTION: Adopt the forecast for fiscal year 2015 -16 and review of four -year projections. MOTION: Sarmiento SECOND: CITY COUNCIL MINUTES 1 0A?20 FEBRUARY 17, 2015 General Fund Forecast M11110 Revenues — e^Expendltures 2406 9zao — - -- - -- --- 235 4 -- --- $235 .-'� — $230 - -- -- 226.3 $226 223.0__ _ T $220 ,___._ _.._..__ 225.6 $275 220.2 $210 . ... 275 A ...... .... -­­- ._._ $199 _ .__ __ _ .. ...._ $195 ._.._._ ___ .�__. ti MOTION: Adopt the forecast for fiscal year 2015 -16 and review of four -year projections. MOTION: Sarmiento SECOND: CITY COUNCIL MINUTES 1 0A?20 FEBRUARY 17, 2015 VOTE: AYES: NOES: ABSTAIN ABSENT: PUBLIC HEARINGS Amezcua, Benavides, Pulido, Reyna, Sarmiento (5) Martinez (1) None (0) Tinajero (1) 75A. PUBLIC HEARING — RESOLUTION ADJUSTING CITY WATER AND SEWER RATES FOR 2015 -2018 (NON- GENERAL FUND) {STRATEGIC PLAN NO. 6, 1, H} - Public Works Agency The notice was also published in the Orange County Register on December 29, 2014, and December 31, 2014, in addition it was published in The Notice on February 6, 2015 and February 13, 2015. As required by the provisions of Proposition 218, notices of a public hearing for adjusting water and sewer rates were mailed to all rate payers in the service area at least 45 days prior the Hearing (on or before December 30, 2014). The Clerk of the Council Office received 290 protest letters, as of printing of the Agenda and additional four prior to the end of the Hearing; majority protest letters were not received and the Hearing continued. Mayor Pulido opened the Public Hearing. The following spoke on the rate increase: • George Garcia spoke on the proposed rate increase; discussed alternative energy proposal. • Linda Kestin, suggested recycling of water to avoid increasing rates. • Leopold Arguello, noted that water rates have increased in past three years. Mayor Pulido closed the Hearing. Council discussion ensued. City Manager Cavazos indicated that assessment performed two years ago, infrastructure improvements needed; last increase approved in 2011; 500 miles of distribution. Councilmember Martinez concerned with transfer of funds to public safety; need to adjust before she approves any increases. CITY COUNCIL MINUTES 1 OA 2h 1 FEBRUARY 17, 2015 Councilmember Benavides, would like a report on proposed water /sewer infrastructure improvements. Mayor Pulido, noted that increase is earmarked for infrastructure improvements. MOTION: Adopt a resolution. RESOLUTION NO. 2015 -010 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REVISING THE WATER AND SEWER RATES AND CHARGES MOTION: Sarmiento SECOND: Pulido VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Sarmiento (5) NOES: Martinez (1) ABSTAIN: None (0) ABSENT: Tinajero (1) 75B. PUBLIC HEARING - RESOLUTION APPROVING THE ISSUANCE OF TAX - EXEMPT OBLIGATIONS AND DIRECTING CERTAIN ACTIONS (STRATEGIC PLAN NO. 5, 3) - Community Development Agency Legal Notice published in the Orange County Reporter on February 2, 2015. Mayor Pulido opened the Public Hearing. There were no speakers and the Hearing closed. MOTION: Adopt a resolution. RESOLUTION NO. 2015 -011 - RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE OF THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY MULTIFAMILY HOUSING REVENUE BONDS IN AN AGGREGATE PRINCIPAL AMOUNT NOT TO EXCEED $16,000,000 FOR THE PURPOSE OF FINANCING OR REFINANCING THE ACQUISITION, CONSTRUCTION, IMPROVEMENT AND EQUIPPING OF 815 N. HARBOR APARTMENTS AND OTHER MATTERS RELATING THERETO MOTION: Martinez SECOND: Sarmiento CITY COUNCIL MINUTES 1 OAE22 FEBRUARY 17, 2015 VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) CITY COUNCIL RECESSED AT 7:29 P.M. TO CONVENED THE SUCCESSOR AGENCY MEETING AND RECONVENED THE CITY COUNCIL MEETING AT 7:30 P.M. WITH SAME MEMBERS PRESENT. COMMENTS PUBLIC COMMENTS • George Garcia, representative of Republic Homes Neighborhood Association, suggest that all bicyclist registered; bring back release time. • Ebruahim Duel, concerned with homeless vandalizing his building located on 4th street. • Madeleine Spencer, suggested recycling water alternatives; highlighted report by the State of California on expenses, and property and sales taxes. • Michael Klubnikin, presented report on County of Orange social service programs. • Ilya Tseglin, concerned with County of Orange's Public Defender level of service. • Thomas Gordon, concerned that SB7 stipulates that Bill does not apply to existing contracts. o Councilmember Martinez, request memo to the City Council on SB7 as it pertains to the graffiti contract and Thomas Gordon's comments about whether or not prevailing wage is required. 90A. CITY MANAGER'S COMMENTS • Noted success of Santa Ana Love Project. • City releasing the Shop Local, Shop Santa Ana video promoting Santa Ana. 90B. CITY COUNCILMEMBER COMMENTS Councilmember Martinez: • Asked that staff agendize resolution of decorum; suggested that City Council allow 20 minutes of public comments at the beginning of the meeting and additional 20 minutes at the end; allows for consistency; CITY COUNCIL MINUTES 1 OA 22 3 FEBRUARY 17, 2015 • Would like to agendize for the Public Safety Committee the next steps for the homeless check -in location; • Thanked volunteers and Councilmember Benavides for Love Santa Ana Project; • Thanked staff and volunteers for successful Graffiti Paint Out Day; PREY Committee to agendize mitigation of costs; • Reported that Youth Commission appointments underway; excited about the future leaders; PREY Committee to review role and responsibilities of Commission; also discuss education /awareness of graffiti issue; • Healthy Cities Committee convened; non - profit organization advise City Council on health related matters; • Savor Santa Ana had soft opening of 4th Street Market; huge success; • Environmental and Transportation Advisory Committee to review their roles and amend bylaws; and • Invited all to Tet Festival; wished all a Chinese Happy New Year. Mayor Pro Tern Sarmiento: • Noted that City Council making concerted effort to start the Regular Open Session at 6 p.m. • Thanked City Council for honor of serving and representing the City on the Orange County Water District and thanked staff for helping understand complex issues such as desalination and groundwater replenishment system; and • Noted that City Council rotating service on regional boards every two years. Councilmember Amezcua: • Would like to make sure voting system is working and displayed on TV during votes; and • Request pictures displayed of individuals and programs being recognized during Council presentations. Councilmember Reyna: • Urged all to conserve water; • Attended Youth -In- Government conference in Sacramento over the weekend; kudos to youth that participated; • American Cancer Society's Relay for Life in Santa Ana will be held on April 18 -19; invited all to participate; • Boys and Girls Club will be hosting High School Leadership Conference in March; encouraged students to register for free conference; • Commented on upcoming Tet Festival; and • Shop in Santa Ana; video promoting the City coming soon; request copy of video. CITY COUNCIL MINUTES 1 W24 FEBRUARY 17, 2015 Councilmember Benavides: • Commented that 4th Street Market and Main Place Mall are exciting new or renovated places to shop in Santa Ana; and • Santa Ana Project Love held on Saturday February 14th and was great success. Mayor Pulido: • Attended meeting in Sacramento on behalf of Orange County Transportation Authority; • Noted that Senator Feinstein coming to Santa Ana on February 1gth; will be discussing Federal funding for Streetcar project; • OC Register article promoting the City; '/2 million dollars in branding has been committed by Michael Harrah when he bought the OC Register; and • Adjourned in Memory of Robert V. Garcia. ADJOURNED - 8:45 P.M. - The next meeting of the City Council is scheduled for Tuesday, March 3, 2015 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 Robert V. Garcia Maria Huizar, Clerk of the Council FUTURE AGENDA ITEMS Proactive Rental Enforcement Program Renewal CITY COUNCIL MINUTES 1 OA225 FEBRUARY 17, 2015 1 OA -26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2015 TITLE: ORDINANCE SECOND READING: CODE ENFORCEMENT REMEDIES AND ADMINISTRATIVE FINES RELATING TO CODE VIOLATIONS (STRATEGIC PLAN NO. 5, 1) CITY MANAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. 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 February 17, 2015, the City Council introduced first reading and authorized publication of title for the following Ordinance by a vote of 6 -0 (Tinajero absent): ORDINANCE NO. NS -2876 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 1 AND CHAPTER 8 OF THE SANTA ANA MUNICIPAL CODE REGARDING CODE ENFORCEMENT PROVISIONS, INCLUDING CIVIL PENALTIES, RECOVERY OF ATTORNEYS' FEES, AND REMOVAL OF UTILITIES 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 action. Maria D.'Huizar, Clerk of the Council ATTACHMENT: Ordinance No. NS -2876 11 A -1 11 A -2 SMS 02/17/15 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 1 AND CHAPTER 8 OF THE SANTA ANA MUNICIPAL CODE REGARDING CODE ENFORCEMENT PROVISIONS, INCLUDING CIVIL PENALTIES, RECOVERY OF ATTORNEYS' FEES, AND REMOVAL OF UTILITIES. 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 Community Preservation Division for the City of Santa Ana's Planning & Building Agency seeks supplemental enforcement tools already used by other cities in California, to further safeguard and promote the health and safety of the Santa Ana community. Community Preservation inspectors are tasked with inspecting, analyzing, and enforcing Santa Ana Municipal Code (SAMC) violations to ensure compliance. The proposed Ordinance provides additional enforcement tools to aid in SAMC violation enforcement, including: (1) Civil Penalties, (2) Attorney's Fees and (3) the Disconnection of utilities. B. These additions are requested for various reasons. The Community Preservation Division routinely recommends cases to the City Attorney's Office for civil prosecution. At present, successful civil litigation results in a temporary restraining order and /or a preliminary injunction to stop a nuisance. Amending the SAMC to allow for civil penalties and attorneys' fees in those actions for code violations, will help deter continuing violations or nuisances and will allow the City to recover the cost of professional services provided by the City Attorney's Office spent litigating civil cases. Additionally, all businesses are required to have a certificate of occupancy that confirms that the business is operating in compliance with the SAMC. If a business does not have a certificate of occupancy, or is not operating in accordance with the certificate of occupancy, this ordinance confirms the City's ability to disconnect the utilities to such businesses until compliance with the certificate of occupancy requirements is obtained. Non - compliant businesses pose a threat to the health and safety, and well -being of the public and to the business owner and its employees due to those violations of the SAMC or other applicable codes. 1 11 A -3 C. This ordinance came before the City Council of the City of Santa on February 17, 2015. D. The Request for Council Action for this ordinance dated February 17, 2015, and duly signed by the City Manager, shall, by this reference, be incorporated herein, and together with this ordinance, any amendments or supplements. E. 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. As a result, a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Section 1 -8 of Chapter 1 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 1 -8. Violations — general penalties; continuing violations; fines; alternative enforcement (a) Criminal Violations. Unless otherwise specifically stated in this Code, it shall be unlawful and a misdemeanor for any person to violate or fail to comply with any provision of this Code and where no specific penalty is provided therefor in this Code, the violation of any provision of this Code shall be punished by a fine not exceeding one thousand dollars ($1,000.00) or imprisonment for a term not exceeding six (6) months or by both such fine and imprisonment. However, any such violation constituting a misdemeanor under this Code may, at the discretion of the city attorney, be prosecuted as an infraction. Each day any violation of any provision of this Code shall constitute a separate offense. (b) Administrative Violations. In addition to any other remedy provided by this Code, violations of this Code may be addressed through the use of an administrative citation as set forth in sections 1 -21.1 through 1 -21.9. Use of sections 1 -21.1 through 1 -21.9 shall not prevent the use of other methods of enforcement or abatement as provided by this Code. Such methods include but are not limited to criminal and civil actions. 2 11 A -4 (c) Civil Violations — Injunctions and Civil Penalties. (i) In addition to any other remedy provided by this Code, any provision of this Code may be enforced by injunction issued by the Superior Court upon a suit brought by the City of Santa Ana. (ii) As part of a civil action filed to enforce provisions of this Code, a court may assess a maximum civil penalty of two thousand five hundred dollars ($2,500) per violation of the Municipal Code for each day during which any person commits, continues, allows or maintains a violation of any provision of this Code. Section 4. Section 1 -13 of Chapter 1 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 1 -13. Same — Abatement as Nuisance; special assessment; attorneys' fees (a) Public Nuisance Abatement. In addition to the penalties provided in this Code, any condition caused or permitted to exist in violation of any of the provisions of this Code, uniform or adopted codes, or any provision of State or Federal law that may be enforced by the city, shall be deemed a public nuisance and may be, by this city, summarily abated as such by filing criminal or civil actions, and each day such condition continues shall be regarded as a new and separate offense. (b) Recovery of Attorneys' Fees Authorized. The prevailing party in any judicial action, administrative proceeding, or special proceeding to abate a nuisance may recover its reasonable attorneys' fees, provided that the city elected, at the initiation of such individual action or proceeding, to recover its own attorneys' fees. In no judicial action or administrative proceeding shall an award of attorneys' fees to a prevailing party exceed the amount of reasonable attorneys' fees incurred by the city in the judicial action or administrative proceeding. A judicial action includes, but is not limited to, any civil or criminal action, inspection or abatement warrant, administrative proceeding, or appeal from an administrative proceeding. "Abatement" shall include any action taken by the City to cause or otherwise obtain compliance with this municipal code or other codes, as specified herein, even if the violation is ultimately corrected by the violator. Any recovery of attorneys' fees for abatement of a nuisance shall be in accordance with this section. Section 5. Section 8 -95 of Chapter 8 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 8 -95. Certificate of occupancy (Chapter 1, Division II, Section 111). Chapter 1, Division II, Section 111.1 of the building code is amended to read as follows: 11 A -5 Chapter 1, Division II, Section 111.1 — Certificate of Occupancy (1) Use and occupancy. No building or structure shall be used or occupied, and no change in the existing occupancy classification of a building or structure or portion thereof shall be made, until the building official has issued a certificate of occupancy therefor as provided herein. Issuance of a certificate of occupancy shall not be construed as an approval of a violation of the provisions of this code or other ordinances of the jurisdiction. Exception: Certificates of occupancy are not required for work exempt from permits under Section 105.2 (2) No alteration to an existing building which changes the floor area of the building or which changes the means of egress from the building shall be made until the building official has issued a certificate of occupancy therefor as provided herein. (3) No change of occupant within a building or portion thereof shall be made until the building official has issued a certificate of occupancy therefor as provided herein. Exception: Group R, Divisions 2 and 3, and Group U Occupancies. (4) Code violations- Disconnection of utilities (i) No building or structure shall be occupied, nor shall a business operate without a valid Certificate of Occupancy. A business operating in a manner inconsistent with its Certificate of Occupancy is operating in violation of this code provision. (ii) Violation of this code provision may result in the disconnection of any or all utilities. (iii) A building, structure, or business whose utilities have been disconnected shall not have the utilities reconnected until an inspection has been made by the city's building official and the building official has determined that the building complies with this code. (iv) A building or structure that is new construction can likewise not be occupied or its utilities connected until an inspection has been made by the city's building official and the building official has determined that the building complies with this code. (v) Removing or defacing a notice posted in relation to violations of this code provision or this code, shall constitute a separate and distinct violation of this code provision. 4 11 A -6 Section 6. Any provision of the Code that is inconsistent with the provisions of this Ordinance, to the extent of such inconsistencies and no further, is hereby repealed or modified to that extent necessary to effect the provisions of this Ordinance. Section 7. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 8. This ordinance shall become effective thirty days after its adoption by the City Council. ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Sandra M. Schwarzmann Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2015 Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY 11 A -7 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 11 A -8 <; SPECIAL MEETING CITY OF SANTA ANA COUNCIL COMMITTEE SPECIAL MEETING SPECIAL MEETING OF THE LEGISLATIVE COMMITTEE MONDAY, FEBRUARY 23, 2015 12:00 P.M. AGENDA CALL TO ORDER City Hal[ Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Michele Martinez and Vincent Sarmiento Recording Secretary: Yasmin Vazquez PUBLIC COMMENTS - Members of the public are allowed three minutes to speak on agenda items or matters within the jurisdiction of the Committee. AGENDA ITEMS Approval of Minutes of the October 15, 2014 Meeting Quarterly Federal Legislative Update from Holland & Knight - Report outlining legislative advocacy work October 2014 to December 2014 — Dan Maldonado {Strategic Plan No. 1 through 71 • Update on My Brother's Keeper Initiative — Jorge Garcia {Strategic Plan No. 1, 1h & 6f; 2, 4a & 4b} • Update on Federal Promise Zone Designation Application — Alma Flores {Strategic Plan No. 1, 2, 3 & 51 3. Quarterly State Legislative Update from Townsend Public Affairs — Report outlining legislative advocacy work October 2014 to December 2014 — Christopher Townsend {Strategic Plan No. 1 through 7} 4. League of California Cities Briefing October 2014 to December 2014 — Tony Cardenas {Strategic Plan No. 1 through 7} 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 accessibility to this meeting. [Americans with Disabilities Act, Title II, 28 CFR 35.1021 Miguel A. Pulido, Vincent F. Sarmiento, Michele Martinez, Mayor Mayor Pro Tom, Ward 2 NPUIIdoNlsan�a -ananm Ward Wanlnurmunaan vsa,m,n.annia ann Q, City Hall, 20 Civic Center Plaza Mayor & Council Telephone: 714. 647 -6900 + A Ana City Angelica Amazcua, Ward 3 AAn azc a(tdsan a an s P.O. Box 1988 Benda Item Inquiries: 13D -1 P. David Benavides, I Roman Rayne, Sal Tlnajero, Ward Ward Ward oeenavld u snn�a -ana om aaevnanasa aan stina e,ormsa Wana.o Santa Ana, California 92702 714- 647 -6520 • Webslte: w .santa- ana.orn 5. Washington DC Lobbying Trip — David Cavazos {Strategic Plan No. 1 through 7} • 2015 Legislative Affairs / Review Itinerary — David Cavazos {Strategic Plan No. 1 through 71 6. Review and Recommend Approval of Draft Legislative Council Committee Bylaws — Sonia Carvalho {Strategic Plan No. 1 through 7} COMMITTEE MEMBER COMMENTS FUTURE AGENDA ITEMS ADJOURNMENT — The next regularly scheduled meeting will be on Wednesday, March 25, 2015,12:00 p.m. The complete Strategic Plan document is available at httg:// www. santa- ana.ora /strategcpllanninn/ Legislative Council Committee Agenda 2 February 23, 2015 13D -2 CITY OF SANTA ANA LEGISLATIVE CITY COUNCIL COMMITTEE MINUTES OCTOBER 15, 2014 CALL TO ORDER The meeting was called to order at 12:18 pm by Chair Sarmiento at City Hall Ross Annex, Room 1600. ATTENDANCE Members Present: Councilmember Michele Martinez Councilmember Vincent Sarmiento, Chair Members Absent: none Staff Present were: David Cavazos, Sonia Carvalho, Police Chief Carlos Rojas, Kelly Reenders, Fred Mousavipour, Robert Cortez, Mark Lawrence, Alma Flores, Jorge Garcia, Eddie Duque, Margarita Macedonio and Becky Magallon. Also present were Leslie Pollner and Dan Maldonado (by phone) from Holland & Knight; and Casey Elliott and Cori Williams from Townsend Public Affairs. Members of the public present: Irma Macias Public Comments: No comments. AGENDA ITEMS APPROVAL OF MINUTES — June 25, 2014 Meeting The June 25, 2014 minutes were approved unanimously by a vote of 2:0. 2. Quarterly Federal Legislative Update from Holland & Knight — Report outlining legislative advocacy work July 2014 to September 2014 HK Legislative Advocacy Update (July 2014 to September 2014) Lelsie Pollner provided a legislative advocacy update to the Committee. One of the highlights was their assistance in securing $1.25 million in COPS funding to hire or rehire 10 officers. She also reported that Santa Ana was not successful in receiving a Tiger grant and provided copies of a debrief memo as well as a schedule. Councilwoman Martinez mentioned that it was disappointing that no organization in Orange County received monies from Tiger grants and she thought Santa Ana Legislative City Council Committee Minutes October 15, 2014, Page 1 13D -3 should have received funding. She suggested using a comprehensive approach when applying for future grants. Chair Sarmiento thanked Dan Maldonado for the summary of the Tiger VII Grant, which provides details about the Tiger Grant process. He added that the memo will be a good tool to use for future opportunities. Leslie Pollner informed the Committee that Holland & Knight will be in Santa Ana in November or December and would like to talk to Committee members and staff about advocacy strategy to position Santa Ana well in getting the funding it deserves. Councilmember Sarmiento thanked Holland & Knight for the new format of their legislative report, and added that the matrix provides a snapshot and quantifies all the work that has been done. Councilwoman Martinez informed Holland & Knight that she would be in Washington, DC November 18 -24 to attend a NALEO conference and would like to take the opportunity to meet with them and /or federal agencies regarding Santa Ana projects. Jorge Garcia reviewed the list of grants recently received by the City of Santa Ana and reported that Santa Ana received over $10 million in grants in federal and state dollars. Councilwoman Martinez thanked Holland & Knight for helping Santa Ana with the CDC grant. Dan Maldonado mentioned that there should be some strategic follow up, and thinks the work Santa Ana has done in this area is very unique. Update on My Brother's Keeper Initiative Leslie Pollner informed the Legislative Committee that Santa Ana has been an early acceptor of the My Brother's Keeper Initiative challenge, and it will be very beneficial for Santa Ana. She added that Santa Ana was acknowledged in the White House press release and that participation in this initiative will involve future opportunities and will pay short and long -term dividends. Jorge Garcia explained the purpose of the My Brother's Keeper Initiative and reported that Santa Ana is focusing on two goals: that all youth are employed and all are safe from violent crimes. He added that the White House is very excited to have Santa Ana involved. Santa Ana has already instituted programs that meet some of the goals during the Strategic Plan implementation process. Staff is preparing for the forum and will be working with non - profits and other community partners to make the program successful. Councilwoman Martinez mentioned that the California Endowment has offered to sponsor Santa Ana's My Brother's Keeper summit but would like to be on the planning committee. She added that partnering with them would help reduce the cost involved in conducting the event and asked staff to consider the possibility. Legislative City Council Committee Minutes October 15, 2014, Page 2 1301-4 Presentation and Discussion on Federal Promise Zones Proposal Alma Flores reported that the Promise Zone initiative will allow the City and local community partners to receive preferences in accessing existing federal resources to create jobs, improve public safety, enhance public education and identify solutions to overcrowded housing conditions. Santa Ana will apply for round III and it's currently vetting through issues with Holland & Knight in order to apply in 2015. Staff is currently identifying partners such as the school board, the County, nonprofits and others. Chair Sarmiento mentioned that partnerships will be very important such as school districts and non - profits and asked that staff keep Delhi Center in mind as a partner. Councilwoman Martinez suggested that Santa Ana also partner with the Orange County Probation Department and the faith -based community. 3. Quarterly State Legislative Update from Townsend Public Affairs — Report outlining legislative advocacy work July 2014 to September 2014 TPA Legislative Advocacy Update (July 2014 to September 2014) Casey Elliott provided an update on the State legislation that was approved as well as the efforts by Townsend Public Affairs on behalf of Santa Ana. Councilwoman Martinez mentioned that there will be another call for Active Transportation Planning Grant applications and discussed the importance of having shovel ready projects. She also discussed the importance of the Cap and Trade Program and mentioned that SCAG would be having a meeting in a couple of weeks. She added that Public Works and Housing staff will be in attendance and encouraged Townsend Public Affairs to also participate. Chair Sarmiento thanked Townsend Public Affairs for the new report format because it gives a description of the progress on current legislation and it's easier for the Committee to follow. Councilmember Sarmiento requested an update on the Water Bond as well as Edison's deferred decision on a power plant site selection. Casey Elliott reported that the Governor signed a $7.545 billion water bond, which will be on the November ballot as Proposition 1. Polling for the water bond is trending favorably — support in the high 50's with low 30's in opposition. He added that passage of the water bond by the voters will make significant funding available to address many of the water infrastructure needs in the City. Councilwoman Martinez requested that Townsend Public Affairs stay in communication with Santa Ana's Public Works Executive Director to take advantage of the water bond funding. She added that a possible water project could be a wetlands landscape project by Centennial Park. Legislative City Council Committee Minutes October 15, 2014, Page 3 13D -5 Cori Williams mentioned that there is a water energy opportunity open and the deadline is in December. Update on SB 7 — 2013 Prevailing Wage Measure Townsend Public Affairs provided an update on SB 7 which requires that all public works contracts receiving state funding over $25,000 (construction work) or over $15,000 (alteration, repair, maintenance) must pay prevailing wages. Casey Elliott mentioned that Townsend Public Affairs advises Santa Ana to adopt an ordinance indicating its intent to comply with state prevailing wage determinations. 4. League of California Cities Briefing July 2014 to September 2014 Tony Cardenas provided an overview of the legislation items that the Governor took action on. He reported that the Governor signed 15 League - supported bills, signed four League- opposed bills, vetoed 11 League - supported bills and vetoed three League - opposed bills. He also discussed legislative issues for 2015. Tony Cardenas announced the League of California Cities Legislative Department will be hosting a webinar on November 12th and invited the City of Santa Ana to participate. 5. Briefing on the August 6 -8 2014 Washington, DC Advocacy Meetings David Cavazos thanked Councilmembers Sarmiento and Benavides for participating in the advocacy trip and reported that it was very successful and will render an incredible return in Santa Ana's investment. Dan Maldonado reported Holland & Knight has continued to have promising discussions with ICE. He added that Santa Ana's commitment to travel to Washington, DC can make a difference in the way things are accomplished. The recent visit was key to set the stage on Santa Ana's transportation priorities. It also reinforced Santa Ana's position on the UASI Program because it has opened the door to have a continued relationship with the Department of Justice. Chair Sarmiento mentioned that he was very pleased with the outcome of the trip and the opportunity to meet with several departments including the Department of Transportation, ICE, COPS, Department of Justice, White House staff and others. He added that he'd appreciate that staff work at personalizing Washington, DC visits, such as preparing hand written thank you cards. He added that he is willing to participate in future visits to Washington, DC on behalf of the Committee. 6. Legislative Platform — Review 2013 Legislative Platform and Discuss Update Mark Lawrence reported the City of Santa Ana had many funding opportunities that it was able to capitalize on. He discussed the Legislative Platform Report Legislative City Council Committee Minutes October 15, 2014, Page 4 13D -6 Card which shows in red the funding opportunities and how they align to the Strategic Plan. Staff's goal is to bring an updated platform for 2015 to the Legislative Council Committee at their next meeting for review and recommendation for approval by the City Council. Review City's membership in Regional, State and National Advocacy Organizations David Cavazos reviewed the list of annual memberships. Councilwoman Martinez noticed that the City pays over $28,000 for LAFCO membership and asked that the City consider having a seat on the Board of Directors. Councilwoman Martinez mentioned that she serves on the SCAG Board of Directors and even though it's a large time commitment and a big responsibility, i is of great value to the City. She added that in her 4 years on the Board she has helped bring over $4 million which were used for the integration of the SAG IS and SAPIN systems. She thinks it's important that there is Council representation on this board. Councilwoman Martinez also reported that she serves on OCCOG which is a vital regional board. She would like other Councilmembers to consider serving on the Board and believes staff's attendance at the meetings would be beneficial to the City. Ms. Martinez requested that staff review the OCCOG agenda for any items that impact Santa Ana and provide her with a recommendation on how to vote on those items. Councilman Sarmiento asked staff to work with the advocacy firms to quantify the benefits of Councilmembers serving on regional and state boards. This would show the benefits of current memberships and can help staff determine which memberships are more valuable to the City. David Cavazos mentioned that staff will do an assessment of current memberships and will include them in next year's budget. Committee Member Comments Councilmembers Sarmiento and Martinez thanked staff and partners for their assistance and hard work. Future Agenda Items No future agenda items identified. Legislative City Council Committee Minutes October 15, 2014, Page 5 13D -7 ADJOURNMENT Meeting was adjourned at 1:19pm Becky Magallon Executive Assistant City Manager's Office Legislative City Council Committee Minutes October 15, 2014, Page 6 13D -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2015 TITLE: o� s�sri s n AUTHORIZATION TO FILE RECEIVERSHIP ACTIONS AGAINST OWNERS OF REAL PROPERTIES LOCATED IN THE CITY OF SANTA ANA {STRATEGIC PLAN NO. 3, 3} CITY MAN GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: d "C• 6, ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO liR47=TjifT4N Authorize the City Attorney to engage special legal counsel, Silver and Wright, to file receivership actions against owners of the real properties located in the City of Santa Ana listed as follows: 1. 1701 S. Flower Street 2. 1046 W. Bishop Street 3. 2021 N. Fairview Street 4. 5321 W. First Street 5. 1705 S. Woodland Place 6. 2702 W. Maywood Avenue 7. 2222 S. Rene Drive 8. 315 E. Camile Street 9. 2727 W. Edinger Avenue 10.115 E. Santa Ana Boulevard DISCUSSION The City has recently used the California Health and successfully resolve difficult code enforcement matters in Receivership is a legal process through which control of a K from the owners and placed with a court - appointed officer: used primarily for abandoned and substandard properti noncompliance with a city's code enforcement efforts I property presents an immediate threat to health and safety. 19E -1 Safety Code Receivership option to both commercial and residential areas. iece of real property is temporarily taken the Receiver. These receiverships are ;s where the owner has a history of r in emergency situations where real Authorization to File Receivership Actions Against Owners of Real Property in the City of Santa Ana March 3, 2015 Page 2 The use of the receivership option is a dramatic, immediate and comprehensive process that eliminates slum conditions or habitually substandard properties at no expense to the referring agency when it is the prevailing party. This process also communicates to the public that the City is actively protecting residents and tenants from dangerous conditions created by absentee or recalcitrant property owners. Attached are fact sheets concerning the real properties listed above. The Community Preservation Division has identified all these properties are candidates for receivership actions. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #3, Economic Development, Objective #3. (Promote a solution -based customer focus in all efforts to facilitate development and investment in the community). FISCAL IMPACT The receiver laws provide for the full recovery of legal fees and the value of staff time. Eight of the ten matters are eligible for CDBG Code Enforcement Funding and initial funding will come from account no. 13518783 62300. Funding for remaining two matters will come from Receivership Fund Account (account no. 09801001 24042). The accounts will be replenished when funds are recovered. Vince`Vregoso, ICP Interim Executive ctor Planning & Building Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit: 1, Dangerous and Abandoned Buildings and Structures 19E -2 DANGEROUS BUILDINGS 2 �R STRUCTURES Receivership /Abatement Referral to CAO 2015 1) 1701 S. Flower CDBC Funded 742.00 Residential 2) 1046 W. Bishop CDBC Funded 749.02 Residential 3) 2021 N Fairview CDBC Funded 891.02 Residential 4) 5321 W. First CDBC Funded 889.03 Residential 5) 1705 W. Woodland CDBC Funded 742.00 Residential 6) 2702 W. Maywood CDBC Funded 741.08 Residential 7) 2222 S. Renee CDBC Funded 741.02 Residential 8) 315 E. Camile CDBC Funded 746.02 Residential 9) 2727 W. Edinger Non Funded 748.03 Commercial AO) 115 E. Santa Ana Non Funded 750.02 Commercial 19E -3 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS: 1701 S. Flower AP # 023 - 046 -19 CDBG 742.00 OWNER OF RECORD: Selly J. Bleeker STATEMENT OF CONDITIONS Owner Occupied History: The property owner has neglected to comply with City directions. Since 2000 staff has made over 15 inspections with no success for compliance. Water has been disconnected for several years which impose a health and safety condition. We have received several SAPD referrals regarding adult, parole and criminal activity. Health and Safety: Lack of Hot and Cold running water, no electricity. (No entry allowed, full inspection recommended) Property Maintenance: Landscape, rear illegal storage, broken windows, inoperable vehicles, hazardous material stored on premises etc., cooldng outside daily. 19E -4 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS: 1046 W. Bishop AP # 010- 070 -01 CDBG 749.02 OWNER OF RECORD: Hector Hereciia STATEMENT OIL" CONDITIONS Owner Occupied History: The property owner has neglected to comply with City directions. Since 2000 staff has made over 50 inspectiols with 110 success. Water has been disconnected for several years avhich impose a health and safety condition; children oar site. Health and Safety: Lack of Hot and Cold running water (No euf,y alloavccl, full inspection recommencle(l) propo'ty IYtniatenancc: Landscape, rear and front yard illegal storage, garage does, not operable, brol(co avindons, hnoperohic vehicles, hazardous material stored on preulises etc, 19E -5 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS: 2021-2025 N. Fairview AP # 399 - 091 -20 CDBG 891.02 OWNER OF RECORD: Margarita Wagshall STATEMENT OF CONDITIONS Tenant Oeeupieci "'story: Since 2010, several complaints front row sewage to unperinitted wort: have been cited at the property. The property owner has failecl to comply with our notices. The parcel has two legal Units on site, it is cw•rently bchtg occupied by adults and children. Health and Safety, : A full Inspection is recon olended in both dwellings. Currently, 2021 N. Fairview has been subdivided with hvo Idtchens, unpernlitted bathrooms and unpermitted wm9c; electrical, building and plumbing. Property Maintenance: Overgrown vegetation, tilegal fence, inoperable vehicle, auto repah• on site, 19E -6 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS: 5321 W. First AP # 099 - 224 -45 CDBG 889.03 OWNER OF RECORD: Margarita Wagshall STATEMENT OF CONDITIONS Illegal use of property History: Since 2000, Inspectors have made over 30 inspections due to auto repair being conducted on site. The property owner has failed to respond and comply with our notices. In addition to using the parcel for a business and Illegal auto repair; a single family dwelling was illegal demolished with permits. Property Maintenance: Fence is dilapidating (bowing), parcel has over 15 vehicles on lot. 19E -7 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS: 1705 W. Woodland AP # 013 - 244 -19 CDBG 742.00 OWNER OF RECORD: U.S Bank National Association STATEMENT OF CONDITIONS Trespasser /Squatter conditions History: The property has been abandoned. Inspections have beet, conducted since October 2014, Squatter usage has been observed several times, SAFD and Code Enforcement have conducted over 5 inspections in the last months acne to continuing break -ins from trespassers. Arrests have been made by SAID. Property owner /Bank is absent. Health and Safety: property is vacant and is a recognized haven for nuisance and criminal behavior. Property t` E'lutenance: Graffiti plagued (aside of home, bathrooms enci kitchen has been removed by squatters for metal. The property is "shell like ". Current board up fees: $2,688.00 19E -8 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS: 2 702 W. Maywood AP # 408 - 235.01 CDBG 741.08 OWNER OF RECORD: Coffin AH -CA, LLC STATEMENT OF CONDITIONS Trespasser! Squatter conditions History: The property has been abandoned. Inspections have been conducted since October 2014, Squatter usage has been observed several thnms. SAPD and Code Enforcement have conducted over 5 inspections in the last months due to constant break -ins front squatters. Arrests hnve been nnnde by SAPD. Propety owner is absent. Health and Safety; Propat}, is vacant noel is n recognir,ed haven for unisaace and cri ninal behavior. Property Nlaintcnanee: Graffiti plagued inside of honne, bathrooms and Kitchen hardware, metals vahmble has been removed b) squatter's fm' 2111 metal. The proper( }, is shell lilac ". Current board up fees: 53,038.00 19E -9 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS: 2222 S. Renee AP # 40£1-466 -15 CDBC 741.02 OWNER OF RECORD: Pradeep K. Vaish S'T'ATEMENT OF CONDITIONS Trespasser /Squatter condition History! Tile ptroperty has been abandoned. Inspections have been conducted since November 2014. Squatter activity bas been observed several times. SAPD and Code Enforcement have conducted 10 inspections In tiu last mouths clue to continuing breal: -ins from trespassers. Arrests have been made by SAPD. We hove not been smccessfml in locntbtg the property owner, Health and Safety: Propm,ty is vacant and is a recognized haven for mmisance and criminal behavior. property Maia tell All cc: Croffiti plagueel inside of home; bathrooms and ldtcliem 'lave bee" remmved by squatters for metal. The property is ,shell like ". Current board up fees: $5,032.00 19E -10 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS: 315 E. Camile AP # 404 - 046 -12 CDBG 746.02 OWNER OF RECORD: Martha Munoz Gomez STATEMENT OF CONDITIONS Trespasser/ Squatter condition History: The property has been abandoned. Inspections have been conducted since January 2015. Squatter usage has been observed several times, SAPID and Code Enforcement have conducted over 5 Inspections in the last months due to constant break -ins from squatters. Property owner is absent, Health and Safety: Property is vacant and is a recoguized haven for nuisance and criminal behavior. Property Maintenance: Ransacked, hoarding, trash and debris inside the property, Bathroom and Idtchen still exist. Inoperable vehicle on site, roof appears to be substandard with plastic cover in areas. Current board nap fees: $1038.00 19E -11 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS; 2727 W. Edinger AP # 407 - 041 -35 CDBG 748.03 OWNER OF RECORD; Daniel Melton STATEMENT OF CONDITIONS Trespasser /Squatter condition History: The properq, has been vaeatt and abandoned tine to a fire as of early 2014. On 3- 6.2014, tine property owner spoke to the Planning dept, about fire restoration plans but Bevel, obtained permits for the work. In the nleanthne, tills property remains abandoned and is routinely plagued with graffiti. Squatters are sleeping witldn the fenced aren using for shelter. Healtin and Safety: Property is vacant and is n recognized haven for nuisance and criminal behavior. PrOPertY Maintenance: nce: The property is substnnttnrd; roof has fire damage and is exposed. Currently, dangerous and is It blighted a MIT on a train intersection, Fairviem and Edinger. 19E -12 DANGEROUS AND ABANDONED BUILDINGS Receivership /Abatement Referral ADDRESS: 115 E. Sauta Ann Blvd. AP # 398- 234 -04 CDBO 750.02 OWNER OF RECORD: Orange County 1115tol•y Museum LLC STATEMENT OF CONDITIONS Trespasser /Squatter condition History: Reports of abandoned building since 2007. Recent, lnspections have been couttieted since January 2015. Squatter usage is rampant. Board -ups have been conducted daily. SAPD and Code Enforcement have conducted over 10 inspectloas in the last months clue to cocstant break -ins from squatters. Property owner is absent. Health and Safety: property is vacnnY and is n recogulud haven for nuisance and criminal behavior. Property Klintenone: Ransacked, hoarding, trash and debris b"I'le the c11wcll319. Metal valuable are being removed, Cnrreut hoard up fees: $4270.00 19E -13 19E -14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2015 TITLE: APPROPRIATION ADJUSTMENT TO RECOGNIZE ACTIVE TRANSPORTATION PROGRAM GRANTS AND AMEND THE FISCAL YEAR 2014/15 SEVEN -YEAR CAPITAL IMPROVEMENT PROGRAM (NON- GENERAL FUND) {STRATEGIC PLAN NO. 1, B} CITY MANA ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve an appropriation adjustment recognizing $4,813,000 in Active Transportation Program grant funds into the Transportation System Management revenue account and appropriating the same to the Active Transportation Program expenditure account, and rescinding the $248,886 appropriation of Bicycle Corridor Improvement Program grant funds in the Select Street account. 2. Approve an amendment to the Fiscal Year 2014/15 seven -year Capital Improvement Program to add seven new projects, and change the funding source for the Bike Lanes - Newhope, Civic Center, and Grand project, all funded by a $4,813,000 Active Transportation Program grant award. DISCUSSION In October 2013, Council authorized submittal of a Bicycle Corridor Improvement (BCI) Program grant application for a project to install Class II (on- street) bike lanes along Newhope Avenue, Civic Center Drive, and Grand Avenue. The BCI Program is federally funded and provides construction funds for local projects that improve safety and convenience for bicycle commuters. The proposed bike lanes project is consistent with the City's Bicycle Master Plan and would help extend and connect existing and planned bike paths. Notification of the $248,886 grant award was received in time for the project to be included in the Fiscal Year 2014/2015 Capital Improvement Program (CIP), which was approved by Council on June 17, 2014. In March 2014, the State of California Department of Transportation issued a call for projects for the Active Transportation Program (ATP) for Federal Fiscal Years (FFY) 2014/2015 and 2015/2016. ATP is a Federal- and State - funded program which provides construction and educational grants for 20A -1 Active Transportation Program and CIP Amendment March 3, 2015 Page 2 projects that increase the proportion of biking and walking, increase traffic safety and mobility for pedestrians and cyclists, and reduce childhood obesity. Although there is a similarity in the type of projects that may be funded by ATP and BCI grants, the ATP does not obligate the applicant to provide matching funds. Recognizing an opportunity to compete for a funding source that did not have a matching fund obligation, in May 2014 staff submitted 11 applications for ATP funding consideration, including one for the Class II Bike Lanes project. Of the 11 applications, eight grants were awarded, totaling $4,813,000. These grants will fund bikeway installations, traffic safety enhancements at 11 bike trail crossings, new or modified traffic signals at five school crossings, and preparation of complete street plans for five corridors (see Exhibits 1 and 2). The Class II Bike Lanes project received an award of $272,000. Since the funds for the eight ATP projects listed in Exhibit 1 were allocated after adoption of the Fiscal Year 2014/15 CIP, an amendment to the CIP is needed to incorporate these new projects. An Appropriation Adjustment is also required to recognize the new funding for the Class II Bike Lanes project and replace the BCI appropriation. ENVIRONMENTAL IMPACT Environmental reviews will be conducted for all ATP - funded projects, and will be presented to the City Council concurrent with award of construction contract(s). These types of projects typically qualify for Categorical Exemptions. 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). FISCAL IMPACT All of these ATP projects are 100% grant funded and no City match is required. The appropriation adjustment will rescind the appropriation of BCI funding for the Bike Lanes - Newhope, Civic Center, and Grand project, decreasing the allocation by $248,886 from the Select Street Construction revenue account (No. 05917660- 66220) and expenditure account (No. 05917660 - 66220); recognize $4,813,000 in Active Transportation Program funding into the Transportation System Management revenue account (No. 14817002 - 52025); and appropriate $4,813,000 into the Active Transportation Program expenditure account (No. 14817613 - 66220). 20A -2 Active Transportation Program and CIP Amendment March 3, 2015 Page 3 Public Works Agency FM/WEG /zk APPROVED AS TO FUNDS & ACCOUNTS: A di e an ca . Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit 1: Active Transportation Program Grants Exhibit 2: Active Transportation Program Grants Location Map 20A -3 20A -4 Active Transportation Program Grants I Bike Lanes Newhope -Civic Center -Grand Class II Bike $272,000 Lanes 2 Complete Street Plan 5th Street (from Harbor Blvd. to Sullivan $300,000 Street), Raitt Street (from 1 stet Street to McFadden Avenue), St. Andrew Place (from Bristol Street to Main Street), Bishop Street (from Broadway to Standard Avenue) and Orange Street from 1 st St to Warner Ave) 3 SRTS Enhancement Curb extensions, upgrading wheelchair ramps $480,000 for Heninger Elem and educational outreach and traffic signal at Flower /Walnut 4 SRTS Enhancement Curb extensions, upgrading wheelchair ramps $500,000 for King Elem and educational outreach and traffic signal at McFadden/Pacific 5 SRTS Enhancement Curb extensions, upgrading wheelchair ramps $780,000 for Washington Elem and educational outreach and traffic signal at Flower /Anahurst and left turn arrows at Flower/Warner 6 Bishop - Pacific- Develop, Design and Construct bike boulevards $950,000 Shelton Bike Boulevards 7 SRTS Enhancement Curb extensions, upgrading wheelchair ramps $430,000 for Monte Vista Elem and educational outreach and left turn arrows at McFadden/Raitt 8 Maple Bike Trail Enhance Bike Trail Crossings $1,101,000 Safety Enhancements $4,813,000 Exhibit 1 20A -5 Legend: Bike Trail Safety Enhancements Complete Street Plans Note: Project numbers correlates with Exhibit 1 SANTA ANA City Council P WA ; Agenda Date rusucwoaxsncE March 3, 2015 Exhibit 2 Active Transportation Program Grants Projects Locations 20A -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2015 TITLE: 2014 -2015 ANNUAL ACTION PLAN SUBSTANTIAL AMENDMENTS (STRATEGIC PLAN NO. 5) -1 I x CITY MANA R RECOMMENDED ACTION t!itd��1! rIH ��Y CLERK OF COUNCIL USE ONLY: :7--c• o, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve a substantial amendment to the 2014 -2015 Annual Action Plan approving the reallocation of Community Development Block Grant and HOME Investment Partnership Grant funds, and authorize its submittal to the U.S. Department of Housing and Urban Development. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting of February 11, 2015, by a vote of 5:0, the Community Redevelopment and Housing Commission conducted a public hearing and recommended that the City Council approve a substantial amendment to the 2014 -2015 Annual Action Plan approving the reallocation of Community Development Grant funds, and authorizing its submittal to the U.S. Department of Housing and Urban Development. DISCUSSION In May 2014, the City submitted to the U.S. Department of Housing and Urban Development (HUD) an Annual Action Plan for fiscal year 2014 - 2015. The Annual Action Plan is the document whereby the City formally applies to HUD for the annual federal grant allocations and describes how those grant funds will be utilized. Since the approval of the Annual Action Plan, a new and a pending Community Development Block Grant (CDBG) eligible capital improvement project, and a HOME New Construction program have been identified. There is an urgent need for capital Improvements at the Santa Ana Regional Transportation Center (SARTC) to bring the facility up to current Americans with Disabilities Act (ADA) standards. The ADA improvements in the amount of $260,000 will ensure that the State of California Employment Development Department continues to partner with the City of Santa Ana 29A -1 2014 -2015 Annual Action Plan Substantial Amendments March 3, 2015 Page 2 for the operation of the Santa Ana WORK Center. Staff has identified that funding for this project is available through unallocated CDBG funds from the prior year. Neighborhood sponsored capital improvement projects have a current balance of $56,771 remaining from a CDBG FY 2009 -2010 allocation. These funds will be utilized to undertake neighborhood driven capital improvements for the revitalization of deteriorated or deteriorating CDBG eligible areas. Staff recommends including this project in the Substantial Amendment to recognize it in the current year Action Plan for HUD reporting purposes. The HOME New Construction program will allocate $380,000 of HOME funds to undertake new construction of rental housing. These HOME funds will be utilized to fund a rental project located at 815 N. Harbor Boulevard (Exhibit 1) and will allow the City to meet its required commitment deadline of HOME funds by July 2015. Since the projects described above were not identified in the 2014 -2015 Annual Action Plan, staff drafted a Substantial Amendment to the Plan (Exhibit 2) to reallocate and recognize funding for these projects. Legal notice for this CDBG and HOME substantial amendment was published in the Orange County Register, La Opinion and Nguoi Viet News on December 28, 2014. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5, (Community Health, Livability, Engagement and Sustainability). FISCAL IMPACT There is no fiscal impact associated with this action. Kelly ReenrV ' U Executive ector Community Development Agency KR/SS /sv /sb Exhibit: 1. 815 N. Harbor Location Map 2. 2014 -2015 Annual Action Plan Substantial Amendment Draft 29A -2 PROPOSED PROJECT LOCATION 803 -815 NORTH HARBOR BOULEVARD 0 Lu F w w J w O N CO HAZARD AVENUE PRO JECT F w w H } Q w J O � d' � W p "' m m cc Q LL �Y A1,f31J 29A -4 2010 /11- 2014 -15 CITY OF SANTA ANA CONSOLIDATEDPLAN I SUBSTANTIAL AMENDMENT TO THE 2014/15 ACTION PLAN TABLE OF CONTENTS PAGE Introduction............................................................................. ............................... Amendments... Citizen Participation Exhibits Exhibit 1- Public Hearing Notice /Summary of Comments and Responses ... ..............................4 Exhibit 2- Proposed Activities 02/11/2015 SUBSTANTIAL AMENDMENT TO THE 2014 -2015 ANNUAL ACTION PLAN SUBSTANTIAL AMENDMENT TO THE 1 2010/11- 2014 /15 CITY OF SANTA ANA CONSOLIDATED PLAN 2014/15 ACTION PLAN SUBSTANTIAL AMENDMENT TO THE FISCAL YEAR 2014 -2015 ACTION PLAN INTRODUCTION This document is a Substantial Amendment to the City of Santa Ana's Fiscal Year 2014 -15 Annual Action Plan, which was submitted to the U.S. Department of Housing and Urban Development (HUD) on May 15, 2014. Title 24 Section 91.505 of the Code of Federal Regulations stipulates that participating jurisdictions shall amend their approved plans whenever they make one of the following decisions: 1. To make a change in its allocation priorities or a change in the method of distribution of funds; 2. To carry out an activity, using funds from any program covered by the Consolidated Plan (including program income) not previously described in the action plan; or 3. To change the purpose, scope, location, or beneficiaries of an activity. The Regulation further requires that jurisdictions identify in their citizen participation plans the criteria they will use for determining what constitutes a substantial amendment. Consistent with these requirements, the Citizen Participation Plan adopted by the City of Santa Ana as a component of its 2010/11— 2014/15 Consolidated Five Year Plan identifies three criteria that will require a substantial amendment: 1. Changes in the use of CDBG funds from one eligible activity to another; 2. An activity is undertaken that was not previously included in the Consolidated Plan or subsequent action plans. 3. More than 30 percent of the most recent annual federal grant allocation is reallocated to other eligible program activities within the fiscal year. The proposed amendment meets one of these three criteria, and therefore requires a substantial amendment. 02/11/2015 29A -6 SUBSTANTIAL AMENDMENT TO THE 2014 -2015 ANNUAL ACTION PLAN 2010 /11- 2014 -15 CITY OF SANTA ANA CONSOLIDATEDPLAN I SUBSTANTIAL AMENDMENT TO THE 2014/15 ACTION PLAN AMENDMENTS The City is amending the 2014 -2015 Action Plan to include the following projects: • Public Facilities and Infrastructure Improvements Project Name: Santa Ana Regional Transportation Center ADA Improvements Project Description: This project will involve improving sections of the facility to be ADA compliant. Estimated Cost: $260,000 Public Facilities and Infrastructure Improvements Project Name: Neighborhood Sponsored Capital Improvements Project Description: This project will provide CDBG funds to undertake neighborhood sponsored capital improvements within CDBG eligible neighborhoods. Estimated Cost: $56,771 • HOME New Construction Project Name: HOME New Construction Project Description: This project will provide HOME funds to undertake new construction of rental housing. Estimated Cost: $380,000 The total estimated cost of the substantial amendment is $696,771. CITIZEN PARTICIPATION In accordance with 24 CFR 91.105(c)(3) for local governments, the substantial amendment Public Notice for the use of CDBG and HOME funds was released for citizen review and comments on December 28, 2014. During the 30 -day public comment period from December 29,2014 through January 27, 2014 the Public Notice for the Draft Substantial Amendment was made available during regular business hours between 8:00 a.m. and 5:00 p.m., Monday through Friday in the offices of the Community Development Agency, 20 Civic Center Plaza, 6th Floor, Office of the Clerk of the Council, 20 Civic Center Plaza, Room 809, the Main Public Library, 26 Civic Center Plaza, Santa Ana, California and on the city's website. The Community Redevelopment and Housing Commission of the City of Santa Ana held a public hearing on February 11, 2015, at 4:30 p.m. at the City Hall, 20 Civic Center Plaza, Conference Room 229, Santa Ana, CA 92701. Following the 30 -day public comment period and public hearing, the City Council of Santa Ana will hear and vote on the Substantial Amendment to the 2014 -15 Action Plan on March 3, 2015. A copy of the public hearing notice is presented in Exhibit 1. A summary of citizen comments received at the public hearing and responses to these citizen comments are presented in Exhibit 1. 02/11/2015 29A -7 SUBSTANTIAL AMENDMENT TO THE 2014.2015 ANNUAL ACTION PLAN SUBSTANTIAL AMENDMENT TO THE 1 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2014/15 ACTION PLAN EXHIBIT 1 SUMMARY OF PUBLIC COMMENTS 8t PROOF OF PUBLICATION 30-DAY COMMENT PERIOD AND PUBLIC HEARING 02/11/2015 4 SUBSTANTIAL AMENDMENT TO THE 2014 -2015 ANNUAL ACTION PLAN 29A -8 2010 /11- 2014 -15 CITY OF SANTA ANA CONSOLIDATEDPLAN I SUBSTANTIAL AMENDMENT TO THE 2014/15 ACTION PLAN SUMMARY OF PUBLIC COMMENTS SUMMARY OF PUBLIC COMMENTS RECEIVED DURING 30 -DAY COMMENT PERIOD AND STAFF RESPONSE No Comments 01/28/2015 REDEVELOPMENT & HOUSING COMMISSION PUBLIC HEARING: 02/11/2015 29A -9 SUBSTANTIAL AMENDMENT TO THE 2014 -2015 ANNUAL ACTION PLAN SUBSTANTIAL AMENDMENT TO THE 1 2010/11.2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2014/15 ACTION PLAN 02/11/2015 EXHIBIT 3 PROPOSED ACTIVITIES 29A -10 SUBSTANTIAL AMENDMENT TO THE 2014 -2015 ANNUAL ACTION PLAN Grantee Name: Santa Ana, CA Project Name: Icity of Santa Ana - Public Facilities rove ent-SARTC Uprades Description: IDIS Project #: uo�C ode: � CA63342 SANTA ANA This project will involve improving sections of the facility to be ADA compliant, Program qualifies as for Low/Moderate-Area Benefit per 24 CFR 570.208 (a) (1). Location: Santa Ana Regional Transportation Center select one: [PublicFtidlites Explanation: Expected Completion Date: 6/30/2015 0 jecLive Category 0 Decent Housing @) Suitable Living Environment 0 Economic Opportunity spscl Outcome Categories Availability/Accessibility CAffordability ❑ Sustainability 1 Inp-c\etesa-Aassfbrlo#n-odin=Tepamm C E 11 Relic Fadlibes w Proposed I Underway Complete = 2 E IL a Ord. Type: TYX Proposed Outcome Performance Measure Actual Outcome Provide and maintain first-rate infrastructure and community facilities Improve the viability. of Low- and Moderate-Income neighborhoods by eliminating one or more substandard or deteriorated public facility 03 pubic Facillbes and Irrprouerriarils (GTEd) 570.231(c) V&xGDdes VWXG--clas VI&XCOdES IVIEtrix Codes 01/28/2015 EXHIBIT 3 29A -11 Grantee Name: Santa Ana, CA Project Name: Cit of Santa Ana - Public Facilities Im rovement-Nei hborhood Sponsored Description: IDIS Project #: UOG Code: CA63342 SANTA ANA This project will provide funds to undertake neighborhood sponsored capital improvemens within CDBG eligible neighborhoods. Program qualifies as for Low /Moderate -Area Benefit per 24 CFR 570.208 (a) (1). Location: $,r t.trt `,.'„r %,?:;?s�;.tY•��, sit, ',t;tj ;RMtp�iC'yNged3Cdteg4SY :, • .,, » +Lif�',r+�," Citywide CDBG Eligible - Neighborhoods Select one: RbicFadlites Explanation: Will help revitalize deteriorated or deteriorating neighborhoods. Expected Completion Date: 6/30/2015 Objective Category O Decent Housing Suitable Living Environment - O Economic Opportunity u R r specificoltile (ues'? Outcome Categories 1 I I-Cleage CiLaft Of ICl for IaAe-In07n -e p3sms � Q Availability/Accessibility ❑Affordability 2 _ ❑ Sustainability 3 11 pLijIC Fadlydei �!, Proposed 1 T Pmxrl�l• ype: Underway - -- E Complete C pmt. Type: T w a '$ E L o o a .T : Type: Proposed Outcome Performance Measure Actual Outcome Provide and maintain: first -rate Improve the viability of Low- and infrastructure and community. Moderate - Income neighborhoods by facilities eliminating one or more substandard or deteriorated public facility 03 Public FadlitesardInpvveTmis (GTeal)570.201(c) ','w MatrixCtde; � Vwx axles ° lvldxCodes M�trx(bcks !_. VWxCbds M ccas l w Proposed Amt. $ 56 771 ° • ,: Flr1d c��; M .v Actual Amount } Fu,d :' • E. k3". Type: Type: o CL` Pma. Type: Type: 01/28/2015 EXHIBIT 3 29A -12 Grantee Name: Santa Ana, CA Project Name: IHOME New Construction Description: I JIDIS Project #:T IUOGCode: ICA63342 SANTA ANA New construction for affordable rental housing eligible per 24 CFR 92.205 (a) (1). Location: ,.,', >�'r.;^;�{`;s n .;;• 'Prior(ty,�Need Cat�9prYr€,#v`� „� "f5 an r•. >;. .s: 815 N.Harbor Select one: -- Explanation: Expected Completion Date: 6/30/2015 Objective Category Decent Housing O Suitable Living Environment O Economic Opportunity „SpedifieObjec[i"v'es Outcome Categories ❑ Availability /Accessibility ❑� Affordability ❑Sustainability 1 kripirm a03295 tO alfarade rerd 2 - -- - 3 _ C dE 10� U'its Pro osed 1 Underwa Complete m d a 'o E L Aox”. Type: Fan Td. T 0 D 0 Arorrd. T IV Proposed Outcome Type: Performance Measure Actual Outcome Mtixoxies M3hixQ 7 VWxQzts V M�triI 01/28/2015 EXHIBIT 3 29A -13 29A -14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2015 TITLE: CONDITIONAL USE PERMIT NO. 2014-56 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR LUCILLE'S SMOKEHOUSE BAR -B -QUE TO BE LOCATED AT 2800 NORTH MAIN STREET, UNIT 2160 - GREGG BERWIN, APPLICANT {STRATEGIC PLAN NO. 3, 2 }/ tf CITY eNAGER RECOMMENDED ACTION r_1Vjj&_.u;[. ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2014 -55. PLANNING COMMISSION ACTION On February 9, 2015, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2014 -55 by a vote of 7:0 which approved a Type 47 Alcoholic Beverage Control license in order to sell beer, wine and distilled spirits for on- premise consumption at Lucille's Smokehouse Bar -B -Que restaurant located at 2800 North Main Street, Unit 2160 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 Lucille's is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer, wine, and distilled spirits as part of the restaurant's operations. The restaurant will be operated as a full- service, sit -down eating establishment with no outdoor patio area. The dining area will have approximately 350 seats. The restaurant will contain all necessary equipment to be considered for a Type 47 ABC license. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary use. The proposed hours of operation for the facility are from 7:00 a.m. to 12:00 a.m., seven days per week. Full sized site plans are available for public viewing in the Clerk of the Council Office. 31A-1 Conditional Use Permit No. 2014 -55 March 3, 2015 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. Vince Fregos AICP Interim Executiv hector Planning & Building Agency AP: rb ap \Reports \Staff Reports for PC\CUP1455 Lucilles Type 47 ABC.cc Exhibit: A. Planning Commission Staff Report 31A-2 REQUEST FOR . 1 s k I i I a n 4 FEBRUARY 9, 2015 TITLE: PUBLIC HEARING - FILED BY GREGG BERWIN FOR CONDITIONAL USE PERMIT NO. 2014-55 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR LUCILLE'S SMOKEHOUSE BAR -B -QUE TO BE LOCATED AT 2800 NORTH MAIN STREET, UNIT 2160 (STRATEGIC PLAN NO. 3,2) Prepared by All Pezeshkpour Interim E cutive D' actor RECOMMENDED ACTION APPROVED 0 As Recommended El As Amended b Set Public Hearing For DENIED. • Applicant's Request • Staff Recommendation CONTINUED TO s Acting Planning Manager Adopt a resolution approving Conditional Use Permit No. 2014 -55. Request of Applicant Gregg Berwin of Westfield Corporation, representing Lucille's Smokehouse Bar -B -Clue ( "Lucille's "), is requesting approval of a conditional use permit (CUP) to allow a Type 47 Alcoholic Beverage Control (ABC) license for the on- premise sale and consumption of beer, wine, and distilled spirits at a new restaurant. Establishments that sell alcoholic beverages require a conditional use permit pursuant to Section 41 -196 of the Santa Ana Municipal Code (SAMC). Proiect Location and Site Description Lucille's is currently constructing tenant improvements to open a new restaurant venue at 2800 North Main Street, Suite 2160. 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 corner of North Main Street and MainPlace Drive. The site is anchored by the JC Penney, Macy's, and Nordstrom department stores and contains numerous retail and eating establishments. Lucille's will be locating within a 9,259 square foot tenant space on the second level of the former Macy's Men's building located on the southeast portion of the mall site. Westfield MainPlace contains approximately 1,127,836 square feet of tenant space and 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 31A-3 CUP No. 2014 -55 February 9, 2015 Page 2 Although overeoncentration criteria are not applicable to on -sale ABC licenses, a review of the project vicinity indicates that there are currently six ABC licenses located within 500 feet of the project site in addition to the proposed license. These six ABC licenses include three Type 41 licenses (on -sale beer and wine only) and three Type 47 licenses (on -sale beer, wine, and distilled spirits). However, this information does not affect the analysis or recommendation contained in this report. Project Description Lucllle's is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer, wine, and distilled spirits as part of the restaurant's operations. The restaurant will be operated as a full- service, sit -down eating establishment with no outdoor patio area. The dining area will have approximately 350 seats. The restaurant will contain all necessary equipment to be considered for a Type 47 ABC license; The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary use. The proposed hours of operation for the facility are from 7:00 a,m. to 12:00 a.m., seven days per week. Overall alcohol storage and display areas will be located within a 136- square foot storage room, a 234- square foot storage area underneath the alcohol service area, and atop a 62- square foot display area, totaling 432 square feet. The total alcohol storage and display area is 4.7 percent of the floor area, which is consistent with the SAW requirement of maintaining five percent or less of the gross floor area of the restaurant for alcohol storage and display (Exhibits 4, 5, and 6). Project Background Lucille's is a restaurant that offers American southern and Cajun cuisine. The company has several locations in California, Arizona, and Nevada, including restaurants in Tustin, Brea, Orange, Lake Forest, and Long Beach, from which the restaurant family originates. The Santa Ana NlainPlace location would be the company's fifth location in Orange County and its proposed operations are consistent with those found elsewhere in Southern California. General Plan and Zoning 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 and ancillary alcoholic beverage control licenses, making the proposed use consistent with the zoning designation. 31A-4 CUP No. 2014 -55 February 9, 2015 Page 3 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 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. SAMC Section 41 -196 requires a CUP for establishments selling alcohol for on -site or off -site consumption. The proposed ABC license will allow the proposed restaurant the ability to offer an additional amenity and dining experience for Its patrons that is consistent with other eating establishments in the area. Moreover, operational standards attached to conditional use permits for ABC licenses will mitigate potential impacts from Type 47 ABC license (Exhibit 7). The following findings of fact form the foundation for staffs recommendation of approval for the CUP to allow a Type 47 ABC license. The proposed Type 47 ABC license will provide an ancillary service to the facility's customers by allowing them the ability to purchase a variety of alcoholic beverages with their food. This will thereby benefit the community by providing a full-service dining experience within a family- oriented venue. 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. 31A-5 CUP No. 2014 -55 February 9, 2015 Page 4 The proposed Type 47 ABC license for the on -sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because operational standards to the alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. The restaurant will offer a full range of meal options to its patrons and the addition of alcohol will be ancillary to the main use. In addition, the use will occur within the interior of the premises, mitigating any potential impacts to the surrounding neighborhood. Finally, the sale of alcohol in the restaurant is intended to be incidental to the primary use as an eating establishment. The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other similar dining establishments found nearby in Santa Ana and the region that also offer a full selection of meals and alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages will allow Lucille's to remain economically viable and contribute to the overall success of Westfield MainPlace, helping to decrease the number of vacant spaces that may affect the economic viability of the area The proposed project will be in compliance with all applicable regulations imposed on a restaurant selling beer, wine, and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be maintained as a full- service, bona -fide eating establishment having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. The proposed use will not adversely affect the General Plan, The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of restaurants with food and alcoholic beverages on their menus offers additional dining options for Santa Ana residents and visitors, especially those to Westfield MainPlace, which continues to redevelop 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. Lucille's restaurant's tenancy will include significant tenant improvements within an anchor building that is being reconfigured to accommodate an eclectic mix of complementary uses. 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 47 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. Lucille's will be located in a commercial area and its operations will be compatible with the surrounding businesses. 31A-6 CUP No. 2014 -55 February 9, 2015 Page 5 Police DenartmentAnalvsis 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 (forth Main Street, Unit 2160 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 a Type 47 ABC license will mitigate any potential negative impacts to the surrounding community. Public Notification The project site is not located within the boundaries of an established Neighborhood Association. However, staff contacted the president of the nearby Park Santiago Neighborhood Association, 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 this printing, no correspondence, by phone, written, or electronic, had been received from any members of the public. CEgA 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 operation; repair, maintenance, permitting, or leasing of existing structures. The project proposes to operate a full- service eating establishment within an existing structure. No expansion of square footage or 31A-7 CUP No, 2014 -55 February 9, 2015 Page 6 interior reconfigurations of square footages are proposed as part of the project. In addition, the structure is already served by municipal services, such as roadways, utilities, and parking in a variety of forms. Categorical Exemption Environmental Review No. 2015 -5 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), Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2014 -55. Ali Pezeshkpour Assistant Planner I APJm ap�Report$\Shff Reports for PMCUP14-86 Ludles Type 47 ABC. pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Conceptual Site Plan Exhibit 5 — Floor Plan Exhibit 6 Conceptual Elevations Exhibit 7 — Operational Standards for On -Sale Establishments 31A-8 t CUP 2014 -55 k ,, LUCILLE'S TYPE 47 ABC CW 2800 NORTH MAIN STREET, UNIT 2160 -= 500FEFr 7 "- 1000 FFkT F L A N. N I N G A N D 9 U I L O I N G A G E N C Y EXHIBIT 1 VICINITY MAP 31A-9 CUP 2014-55 LUCILLE'S TYPE 47 ABC 2800 NORTH MAIN STREET, UNIT 2160 CITY OF ORANGE P L A N N I N G A N D B U I L D [ N G A G-7-N -CY EXHIBIT LAND USE MAP 31A-10 CUP 2014 -55 LUCILLE'S TYPE 47 ABC 2800 NORTH MAIN STREET, UNIT 2160 SITE PHOTO EXHIBIT 3 31A-1 1 EXHIBIT 4 31A-12 Ilt EXHIBIT 21A.12 \ , -{ & _ « ! ) ; O O )) EXHIBIT 21A.12 \ , -{ & _ « . EXHIBIT 21A.12 \ a V Q Q 4 Q 0 c Z 0 �o Q V Q O a Q a EXHIBIT 6 31A -14 �a 9 P w w b z H N UI J a 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. 51 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. 7. During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. 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 7 1 of 4 31A-15 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 bythe 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. 18. 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 31A -16 19. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shalt 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. 21 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 wam, or refuse to serve, the patron. Procedures for calling the police regarding observed or reported criminal activity. g. Procedures for management of queuing lines. h. The location and description of any video games proposed to be on the premises. 3of4 31A -17 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. 4of44 31A -18 ROH - 02/09/15 RESOLUTION NO. 2015 -05 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2014-55 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE PROPERTY LOCATED AT 2800 NORTH MAIN STREET, UNIT 2160 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- 55 for a Type 47 (on -sale general) Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer, wine, and distilled spirits for the property located at 2800 North Main Street, Unit 2160. 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 February 9, 2015, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2014 -55. 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 -55 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 Type 47 ABC license will provide an ancillary service to the facility's customers by allowing them the ability to purchase a variety of alcoholic beverages with their food. This will thereby benefit the community by providing a full - service dining experience within a family- oriented venue. 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. 31A -19 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 Type 47 ABC license for the on -sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because operational standards to the alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. The restaurant will offer a full range of meal options to its patrons and the addition of alcohol will be ancillary to the main use. In addition, the use will occur within the interior of the premises, mitigating any potential impacts to the surrounding neighborhood. Finally, the sale of alcohol in the restaurant is intended to be incidental to the primary use as an eating establishment. 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 similar dining establishments found nearby in Santa Ana and the region that also offer a full selection of meals and alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages will allow Lucille's to remain economically viable and contribute to the overall success of Westfield MainPlace, helping to decrease the number of vacant spaces that may affect the economic viability of the area. 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 imposed on a restaurant selling beer, wine, and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be maintained as a full - service, bona -fide eating establishment having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. 31A-20 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 General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of restaurants with food and alcoholic beverages on their menus offers additional dining options for Santa Ana residents and visitors, especially those to Westfield MainPlace, which continues to redevelop 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. Lucille's restaurant's tenancy will include significant tenant improvements within an anchor building that is being reconfigured to accommodate an eclectic mix of complementary uses. 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 47 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. Lucille's will be located in a commercial area and its operations will be compatible with the surrounding 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 operation, repair, maintenance, permitting, or leasing of existing structures. The project proposes to operate a full - service eating establishment within an existing structure. No expansion of square footage or interior reconfigurations of square footages are proposed as part of the project. In addition, the structure is already served by municipal services, such as roadways, utilities, and parking in a variety of forms. Categorical Exemption Environmental Review No. 2015 -5 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 -55. These decisions are based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated February 9, 2015, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. 31A-21 ADOPTED this 9th day of February 2015 by the following vote: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Verino (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney 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. 2015 -05 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on February 9, 2015. Date: Planning Commission Secretary City of Santa Ana 31A-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2016 TITLE: CONDITIONAL USE PERMIT NO. 2014 -56 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR WOKCANO ASIAN RESTAURANT AND LOUNGE TO BE LOCATED AT 2800 NORTH MAIN STREET, UNIT 2140 GREGG BERWIN, APPLICANT (STRATEGIC PLAN NO. 3,2) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED © As Recommended © As Amended El Ordinance on 161 Reading 0 Ordinance on 2nd Reading Q Implementing Resolution M Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2014 -56. PLANNING COMMISSION ACTION On February 9, 2015, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2014 -56 by a vote of 7:0 which approved a Type 47 Alcoholic Beverage Control license in order to sell beer, wine and distilled spirits for on- premise consumption at Wokcano Asian Restaurant and Lounge located at 2800 North Main Street, Unit 2140 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 Wokcano is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer; wine, and distilled spirits as part of the restaurants operations. The restaurant will be operated as a full- service, sit -down eating establishment with an outdoor patio area. The dining area will have approximately 200 seats, of which 160 will be located inside and 40 outside. The restaurant will contain all necessary equipment to be considered for a Type 47 ABC license. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary use. The proposed hours of operation for the facility are from 7:00 a.m. to 2:00 a.m., seven days per week. Full sized site plans are available for public viewing in the Clerk of the Council Office. 31 B -1 Conditional Use Permit No. 2014 -56 March 3, 2015 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. Vince Fregos , AIC Interim Executiv irector Planning & Building Agency AP:rb ap \Ropoft\Staff Reports for PC \C UPI 4 -55 Wokoano Type 47 ABC.cc Exhibit: A. Planning Commission Staff Report 31 B -2 REQUEST F+ *. Planning o , Action FEBRUARY9, 2015 TITLE: PUBLIC HEARING — FILED BY GREGG BERWIN FOR CONDITIONAL USE PERMIT NO. 2014-56 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR WOKGANO ASIAN RESTAURANT AND LOUNGE TO BE LOCATED AT 2800 NORTH MAIN STREET, UNIT 2140 {STRATEGIC PLAN NO. 3, 2) Prepared by Ali Pezeshkpour Interim Ex cutive ' ector PLANNING COMMISSION SECRETARY APPROVED EI As Recommended 0 As Amended r❑ Set Public Hearing For DENIED Applicant's Request Cl Staff Recommendation CONTINUED TO a , Acting Planning Manager Adopt a resolution approving Conditional Use Permit No, 2014 -56. Request of Applicant Gregg Berwin of Westfield Corporation, representing Wokcano Asian Restaurant and Lounge ( "Wokcano "), is requesting approval of a conditional use permit (CUP) to allow a Type 47 Alcoholic Beverage Control (ABC) license for the on- premise sale and consumption of beer, wine, and distilled spirits at a new restaurant. Establishments that sell alcoholic beverages require a conditional use permit pursuant to Section 41 -196 of the Santa Ana Municipal Code (SAMC). Proiect Location and Site Description Wokcano is currently constructing tenant improvements to open a new restaurant venue at 2800 North Main Street, Suite 2140. 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 corner of North Main Street and MainPlace [Drive. The site is anchored by the JC Penney, Macy's, and Nordstrom department stores and contains numerous retail and eating establishments. Wokcano will be locating within a 4,899 square foot tenant space on the second level of the former Macy's Men's building located on the southeast portion of the mall site. Westfield MainPlace contains approximately 1,127,836 square feet of tenant space and 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 CUP No. 2014 -56 February 9, 2015 Page 2 Although overconcentration criteria are project vicinity indicates that there are project site in addition to the proposes licenses (on -sale beer and wine only distilled spirits). However, this inforr contained in this report. Project Description not applicable to on -sale ABC licenses, a review of the currently six ABC licenses located within 500 feet of the license, These six ABC licenses include three Type 41 and three Type 47 licenses (on -sale beer, wine, and iation does not affect the analysis or recommendation Wokcano is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer, wine, and distilled spirits as park of the restaurant's operations, The restaurant will be operated as a full - service, sit -down eating establishment with an outdoor patio area. The dining area will have approximately 200 seats, of which 160 will be located inside and 40 outside. The restaurant will contain all necessary equipment to be considered for a Type 47 ABC license. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary use. The proposed hours of operation for the facility are from 7:00 a.m. to 2:00 a.m., seven days perweek. Overall alcohol storage and display areas will be located within an 83- square foot storage room and a 57- square foot display area, totaling 140 square feet. The total alcohol storage and display area is 2.9 percent of the floor area, which is consistent with the SAMC requirement of maintaining five percent or less of the gross floor area of the restaurant for alcohol storage and display (Exhibits 4, 5, and 6). Project Background Wokoano Asian Restaurant and Lounge is a restaurant company based in Southern California that offers contemporary Asian cuisine, including sushi sushi -style rolls, and modern interpretations of traditional Asian dishes. The Santa Ana MainPlace location would be the company's first Orange County location and seventh location overall; its proposed operations are consistent with those found elsewhere in Southern California. General Plan and Zoning Consistency 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 and ancillary alcoholic beverage control licenses, making the proposed use consistent with the zoning designation. 31 B -4 CUP No. 2014 -56 February 9, 2015 Page 3 Proiect Analvsis 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 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, SAMC Section 41 -196 requires a CUP for establishments selling alcohol for on -site or off- -site consumption. The proposed ABC license will allow the proposed restaurant the ability to offer an additional amenity and dining experience for its patrons that is consistent with other eating establishments in the area. Moreover, operational standards attached to conditional use permits for ABC licenses will mitigate potential impacts from a Type 47 ABC license (Exhibit 7). The following findings of fact form the foundation for staff's recommendation of approval for the CUP to allow a Type 47 ABC license. The proposed Type 47 ABC license will provide an ancillary service to the facility's customers by allowing them the ability to purchase a variety of alcoholic beverages with their food. This will thereby benefit the community by providing a full - service dining experience within a family - oriented venue. 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 CUP No. 2014 -56 February 9, 2015 Page 4 The proposed Type 47 ABC license for the on -sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working In the vicinity because operational standards to the alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. The restaurant will offer a full range of meal options to its patrons and the addition of alcohol will be ancillary to the main use. In addition, the use will occur within the interior of the premises, mitigating any potential impacts to the surrounding neighborhood. Finally, the sale of alcohol in the restaurant is intended to be incidental to the primary use as an eating establishment. The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other similar dining establishments found nearby in Santa Ana and the region that also offer a full selection of meals and alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages will allow Wokcano to remain economically viable and contribute to the overall success of Westfield MainPlace, helping to decrease the number of vacant spaces that may affect the economic viability of the area. The proposed project will be in compliance with all applicable regulations imposed on a restaurant selling beer, wine, and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code, The facility will be maintained as a full - service, bona -fide eating establishment having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day, Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services, Providing a variety of restaurants with food and alcoholic beverages on their menus offers additional dining options for Santa Ana residents and visitors, especially those to Westfield MainPlace, which continues to redevelop 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. Wokcano restaurant's tenancy will include significant tenant improvements within an anchor building that is being reconfigured to accommodate an eclectic mix of complementary uses, 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 47 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. Wokcano will be located in a commercial area and its operations will be compatible with the surrounding businesses. MEW CUP No_ 2014.56 February 9, 2015 Page 5 Police Department Analvsis 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 2140 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 a Type 47 ABC license will mitigate any potential negative Impacts to the surrounding community. Public Notification The project site is not located within the boundaries of an established Neighborhood Association. However, staff contacted the president of the nearby Park Santiago Neighborhood Association, 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 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 for further review per Section 15301, The Class 1 exemption allows the operation, repair, maintenance, permitting, or leasing of existing structures. The project proposes to operate a full - service eating establishment within an existing structure. No expansion of square footage or 31 B -7 CUP No. 2014 -56 February 9, 2015 Page 6 interior reconfigurations of square footages are proposed structure is already served by municipal services, such variety of forms. Categorical Exemption Environmental project. Strategic Plan Alignment as part of the project. in addition, the as roadways, utilities, and parking in a Review No. 2015 -6 will be filed for this Approval of this item supports the City's efforts to meet Coal No. 3 Economic Development, Objective No. 2 (create new opportunities for businessljob 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 -56. Ali Pezeshkpour Assistant Planner I AP:jm as \Reports \Staff Reports for PMCUP14S6 Wokeono Type 47 ABC.po Attachments: Exhibit 1 —Vicinity Map Exhibit 'L — Location Map Exhibit 3 - -Site Photo Exhibit 4 Conceptual Site Plan Exhibit 5 — Floor Plan Exhibit 6 -- Conceptual Elevations Exhibit 7 — Operational Standards for On -Sale Establishments MWOO Al GE RNALAGRCIDIIFAL CR OCMMEUALRSOE TAL Rl SNaEFAMILYRODUMAL +8 FARVOMODIRCARON Cc GOVENMEdT(EOM R2 WFAMILYFEHDEa rW CCMM9?MLSJMMNN Mt UGHTINOUSMAL W MULl1FLCDEWSttMULl1PLE C O.:IMMUNRYOOMMERAL M2 HENWINDUS AL FAMILYFINOWCE Cl MD CDNIM, MMMEd'DAUMMM DISIR7 MO MUDAR{CPERknONS P.1 SLMFMNA91R1 mm C2 GWE;ALO MEdDAL 0 OPEN EIC,C FE FESDEIIALETAIE u GMPALM1SNETS P ROME30NAL SD %laMCDEvagW I C.IA CUIIMLMI.]'NRrARJSTV1LLAM PCD PANNED COMMUNITY DUJE.OFMEF' 9' SMMCPLAN G PLANNED 0tQPPNGCBNIE? m PANNED RMEVTALOEVEDOPMR0 C5 ARTERALCGMMEZDAL CUP 2014 -56 a? WOKCANO TYPE 47 ABC 4� 2800 NORTH MAIN STREET, UNIT 2140 1 ^ =7a00 F>fr 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 I VICINITYMAP 31 B -9 E s. .z• sFrN' k-0 mm. mm. CITY OF ORANGE CUP 2014 -56 WOKCANO TYPE 47 ABC & Q9W 2800 NORTH MAIN STREET, UNIT 2140n 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 B -10 CUP 2014 -56 WOKCANO TYPE 47 ABC 2800 NORTH MAIN STREET, UNIT 2140 SITE PHOTO EXHIBIT 31 B -11 EXHIBIT 4 31 B -12 O O I \ G \ \ §§ \( E \_ * 0 (\ !! R C9 / \\ \ }; \\ / \ / g 0 \ G \ \ EXHIBIT 31 B.13 / ) \_ * > . 04/\ .— a . K) EXHIBIT 31 B.13 / ) a C 0 w b O �7 O z 1R w N 9 E) e) O a b R p6 d z z 0 2 'o 5_ 2 Q z F- D¢ U X O 3 Sec. 41 -196. Establishments selling alcoholic beverages. Operational standards for on -sale establishments, The following operational standards shad 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. 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 applicants 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. 7. During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. 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. 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 7 1 of 4 31 B -15 g. 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 promises 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 underthe control of the licensee. 1& 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 -16 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 S, Article 11, 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: & 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 -17 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 -18 ROH - 02/09/15 RESOLUTION NO. 2015 -06 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO.2014 -56 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE PROPERTY LOCATED AT 2800 NORTH MAIN STREET, UNIT 2140 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- 56 for a Type 47 (on -sale general) Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer, wine, and distilled spirits for the property located at 2800 North Main Street, Unit 2140. 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 February 9, 2015, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2014 -56. 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 -55 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 Type 47 ABC license will provide an ancillary service to the facility's customers by allowing them the ability to purchase a variety of alcoholic beverages with their food. This will thereby benefit the community by providing a full - service dining experience within a family- oriented venue. 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. Resolution No. 2015 -06 Page 1 of 4 31 B -19 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 Type 47 ABC license for the on -sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because operational standards to the alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. The restaurant will offer a full range of meal options to its patrons and the addition of alcohol will be ancillary to the main use. In addition, the use will occur within the interior of the premises, mitigating any potential impacts to the surrounding neighborhood. Finally, the sale of alcohol in the restaurant is intended to be incidental to the primary use as an eating establishment. 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 similar dining establishments found nearby in Santa Ana and the region that also offer a full selection of meals and alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages will allow Wokcano to remain economically viable and contribute to the overall success of Westfield MainPlace, helping to decrease the number of vacant spaces that may affect the economic viability of the area. 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 imposed on a restaurant selling beer, wine, and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be maintained as a full - service, bona -fide eating establishment having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. Resolution No. 2015 -06 Page 2 of 4 31 B -20 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 General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of restaurants with food and alcoholic beverages on their menus offers additional dining options for Santa Ana residents and visitors, especially those to Westfield MainPlace, which continues to redevelop 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. Wokcano restaurant's tenancy will include significant tenant improvements within an anchor building that is being reconfigured to accommodate an eclectic mix of complementary uses. 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 47 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. Wokcano will be located in a commercial area and its operations will be compatible with the surrounding 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 operation, repair, maintenance, permitting, or leasing of existing structures. The project proposes to operate a full - service eating establishment within an existing structure. No expansion of square footage or interior reconfigurations of square footages are proposed as part of the project. In addition, the structure is already served by municipal services, such as roadways, utilities, and parking in a variety of forms. Categorical Exemption Environmental Review No. 2015 -6 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 -56. These decisions are based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated February 9, 2015, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2015 -06 Page 3 of 4 31 B -21 ADOPTED this 9th day of February 2015 by the following vote: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Verino (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Ryan 0. 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. 2015 -06 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on February 9, 2015. Date: Planning Commission Secretary City of Santa Ana 31 B -22 Resolution No. 2015 -06 Page 4 of 4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2015 TITLE: STREET NAMING NO. 2015 -01 TO RENAME A SEGMENT OF RAITT STREET NORTH OF MACARTHUR BOULEVARD AS JAGUAR WAY — SANTA ANA UNIFIED SCHOOL DISTRICT, APPLICANT (STRATEGIC PLAN NO. 2, 4) CITY MAI AGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: J1 _ rw ❑ As Recommended ❑ As Amended ❑ Ordinance on 13' Reading ❑ Ordinance on 2n6 Reading ❑ implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report and affirm the street name change of a street segment of Raitt Street to Jaguar Way (Street Name No. 2015 -01). PLANNING COMMISSION ACTION On February 9, 2015, the Planning Commission adopted a resolution approving Street Naming No. 2015 -01 by a vote of 7:0 to rename a segment of Raitt Street located adjacent to Segerstrom High School and north of MacArthur Boulevard to Jaguar Way. The Planning Commission made no changes to the recommendation outlined in the attached staff report (Exhibit A). DISCUSSION The subject street segment was formerly vacant land until it was constructed and dedicated to the City of Santa Ana in 2003 as part of the Segerstrom High School development. The proposed street segment is not a through - street and serves as a point of primary school access to Segerstrom High School together with its sport facility known as Jaguar Stadium. The proposed street renaming will serve to identify the location of the subject street segment by referencing its proximity to Segerstrom High School and to Jaguar Stadium. In addition, renaming the segment of the street to Jaguar Way will improve wayfinding by clearly identifying it as a point of access into the high school and as the primary point of access to Jaguar Stadium, Further, it will clearly distinguish this street segment as a point of access rather than a through - street, which will reduce traffic and pedestrian confusion. 39A -1 Street Naming No. 2015 -01 March 3, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 2 Youth, Education, Recreation, Objective No. 4 (partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents.) FISCAL IMPACT There is no fiscal impact associated with this action. Vince Fregoso, AIO Interim Executive D ecto Planning & Building Agency RS:rb re: reportMSN 2016 -1 \SN 16 -1 Jaguar Way= Exhibit: A. Planning Commission Staff Report 39A -2 REQUEST O PLANNING COMMISSION MEETING DATE: FEBRUARY 9, 2015 TITLE; PUBLIC HEARING — FILED BY NICK CANZONE FOR STREET NAMING NO. 2015 -01 TO RENAME A SEGMENT OF RAITT STREET NORTH OF MACARTHUR BOULEVARD AS JAGUAR WAY Prepared by Ricardo Soto Interim 1{xecutive Dir6ctor RECOMMENDED ACTION Adopt a resolution approving Street Naming No. 2015 -01. Reauest of Applicant � R APPROVED ❑ As Recommended ❑ As Amended © Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED To o r Acting Planning Manager Nick Canzone, representing the Santa Ana Unified School District, is requesting to rename a segment of Raitt Street north of MacArthur Boulevard that provides access to Segerstrom High School as Jaguar Way. Proiect Back-ground The subject street segment was formerly vacant land until it was constructed and dedicated to the City of Santa Ana in 2003 as part of the Segerstrom High School development. The proposed street segment is not a through - street and serves as a point of primary school access to Segerstrom High School together with its sport facility known as Jaguar Stadium. Project Analysis Pursuant to Sections 33 -5 through 33 -8 of the Santa Ana Municipal Code (SAMC), the Planning Commission is the decision making body for the naming of public streets, subject to confirmation by the City Council. Further, the policy guidelines in the SAMC pertaining to the naming of public streets state that streets may be named if the name serves to identify the location of the subject by reference to a geographic, environmental or development features in the immediate area. The intent of the street renaming is to name the street segment after Segerstrom High School's mascot, the Jaguar. The proposed street renaming will serve to identify the location of the subject street segment by referencing its proximity to Segerstrom High School and to Jaguar Stadium. In addition, renaming the segment of the street to Jaguar Way will improve wayfinding by clearly identifying it as a point of access into the high school and as the primary point of access to Jaguar Stadium. Further, it will clearly distinguish this street segment as a point of access rather than a through- street, which will reduce traffic and pedestrian confusion. EXHIBIT A 39A -3 Street Naming No. 2015 -01 February 9, 2015 Page 2 All school and associated buildings for Segerstrom High are addressed along MacArthur Boulevard. No buildings are addressed along the proposed Jaguar Way segment and no properties will require a change of address. This request has been reviewed by both the Orange County Fire Authority and the Santa Ana Police Department. Neither agency indicated any concerns with the proposed renaming as it will not have any adverse effect on their ability to provide emergency response services. Public Notification The project site is not located within the boundaries of any neighborhood association; however, the chairperson of the nearby Metro Classic Neighborhood Association was notified by mail and contacted by staff to discuss the proposed project. The association chairperson did not raise any issues during the telephone discussion. Staff contacted the owners of properties that abut the segment of street that is proposed to be renamed, who identified no concerns with the project. Mailed notices were sent to all affected property owners at least 10 days prior to the date of the hearing. 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. e• 1=6 In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15061 (b)(3). The general rule exemption is allowed provided it can be determined with certainty that the proposed project will not have a significant effect on the environment. As the project consists of the renaming of a street to reduce confusion to the public, the general rule exemption is applicable, General Rule Environmental Review No. 2015 -1 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Street Naming No. 2015 -01. Ricardo ofo Assistant Planner I RS:jm rs: reporls\SN 2015.1 \SN 154 Jaguar Wsy.pp Attachment: Exhibit 1 — Aerial Map 39A -4 SN 2015-1 A\ JAGUAR WAY eW A -NN I N -G -A -ND - 0 U I L D I N G A G F. M C Y EXHIBIT 1 39A-5 ROH — 02/09/15 RESOLUTION NO. 2015 -04 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA TO RENAME A SEGMENT OF RAITT STREET NORTH OF MACARTHUR BOULEVARD AS JAGUAR WAY 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 Street Naming No. 2015 -01 to rename a segment of Raitt Street north of MacArthur Boulevard that provides access to Segerstrom High School as "Jaguar Way." B. Street Naming No. 2015 -01 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on February 9, 2015. C. The Planning Commission took into consideration the policy guidelines contained in Santa Ana Municipal Code Section 33 -6, which suggests that the name serve to identify the location of the subject by reference to distinct geographic, environmental or development features in the immediate area. D. The intent of the street renaming is to name the street segment after Segerstrom High School's mascot, the Jaguar. The proposed street renaming will serve to identify the location of the subject street segment by referencing its proximity to Segerstrom High School and to Jaguar Stadium. In addition, renaming the segment of the street to Jaguar Way will improve wayfinding by clearly identifying it as a point of access into the high school and as the primary point of access to Jaguar Stadium. Further, it will clearly distinguish this street segment as a point of access rather than a through- street, which will reduce traffic and pedestrian confusion. E. In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15061 (b)(3). The general rule exemption is allowed provided it can be determined with certainty that the proposed project will not have a significant effect on the environment. As the project consists of the renaming of a street to reduce confusion to the public, the general rule exemption is applicable. General Rule Environmental Review No. 2015 -1 will be filed for this project. Resolution No. 2015 -04 Page 1 of 2 39A -6 Section 2. The Planning Commission of the City of Santa Ana, after conducting the public hearing, hereby approves Street Naming No. 2015 -01 to rename a segment of Raitt Street north of MacArthur Boulevard as "Jaguar Way." 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 February 9, 2015, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 9th day of February, 2015 by the following vote: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Verino (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan 0. 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. 2015 -04 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on February 9, 2015. Date: Planning Commission Secretary City of Santa Ana 39A -7 Resolution No. 2015 -04 Page 2 of 2 39A -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2015 TITLE: APPROPRIATION ADJUSTMENT, RESOLUTION AND AGREEMENT ACCEPTING FY 2014 -15 EMERGENCY MANAGEMENT PERFORMANCE GRANT (EMPG) (STRATEGIC PLAN NO. 1, 2E, 2F, 6C) �Ia A /'CITY MANAGER 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 lyl�� @IIL�iI.i�7 1. Approve an appropriation adjustment recognizing $51,017 in Emergency Management Performance Grant (EMPG) funds in revenue account (no. 12814002- 52001), and appropriating same to expenditure account (no. 12814414 - various). 2. Adopt a resolution authorizing the City Manager to act on behalf of the City of Santa Ana for the purpose of obtaining federal funds, related to homeland security, emergency management and /or disaster recovery, provided by the US Department of Homeland Security and sub - granted through the State of California. 3. Authorize the City Manager and the Clerk of the Council to execute a one -year agreement with the County of Orange, commencing July 1, 2014, for the EMPG Grant in an amount not to exceed $51,017, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION In October 2014, the Police Department applied for the Emergency Management Performance Grant (EMPG), which is funded by the US Department of Homeland Security and passed through the State of California Office of Emergency Services. The EMPG grant is designed to assist state and local emergency management and disaster preparedness programs with employment and development of emergency management staff, development of emergency plans and procedures, and preparing cities for disaster response. The EMPG grant is distributed by population to counties and cities that maintain emergency management staff and meet training, exercising and reporting requirements. The Police Department has received an award from the EMPG grant in the amount of $51,017 for FY 2014 -15. These funds will reimburse the City for 50% of the salary and benefits of the Emergency Operations Coordinator position. 55A -1 EMPG Grant March 3, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of these items assists the City in meeting Goal #1 Community Safety, Objective #2 (Broaden communications, information sharing and community awareness of public safety activities), Strategy E (Update the City's Emergency Operations Center (EOC) emergency preparedness plan to include a community evacuation strategy to respond to natural disasters) and Strategy F (Partner with emergency assistance and disaster relief organizations to promote community awareness of emergency preparedness (e.g. citywide community preparedness day)), and Objective #6 (Enhance Public Safety integration, communications and community outreach), Strategy C (Continue to develop and implement joint command level training in collaboration with the Police Department's Emergency Operations Coordinator). FISCAL IMPACT The appropriation adjustment will recognize $51,017 in EMPG Grant funds in revenue account (no. 12814002 - 52001), and appropriate same to expenditure account (no. 12814414 - various). Police Department funding of the Emergency Operations Coordinator position fulfills the requirement for matching funds. Carlos Rojas Chief of Police Santa Ana Police Department Attachments: Resolution Agreement with County of Orange APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez, Executive Director Finance and Management Services Agency 55A -2 LR :313115 RESOLUTION NO.2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER TO OBTAIN 2014 EMERGENCY MANAGEMENT PERFORMANCE GRANT FUNDS THROUGH THE COUNTY OF ORANGE 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 Office of Emergency Services is responsible for implementing the United States Department of Homeland Security's Emergency Management Performance Grant Program (EMPG). The funds cover the salary costs for personnel involved in emergency management activities as well as the cost of miscellaneous equipment identified on the DHS approved equipment list. B. The County of Orange is a subgrantee of the 2014 EMPG funds and will provide funds to local governments for implementation of countywide emergency management capabilities. C. The City of Santa Ana is one of the subrecipients of the EMPG funds and has been allocated $51,017 of the County of Orange's total EMPG fund. Section 2. The City Council of the City of Santa Ana hereby authorizes the City Manager, on terms acceptable to the City Attorney, to execute a sub - recipient transfer agreement with the County of Orange and/or Orange County Sheriffs Department in an amount not to exceed $51,017. Section 3, The City Council of the City of Santa Ana hereby authorizes and directs the City Manager or his designee, on terms acceptable to the City Attorney, to prepare reimbursement agreements for equipment, services, or training with the County of Orange pursuant to the guidelines set for in the EMPG program and EMPG Articles, Assurances, Certifications, Terms and Conditions. Resolution No. 2015 -XXX 55A -3 Page 1 of 2 LR 3/3/15 Section 4. The City Council of the City of Santa Ana hereby approves an Appropriation Adjustment recognizing the FY 2014 Emergency Management Performance Grant in the amount of $51,017 and appropriates same in the FY 2014 Emergency Management Performance Grant expenditure accounts. 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 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By Laura A. Rossini Senior 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. 2015 -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 55A -4 Resolution No. 2015 -XXX Page 2 of 2 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Attachment B - Form of Transfer Agreement Page 1 of 4 AGREEMENT TO TRANSFER FUNDS FOR 2014 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM THIS AGREEMENT is entered into this day of R(AYCh 20 15, which date is enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political subdivision of the State of California, hereinafter referred to as "COUNTY," and a municipal corporation, hereinafter referred to as "SUBRECIPIENT." WHEREAS, COUNTY, acting through its Sheriff - Coroner Department, hereinafter referred to as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and accepted the Emergency Management Performance Grant (hereinafter referred to as "the grant') from the California Office of Emergency Services ( "CalOE5 "). WHEREAS, the purpose of the grant is to support comprehensive emergency management at the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation, response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FY2014 Emergency Management Performance Grants [EMPG] Program Funding Opportunity Announcement [FOA]), which is attached hereto and incorporated herein by reference. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS; I, COUNTY shall transfer to SUBREC,IPIENT grant fiords, in arrears, as necessary to reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF all required information and documentation, as set forth in Attachment B (EMPG City Financial Management Forms Workbook), which is attached hereto and incorporated herein by reference. 2. Throughout their useful life, grant property and equipment shall be used by SU13RECIPIENT only for grant purposes in accordance with Attachment A hereto. 3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and equipment from damage or destruction, and shall provide regular maintenance and such repairs for grant CODA: 97,042 Emergency Management Pertbimanee Ghent Depamnent of Homeland Seaudty Page 1 o'f 4 55A -5 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Attachment B - Form of Transfer Agreement Page 2 of 4 property and equipment as are necessary, in order to keep said grant property and equipment continually in good working order. 4. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it only in accordance with the instructions of COUNTY or the agency from which COUNTY received the grant funds. 5. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and information in accordance with requirements set out in the Attachment C (Emergency Management Performance Grant Program: California Supplement to the Federal Program Funding Opportunity Announcement; or, The State Guidance), which is attached hereto and incorporated herein by reference. 6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be Lilly bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (FY14 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms, and Conditions) hereto. SUBRECIPIENT shall notify COUNTY immediately upon discovery that it has not abided or no longer will abide by any applicable provision of this Agreement or Attachments A, B, C, or D hereto. 7. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the agency from which COUNTY received grant funds, and their elected and appointed officials, officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement, including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the performance of this Agreement, including Attachments A, B, C, and D hereto. 8. No alteration or variation of the terms of this Agreement shall be valid umiless made in writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or agreement not incorporated herein shall be binding on any of the parties hereto. 9. S'UBRECIPIENT may not assign this Agreement in whole or in part without the express written consent of COUNTY. CFDA; 97.042 Emorgency Management Performance Grant Department of nomeland Secudly Page 2 of 4 55A -6 I 2 3 4 5 0 7 8 9 10 11 12 13 14 15 16 17 1s 19 20 21 22 23 24 25 26 27 28 Attachment B - Form of Transfer Agreement Page 3 of 4 10. SUBRECIPIENT shall provide to COUNTY all records and information requested by COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be Irequired to provide to the agency from which COUNTY received grant fiends or other persons or agencies. 11. For a period of three years after the final Federal Financial Report hereunder or until all claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve and maintain all documents, papers and records relevant to the work performed or property or equipment acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the same time period, SUBRECIPIENT shall make said documents, papers and records available to COUNTY and the agency from which COUNTY received the grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of SUBRECIPIENT, upon request, during usual working hours. 12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State I Auditor General with respect to this Agreement for a period of three years after the final Federal Financial Report hereunder. 13. COUNTY may terminate this Agreement and be relieved of the payment of any consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of termination, COUNTY may proceed with the work in any marmer deemed proper by COUNTY. 14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which COUNTY received grant funds. 15. By signing this Agreement, SUBRECEIPIENT understands and agrees that: a. Failure to follow grant guidance, including those detailed below, will result in ineligibility for any reimbursement tinder the FYI EMPG: CFDA: 97.042 Emergoncy ManagomonCPerCormanaa Oiaut Depariment oP aomefand security Page 3 of d 55A -7 1 2. 3 4 5 6 7 8 9 10 11 1'2 13 14 15 t6 17 18 19 20 21 22 23 24 25 26 27 28 Attachment B - Form of Transfer Agreement Page 4 of 4 b. A SUBRECIPIENT representative must attend half of the Orange County Emergency Managers Organization meetings held from July 1, 2014 through June 30, 2015; c. SUBRECI'PIENT must maintain National Incident Management System (NIMS) compliance; d. For any personnel whose salary is charged to the grant, that specific individual must meet the training and exercise requirements set forth in the grant guidance; and e. Only those expenditures specifically detailed in the Financial Management Forms Workbook are approved for funding; any changes must be pre - approved by the California Office of Emergency Services. IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange, State of California. DATED: 20— COUNTY OF ORANGE, a political subdivision of the State of California I DATED: By Sheriff-Coroner "COUNTY" APPROVED AS TO FORIVI: COUNTY COUNSEL By Nicole A. Sims, Deputy DATER: I- — 42OZ ,20_ SUBRECIP.TENT: By_..... ATTEST: �.014XJt_� r�� • 3"�� CFDA: 97.042 Emergency Management Pcrfnemane Qrmu Department of Homeland Security Pate 4 of 4 55A -8 - ,-,- CrtTC-1crk ..m..­— DATED:_ 20 EXHIBIT "A" 55A -9 Department of Homeland Security Funding Opportunity Announcement FY 2014 Emergency Management Performance Grant Overview Information Issued By U.S. Department of Homeland Security, Federal Emergency Management Agency, Grant Programs Directorate Catalog of Federal Domestic Assistance (CFDA) Number 97.042 CFDA. Title Emergency Management Performance Grants (EMPG) Program Autborizing Authority for Program Section 662 of the Post - Katrina Emergency Management Reform Act of 2006 (PKEMRA), as amended, (Pub. L. No. 109 -295) (6 U.S.C. § 762); the Robert T Stafford Disaster Relief and Emergency Assistance Act, as amended (Pub. L. No. 93- 288) (42 U.S.C. §§ 5121 et seq.); the Earthquake Hazards Reduction Act of 1977, as amended (Pub, L. No. 95 -124) (42 U.S.C. §§ 7701 et seq); and the National Flood Insurance Act of 1968, as amended (Pub, L. No. 90 -448) (42 U.S.C. §§ 4001 et seq.). Appropriation Authority for Program The Department of Homeland Security Appropriations Act, 2014, (Pub. L. No, 113- 76). FO9A Number Grant Program Title FOA Number Emergency Management Performance Grants (EMPG) — Region I DHS -I4 -GPD- 042 - 001 -01 Emergency Management Performance Grants (EMPG) — Region II DHS -I4 -GPD- 042 - 002 -01 Emergency Management Performance Grants (EMPG) — Region III DHS- I4- GPD-042- 003 -01 Emergency Management Performance Grants (EMPG) — Region IV DHS -1.4 -GPD- 042 - 004 -01 Emergency Management Performance Grants (EMPG) — Region V DHS -I4- GPD -04.2- 005 -01 Emergency Management Performance Grants (EMPG) — Region VI DHS -I4- GPD - 042 - 006 -01 Emergency Management Performance Grants (EMPG) — Region VII DHS -I4- GPD -042- 007 -01 Emergency Management Performance Grants (EMPG) — Region VIII DHS -I4 -GPD -042- 008 -01 Emergency Management Performance Grants (EMPG) _, Region IY DHS -I4 -GPD- 042 - 009 -01 Emergency Management Performance Grants (EMPG) — Region X DHS -I4 -GPD- 042 - 010 -01 1 FY 2014 EMPG Program 55A -10 Key Dates and Time Application Start Date: Application Submission Deadline: Anticipated Program Office Review Dates: Anticipated Funding Date: Award Date: Other Key Dates Period of Performance Start Date: Period of Performance End Date: 03/10/2014 04/09/2014 at 11:59:59 p.m. EDT 04/11/2014 tbn 05 /18/2014 06/13/2014 No later than 09/30/2014 10/01/2013 09/30/2015 Is an intergovernmental review required? An intergovernmental review may be required. Applicants must contact their State's Single Point of Contact (SPOC) to comply with the State's process under Executive Order 12372 (see h.ttp://r ww,6vsgov/policy/lihr rLLIreeol2372.pg, Name and addresses of the SPOCs are maintained at the Office of Management and Budget's home page at htW. / /www, whitehoLtse ,env /oniblgrants spoc to ensure currency. 2 FY 2014 EMPC Program 55A -11 FOA Executive Summary The Emergency Management Performance Grant (EMPG) Program provides federal funds to assist state, local, tribal and territorial governments in preparing for all hazards, as authorized by Section 662 of the Post Katrina Emergency Management Reform Act (6 U.S.C. § 762) and the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 U.S.C. §§ 5121 et seq.). Title VI of the Stafford Act authorizes FEMA to make grants for the purpose of providing a system of emergency preparedness for the protection of life and property in the United States from hazards and to vest responsibility for emergency preparedness jointly in the federal govermnent and the states and their political subdivisions. The FY 2014 EMPG will provide federal funds to assist state, local, tribal, and territorial emergency management agencies to obtain the resources required to support the National Preparedness Goal's (the Goal's) associated mission areas and core capabilities. The federal government, through the EMPG Program, provides necessary direction, coordination, and guidance, and provides necessary assistance, as authorized in this title, to support a comprehensive all hazards emergency preparedness system. % Funding Category Continuing b. Bate of origin for Program 01/01/2001 c, Type of Funding Instrutrtent Mandatory grant d, Application process The Department of homeland Security (DHS) makes all funding opportunities available through the common electronic "storefront" grants,gov, accessible on the internet at http:(w grants ov, For details on how to apply through grants.gov please read Section IX "How to Apply." e, rligible Applicants State governments FY 2014 EMPG Program 55A -12 Full FCIA Announcernent i. Funding Opportunity Description a. Program Summary The purpose of the Emergency Management Performance Grant (EMPG) Program is to provide federal funds to States to assist State, local, territorial, and tribal governments in preparing for all hazards, as authorized by Section 662 of the Post Katrina Emergency Management Reform Act (6 U.S,C. § 762) and the Robert T Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. §§ 5121 et seg.), Title VI of the Stafford Act authorizes FEMA to make grants for the purpose of providing a system of emergency preparedness for the protection of life and property in the United States from hazards and to vest responsibility for emergency preparedness jointly in the Federal Government, States, and their political subdivisions. The Federal Government, through the EMPG Program, provides necessary direction, coordination, and guidance, and provides necessary assistance, as authorized in this title, to support a comprehensive all hazards emergency preparedness system. b. Program Priorities The National Preparedness System is the instrument the Nation employs to build, sustain, and deliver core capabilities to achieve the Goal of a secure and resilient Nation. Complex and far- reaclvng threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, comnnmities, private and nonprofit sectors, faith -based organizations, and all levels of government. The guidance, programs, processes, and systems that support each component of the National Preparedness System allow for the integration of preparedness efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes identified in the Goal. In support of the Goal, the FY 2014 EMPG Program supports efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. The Department of Homeland Security expects grantees to prioritize grant funding to address the gaps identified through their annual THIRA and SPR. These assessments identify the jurisdictions' capability targets and current ability to meet those targets. Grantees should prioritize grant funds to increase capability for high - priority core capabilities with low capability levels. Minimum funding amounts are not prescribed by the Department for these priorities; however grantees are expected to support state, local, regional, and national efforts in achieving the desired outcomes of these priorities. FY 2014 EMPG Program 55A -13 c, Program Objectives The Emergency Management Performance Grant Program is to support a comprehensive, all- hazard emergency preparedness system by building and sustaining the core capabilities contained in the National Preparedness Goal. Examples include: • Completing the Threat and Hazard Identification and Risk Assessment (THIRA) process; • Strengthening a state or community's emergency management governance structures; • Updating and approving specific emergency plans; • Designing and conducting exercises that enable whole community stakeholders to examine and validate core capabilities and the plans needed to deliver them to the targets identified through the THIRA; • Targeting training and verifying identified capabilities; • Initiating or achieving a whole community approach to security and emergency management. For additional details on priorities for the EMPG Program please refer to Appendix A — FY 2014 EMPG Program Priorities. IL Funding Information a, Available Funding for the FGA $350,100,000 Allocations: Emergency Management Performance Grant (EMPG) awards are based on Section 662 of the Post - Katrina Emergency Management Reform Act of 2006, as amended, (6 U.S.C, § 762). All 50 States, the District of Columbia, and Puerto Rico receive a base amount of 0.75 percent of the total available funding appropriated for the EMPG program. Four territories (American Samoa, Guam, Northern Mariana Islands, and the U.S. Virgin Islands) receive a base amount of 0.25 percent of the total available funding appropriated for the EMPG program. The balance of the funds appropriated for the EMPG Program fiords are distributed on a population - share basis. Pursuant to Article X of the Federal Programs and Services Agreement of the Compact of Free Association Act (Pub. L. No. 108 -188), a set amount of funds are also available from the Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the Marshall Islands. 5 FY 2014 EMPG Program 55A -14 btti� FYa2014,6tp ®�y�e.�cy��alha90� 11t , �. �?, P�` 1YTa) i�vGrants'( EMPG )'pFu�[I�n�All4 „C,at)ons� °'�^; State/Territory Allocation Statefferrltor� Alabama $5,795,991 1 Nevada $4,455,369 Alaska $3,107,257 New Hampshire $3,493,208 Arizona $6,972,161 New Jersey $8,463,094 Arkansas $4,566,391 New Mexico $3,992,978 California $27,771,691 New York $15,516,422 Colorado $6,081,125 North Carolina $9,085,469 Connecticut $4,984,080 North Dakota $3,099,556 Delaware $3,232,305 Ohio $10,215,617 District of Columbia $3,049,080 Oklahoma $5,151,028 Florida $15,451,958 Oregon $5,203,179 Georgia $9,180,005 Pennsylvania $11,004,797 Hawaii $3,546,080 Rhode Island $3,314,806 Idaho $3,682,584 South Carolina $5,757,363 Illinois $11,075,866 South Dakota $3,179,251 Indiana $6,935,606 Tennessee $6,886,455 Iowa $4,652,357 Texas $19,975,395 Kansas $4,523,477 Utah $4,528,014 Kentucky $5,508,377 Vermont $3,036,078 Louisiana $5,659,375 Virginia $8,043,945 Maine $3,496,385 Washington $7,198,343 Maryland $6,514,387 West Virginia $3,841,450 Massachusetts $7,015,589 Wisconsin $6,392,302 Michigan $9,116,670 Wyoming $3,007,232 Minnesota $6,180,847 Puerto Rico $4,996,548 Mississippi $4,587,276 U.S. Virgin Islands $943,709 Missouri $6,590,063 American Samoa $910,896 Montana $3,290,963 Guam $980,210 1 $3,850,773 1 Northern Mariana Islands $908,568 i 000 0i0 Pursuant to Article X of the Federal Programs and Services Agreement of the Compact of Free Association Act (Pub. L. No. 108 -188), a set amount of funds (5100,000 total) are also available from the Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the Marshall Islands. FY 2014 EMPG Program 55A -15 b. Period of Perfortnance; Twenty -four (24) months. c. Extensions to the Period of Performance An extension to the period of performance for this program is allowed. Extensions to the period of performance maybe granted when, due to circumstances beyond the control of the grantee, activities associated with the award cannot be completed within the stated performance period. For details on the requirements for requesting an extension to the period of performance, please refer to Section VI. F Extensions of the Full Announcement. III, Eligibility Information a. Eligibility Criteria All 56 States and territories, as well as the Republic of the Marshall Islands and the Federated States of Micronesia, are eligible to apply for FY 2014 EMPG Program funds, Either the State Administrative Agency (SAA) or the State's Emergency Management Agency (EMA) is eligible to apply directly to FEMA for EMPG Program funds on behalf of State and local emergency management agencies. However, only one application will be accepted, from each State or territory, Cost Match A cost match is required under this program. The Federal share that is used towards the EMPG Program budget shall not exceed 50 percent of the total budget. The State must equally match (cash or in- kind) the Federal contribution pursuant to Sections 6110) and 613 of the Robert T Stafford Disaster Relief and Emergency Assistance Act (Pub. L. No. 93 -288), as amended, (42 U.S.C. §§ 5121- 5207). Unless otherwise authorized by law, Federal fimds cannot be matched with other Federal funds. FEMA administers cost matching requirements in accordance with 44 C.F.R, § 13.24 which is located at T?ts_ //www.access. ;o 4L___ vInara/cj1 /waisi4y 07 44c�rv1 07.hImi or 2 C.F.R. §215.23 which is located at hga, / /www,apo c�ov /fclsys /nlcg /CFI?- 2012 -W1e2- voll/ df(L "FR- 2012- title2- vnh.l -sLl I tiefl. )d To meet matching requirements, the grantee contributions must be reasonable, allowable, allocable, and necessary under the grant program and must comply with all Federal requirements and regulations. In accordance with 48 U.S.C. § 1469a, match requirements are waived for the insular areas: the U.S. territories of American Samoa, Guam, the U.S. Virgin Islands, the Federated States of Micronesia, the Northern Mariana Islands, and the Republic of the Marshall Islands. fi. Maintenance of Effort This program does not have a maintenance -of- effort requirement. FY 2014 EMPG Program 55A -16 W. Pass through funding Each State shall obligate 100 percent (100 %) of its total EMPG Program allocation amount to the designated State -level Emergency Management Agency (EMA). If the SAA is also the EMA, this requirement is automatically met. If the SAA is a separate agency, or has separate budget processes, then these funds must be obligated to the EMA within 15 days of the grant award date. In instances where the State -level EMA is making sub - awards to local jurisdictions, FEMA expects the State-level EMA to make these awards as expeditiously as possible. Iv. Other Eligibility Requirements Emergency Management Assistance Compact (EMAC) Membership In support of the National Preparedness Goal (Goal), grantees must belong to, be located in, or act as a temporary member States of EMAC, except for American Samoa, the Federated States of Micronesia, the Republic of the Marshall Islands, and the. Commonwealth of the Northern Mariana Islands, which are not currently required to belong to EMAC. All assets supported in part or entirely with FY 2014 EMPG Program funding by States, territories, and Tribes must, where applicable, be readily deployable to support emergency or disaster operations per existing EMAC agreements. National Incident Management System (NIMS) Implementation Grantees are required to maintain their existing NIMS compliance. Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment and /or supplies) to meet incident needs. Utilization of standardized resource management concepts such as typing, inventorying, and cataloging promotes strong national mutual aid capabilities that are needed to support delivery of the core capabilities. Additional information on resource management and national Tier I NIMS Resource Types can be found at b�: / /wxng. femcz,Qov /resource- mn�caeertaen8, FEMA developed the NIMS Guideline for Credentialing of Personnel to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes, and identifies tools which Federal Emergency Response Officials (FEROs) and emergency managers at all levels of government may use both routinely and to facilitate multi - jurisdictional coordinated responses. Although State, local, Tribal, and private sector partners - including nongovernmental organizations - are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so in order to leverage the Federal investment in the Federal Information Processing Standards (FIPS) 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction, Additional information can be found at hit m/ vw. fen zn.crov /7ni1 /eme>tenev /nim "s /n i g alert cred- iddchne. el. FY 2014 EMPG Program 55A -17 Emergency Operations Plan (EOP) Grantees must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide (CPO) 101 v.2, Developing and Maintaining Emergency Operations Plans. Grantees will use the SPR to communicate their compliance with this reporting requirement. Threat and Hazard Identification and Risk Assessment ( THIRA) Grantees must update their THIRA by December 31, 2014. Further details on the THIRA as it relates to EMPG Program requirements can be found in Appendix A — FY 2014 EMPG Program Priorities. For additional guidance on THIRA, please refer to CPG 201, Second Edition, available at http 1Anvw femc,,g0y/ c M IV. Funding Restrictions a. Restrictions on Use of Award Funds Federal funds made available through this award may only be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award fiords may not be used for matching funds for any other Federal grants /cooperative agreements, lobbying, or intervention in Federal regulatory or atljudicatory proceedings. In addition, Federal funds may not be used to sue the federal government or any other government entity. EMPG Program grantees may only fiord activities and proj cots that were included in the FY 2014 EMPG Program Work Plan that was submitted to and approved by FENIA. Activities and projects may include the sustaimnent of capabilities supported by previous EMPG Program funds. For additional details on restrictions on the use of funds, please refer to Appendix 3- FY 2014 EMPG Funding Guidelines. i. Pre -award costs Pre -award costs are typically NOT allowed. Pre -award costs are allowable only with the prior written consent of DHS and if they are included in the award agreement, To request pre -award costs a written request must be included with the application, signed by the Authorized Representative of the entity. The letter must outline what the pre -award costs are for, including a detailed budget break- out of pre -award costs from the post -award costs, and a justification for approval. 9 FY 2014 EMPG Program 55A -18 il. Direct Costs Management and Administration (M &A) Management and Administration (M &A) activities are those directly related to managing and administering the award such as financial management and monitoring. It should be noted that salaries of State and local emergency managers are not typically categorized as M &A, unless the State or local EMA chooses to assign personnel to specific M &A activities. M &A costs are allowable for both State and local -level EMAs. The State EMA may use up to five percent (5 %) of the award for M &A purposes. In addition, local EMAs may retain and use up to five percent (5 %) of the amount received from the State for local M &A purposes. If the SAA is not the state level Emergency Management Agency (EMA), the SAA is not eligible to retain funds for M &A. Planning Planning related costs are allowed under this program. Organization Grantee organization costs for managing the grant and to carry -out the grant's activities are allowed under this program. Equipment Equipment costs are allowed under this program. Training Training related costs are allowed under this program. Exercises Exercise related costs are allowed wider this program, Travel Domestic Domestic travel costs are allowed under this program. International International travel is not an allowable cost under this program unless approved in advance by FEMA. Construction and Renovation Construction and renovation costs are allowed under this program. Operational Overtime Operational Overtime costs are not allowed tinder this program. Maintenance and Sustainment 1.0 FY 2014 EMPG Program 55A -19 Funding may be used for the sustainnnom of core capabilities that, while they may not be physically deployable, support national response capabilities such as Geographic /Geospatial Information Systems (GIS), interoperable communications systems, capabilities as defined under the mitigation mission area of the Goal, and fusion centers. Unallowable costs Certain cost items are prohibited under the EMPG Program. For more details on allowable and unallowable direct costs please refer to Appendix B —FY 2014 EMPG Funding Guidelines. iii. Indirect Cosh Indirect costs are allowable under this program, but only if the applicant has an approved indirect cost rate agreement with their cognizant Federal agency. A copy of the approved rate (a fully executed, agreement negotiated with the applicant's cognizant federal agency) is required at the time of application. iv. Other Cost Requirements SAFECOM Grantees (including sub - recipients) who receive awards under the EMPG that wholly or partially provide funding for emergency communication projects and related activities should comply with the most recent version of the SAFECOM Guidance on Emergency Communications Grants hC /hvww.safecornnroUram 2ov /erant /Default nsPx. This Guidance provides recommendations to grantees regarding interoperable emergency communications projects, including allowable costs, eligible activities, grants management best practices for emergency communications grants, and information on technical standards that ensure greater interoperability. The Guidance is intended to ensure that Federally- funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide. Grantees (including sub- recipients) investing in broadband - related investments should review IB 386: Clarification on Use of DHS/FEMA Public Safety Grant Funds for Broadband- Related Expenditures and Investments, and consult their FEMA Regional Program Manager on such Investments before developing applications. Relocating existing systems operating in the T -Band is also allowable. Environmental Planning and Historic Preservation (EHP) Compliance As a Federal agency, FEMA is required to consider the effects of its actions on the environment and /or historic properties to ensure that all activities and programs funded by the agency, including grants- funded projects, comply with Federal EIIP regulations, laws and Executive Orders as applicable. Grantees and sub - grantees proposing projects that have the potential to impact the environment, including but not limited to construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities, must participate in the FEMA, EHP review 11 FY 2014 EMPG Program 55A -20 process. The EHP review process involves the submission of a detailed project description that explains the goals and objectives of the proposed project along with supporting documentation so that FEMA may determine whether the proposed project has the potential to impact environmental resources and /or historic properties. In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. The BHP review process must be completed before fiords are released to carry out the proposed project. EHP Policy Guidance can be found in FP 108 - 023 -1, Environmental Planning and Historic Preservation Policy Guidance, at http:1Avww,fema.gov/media- library/assetsldoctnnents /$5376. V. !Application Review information and Selection Process a. Application Review Information Overall Review Submitted applications will undergo a complete content review within their respective FEMA Region, Each FEMA Regional EMPG Program Manager will be responsible for reviewing the FY 2014 EMPG Program Work Plan for their respective States /territories in order to assess their emergency management sustaimnent and enhancement efforts as well as for linkage to the core capabilities identified in the Goal. For additional details on application review information please refer to Appendix C — FY 201.4 EMPG Program Work Plan. Initial Review Once program guidance and application requirements are released publicly, eligible applicants can submit applications for funding. The FEMA relies on the Grants.gov and the Non - Disaster (ND) Grants systems to receive applications. Application release and review periods are primarily determined through the appropriations process, FEMA's Regional EMPG Program Managers conduct all pre -award reviews for Emergency Management Performance Grants, All EMPG Work Plans will require final approval by the appropriate FEMA Region, Standardized Reporting through the EMPG Program Work Plan Template The EMPG Program Work Plan Template has been modified to standardize data collection for improved analysis and reporting. The EMPG Program Work Plan includes five components: (1) Program and Budget Narrative, (2) Personnel Data Table, (3) Training Data Table, (4) Exercise Data Table, and (5) Grant Activities Outline. Baseline data on Personnel, Training, and Exercise as well as the Grant Activities Outline must be provided in the EMPG Program Work Plan at the time of application and will form the basis of the Quarterly Performance Progress Report (SF -PPR) submissions. The Grant Activities Outline is structured to enable reporting 12 FY 2014 EMPG Program 55A -21 of quarterly activities according to Emergency Management Function (EMF) projects, as well as standardized reporting of activity completion status. The EMPG Program Work Plan must summarize program. activities in the following areas: • Planning: Planning efforts should span all five Goal mission areas. The EMPG Program Work Plan should provide a baseline for determining potential threats and hazards, required capabilities, required resources, and establish a framework for roles and responsibilities. Planning efforts should demonstrate the engagement of the whole community in the development of a strategic, operational, and/or community -based approach to preparedness. • Organization: EMPG Program funds may be used for all- hazards emergency management operations, staffing, and other day -to -day activities in support of emergency management, including hazard mitigation staffing of the State Hazard Mitigation Officer (SHMO) position. • Equipment: Allowable equipment categories for the EMPG Program are listed on the web -based version of the Authorized Equipment List (AEL) on the Lessons Learned Information Sharing site, h tips: / /www.lCts.cdbas.ov /(craowCed rp�bcse. Unless otherwise stated, equipment must meet all mandatory regulatory and /or FEMA- adopted standards to be eligible for purchase using these finds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. • Training: EMPG Program funds may be used for a range of emergency management- related training activities to enhance the capabilities of State and local emergency management personnel through the establishment, support, conduct, and attendance of training. Training activities should align to a current, Multi -Year Training and Exercise Plan (TEP) developed through an annual Training and Exercise Plan Workshop (TEPW). • Exercises: Exercises conducted with grant funds should evaluate performance of capability targets, established through the development of a jurisdiction's THIRA for the core capabilities needed to address their greatest risk. Exercise priorities should align to a current, Multi -Year TEP developed through an annual TEPW. For more details on the EMPG Program Work Plan please refer to Appendix C- FY 2014 EMPG Program Work Plan. b. Applicsatlon Selection Process Funds for grantees who have not submitted their EMPG Program Work Plan as part of their application will not be released until such Work Plan is received, reviewed, and approved by FEMA. Grantees will be notified by their FEMA Regional Program Manager should any component of the EMPG Program application require additional information. 13 FY 2014 EMPG Program 55A -22 VI. Federal Award Administration Information a. Notice of Award Notification of award approval is made through the ND Grants system through an automatic e -mail to the awardee point of contact (the "authorized official') listed in the initial application. The date the approval of award is the "award date ". The awardee should follow the directions in the notification to accept the award, Grantees must accept their awards no later than 90 days from the award date. The grantee shall notify the awarding agency of its intent to accept and proceed with work under the award, or provide a written notice of intent to decline. Funds will remain on hold until the grantee accepts the award through official correspondence (e,g., written, electronic signature, signed letter or fax to the Regional Program Office) and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the grant award within the 90 day timeframe may result in a loss of funds. b. Administrative and Federal Financial Requirements Before accepting the award, the authorized official should carefully read the award package for instructions on administering the grant award and the terms and conditions associated with responsibilities under Federal awards. Grantees must accept all conditions in this FOA as well as any Special Terms and Conditions in the Award notice to receive an award under this program. i, Standard Terms and Conditions All successful applicants for all DHS grant and cooperative agreements must comply with DHS Standard Administrative Terms and Conditions available at: hops: // ww.dhs, Gov/ pufilicotlond l,14- dhs- stanelarel- terms- aruh,conditions. ii, Payment FEMA utilizes the FEMA Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. Additional information can be obtained at htaps://isource. ema.00vLsfl69 /ezecute[Lo 0sawConterittLlessave= trace, DHS /FEMA uses the Direct Deposit/Electronic Funds Transfer (DD /EFT) method of payment to Recipients. To enroll in the DD/EFT, the Recipient must complete a Standard Form 1199A, Direct Deposit Form. c. Reporting Requirements Awardees are required to submit various financial and prograrmnatic reports as a condition of their award acceptance. Future awards and fund drawdowns maybe withheld if these reports are delinquent. 1, Financial and Cornpliance Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal funding sources during their fiscal year are required to submit an organization -wide financial and compliance audit report. 14 FY 2014 EMPG Program 55A -23 The audit must be performed in accordance with the requirements of GAO's Government Auditing Standards, located at httl / /YVwvv eao.trcrv/ ov ud(yblc0l.hon, and the requirements of Subpart F of 2 C.F.R. Part 200, located at httn: / /v!ww.ec r. av/ For audits audits of fiscal years beginning prior to December 26, 2014, recipients that expend $500,000 or more from all federal frmding sources during their fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with GAO's Government Auditing Standards, located at hap : //winv. Sao. ov, Qov y bkOl.ditrn, and OMB Circular A -133, Audits of States, Local Governments, and Non - Profit Organizations, located at h,t : / /www,whitehouse av /o ab /cireulnrs /a 133 c•omnlianee 3tenplement 2012. Audit reports are currently due to the Federal Audit Clearinghouse no later than nine months after the end of the recipient's fiscal year. 91, Financial and Program Reporting Periods and Due Bates The following reporting periods and due dates apply: Reporting Period Report Due Date October 1 — December 31 January 30 January 1— March 31 April 30 Atiril 1— June 30 July 30 July 1 — September 30 October 30 HL Federal Financial Report (FFR) Obligations and expenditures must be reported on a quarterly basis through the FFR (SF -425) and must be filed electronically using PARS, An FFR report must be submitted quarterly throughout the period of performance, including partial calendar quarters, as well as for periods where no grant award activity occurs. The final. FFR is due 90 days after the end date of the performance period. FFRs must be filed electronically through Payment and Reporting System (PARS). Future awards and fund drawdowns maybe withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail. iv. Program Performance Rieporting Requirements Quarterly Performance Progress Reports (SF -PPR). EMPG Program Quarterly Performance Progress Reports must be submitted to the Regional Program Manager located at the FEMA regional office on a quarterly basis through the ND Grants system. The Quarterly Performance Progress Reports must be based on the approved EMPG Program Work Plan and are due no later than 30 days after the end of the quarter (i.e., on January 30, April 30, July 30 and October 30). The Quarterly Performance Progress Report must be completed using the cover page of the SF -PPR (OMB Control Number: 0970- 0334), available at t ; /Avim nncr 'ed us/ ap /SF -PPR Q&er°,r2USheeC. d : 15 FY 2014 EMPG Program 55A -24 Grantees are required to report quarterly on progress towards completing activities and projects approved in their EMPG Program Work Plans, how expenditures support maintenance and sustainment of current Goal core capabilities, and progress made towards implementing the NPS. This includes reporting on the following information: A roster of EMPG Program funded personnel at both the State and local levels, along with the training completed together with the Personnel Data Table Template (available in Appendix C — FY 2014 EMPG Program Work Plan); and Percent completion of the Training and Exercise Plan (TEP) outlined in the FY 2014 EMPG Program Work Plan together with the Training and Exercise Data Tables Template (available in Appendix C — FY 2014 EMPG Program Work Plan). State Preparedness Report (SPR) Submittal. Section 652(c) of the Post- Katrina Emergency Management Reform Act of 2006 (Pub. L. No. 109 -295), 6 U.S.C. §752(c), requires any State that receives Federal preparedness assistance to submit an SPR (OMB Control Number: 1660 -0131) to FEMA. States submitted their most recent SPRs in December 2013 thus satisfying this requirement to receive funding under the FY 2014 EMPG Program. Biannual Strategy Implementation Reports (BSIR). In addition to the Quarterly Performance Progress Reports grantees are responsible for completing and submitting BSIR reports. The BSIR is due within M days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30 (the sunnier BSIR); and January 30 for the reporting period of July 1 through December 31. Updated obligations and expenditure information must be provided within the BSIR to show progress made toward meeting strategic goals and objectives as well as how expenditures support Planning, Organization, Equipment, Training and Exercises (POETS). Accordingly, expenditures should support gaps identified in the grantee's THIRA and SPRs. d, Monitoring Grant award recipients will be monitored programmatically and financially on an annual and as needed basis by FEMA staff to ensure that the activities and project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met. Monitoring may be accomplished through either a desk -based review or on, site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support may be needed. 16 FY 2014 EMPG Program 55A -25 e. Closeout Pursuant to 44 C.F.R. §13,50 (b) Reports: Within 90 days after the expiration or termination of the grant, the grantee must submit all financial, performance, and other reports required as a condition of the grant. Within 90 days after the end of the period of performance grantees must submit the following: 1) Final request for payment, if applicable; 2) SF -425 —Final Federal Financial Report — The form is available at ✓ttC17 ✓ /vuw✓tivwhiteltinrire>roy /sites/ rl evault /ilex....c�sscats /l?r'ants 6bnns /SF- 425.12ck 3) SF -PPR — Final Performance Progress Report — The form is available at r. cl ; 4) A qualitative narrative summary on the impact of those accomplishments throughout the entire period of performance submitted to the respective Regional Program Manager in a Word document; 5) SF -428 -b — Tangible Personal Property Report — Inventory of all tangible personal property acquired using funds from this award. The form is available at http:/ /w _WW .wIaiteho� Qcrv/ sites / efizzi�z /�Zles /omb /krrnrrtr /" cannroved �ormsGs = 428 -b2d ; n 6) When applicable, SF -429 — Real Property Status Report — Inventory of all construction projects using funds from this award. The form is available at hup // vwv; whllehoatve rvv/ sites /cictf Itlt/�es/om.b/gv- d irvrnv - 429.nc11 7) Other documents required by program guidance or terms and conditions of the award. In order to close an award, grantees must be current on, and have submitted, all required reports per the terms and conditions of the grant award. Once the grant has officially been closed, the grantee will receive a notification which will provide information regarding the amount of any deobligated funds, equipment disposition, and record retention requirements for closed awards. If FEMA has made reasonable attempts through multiple contacts to close out awards within the required 180 days, FEMA may waive the requirement' for a particular report and administratively close the award. If this action is taken, consideration for subsequent awards to the grantee may be impacted or restricted. The grantee is responsible for returning any funds that have been drawn down, but remain as tuiliquidated on grantee financial records. f, Extensions Extensions to the initial period of performance identified in the award will be limited and considered only through formal, written requests to the grantee's respective 17 FY 2014 EMPG Program 55A -26 Regional Program Manager and must contain specific and compelling justifications as to why an extension is required. States are advised to coordinate with the Regional Program Manager as needed, when preparing an extension request. All extension requests must address the following: 1) Grant Program, Fiscal Year, and award number; 2) Reason for delay — this must include details of the legal, policy, or operational challenges being experienced that prevent the final outlay of awarded funds by the applicable deadline; 3) Current status of the activity /activities; 4) Approved period of performance termination date and new project completion date; 5) Amount of funds drawn down to date; 6) Remaining available funds, both Federal and cost match; 7) Budget outlining how remaining Federal and non - Federal funds will be expended; 8) Plan for completion including milestones and timeframes for achieving each milestone and the position/person responsible for implementing the plan for completion; and 9) Certification that the activity /activities will be completed within the extended period of performance without any modification to the original Statement of Work approved by FEMA. Awardees must submit all extension requests to DHS /FEMA for review and approval no later than 120 days prior to the end of the period of performance. "Vii. DHS /FEMA Contact information �. For Financial, Programmatic, or Administrative QVIestions Pre- Award and Post Award 1. Centralized Services and Information Desk (CSID) The Centralized Services Information Desk (CSID) is a non - emergency comprehensive management and information resource developed by DHS for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the Federal, State, and local levels. When necessary, grantees will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at (800) 368 -6498 or by e -mail at ASICCsid(7ferna.€ ov , Monday through Friday, 8:00 a.m. — 5:30 p.m. EST. ii. CPD Grant Operations Division GPD's Grant Operations Division Business Office provides financial support and technical assistance. Additional guidance and information can be obtained by 18 FY 2014 EMPG Program 55A -27 contacting the FEMA Call Center at (866) 927 -5646 or via e -mail to ASK - GMD Adlts. _go v. iii, FEMA, Regions FEMA Regions manage, administer and conduct the application budget review, create the award package, approve, amend and close out awards, as well as conduct cash analysis, financial monitoring, and audit resolution for the EMPG Program, The Regions also provide technical assistance to FMPG Program primary awardees. For a list of contacts, please go to ham: / /rvro�w.ferna. govfrm- mciin/reerona l -can tact - information. iv. Systems Information Grants.gov. For technical assistance with Grants.gov, please call the Grants.gov customer support hotline at (800) 518 -4726. Non Disaster (ND) Grants. For technical assistance with the ND Grants system, please contact nd rg ants(cr�fema nov or (800) 865 -4076. v. GPD Environmental Planning and Historic Preservation (GPD -EHP) The FEMA GPD -EHP Team provides guidance and information about the EHP review process to grantees and sub - grantees. All inquiries and communications about GPD projects or the EHP review process, including the submittal of EHP review materials, should be sent to gpdehpinf cLUema. oovv. EHP Technical Assistance, including the EHP Screening Form, can be found at mil; /ht>tinwl Tema Gov/ medico- libr- ary- clata/20i30726- 1806- 25045- 2839/,pd ehp screening fbrm. omb 1660 Ell the 201 ptlf. vi. Telephone Device for the Deaf (t!)D) The Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this announcement is: (800) 462 -7585. vil. Hard copies of the FDA Hard copies of the FOA are NOT available. Vli.t. Other Critical Information National Preparedness DHS coordinates with local, State, territorial, and tribal, governments as well as with other Federal agencies and private and nonprofit organizations to facilitate an all -of- nation/whole community, risk driven, and capabilities -based approach to preparedness. This approach is grounded in the identification and assessment of risk through the THIRA. States must maintain and update their THIRAs and their SPRs annually to ensure that the community's shared understanding of risk evolves to account for changes in the risk landscape, including successful mitigation efforts, emerging threats, hazards, and associated consequences. Information on the NPS can be found in the National Preparedness System description (released Nov 2011), which is posted on the FEMA website at hr_tn •• �wtiwv,, j,U? q _eov /national- 19 FY 2014 EMPG Program 55A -28 re arecdness /natinntal- re aredrtcss -s stem. Additional details regarding the NPS and how it's supported by the EMPG Program can be found in Appendix A— FY 2014 EMPG Program Priorities. IX. How to Apply Applying for an award under this program is a multi -step process and requires time to complete. To ensure that an application is submitted on time applicants are advised to start the required steps well in advance of their submission. Applicants should allow at least 15 business days (three weeks) to complete the five steps of applying listed below. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application will automatically disqualify their application from funding. The steps involved in applying for an award under this program are: 1) Applying for, updating or verifying their Data Universal Numbering System (DUNS) Number; 2) Applying for, updating or verifying their Employer Identification Number (EIN); 3) Updating or verifying their System for Award Management (SAM) registration; 4) Submitting an initial application in grams.gov, and; 5) Submitting the complete application in ND Grants. To ensure adequate time to complete the full application process, applicants are encouraged to submit their initial application in Grants,gov (Step 4) at least ten (10) days before the April 9, 2014 application deadline. 1. Obtain a Dun and Bradstreet. Data Universal Numbering System (,DUNS) Number The applicant must provide a DUNS number with their application. This number is a required field for all subsequent steps in the application submission. Applicants should verify they have a DUNS number, or take the steps necessary to obtain one. Applicants can receive a DUNS number at no cost by calling DUNS number request line at (866) 705-5711. FEMA cannot assist applicants with questions related to obtaining a current DUNS number. 2. Obtain an Employer Identification Number (EIN) FEMA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and, for grant award payment. Both are also required to register with SAM (see below). The EIN base for an organization is the IRS Tax ID number, for individuals it is their social security number, both of which are nine -digit numbers. Organizations and individuals submitting their applications must correctly identify the EIN from the DUNS since both are 9 -digit numbers. If these numbers are not correctly identified in the application, this may result in a delay in the issuance of an award and /or incorrect payment to a grantee organization. 20 FY 2014 EMPG Program 55A -29 Organization applicants applying for an EIN should plan on a minimum of 2 full weeks to obtain an EIN. If you need assistance registering an EIN, please go to htt�, / /wwu irs voidBuvinesses /Srrrall- Baaslnesse.v- cPi -Sel -Emplo ed/A Ernplayer- Identification- Namaber; (IN)- Online. FEMA cannot assist applicants with questions related to obtaining a current EIN. 3. Register with the System for Award Management (SAM) Payments are contingent on the information provided in SAM and must be completed by the applicant at httn //wmv.salv.,�ov. It is imperative that the information provided by the applicant is correct and current. Please ensure that your organization's name, address, DUNS number and EIN are current in SAM and that the DUNS number used in SAM is the same one used to apply for all other FEMA awards. SAM registration is a multi -step process including validating your EIN with the Internal Revenue Service (IRS) to obtain a Commercial and Government Entity (CAGE) code. The CAGE code is only valid for one year after issuance and must be current at the time of application, If you need, assistance registering with SAM, please go to hops / /www. sd.«ov/ or call 866 -606 -8220. FEMA cannot assist applicants with questions related to obtaining a current CAGE code. 4. Initial. Application Submission In Grarrts,gov, All applicants submit their initial application through Grants,gov. Applicants may need to first create a Grants.gov user profile by visiting the Get Registered section of the grants.gov website. Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Applicants should complete this step at http.,Ili.vww v,gt*tznt,v.gov. The initial on -line application in grants.gov requires completing Standard Form 424 (SF 424), Application for Federal Assistance. The initial application cannot be started or submitted in Grants.gov unless the applicant's registration in SAM is confirmed. Application forms and instructions are available at Grants.gov. To access these materials, go to h yp'/ /www grants;;oy, select Apply for Grants, enter the CFDA number or the FOA Number noted in this FOA, select Download Application Package, and follow the prompts to download the application package. The information submitted in grants. gov will be retrieved by ND Grants, which will allow FEMA to determine if an applicant is eligible. Applicants are encouraged to submit their initial application at least ten (10) days before the April 9, 2014 application deadline. If you need assistance applying through grants.gov, please go to lztt _L11wwvv.yrants.goy/ web /grants /applicant.S /grant - application "pY,pces .iatnal, contact support @grants.gov, or call 800 -518 -4726. FEMA cannot assist applicants with questions related to registering with grants.gov. 21 FY 2014 E.MPG Program 55A -30 S. Final Application Submission in Non Disaster Grants system (ND Grants) Eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants, Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application. The application must be completed and final submission made through the ND Grants system located at hops: / /portal (ema..o_v. In ND Grants applicants will be prompted to submit all of the information contained in the following forms: • Standard Form 424A, Budget Iuforniation (Non - construction) + Standard Form 424B, Standard Assurances (Non- construction) • Standard Form 424D, Standard Assurances (Construction) • Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has engaged or intends to engage in lobbying activities) • Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying. Applicants will also be required to submit copies of the following in ND Grants: • EMPG Program Work Plan The Work Plan consists of a Program and Budget Narrative, Personnel Data Table, Training Data Table, Exercise Data Table, and Grant Activities Outline. • Standard Form 424C, Budget Information (Construction) • Detailed budget If you need assistance registering for the ND Grants system, please contact ndants(a fema.a'ov or (800) 865 -4076. 22 FY 2014 EMPG Program 55A -31 Appendix A - FY 20 14 EMPG Program Priorities Alignment of the EMPG Program to the National Preparedness System (NPS) The Nation utilizes the NPS to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (Goal). The Goal is "a secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk" The objective of the NPS is to facilitate an integrated, all-of-Nation, risk informed, capabilities -based approach to preparedness. The guidance, programs, processes, and systems that support each component of the NPS enable a collaborative, whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith -based organizations, and all levels of government htt . / /www, enia gov /whole -evm round ). The FY 2014 EMPG Program contributes to the implementation of the NPS by supporting the building, sustainment, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the Goal. Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. The EMPG Program's allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. Emphasis is placed on capabilities that address the greatest risks to the security and resilience of the United States, and the greatest risks along the Nation's borders. When applicable, funding should support deployable assets that can be utilized anywhere in the Nation through automatic assistance and mutual aid agreements, including but not limited to the EMAC. Using the core capabilities, the FY 2014 EMPG Program supports the achievement of the Goal by: • Preventing a threatened or an actual act of terrorism; • Protecting our citizens, residents, visitors, and assets against the greatest threats and hazards; • Mitigating the loss of life and property by lessening the impact of future disasters; • Responding quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and /or • Recovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of conmmunities affected by a catastrophic incident,. The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities, improve training and exercise programs, promote innovation, and ensure that the appropriate administrative, finance, and logistics systems are in place. 23 Appendix A- FY 2014 EMPG Program Priorities 55A -32 To support building, sustaining, and delivering these core capabilities, grantees will use the components of the NPS. The components of the NPS are; Identifying and Assessing Risk; Estimating Capability Requirements; Building and Sustaining Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing and Updating. For more information on each component, read the National Preparedness System description available at / /wvwe,lema.ov /n zCional��arediaess /nationalNeredness- system, Grantees are expected to use this process when using grant funds to address their capability gaps. Reporting on the Implementation of the National Preparedness System (NPS) Identifying and Assessing Risk and Estimating Capability Requirements In order to qualify for EMPG Program funding, all grantees shall develop and maintain a Threat and Hazard Identification and Risk Assessment ( THIRA) which informs and supports the State Preparedness Report (SPR). Only one THIRA submission from each State wilt be accepted,. A THIRA provides a comprehensive approach for identifying and assessing risks and associated impacts. It expands on existing local, tribal, territorial, and State Hazard Identification and Risk Assessments (HIRAs) and other risk methodologies by broadening the factors considered in the process, incorporating the whole community throughout the entire process, and by accounting for important community- specific characteristics. A guide on how to complete a THIRA is available at l actp;// rvwiy;,( 'e „m;ci;,q<2y /ncita_'oncil;prgp rectnessfpCcan. In Step Four of the THIRA process, a jurisdiction should estimate the resources required to deliver the capability targets established in their THIRAs. Communities express resource requirements as a list of resources needed to successfully manage their threats and hazards. Through the capability estimation process, jurisdictions should identify the resources from across the whole community needed to meet capability targets. Each jurisdiction should decide which combination of resources is most appropriate to achieve its capability targets. Reporting: • States are required to submit an annual update to their THIRA. States will submit their THIRA update along with their State Preparedness Report (SPR) through the Unified Reporting Tool (URT) and email a copy of the URT to their respective FEMA Regional Federal Preparedness Coordinator and copy etna- s�. rLg)Zerna.61hs.gov. THIRA submissions shall be in alignment with Comprehensive Preparedness Guide (CPG) 201, Second Edition. State submissions of the THIRA and SPR are due no later than December 31, 2014. Building and Sustaining Capabilities EMPG Program grantees should ensure that grant funding is utilized to sustain critical core capabilities within the NPS that were funded by past EMPG Program funding cycles to include training of personnel and lifecycle replacement of equipment. New capabilities should not be built at the expense of maintaining current and critically needed core capabilities, If new core capabilities are being built utilizing EMPG Program funding, grantees must ensure that the capabilities are able to be deptoyable outside of their community to support regional and national efforts or otherwise shareable with regional partners and aligned with a gap identified 24 Appendix A- FY 2014 EMPG Program Priorities 55A -33 in the THIRA/SPR. All capabilities being built or sustained must have a clear linkage to one or more core capabilities in the Goal, Reporting: a As part of programmatic monitoring grantees will be required to: (1) describe how expenditures support maintenance and sustainment of current Goal core capabilities, (2) describe how expenditures support a gap identified in the THIRA /SPR and report these within the quarterly performance progress report. Planning to Deliver Capabilities All EMPG Program grantees shall maintain, or revise as necessary, jurisdiction -wide, all threats and hazards emergency operations plans (EOPs) consistent with the CPG 101 v,2 which serves as the foundation for State, local, tribal, and territory emergency planning. CPG 101 v.2 can be found at http: / /www. eraaa.ow /ratrtfanctl rencrrednesv /plan, Grantees must update their EOP at least once every two years. In building future EOPs, planners should anticipate the increasing complexity and decreasing predictability of the future operating environment. These efforts should actively use strategic foresight, including the multiple driving forces of change and the associated evolving strategic needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Report. The Report can be found athttp: / /rovroirov.%ema. env /striatetrie- planninv -nnglp p pa- division /,vtratctic- foreei ht- initiative. Reporting: • Grantees will use the SPR to report EOP compliance. Validating Capabilities Grantees should develop long-term training and exercise priorities that examine, validate and /or address the gaps identified through their annual THIRA and SPR by developing a multi -year Training and Exercise Plan (TEP). Grantees should also review and consider areas for improvement identified from real -world events and exercises, and national areas for improvement identified in the 2013 National Preparedness Report. The TEP should consider the risks and capability requirements described in the THIRA along with the guidance provided by elected and appointed officials to identify and set training and exercise program priorities and develop a multi -year schedule of exercise events and supporting training activities to mect those priorities A TEP that is developed from a Training and Exercise Planning Workshop (TEPW) provides a roadmap to accomplish the multi -year priorities identified by elected and appointed officials and whole community stakeholders, These priorities help curriculum and exercise planners design and develop a progressive program of training and exercises that build, sustain, and deliver core capabilities, Information related to TEPs and TEPWs can be found on the HSEEP website at hti 4s,,IZtwww llis.dhs.eov/Aeen. In addition to training activities aligned to and addressed in the TEP, all EMPG Program funded personnel shall complete the following training requirements and record proof of completion: National Incident Management System (NIMS) Training, IS 100, IS 200, IS 700, and IS 800, and 25 Appendix A- FY 2014 EMPG Program Priorities 55A -34 other Independent Study courses identified in FEMA Professional Development Series. Previous versions of the IS courses meet the NIMS training requirement. A complete list of Independent Study Program Courses maybe found at http:11tr ininir.fem gol,/is. All grantees will develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program ( HSEEP) (https:www.11is.dhs.gov / hseep). Grantees shall conduct no less than four quarterly exercise (i.e., one exercise per quarter) of any type (i.e., discussion -based or operations - based) and one full -scale exercise within a 12 -month period. All EMPG funded personnel shall participate in no fewer than three exercises in a 12 -month period A progressive, multi -year exercise program enables organizations to participate in a series of increasingly complex exercises, with each successive exercise building upon the previous one while also taking into account prior lessons learned, Regardless of the exercise type, each exercise within the progressive series is linked to a set of common program priorities and designed to test associated capabilities. Reporting: • Following the TEPW, all grantees and subgrantees are required to develop a rmulti- year TEP that identifies combination of exercises, along with associated training requirements, that address the priorities identified in the TEPW. The TEP shall be submitted to hsee d dh „s Qti no later 90 days alter the TEPW, States are encouraged to post their schedules to the National Exercise Scheduling System (NEXS) at At,, Ilhyeepdhs. vlDHSSSO / ?ReturnUri= %2fhseep ervr%2fToolkitHome..aspx • Submission of a roster of EMPG Program funded personnel, at both the state and local level, along with the training completed to be included in the Quarterly Performance Progress Report. • In order to report on the required exercises, grantees can either submit one After Action Report/Improvement Plan (AAR/IP) for the culminating full -scale exercise that captures the lessons learned and corrective actions from all 5 exercises conducted within a 12 -month period; or individual AAR/1Ps for each of the 5 exercises to hseep@lema.dhs.gov, no later than 90 days after completion of the exercise. In accordance with HSEEP guidance grantees are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Grantees are encouraged to use the HSEEP AAR/IP template located at lattps: / /www.Ilis.dhs /hseep and utilize the Corrective Action Program (CAP) System at https : //hsQep.dhs,gov /caps /, as a means to track the implementation of corrective actions listed in the AAR /IP. If a State /territory /local jurisdiction has experienced a major disaster, and would like to request exemptions for a scheduled exercise, the grantee should send this request to its assigned FEMA, Regional Program Manager through the quarterly EMPG Program report. Exemptions will be reviewed on a case -by -case basis by the Regional Grant Manager. Reviewing and Updating On a recurring basis, capabilities, resources, and plans should be reviewed to determine if they remain relevant or need to be updated as it relates to the EMPG Program. This review should be 26 Appendix A- FY 2014 EMPG Program Priorities 55A -35 based on a current risk assessment and utilize inforniation gathered during the validation process. These reviews will provide a means to examine preparedness analyses; determine priorities; direct preparedness actions; and calibrate goals and objectives, Additional considerations Strengthening Governance Integration DHS preparedness grant programs are intended to support the core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are necessary to prepare for incidents that pose the greatest risk to the Nation's security. Each program reflects the Department's intent to build and sustain an integrated network of national capabilities across all levels of government and the whole community. Disparate governance structures must be integrated and refined to ensure resources are targeted to support the most critical needs of a community based on risk driven, capabilities -based planning, Strong and inclusive governance systems better ensure that disparate funding streams are coordinated and applied for maximum impact, DHS requires that all governance processes that guide the allocation of preparedness grant funds adhere to the following guiding principles: • Coordination of Investments —resources must be allocated to address the most critical capability needs as identified in their SPR and coordinated among affected preparedness stakeholders. • Transparency — stakeholders must be provided visibility on how preparedness grant Rinds are allocated and distributed, and for what purpose, • Substantive Local Involvement — the tools and processes that are used to inform the critical priorities which DHS grants support must include local government representatives. At the State and regional level, local risk assessments must be included in the overarching analysis to ensure that all threats and hazards are accounted for. • Flexibility ivith Accountability — recognition of unique preparedness gaps at the local level, as well as maintaining and sustaining existing capabilities. • ,Support of Regional Coordination -- recognition of hrter /intra -State partnerships and dependencies at the State and regional level, and within metropolitan areas. 27 Appendix A- FY 2014 EMPG Program Priorities 55A -36 Appendix B - FY 20141: MPG Funding Guidelines Allowable Casts Management and Administration (M&cA) M &A activities are those defined as directly relating to the management and administration of EMPG Program funds, such as financial management and monitoring. It should be noted that salaries of State and local emergency managers are not typically categorized as M &A, unless the State or local EMA chooses to assign personnel to specific M &A activities. If the SAA is not the EMA, the SAA is not eligible to retain funds for M &A. M&A costs are allowable for both State and local -level EMAs. The State EN/IA may use up to five percent (5 %) for M &A purposes. In addition, local EMAs may retain and use up to five percent (5 %) of the amount received from the State for local M &A purposes. Indirect Costs Indirect costs are allowable only if the applicant has an approved indirect cost rate with the cognizant Federal agency. A copy of the approved rate (a fully executed, agreement negotiated with the applicant's cognizant Federal agency) is required at the time of application. Indirect costs will be evaluated as part of the application for Federal funds to determine if allowable and reasonable. Planning Planning spans all five National Preparedness Goal (the Goal) mission areas and provides a baseline for determining potential threats and hazards, required capabilities, required resources, and establishes a framework for roles and responsibilities. Planning provides a methodical way to engage the whole community in the development of a strategic, operational, and/or community -based approach to preparedness. EMPG Program funds may be used to develop or enhance upon emergency management planning activities, some examples include: • Development ofTTIIPA • Development of an all- hazards mitigation plan based on identified risks and hazards Einergency.Management/Operation Plans • Maintaining a current EOP that is aligned with guidelines set out in CPG 101v.2 &tplltvLly�,fettu govinativncrl-preparedness/ lair • Modifying existing incident management and emergency operations plans • Developing /enhancing large -scale and catastrophic event incident plans Communications Plans • Developing and updating Statewide Communication Interoperability Plans • Developing and updating Tactical Interoperability Communications Plans 2& Appendix 13- FY 2014 EMPG Program Funding Guidelines 55A -37 Continuity /Administrative Plans • Developing /enhancing Continuity of Operation (COOP) /Continuity of Government (COG) plans • Developing/enhancing financial and administrative procedures for use before, during, and after disaster events in support of a comprehensive emergency management program Whole Community engagement /planning • Developing /eiilnancing emergency operations plans to integrate citizen/volunteer and other non - governmental organization resources and participation • Engaging the whole community in security and emergency management is critical to achieving the Goal • Public education and awareness on emergency management and preparedness • Planning to foster public- private sector partnerships • Development or enhancement of mutual aid agreements /compacts, including required membership in EMAC Resource management planning • Developing /enhancing logistics and resource management plans • Developing /enhancing volunteer and/or donations management plans • Acquisition of critical emergency supplies such as: shelf stable food products, water, and /or basic medical supplies. Acquisition of critical emergency supplies requires each State to have FEMA's approval of a five -year viable inventory management plan if planned grant expenditure is over $100,000 ; an effective distribution strategy; sustainment costs for such an effort; and logistics expertise to avoid situations where funds are wasted because supplies are rendered ineffective due to lack of planning. • Supply preparation Evacuation planning • Developing/enhancing evacuation plans, including plans for: alerts /warning, crisis communications, pre - positioning of equipment for areas potentially impacted by mass evacuations sheltering, and re- eutry. Pre - disaster and post - disaster Recovery planning • Disaster housing planning, such as creating/supporting a State disaster housing task force and developing /enhancing State disaster housing plans • Pro -event response /recovery / mitigation plans in coordination with State, local, and tribal governments • Developing/enhancing other response and recovery plans Developing recovery plans and preparedness programs consistent with the principles and guidance in the NDRF that will provide the foundation for recovery programs and whole - community partnerships. Preparedness and pre - disaster planning was given special attention within the NDRF with specific guidance: Planning' far a Successful Disaster Recovery (pages 63 -70). For more information on the NDRF see h ,lp ffiyvv ,{ema.Qo, v /na /recovervframerovork/n(lrfpdf, 29 Appendix B- FY 2014 EMPG Program Funding Guidelines 55A -38 F /ERO Credentialing and Validation • Working group meetings and conferences relating to emergency responder credentialing and validation • Compiling data to enter into an emergency responder repository • Coordinating with other State, local, territorial, and tribal partners to ensure interoperability among existing and planned credentialing and validation systems and equipment • Planning to incorporate emergency responder identity and credential validation into training and exercises. Organization Per the Robert. T. Stafford Disaster Relief and Emergency Assistance Act, as amended, (42 U.S.C. §§ 5121 - 5207), EMPG Program funds may be used for all- hazards emergency management operations, staffing, and other day -to -day activities in support of emergency management, including hazard mitigation staffing of the State Hazard Mitigation Officer (SHMO) position; performing close out activities on FEMA Disaster Assistance grants; and supporting fusion center analysts who are directly involved in all hazards preparedness activities as defined by the Stafford Act. Proposed staffing activities should be linked to accomplishing the activities outlined in the EMPG Program Work Plan. To ensure adequate resources are dedicated to the critical components of preparedness, grantees are encouraged to fund at least one dedicated Planner, Training officer, and Exercise Officer. Personnel costs, including salary, overtime, compensatory time off, and associated fringe benefits, are allowable costs with EMPG Program funds. These costs must comply with 2 C.F.R. Part §225, Cost Principles for State, Local, and Indian Tribal Governments (Office of Management and Budget [OMB] Circular A -87). Equipment Allowable equipment categories for the EMPG Program are listed on the web -based version of the Authorized Equipment List (AEL) on the Responder Knowledge Base (RKB), which is sponsored by FEMA at h tps: //www.Glis dhs env /lcnovvled�ebase. Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA - adopted standards to be eligible for purchase using these frmds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. The select allowable equipment includes equipment from the following AEL categories: • Information Teclmology (Category 4) • Cyber security Erhhancement Equipment (Category 5) • Interoperablo Communications Equipment (Category 6) • Detection Equipment (Category 7) • Power Equipment (Category 10) • Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials (Category 11) • CBRNE Incident Response Vehicles (Category 12) • Physical Security Enhancement Equipment (Category 14) 30 Appendix B- FY 2014 EMPG Program Funding Guidelines 55A -39 • CBRNE Logistical Support Equipment (Category 19) e Other Authorized Equipment (Category 21) In addition to the above, general purpose vehicles are allowed to be procured in order to carry out the responsibilities of the EMPG Program. If State agencies and/or local goveriunents have questions concerning the eligibility of equipment not specifically addressed in the AEL, they should contact their FEMA Regional Program Manager for clarification. Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 CFR Part 215, located at httn'//wvvw whitehozase g >ov/ombleirctilars a087 20041 (OMB Circular A -$7), Training EMPG Program funds may be used for a range of emergency management - related training activities to enhance the capabilities of State and local emergency management personnel through the establishment, support, conduct, and attendance of training. Training activities should align to a current, Multi,Year TEP developed though an annual TEPW, Further guidance concerning the TEP and the TEPW can be found at httns: / /Dzsee , dhs. ov. Training should foster the development of a community oriented approach to emergency management that emphasizes engagement at the community level, strengthens best practices, and provides a path toward building sustainable resilience. All EMPG Program funded personnel shall participate in no less than three exercises in a 12 month period. EMPG Program funds used for training should support the nationwide implementation of NIMS. The NIMS Training Program establishes a national ourricudu m for NIMS and provides information on NTMS courses; grantees are encouraged to place emphasis on the core competencies as defined in the NIMS Training Program, The NIMS Training Program can be found at( /wvvvv, ema,g2y /gds eyw�ene /n., /ny izns trainin > nrore'a'rt.pdf, The NIMS Cncideline far Credentialing of Personnel provides guidance on the national credentialing standards. The NIMS Guidelines for Credentialing can be found at hh_ti /Lwww.-ama �,,ovIL)clPeme�,«encv/ninis/nims creel Jzuidelines report pelf To ensure the professional development of the emergency management workforce, the grantee must ensure a routine capabilities assessment is accomplished and a multi -year training plan is developed and implemented. For additional information on review and approval requirements for training courses funded with preparedness grants please refer to the following policy: http: / /www.fema nov /media- librczrv- dcita/ 111Sd44e063G7b1i895 .lOcJc &79c1875 /FINAL GPD+TraininZ+ -Three +for +Free +Poltc 09 +10 +13.pdf. Additional types of training include, but are not limited to, the following: 31 Appendix B- FY 2014 EMPG Program Funding Guidelines 55A -40 • Developing /erilrancing systems to monitor training programs • Conducting all hazards emergency management training • Attending Emergency Management Institute (EMI) training or delivering EMI train -the- trainer courses • Attending other FEMA- approved emergency management training • Mass evacuation training at local, State, and tribal levels Allowable training - related costs include the following: Funds Used to Develop, Deliver, and Evaluate Training Includes costs related to administering the training: planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment. Training should provide the opportunity to demonstrate and validate. skills learned, as well as to identify any gaps in these, skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle. States are encouraged to use existing training rather than developing new courses. When developing new courses States are encouraged to apply the Analysis Design Development and Implementation Evaluation (ADDIE) model for instruction design, Overtime and Baelcfill The entire amount of overtime costs, including payments related to backfrlling personnel, which are the direct result of attendance at FEMA and /or approved training courses and programs are allowable. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the State or unit(s) of local government and has the approval of the State or the awarding agency, whichever is applicable. In no case is dual compensation. allowable. That is, an employee of a trait of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Travel Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by employees who are on travel status for official business related to approved training. Hiring of Fall or Part -Time Staff or Contractors /Consultants Full or part -time staff may be hired to support direct training - related activities. Payment of salaries and fringe benefits must be in accordance with the policies of the State or unit(s) of local government and have the approval of the State or awarding agency, whichever is applicable. Certffication/Recertifleation of Instructors Costs associated with the certification and re- certification of instructors are allowed. States are encouraged to follow the FEMA Instructor Quality Assurance Program to ensure a minimum level of competency and corresponding levels of evaluation of student learning. This is particularly important for those courses which involve training of trainers. Exercises Allowable exercise - related costs include: 32 Appendix 13- FY 2014 EMPG Program Funding Guidelines 55A -41 • Funds Used to Design, Develop, Conduct and Evaluate an Exercise This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and docinnentation. Grantees are encouraged to use free public space /locations /facilities, whenever available, prior to the rental of space /locations /facilities. Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills, Any exercise or exercise gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the exercise cycle. • Hiring of Full or Part -Time Staff or Contractors/Consultants Full or part —time staff may be hired to support direct exercise activities. Payment of salaries and fringe benefits must be in accordance with the policies of the State or unit(s) of local government and have the approval of the State or the awarding agency, whichever is applicable. The services of contractors/consultants may also be procured to support the design, development, conduct and evaluation of exercises. • Overtime and Backfill The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the State or unit(s) of local government and has the approval of the State or the awarding agency, whichever is applicable, In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m..), even though such work may benefit both activities. • Travel Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise activities • Supplies Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise activities (e.g., gloves, non - sterile masks, and disposable protective equipment) • Implementation of'HSEEP This refers to costs related to developing and maintaining a self - sustaining State IISEEP which is modeled after the national HSEEP • Other Items These costs are limited to items consumed in direct support of exercise activities such as the rental of space /locations for planning and conducting an exercise, rental of equipment, and the procurement of other essential nondurable goods. Grantees are encouraged to use free public space /locations, whenever available, prior to the rental of space /locations. Costs associated with inclusive practices and the provision of reasonable accommodations and modifications that facilitate full access for children and adults with disabilities. Unauthorized exercise - related costs include; • Reimbursement for the maintenance and /or wear and teat costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances). The only vehicle costs that are reimbursable are fuel /gasoline or mileage. • Equipment that is purchased for permanent installation and /or use, beyond the scope of exercise conduct (e.g., electronic messaging signs) 33 Appendix B- FY 2014 EMPG Program Funding Guidelines 55A -42 • Durable and non- duuable goods purchased for installation and /or use beyond the scope of exercise conduct Construction and Renovation Construction and renovation projects for a State, local, territorial, or tribal government's principal Emergency Operations Center (EOC) as defined by the SAA are allowable under the EMPG Program. Written approval must be provided by FEMA prior to the use of any EMPG Program funds for construction or renovation. Requests for EMPG Program funds for construction of an EOC must be accompanied by an EOC Investment Justification (FEMA Form 089- 0 -0 -3; OMB Control Nurmber; 1660- 0124 (httn 11www fema.avv /ptlf�overn.m.enrant /201 Ufyll eoc inv.pdo to their Regional Program Manager for review. Additionally, grantees are required to submit a SF -424C Budget and Budget detail citing the project costs. When applying for funds to construct communication towers, grantees and sub - grantees must submit evidence that the FCC's Section 106 review process has been completed and submit all documentation resulting from that review to GPD prior to submitting materials for EHP review. Grantees and sub - grantees are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all State and EHP laws and requirements). Projects for which the grantee believes an Environmental Assessment (EA) may be needed, as defined in 44 C.F.R. §§ 103 and 10.9, must also be identified to the FEMA Regional Program Manager within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP review packets should be sent to auclehpinfo iFfema.uOV. EMPG Program grantees using finds for construction projects must comply with the Davis - Bacon Act (40 U.S.C. §§ 3141 et sed.). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers employed directly at the work -site no less than the prevailing wages and fringe benefits paid on projects of a similar character. Additional information, including Department of Labor (DOL) wage determinations, is available from the following website: tpLlw vmdol,,govv qgq npliance/lavvs /comp -e1hr a htrn. Maintenance and Sustainment The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. EMPG Program grant funds are intended to support the Goal and fund activities and projects that build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide grantees the ability to meet this objective, the policy set forth in GPD's 113 379 (Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding) allows for the expansion of eligible maintenance and sustainment 34 Appendix B- FY 2014 EMPG Program Funding Guidelines 55A -43 costs which must be in 1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas contained within the National preparedness Goal, and (4) shareable through the Emergency Management Assistance Compact. Additionally, eligible costs must also be in support of equipment, training, and critical resources that have previously been purchased with either Federal grant or any other source of funding other than DHS /FEMA preparedness grant program dollars. Additional guidance is provided in FEMA Policy FP 205- 402- 125 -1, Maintenance Contracts and Warranty Coverage Fancied by Preparedness Grants, located at; httn.' / /wrvw.fem --gov/ media- llbrgalarsetr/dociiments /32474. Unallowable Costs Expenditures for weapons systems and ammunition Costs to support the hiring of sworn public safety officers for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities Activities and projects unrelated to the completion and implementation of the EMPG Program In general, grantees should consult with their FEMA Regional Program Manager prior to malting any Investment that does not clearly meet the allowable expense criteria established in this Guidance. 35 Appendix 13- FY 2014 EMPG Program Funding Guidelines 55A -44 EMPG Program Work Plan Instructions All EMPG Program applicants are encotvaged to use the templates to submit a required Work Plan that outlines the State's emergency management sustainment and enhancement efforts, including new and ongoing activities and projects, proposed for the EMPO Program period of performance. The Work Plan consists of a Program and Budget Narrative, Personnel Data Table, Training Data Table, Exercise Data Table, and Grant Activities Outline. FEMA regional program managers will work closely with States to monitor Work Plans during the performance period and may request further documentation from the grantee to clarify the projected work plan. In addition, FEMA Regional Program Managers must approve final Work Plans before States may draw down EMPG Program funds. Grant funds will be released on a rolling basis upon approval of the State's final Work Plan. Program and Budget Narrative Provide a brief description of the State emergency management priorities and initiatives that will be addressed with EMPG Program funds. In addition, the narrative should address, if applicable, the following; • Overview of the State's risk profile such as resulting from a THIRA • Areas of need identified through assessment processes such as the State Preparedness Report, Emergency Management Accreditation Program Assessment Process, National Emergency Communications Plan Goal Assessments, or other Emergency Management assessment processes • Baseline inventory of where States are now relative to goals and objectives identified in relevant strategic plans per CPG 101 v.2 • State errtergency management priorities and planning focus for current budget year (including linkage to the core capabilities identified in the Goal) Personnel Data Table To facilitate consistent data reporting and performance measures collection, a Personnel Data Table should be completed for State, Local, Tribal and Territory (SLIT) personnel supported with EMPG Program funds. The data requested will assist in documenting the extent to which EMPG Program funding contributes to enhancing or sustaining emergency management capacity in terms of personnel support at the State level. This template will be submitted with the EMPG Program Work Plan and updated only if numbers change more than 10% during the award period of performance. Personnel Data Table Template Personnel Metrics Data All EMPG Program funds (Federal and match) allocated towards State emergency management personnel All EMPG Program fiends (Federal and match) allocated towards Non -State emergency management personnel (Local, Tribal, Territories) Total Number of State emergency management full -time equivalent (FTE) personnel (including those supported and not supported by the EMPG Program) 36 Appendix C- FY 2014 EMPG Program Work Plan 55A -45 Number of State emergency management full -time equivalent (FTE) personnel supported (fully or partially) by the EMPG Program Total Number of State, Local, Tribal or Territory (SLTT) emergency management Number of personnel supported (fully or partially) by the EMPG Program. Personnel Data Table Definitions This template is completed and submitted with the EMPG Program Work Plan and only re- submitted if the data changes more than 10% in any category, Line 1 - All EMPG Program funds (Fed & match) allocated for State emergency management personnel Line 2 -All EMPG Program funds (Fed & match) allocated towards Non -State emergency management personnel (Local, Tribal, Territories) Line 3 - Total Number of State Emergency Management full -time equivalent (FTE) personnel (including those supported and not supported by the EMPG Program) Line 4 - Number of State emergency management full -time equivalent (FTE) personnel supported by the EMPG Program Line 5 - Total Number of State and local emergency management personnel funded (fully or partially) by the EMPG Program. This number provides the "Universe" number for the Training & Exercise templates, Training Data Table To facilitate consistent data reporting and performance measures collection, a Training Data Table should be completed for training sessions that meet the EMPG requirements and any EMPG funded training courses. This template should be updated quarterly with cumulative information.. EMPG Program funded personnel shall participate in no less than three exercises, have completed the listed training requirements, and record proof of completion. Training Data Table Template 37 Appendix C- FY 2014 EMPG Program Work Plan 55A -46 Total # of Number of Total # of SLTT SLTT EMPG Name of ]EMPG Number of SLTT EMPG Funded Training Required? Personnel EMPG. Funded personnel (YEN) Trained Funded Personnel in have nottaken have not ken personnel the Course this course 37 Appendix C- FY 2014 EMPG Program Work Plan 55A -46 Training Data Table Definitions: Col 1 - Name of Training Col 2 - Is the course required of EMPG funded personnel? Col 3 - # of Personnel Trained Col 4 - Total # of SLTT EMPG Funded Personnel (Universe) Cot 5 - Total # of SLTT EMPG Funded Personnel in the Course Col 6 - Number of SLTT EMPG Funded Personnel that have not taken the Course Exercise Data Table To facilitate consistent data reporting and performance measures collection, an Exercise Data Table should be completed for any exercises cited to meet EMPG requirements and/or that are conducted in whole or part with EMPG funds. Exercise Data Table Template 38 Appendix C- FY 2014 EMPG Program Work Plan 55A -47 Total # of Number of SLTT SLTT EMPG Program Exercise # of Name or Description of Exercise EMPG Funded Personnel Data Table Exercises Funded. Participating in ersonnel Exercise Discussion - Based Seminar Workshop Tabletop Exercise TTX Game Operations - Based Aria Discussion- Based Functional Exercise Full -Scale Exercise 38 Appendix C- FY 2014 EMPG Program Work Plan 55A -47 Exercise Data Table Definitions: Col 2 - Number of Instances of the Type of Exercise Col 3 - Name/Description of Exercise Col 4 - Total # of SLTT ENIPG Funded Personnel (Universe) Col S - Total # of SLTT EMPG Funded Personnel Participating in Exercise Grant Activities Outline To facilitate performance measures and focus on outcomes, an EMPG Program Grant Activities Outline should be completed for activities supported with FY 2011 EMPG Program funds (including construction and renovation projects). The data outlined in this template will be used to evaluate the timely completion of planned emergency management activities. Grantees are encouraged to complete a separate Grant Activities Outline for each EMF. Quarterly training activities should be reported against EMF #13, "Training," and quarterly exercise activities should be reported against ENIF #14, "Exercises, Evaluations and Corrective Actions." Grantees should complete a template as shown on the next page and address the following areas: EMF Number. Identify how the grant activities relate to the EMFs outlined in the September 2007 version of the Emergency Management Accreditation Program (E'MAP) Standard (e.g. Resource Management, Communications and Warning, etc) Name of Planned Project. Provide a descriptive name of each planned project. Examples include "Development of Emergency Function Annexes ", "Development of Earthquake Scenario Loss Estimations ", "Implementation of Statewide Interoperability Plan ", "NIMS Training for Emergency Management Personnel ", "Development of Emergency Preparedness Plan for Individuals with Disabilities ", etc. Project Objective. Briefly explain the major objective of the project, including how the project will address gaps identified through various assessments conducted. Performance Measure and Basis of Evaluation. Indicate the performance measure that will be used to evaluate this project Challenges/Pisks. Identify any challenges to implementing this project or any of its activities. Quarterly Activity. Break each project down into quarterly activities, For each quarter, briefly identify the activities that will accomplish the planned project. This information will provide the foundation for the second component of the Quarterly Progress Report, Step. Provide the status of planned quarterly activities. The main steps and processes of the Project Management Lifecycle are summarized in the below table 39 Appendix C- FY 2014 EMPG Program Work Plan 55A -48 Comments. Briefly describe the reason for the prof ect status and provide other comments as needed. Include the number of training sessions funded and the number of personnel trained in this section. Grant Activities Outline - Template Name of Planned Project: Project Objective: Performance Measure and Basis of Evaluation: Challenges /Risks: 1s Quarter Activity Planned Activities: Step: Comments: (10/1113-12/31/13) 2no Quarter Activity Planned Activities: Step: Comments: 1 /1 /14. 3/31 /14 3` Quarter Activity Planned Activities: Step: Comments: 4/1/14. 6/30/14 4 Quarter Activlty Planned Activities: Step: Comments. 7/1 /14. 9/30/14 Tff 5 Quarter Activity Planned Activities: _ Step: Comments: 10/l/14-12/31 6 Quarter Activity ^ Planned Activities: Step: Comments: 1 /1 /15 -3/31 /15 7 Quarter Activity Planned Activities: Step: Comments: (4/l/15-6130/15) _ S Quarter Activity Planned Activities: Step: Comments: (7/l/15-9130/15) 40 Appendix C- FY 2014 BMPG Program Work Plan 55A -49 Project Manageinent Lifecycle Ste s bescrl tion Process The authorization to begin work or Involves preparing far, assembling Initiate resume work on any particular resources and getting work started. May activity apply to any level, e.g. program, project, hase, acti l task. The purposes of establishing, at an early Involves working out and extending the Plan date, the parameters of the project that theoretical, practical, and /or useful is going to be worked on as well as to try application of an idea, concept, or to delineate any specifics and /or any preliminary design. This also involves a plan peculiarities to the project as a whole for moving a project concept to a viable and /or any specific phases of the project. project. The period within the project lifecycle Involves directing, accomplishing, managing, and completing all phases and Execute during which the actual work of creating the project's deliverables is aspects of work for a given project. carried out. A mechanism which reacts to the Involves exercising corrective action as Control current project status in order to ensure necessary to yield a required outcome accomplishment of project objectives. consequent upon monitoring performance. This involves planning, measuring, Or, the process of comparing actual monitoring, and taking corrective action performance with planned performance, based on the results of the monitoring, analyzing variances, evaluating possible alternatives, and taking appropriate correct action as needed. The completion of all work on a project. Involves formally terminating and concluding Close Can also refer to completion of a phase all tasks, activities, and component parts of Out of the project a particular project, or phase of a project 41 Appendix C- FY 2014 LMPG Prog=i Work Plan 55A -50 EXHIBIT "B" 55A -51 (C41 DES Use 0"N1 Car QFS s Dan.G.u9r I as is VS UfDA 4 970l2 Grant 0 2014 007o . .. ... ..... .. .... 11-1-1.11. CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES GRANT AWARD FACE SHEET (Cal OES 2.101) I'de cai,lorrio ro,earor's otficoot Emergency $9 otao' Cal OES, harecar makes a Graul Award of funds In the ftl1lQwing: 1. Grant Recipient; qo .... itf-919.0nae. Ia. DUNS# U0-0,5 AnDt' In the a mount and for it Is purpose and duration act forth in this Grant Award, 2. I mratlmonthrit; Agency: C-Orrya.f.SalloArm 2a. DUNS!! oa•niti-32A, 3 folfiriniOntinr Agency Addross: 60 Civic canter M07A Soria ArA 4210 1 .1 as I - ----------------- 4. l,ccatonn of Project: Caynl Santa !lds, lU?T:! Qoy coanty 5, DisasteGPrpgram Title: h!xyMaliJSn!!.0'Pad arcs Giant 0. Perfor"hanco Period: orloVi to —1— - .... 4 ------ ...... ..... . . . .... Years Fund Source t A. State B, Federal i C radii 0 Cash E. In,Kind R fare G, Total Projectl • Match Match Match Cost 2014 -7 VNIPG �s 2,01 4311 WA34 ...... ...... select railacl S elect q sa loci $0 $0 U. a a + - 12 TO TA 14 '3 52 01 $52434 11 this Grant Aware consists of it"s st" longer the OpaliCatli'll for the grant. WhIch Is attAChad and modes part hereof, anal the AsnuraturexaCaroficartans, he fogy corCify am vested with Otte ownority ro enter Into this Grant Award Agroomard, and have the approval time Chy/Co; ... ty Financial Officer, City Manager County Administrator. Governing Baard Chair, or other Approving i3oOy. The Grant fieciplanil cc rtifills that all funds received pursuant to this agrartmomt will by spent exclusively on the purposes sivocsiedill the Grand Award, accupl5 this Grant Award and agrees to administer the grant project in accordance with the Grant Award an well as all applor0cha state and federal Laws, audit requirements, fijaeml program guidelines. and Cal OES policy and program guidance. rho Grant Recipient further qro" that the allocation at foods may be contingent or the enactment of the slate Budget, 14. Official Authorized to Sign lot ApielliminhOont Recipient: 15, Falderal EroplimarrIDN Name; Title: ONgLyl ElAca Telephone 11 i24WQQ 1 PAX flaoj'y arda---- Email Payment fanning Addrear- a Crty; Santa Anal lip-4. 92 Wirlt 7 Sidgairne: 7 Dale; i hereby certify ur"On in, persons, knowfiedge, fti'll Cudgeled funds are available in, the Pound and purposes Dr this expenditure; stated Db,)ve Cal OF$ Psom QOcar Data oil Ors D'ecto, tQ' o0eg000) Dart . ........... ..... Cl,ink Award Face Sheei -Car Orq f 101 licevied 1.;!3) 55A-52 55A -53 u� I4 ii I I ' i I I I I I 4 n M Lk I , i t j l j o, I II i I w I I j I I o,Y. j IR M) M Iv I I I j � a'� 1'1 Ii7Wj I w lad, ,I W I I rr I �T I,II� .III Ij1� dal j I i I I I l j I I ro , J IYI I j I I 1 Q I A N 55A -53 u� J. wi C. YS 55A-54 BE Cz M 55A-54 Cz M 55A-54 W u 1i ul'. r' 7' wl W L W U LJ LL Vn Ul K i Ul 7 iJ LL J L) W � a n r � a C ryry tl is w f5 fi C n V IAF V V a ti a' Jti f S 'F v fifi�� N F' t b h f ' tq1 G VY BC _n'ri G w E - a o L� I r .. s`. �aa W � a n r � a C ryry tl is w f5 fi C n V IAF V V a ti a' Jti 55A -55 P N 4 ' Q Cyi G 55A -55 P N {ry 4 �'1 i�Ct� i �FAiti ��� *��+✓�� }� 4F j1 t I � � xk F p oa C n W p N r 1 x y �I u M u 1 a 6 6 r �jun fS n 55A -56 {ry 4 55A-57 ro 01 . ...... .... -.j Sly c 55A-57 m M V lit I I�.� �ijl -Ili i I ��il 1-,- 7-1 ILI -i tt L-AL 55A-58 SSA.S§ R � B` ;... ! < ! !% ° \§ - 6 ! \/ 2; / 2> / SSA.S§ III �t ro Qa g� AN kit' M5 on - n a in 55A-60 O In LL IE IT tA g� AN kit' M5 on - n a in 55A-60 O In EXHIBIT "C" 55A -61 Fiscal Year 2014 EMERGENCY MANAGEMENT PERFORMANCE GRANTS (EMPG) PROGRAM California Supplement to the Federal Program Funding Opportunity Announcement; or, The State Guidance 55A -62 STATE OF CALIFORNIA Edmund G. Brown Jr, Governor CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES Mark S. Ghilarducci, Director Nancy Ward, Chief Deputy Director FINANCE & ADMINISTRATION DIRECTORATE Brendan A. Murphy, Deputy Director GRANTS MANAGEMENT SECTION Gina Buccieri- Harrington, Assistant Director CRIMINAL JUSTICE / EMERGENCY MANAGEMENT & VICTIM SERVICES BRANCH Gwen Durling, Branch Manager CRIMINAL JUSTICE / EMERGENCY MANAGEMENT DIVISION John Isaacson, Division Chief EMERGENCY MANAGEMENT GRANTS UNIT John Thomas, Supervisor Cheryl McCorlcle, Program Specialist Patti Delaney, Program Specialist Michelle Cruz, Program Specialist 55A -63 Director's Message The California Governor's Office of Emergency Services (Cal OES), as the leader in emergency management, continuously strives to protect lives and property, build capabilities, and support our communities for a resilient California. As a result of our (state govermnent, its political subdivisions, and tribal nations) dedicated efforts and collaborative partnerships, under the Emergency Management Performance Gram (EMPG), we have undoubtedly made our communities safer and better prepared. It is through our jointly vested responsibility in emergency management that a robust system of emergency preparedness, for the protection of life and property from all hazards and threats, has been established in the State of California. This year, through the EMPG Program, we will continue to promote the advancement of both our collective, as well as individual security and emergency management efforts. In addition, our efforts will support the National Preparedness Goal's associated mission areas and core capabilities. Throughout the duration of the grant, Cal OES EMPG program specialists and emergency services coordinators will continue to be available to assist you in enhancing your emergency management programs, both grant-related and operations - related, and I encourage you to contaet them for their respective guidance and advice. We have much work ahead of us as we continue to plan for both the expected and the unexpected. California continues to be recognized as a national leader in emergency management and the dedicated, staff at Cal OES will continue to work, collaboratively and in unison, with you to advance our combined efforts to promote safe and prepared comrmnities with the strength to withstand, or rebound, from any event or emergency. To further our progress, lam pleased to present the Cal OES Fiscal Year 2014 Emergency Management Performance Grant Program -- California Supplement to the Federal Program Funding Opporhmity Announcement. Mark S. Ghthifilututi Director 55A -64 Table of Contents FEDERALPROGRAM GUID ANCE ........................................................................................ ..............................1 INFORMATIONBULLETINS ............................................................................................... ............................... I GRANT MANAGEMENT MEMORANDUMS ..................................................................... ............................... .... I PURPOSE OF T141S SUBGRANT & GUIDANCE ..................................................................... ............................... I ELIGIBLE SUBGRANTREC[ PIENTS .................... ....... ........................................ ................................................ I SUBRECIPIENTS / PASS- THROUGH ENTITIES ..................................................................... ..............................1 PERFORMANCEPERIOD .................................................................................................... ............................... I MATCHREQUIREMENTS ................................................................................................... ..............................2 ALLOCATIONS AND METHODOLOGY ................................................................................. ..............................2 EXCESSFUNDS ................................................................................................................. ..............................2 SUBGRANT TIMELINES / KEY DATES ................................................................................ ..............................2 WHAT'S NEW? ................................................................................................................. ..............................3 EMPGPROGRAMM EMPHASIS ............................................................................................ ..............................3 APPLICANT RESPONSIBILITIES ........................................................................................... ..............................4 APPLICATIONDOCUMENTS ............................................................................................... ..............................4 OPTIONAL APPLICATION COMPONENTS ............................................................................ ..............................4 GOVERNING BODY RESOLUTION ( GBR) ............................................................................ ..............................5 ADDENDUM TO GOVERNING BODY RESOLUTION ............................................................. ..............................5 OFFICIAL WRITTEN CORRESPONDENCE ............................................................................ ..............................5 GRANT CERTIFICATIONS AND ASSURANCES ..................................................................... ..............................5 NIMSADOPTION .............................................................................................................. ..............................6 APPLICATIONDUE DATE .................................................................................................. ..............................6 APPLICATIONSUBMITTAL ................................................................................................. ..............................6 EMPGPROGRAM SPECIALISTS ......................................................................................... ..............................6 MAILINGADDRESS ........................................................................................................... ..............................6 APPROVAL OF APPLICATION ............................................................................................. ..............................6 ADDITIONALFUNDS ......................................................................................................... ..............................7 APPLICABLE LAWS & REGULATIONS ................................................................................ ..............................7 ENVIRONMENTAL PLANNING AND HISTORIC PRESERVATION (EHP) COMPLIANCE .......... ..............................7 FEDERALLY MANDATED OBJECTIVE INFORMATION ........................................................ ............................... 8 VALIDATING CAPABILITIES OBJECTIVE: DEVELOP AND MAINTAIN MULTI -YEAR TEPS .. ..............................9 VALIDATING CAPABILITIES OBJECTIVE: EXERCISE .......................................................... ..............................9 VALIDATING CAPAB[LITIFS OBJECTIVE: TRAINING ......................................................... .............................10 55A -65 TRAINING FEEDBACK NUMBER ..... ............................... SUBCONTRACTS,, ............................................ ............ SYSTEM FOR AWARD MANAGEMENT (SAM) ............ - MAINTENANCE AND S USTAINMENT ............................. UNALLOWABLE COSTS ................. ............................... SUPPLANTING............................... ............................... ACCESSIBILITY OF RECORDS — . .... ............................... REIMBURSEMENT OF ELIGIBLE COSTS ......................... GRANT MODIFICATIONS ................ PERFORMANCE REPORTS ............... ..............................� CLOSEOUT.................................... ............................... RECORDS RETENTION .................... ............................... FINAL SUBGRANT REPORT ............. ............................... AUDIT REQUIREMENTS .................. ............................... MONITORING SUBGRANT PERFORMANCE ..................... GRANT- RELATED DOCUMENTS': ................................................ .............................11 ................................. .............................11 ................................................ .............................11 ....... - ....................................... .............................11 ................................................ .............................12 ................................................ .............................12 ................................................ .............................12 ................................................ .............................12 ............................................... .............................12 ............................................... .............................13 ............................................... .............................13 ............................................... .............................13 ................................................ .............................13 .............................................. .............................13 ...... ............................... . ......... .............................13 • FINANCIAL MANAGEMENT FORMS WORKBOOK (FMFW) — (REQUIRED) • GOVERNING BODY RESOLUTION (GBR) & ADDENDUM TO GBR— (REQUIRED) • GRANT CERTIFICATIONS AND ASSURANCES — (REQUIRED) • FY2014 EMPG APPLICATION CHECKLIST — (REQUIRED) • EXCESS FUNDS STATEMENT FORM — (OPTIONAL) • ADDITIONAL PROJECT USING EXCESS FUNDS FORM — (OPTIONAL) • ADDITIONAL PROJECT USING EXCESS FUNDS DETAILED BUDGET FORM — (OPTIONAL) • HOW TO SUBMIT AN EMPG MODIFICATION REQUEST — (INSTRUCTIONAL) • HOW TO SUBMIT AN EMPG REIMBURSEMENT REQUEST — (INSTRUCTIONAL) 'All documents can be located on Cal OES' website aC: b1lp: / /www.oaloes.ca �+ov/EMS- iiS -FI z a'ei,;gpno-MauagemenC- Peffo ftl lftnCE- GCant-DOCUiIlEnf9.ft,4pt. 55A -66 Federal Program The U.S. Department of Homeland Security (DHS) published the Fiscal Year 2014 Guidance Emergency Management Performance Grants (EMPG) Program, Funding Opportunity Announcement (FOA) on March 10, 20142. Information DHS issues Information Bulletins that provide updates, clarification, and requirements Bulletins throughout the life of the grant 3. Grant Cal OES issues Grant Management Memorandums (GMMs) that provide additional Management information regarding EMPG funds 4. Memorandums Purpose of this The purpose of the Emergency Management Performance Grant (EMPG) Program is to Subgrant & provide federal funds to states to assist state, local, and tribal governments in preparing for all Guidance hazards. Funds provided under the EMPG must be used to support activities that contribute to the Operational Area's capability to prevent, prepare for, mitigate against, respond to, and recover from emergencies and disasters, whether natural or man -made. This California Supplement to the Federal Program Funding Opportunity Announcement will provide the Operational Areas (OAs) with guidance and forms to apply for, perform, and closeout the FY14 EMPG subgrant. This supplemental guide specifies the performance period, objectives, eligible activities, and other subgrant - related information and requirements. This document is to supplement the U.S. Department of Homeland Security FY14 EMPG Program Funding Opportunity Announcement; Eligible Subgrant The eligible subgrant recipients are the 58 county Operational Areas (OAs). The Tribal Recipients Guidance will be issued under separate cover. (Subgrantees may contract with any other public or private organizations to perform eligible activities on approved projects.) Note: Cal OES is the, `grantee'; the county is the `subgrantee'; and the county's pass - through entities are the `subreeipients'. Sub recipients / Any time grant funds are given to a subrecipient/pass- through entity, such as a political Pass - Through subdivision (city, town, or special district) or federally- recognized tribe, the county must Entities ensure that the Assurances and Certifications of this subgrant are included as part of the subgrant agreement with the subrecipient/pass- through entity. Performance The performance period for FY 14 EMPG is July 1, 2014 through Junc 30, 2015. Period Pending receipt of all valid application materials, subgrantees may request retroactive reimbursement of Financial Management Forms Workbook (FMFW) approved activities and budgeted items to the start of the performance period listed above; with the exception of Equipment. Procurement of equipment shall occur only after the OA is in grant award, and any applicable federal requirements have been met. z U.S. Department of Homeland Security FYJ4 TAZPG Program Funding Opportumiy Announcement may be viewed and downloaded at: ' Information Bulletins may be obtained at: A GMMs can be located at: littu: / /www.catc [1] 55A -67 Match The FYI EMPG requires a dollar- for - dollar match, This can be cash or in -kind. Refer to 44 Requirements Code of Federal Regulations (CFR), Part 13.24 for specific details. Allocations and California will subgrant a total of $15,481,623 to Operational Areas. The local allocations Methodology were determined using a $125,000 base award, with remaining funds distributed using per capita figures in the Department of Finance's yearly report called: E -1: City /County Population Estimates with Annual Percent Changes Excess Funds While developing an application, if it is determined that all allocated funds cannot be expended by the end of the performance period and the need to return a portion of fiords to Cal OES exists, then it will be necessary to complete ire Excess Funds Statement Form6. These Rinds can then be reallocated to other OAs who have identified one -time projects they would like to undertake; if funding is available. Subgrant Timelines / Key ]Dates March 10, 2014 D DHS releases announcement of FY14 E1vlPG April 9, 2014 C Cal OES' Application due to DHS July 1, 2014 S Subgrantee Performance Period Begins July 1, 2014 F FY14 EMPG California Supplement to the Federal Program Funding Opportunity Announcement released fuly 8, 9, 11, 15, 22, 25, 29, 2014_ E EMPG A pplication Workshops August 21, 2014 T The OA's completed /vetted applications must be received by Cal OES Grants Management Section Program Specialist by this date September 30, 2014 D DHS awards grant fiords to Cal OES September 30, 2014 M MY -TEPs due to be submitted October 14, 2014 P Performance Report due to Program Specialist for 7/1/14 - 9/30/14 October 1.4, 2014 A Anticipated date that OAs will be notified of aDDlication amiro yal and award January 14, 2015 P Performance Report due to 'Program Specialist for- 7/l/2014– 12/31/2014 April 14, 2015 P Performance Report due to Program Specialist for 7/1/201.4– 3/31/2015 June 30, 2015 S Subgrantee performance period ends. All subgrant activities must be completed and all rant funds ex vended July 14, 2015 F Final Performance Report due to Program Specialist for 7/1/2014 – 6/30/2015 July 14, 2015 F Final Reimbursement Request due to Program S ecialist September 30, 2015 C Cal OES' Federal Performance Period Ends This report can be accessed at the following website: http: / /www di This forth can be located at: http://,,vww.caloes.ca.gov/ElvfS-FTS-El Documents_as _xx, under FY 14 EMPG Optional Application Forms. [2] 55A -68 What's New? • The Cal OES Strategic Plan Goals have been updated. • The EMPG specific FMFW has been revised, to include dropdown menu options on the Project Descriptions Tab, • SAFECOM requirements — Subgrantees (including their subrecipients) who receive awards under the EMPG that wholly or partially provide funding for emergency communication projects and related activities shall comply with the most recent version of the SAFFCOM Guidance on Emergency Communications Grants.7 • Where, and to whom, all official Cal OES written notification will be mailed within a subgrantee's organization has been revised. • The EMPG Performance Report form has been revised to capture additionally required information for federal reporting purposes. • EMPG- funded personnel can no longer utilize participation in one real -world event in lieu of participating in one of their three required exercises within a 12 -month period. EMPG The FY14 EMPG Program will focus on the building, sustaimnent, and delivery of all- hazards Program emergency management capabilities in the following areas: Emphasis • Planning • Organization • Equipment Acquisitions • Training • Exercises • EOC Construction and Renovation • Maintenance and Sustainment The PY14 EMPG Program plays an important role in the implementation of the National Preparedness System (NPS)a by supporting the development and sustairmient of core capabilities. Core capabilities are essential for the execution of each of the five mission areas outlined in the National Preparedness Goal (NPG). The development and sustairinicnt of thew core capabilities are not exclusive to any s$2gle level of govermnent or organization, but rather require the combined effort of the whole community. The FY14 EMPG Program supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. The SAEECOM Guidance on Emergency Communications Grants can be located at: ht m /ta_t -afec_ omp rRm ov /eca/ 093 stifecom atdaace Peb 22 fmal.�df "The National Preparedness System can be located at: http://www,feiuq.gov/11,ltlotial- [31 55A -69 Applicant The applicants' responsibilities are to: Responsibilities 1. Submit a finalized FMFW application, both electronic copy and hard copy, to their Cal OES EMPG Program Specialist by August 21, 2014 along with all other required application components, Note: An electronic copy of the proposed FMFW shall be submitted for Program Specialist review and vetting prior to submission of signed hard copy original. The electronic copy of the FMFW should be submitted for Cal OES review by no later than August 4, 2014, 2. Comply with all certifications and assurances contained in the Grant Assurances submitted with the FY14 EMPG application. In addition, if the OA subgrants finds to other entities, their subgrant agreements /contracts must also include these same assurances and certifications; along with any local requirements. 3. Prepare and submit timely Performance Reports for the duration of the performance period. 4. Maintain fmancial management systems that support subgrant activities in accordance with Title 44 CFR, Part 13.20.,.,._, 5. Submit revision requests to Cal OES gLia to incurring any associated expenditures; if changes are required after the initial subgrant award. Further details are included in this guidance under "Grant Modifications." 6. Deobligate unexpended subgram funds to Cal OES after all work has been completed and reimbursements have been disbursed. 7. Maintain property, programmatic, and financial records in accordance with the grant record retention requirements. 8. Comply with the audit requirements in (OMB) Circular A -133, and Title 44 CFR Part 13.26. 9. Complete all EMPG requirements associated with federal and state objectives; including but not limited to, staff training and exercises. 10. Submit all grant - related paperwork including: Performance Reports, Reimbursement Requests, Modification Requests, and Amendments, by the identified due dates. 11. Comply with Title 44 CFR Part 13, Title 2 CFR Part 225, and FEMA Grant. Programs Directorate (GPD) Polices, Application T1 Documents 1. 2, 3. 4. 5. e application must include the following five components: Financial Management Forms Workbook (FMFW) Governing Body Resolution (GBR) Addendum to Governing Body Resolution Grant Certifications and Assurances FY14 Emergency Management Performance Grants Application Checklist Optional Excess Funds Statement Form - While developing an application, any excess funds should Application be identified and returned to Cal OES so that the funds can be reallocated to other Components Operational Areas. In this case, it will be necessary to complete and submit the Excess Funds Statement Form to your Program Specialist by the application due date. Additional Project Using Excess Funds Form and Additional Project Using Excess Funds Detailed Budget - These two forms are to be used for requesting additional funding; should it become available. Application components can be found on the Cal OES website on the Emergency Management Performance Grants Documents page at: tttp. / /www caloos ca aov/ ENiS- FdS- HazMaC/ Pades/ E+ iner¢ er�cv- Mu7aeernenf- Fetformance- Grant- Dncuments.asg�r. [4] 55A -70 Governing The Governing Body Resolution (GBR) appoints agents authorized to execute any actions Body necessary under this subgrant. GBRs can be used for up to three years as long as the majority of Resolution the original approving Board members (three out of five) are still currently on the Board. If past (GBR) GBRs are going to be utilized for present applications, then the OA will still need to submit a copy with their application. Universal GBRs are strongly encouraged; this refers to a GBR that does not identify a specific grant award amoumt, specific grant years, and does not identify a specific grant program by name. Addendum to For each person or position appointed by the governing body, submit the following information Governing to Cal OES, along with the Resolution, on the applicant's letterhead: Body • Name e Title Resolution • Jurisdiction + E -Mail Address • Street Address, City, & Zip Code • Phone and Fax Number(s) Note: Changes identifying the Authorized Agent can be made if and when necessary. If the Governing Body Resolution identifies the Authorized Agent by name, a now Resolution and corresponding Addendum to the GBR are needed when any changes are made. If the Governing Body Resolution identified the Authorized Agents by position and /or title, changes can be made by only submitting a new Addendum to the GBR. Cal OES will not accept signatures of an Authorized Agent's designee, Official Written For the EMPG Program, all official written correspondence from Cal OES will be mailed to the Correspondence payment mailing address, identified on the Grant Award Face Sheet, and addressed to the Authorized Agent who signed the Grant Award Face Sheet. Grant The Grant Certifications and Assurances Form lists the requirements to which the OA will be Certifications held accountable. OAs are required to file a new Grant Certifications and Assurances form with and Assurances the FY14 EMPG appl.ioation. Failure to comply with any of the Certifications and Assurances may result in suspension, termination, or reduction of grant funds. The State may suspend or terminate subgrant funding, in whole or in part, or other measures may be imposed for any of the following reasons: • Failing to expend fiurds in a timely manner consistent with the grant milestones, guidance, and assurances • Failing to comply with the requirements or statutory objectives of federal or state law • Failing to make satisfactory progress toward the goals or objectives set forth in the subgram application • Failing to follow grant agreement requirements or special conditions • Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding • Failing to submit required reports on time • Providing false certification hi the application or other report or document • Failing to adequately manage, monitor, or direct the grant funding activities of their subrecipients • Failing to submit a Reimbursement Request Before taking action, the State will provide the subgrantee reasonable notice of intent to impose corrective measures and will make every effort to resolve the problem informally. [5] 55A -71 NIMS Adoption In accordance with the homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents, the adoption of the National Incident Management System (NIMS) is a requirement to receive federal preparedness assistance, through grants, contracts, and other activities, The Certification and Assurances Form includes NIMS adoption for certifying compliance, This certifies that the OA will complete the NIMS Implementation Tool, is working on their metrics, and has adopted NIMS. For further details and /or assistance regarding NIMS - related matters contact Nate Ortiz at nate,-ortiz(i)caloes,ca gov, (916) 845 -8799; or Cindy Shipley at 0211-111 .shipfe�(ilcaloos ca uov, (916) 845 -8753. Application Due The application must be received by Cal OES no later than 5:00pm on August 21, 2014. Date Application The completed original hard copy of the FMFW and all other application components must be Submittal mailed with original signatures, with enough time to be received by Cal OES' Grants Management Section by the Application Due Date, Signatures should be in ink. OAs will also submit an electronic copy of the completed FMFW to their Program Specialist. All application materials must be received by Cal OES Grants Management Section by August 21„ 2014 at 5:00P . Note: To streamline the process, electronically submit the completed FMFW to your EMPG Program Specialist prior to submitting a signed hard copy, in order to identify any corrections that may need to be addressed. The electronic copy of the FMFW should be submitted for Cal OES review by no later than August 4, 2014. Work closely with your Program Specialistto to ensure that all application documents are complete and accurate. Further, EMPG Program Specialists (Grant Management Staff) are available to assist in any EMPG - related matters. If the application is received with errors or is incomplete, this will cause a delay in receiving your award letter by October 2014. Subgrantees must receive the grant award letter prior to drawing down any grant funds. EMPG Grant Management Staff: Program Southern Region — Cheryl McCorkle: cheryl,mecor1deQcaioes.ca.eov, (916) 845 -8415 Specialists Inland Region — Patti Delaney: patti.dclanev @caloes ca.aov, (916) 845 -8469 Coastal Region —Michelle Cruz: michelle.cruzCa)caloes.c , (916) 845 -8383 Mailing Cal OES Address Emergency Management Grants Unit (EMGU) 3650 Schriever Avenue Mather, CA 95655 Approval of Cal OES will notify the CA, in writing, of the approved application, award amount, and Application performance period. Subgramee reimbursements will not be made until all required application components have been approved by the State. 10 Emergency Management Grants Unit contact information: http: / /www,calema ca eov/EMS- HS- H'azMat /Paves /Emeageney- MgtiLLyei ent- Performance- Graa7t,- DocumettGS.aspx under the heading of EMPG Reference Links, titled Cal OES Grant Staff Regional Assignment Map. [61 55A -72 Additional In order to reallocate any identified excess, declined, or d ®obligated funds, we are asking the Funds OAs to submit one -time EMPG eligible projects that they can fully execute in a 2 -5 month period, as well as, within the subgrant performance period. The Additional Protect Usin¢ Excess Funds Form and Additional Proiect Using Excess Funds Detailed Budget should be submitted if you are interested in additional funds T If selected for funding, the applicant will be required to submit an FMFW Modification Request and an Amendment Form that will comprehensively integrate the approved excess funds project(s), both financially and programmatically, into their existing, approved FMFW application. These documents need to be submitted within 15 days of being notified; or funds may be re- directed to some other project(s). Additional fimding requests may be submitted at any time but preferably during the application phase. Applicable OAs must ensure that local and internal departments are aware of the following laws, ]Laws & regulations, and guidance documents that apply to this subgrant: Regulations • Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended • Office of Management and Budget (OMB) Circulars A -87, A -102, A -133 at: littp://www,whitehouse.gov/omb/circulars/iiiclex.html • Title 44 Code of Federal Regulations Part 13 • California Emergency Services Act, Chapter 7 of Division 1 of Title 2 of the Government Code — provides the legal basis for Emergency Management activities in California • Government Code Section 8607 describes the Standardized Emergency Management System • California Supplement to the Federal Program Funding Opportunity Announcement provided by Cal OES • FY 2014 Emergency Management Performance Grants (EMPG) Funding Opportunity Announcement (FOA), issued by the U.S. Department of Homeland Security (DHS): Federal Emergency Management Agency (FEMA) • FEMA Grant Programs Directorate (GPD) Polices Environmental FEMA is legally required to consider the potential impacts of all grant - ,funded projects on Planning and environmental resources and historic properties. For the EMPG Program and other preparedness Historic grant programs, this is accomplished through FEMA's Environmental Planning and Historic Preservation Preservation (EHP) review. Any project with the potential to impact natural or biological _ (EHP) resources, or historic properties, or involves installation, or that involves Emergency Operation Center construction and renovation cannot be initiated until FF,MA has completed the required Compliance EHP compliance review. Subgrantees that implement projects prior to receiving EHP approval from FEMA risk de- obligation of funds. Subgrantees who are proposing communication tower projects are encouraged to complete their Federal Communications Commission (FCC) EHP process prior to preparing their EHP review materials for the Grants Program Directorate (GPD), and to include their FCC EHP materials with their submission to GPD. 'EMPG Program projects that involve the installation of equipment; ground- disturbing activities; new construction„ including communication towers; or modification/renovation of existing buildings or structures must undergo a FEMA EHP review. n These forms can be 'located at: httu:/(www.catoes.ca.eov /EMS d- IS-HazM2t /Pa es/E,merge,Eq,Muia� =emeat- Per {'ocivance- Grant- D0CLanents aspx, tinder FY 14 EMPG Optional Application Forms. [7j 55A -73 Environmental Furthermore, for those proposed construction or renovation projects that are part of larger Planning and projects funded from a non -FEMA source (such as an Emergency Operation Center that is part Historic of a larger proposed public safety complex), a FEMA EHP review must be completed before the Preservation larger project is initiated. (EHP) For these types of projects, subgrantees must complete the FEMA EHP Screening Form (OMB Compliance, Number 1660- 0115 /17EMA Form 024 -0 -01) and submit it, with all supporting documentation, to Continued Cal OES, Note: Subgrantees should submit the FEMA EHP Screening Form for each applicable project as soon as possible upon receiving their grant award. However, to ensure that ample time exists to allow for the FEMA EHP review and approval process, as well as the subsequent execution of the grant - funded project, all subgrantee EHP - related documents must be received by Cal OES no later than January 30, 2015. Exceptions to this due date wilt be at the discretion of Cal OES, based on exceptional circumstances and/or compelling justification. Refer to IBs 329, 345, 356, and 371 (located at: http: / /www.fema .gov /graiits /frrant- proarams- directorate- information - bulletins) for further details on EHP requirements. The EHP Screening Form can be downloaded at: http: / /www,fenta.gov /doe/ government /grant /bulletins /info329 final screening memo.docx. Forward completed EHP documents electronically to the appropriate Cal OES EMPG Program Specialist. The following activities would not require the submission of the FEMA EHP Screening Form: planning and development of policies or processes; management, administrative or personnel actions; classroom -based training; tabletop exercises; and acquisition of mobile and portable equipment (not involving installation). Projects initiated without proper EHP review will not be funded. Projects that were initiated or completed before an EHP review was concluded, using EMPG Program funds, will be deobligated. To avoid unnecessary delays in starting a project, subgramees are encouraged to pay close attention to the reporting requirements for an EHP review. Federally Validating Capabilities, Priority Objective, and Performance Measures 12 Mandated To address the EMPG priorities, an objective has been identified and given a set of performance Objective measures and associated reporting requirements to determine how effective subgrantees are in Information utilizing EMPG Program fimding to prepare for all hazards, and advance a whole community approach. With these measures, subgrantees must evaluate their progress toward achieving the stated objectives in the quarterly EMPG Performance Report and in compliance with all reporting requirements, "The Federally Mandated Objectives Gan be located in the FY 2014 EMPG Funding Opportunity Announcement, Appendix A -FY 2014 EMPG} Program Priorities, pages 25 -27 at: littp: / /www.fema.eov/ media - library-,dat /13984.3.3.298042- l8d5c17604fdb97c5ef5b49419a7et Tl1 /FY2014 EMPG FOA Revised. 508,2 f. [81 55A -74 Validating SubgranteeRequirements; Capabilities Objective • 1. All subgrantees are required to develop a Multi -Year Training and Exercise Plan (TEP) Develop and that incorporates linkages to the NPG core capabilities and update it annually, The Multi - Year TEP shall encompass the period of January 1, 2015 — December 31, 2016, Maintain Multi- 2. The TEP must be submitted to the Cal OES Exercise Division POCs and EMPG Program Year TEPs Specialist by September 30, 2014, Note: TEPs shall be e- mailed to Cal OES Exercise Division Point of Contacts (POCs), with a copy to their EMPG Program Specialist (Grant Management Staff) no later than September 30th each year. Exercise POCs listed below are available for assistance, if needed, in any exercise - related matters. • Southern Region —Nick Lowe: nicholas.loweiilcaloes.ca�ov • Inland Region —Duane Valenzuela: duane.valenzuelaL6bcaloes.ca..aov • Coastal Region —Kevin Leisher: kevin,leisher(@,caloes.ca.gov Measurement Method: • Submission to Cal OES of an updated Multi -Year TEP. Reporting: Additional information and guidance related to AARTPs and the National Exercise Program (NEP) Base Plan can be found on the HSEEP website at https: / /hseep.dhs.gov. Questions regarding HSEEP guidance may be directed to hscep@&cma.dhs.gov. For HSEEP Toolkit technical support, contact the HSEEP helpdesk at supportLdihseep.net, 877 -612 -4357. Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in lieu of a fall AAR/IP. E -mail the copies of the AAR/1Ps to your EMPG Program Specialist. 191 55A -75 • Subgrantees must report in the EMPG Performance Report their compliance with submitting an updated Multi -Year TEP to Cal OES. Validating 1. All EMPG Program- funded personnel shall participate in no less than three exercises in Capabilities a 12 -month period-; This 12 -month period shall be the subgrant performance period of Objective: July 1, 2014— June 30, 2015, regardless of time extensions. EMPG grant - funded Exercise personnel are any personnel paid at any percentage with EMPG funding, including M &A staff. There is no specific requirement for level of "participation" in the exercises; so, observation and attendance satisfies the objective. The exercises can be of any type (e.g,, Drills, Tabletop Exercises, or Functional Exercises) within the performance period (see haps;/ hseep&I .goy). 2. An After Action Report/Improvement Plan (AAR /IP) must be completed by the host of each EMPG- fmrded exercise and submitted to hseep &f ma.dhs. aov_, and a copy sent to your EMPG Program Specialist within 90 days after the completion of an exercise. 3. A summary of all collected corrective action items and the tracking of their implementation shall be reported as part of the EMPG quarterly reporting. Additional information and guidance related to AARTPs and the National Exercise Program (NEP) Base Plan can be found on the HSEEP website at https: / /hseep.dhs.gov. Questions regarding HSEEP guidance may be directed to hscep@&cma.dhs.gov. For HSEEP Toolkit technical support, contact the HSEEP helpdesk at supportLdihseep.net, 877 -612 -4357. Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in lieu of a fall AAR/IP. E -mail the copies of the AAR/1Ps to your EMPG Program Specialist. 191 55A -75 Validating A summary of all collected corrective action items and a tracking of their implementation shall Capabilities be reported as part of the EMPG quarterly reporting. FEMA encourages the use of the Homeland Objective: Security Exercise and Evaluation Program (HSEEP). Exercise, Continued Exercise Division staff are available for assistance with any exercise - related questions or matters. Measurement Method: • Percent of exercises participated by the OA's EMPG - funded personnel. • Submission of an AARAP completed by the host of the EMPG - funded exercises. Reporting: • Subgrantees must report quarterly in the EMPG performance report, the percent completed of the exercise requirements for the EMPG - funded personnel. • Subgrantees must submit AAR/IPs for each EMPG- funded exercise, if the exercise is hosted by the subgrantee. AAR/IPs will be completed by the host of the exercise. Participants do not have to individually complete an AAR/IP. Validatintz Training activities supported with EMPG Program finds should strategically align to the NPG Capabilities core capability identified in the Multi -Year TEP. To ensure the development of a professional Objective: emergency management workforce all EMPG grant - funded personnel shall complete 11 training Training requirements and record proof of completion. EMPG grant - funded personnel are any personnel paid at any percentage with EMPG funding. This includes M &A staff funded by EMPG Program funds, All EMPG Program funded personnel shall complete the following training requirements by June 30, 2015. National Incident Management System (N'IMS ) Training_ IS I OO.b Introduction to Incident Command System (ICS) IS 200 b ICS for Single Resources and Initial Action Incident IS 700,a National Incident Management System, An Introduction IS 800.b National Response Framework, An Introduction FEMA Professional Develonment Series IS 120.a Introduction to Exercises IS 230.4 Fundamentals of Emergency Management IS 235.b Emergency Planning IS 240.a Leadership and Influence IS 241.b Decision Making and Problem Solving IS 242b Effective Commtmication IS 244,b Developing and Managing Volunteers The aforementioned listed courses are available on -line and at no cost from the Emergency Management Institute (EMI) at the following links: hitp://training.fema. ov /[S /N'MS.aspx & htto: //training.fema.gov emiweb /PDS/ Note: The "G" course series and classroom -based equivalents can be used as an alternate to satisfy these training requirements. Past completion of the above courses (or qualifying equivalent) is considered acceptable in meeting this requirement. Recorded proof of completion, [10] 55A -76 Validating such as certificates of completion, must exist and be kept on file by the subgrantee and be made Capabilities available for review upon request. Objective: Measurement Method: Training Continued Percent of EMPG grant - funded personnel completing the previously identified 11 required training courses. Reporting: Subgrantees are required to share with Cal OES a TEP that includes an exercise plan and schedule, and a plan for training personnel. Information related to TEPs can be obtained by consulting Cal OES' Exercise Division POC. • Submission of a list of EMPG grant- funded personnel along with the training and dates completed is to be included in the EMPG Program quarterly Performance Report, Training In order for EMPG Program finds to be utilized for training - related purposes, subgrantees must Feedback first obtain a Training Feedback Number. Training Feedback Numbers must be obtained no later Number than thirty (3 0) days prior to the training event. To be considered for a Training Feedback Number, subgrantees must complete a Training Request Forra and submit it electronically to Cal OES, Training Request Forms can be obtained at the following link: htto : / /www,calerna.ca,gov /TraiLi ngan(lExercises/ Pages /Training- Regquest .FgrLn.Lspx For Training Request Form or Training Feedback Number assistance contact Johnie Garrett at I 1m. aarrett(cb,caloes.ca.go_v. Subcontracts Any time fiends are given to a contractor, the local jurisdiction must ensure that all contract provisions of this subgrant are included as part of the contractual agreement with the contractor. The OA must monitor and ensure that the contractors are adhering to all applicable federal and state laws. The OA must not make or permit any award (subgrant or contract) at any tier to any party that is debarred, suspended, or otherwise excluded from, or ineligible for participation in federal assistance programs, such as the EMPG. Subgrantees must obtain documentation of eligibility prior to any subaward of EMPG finds and be prepared to present supporting documentation to monitors. System for The System for Award Management (SAM) includes information regarding entities debarred, Award suspended, proposed for debarment, excluded or disqualified under the non - procurement Management common rule, or otherwise declared ineligible from receiving federal contracts, certain (SAM) subcontracts, and certain federal assistance and benefits. Contractor disbarment verification can be obtained from the following website: https : / /wwtv.satn,gov, Maintenance The use of EMPG finds for maintenance contracts, warranties, repair or replacement costs, and upgrades, licenses, and user fees are allowable under all active and future grant awards, unless otherwise noted. With the exception of maintenance plans purchased incidental to (i.e., at the Sustainment same time and tinder the same grant award as) the original purchase of the system or equipment, the period covered by a maintenance agreement or warranty plan must not exceed the period of performance of the specific grant Rinds used to purchase the plan or warranty, and address the requirements identified in FEMA Information Bulletin (IB) 379. [11] 55A -77 Unallowable a Expenditures for weapons systems and ammunition Costs • Costs to support the hiring of sworn officers for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities • Activities unrelated to the completion and implementation of the EMPG Program Supplanting Grant funds must be used to supplement existing fiords, not replace (supplant) funds that have been appropriated or budgeted for the same purpose through non - federal sources. In the event that supplanting is suspected, the subgrantee will be required to supply doctmientation demonstrating or certifying that a reduction in non - federal resources occurred for reasons other than the receipt, or expected receipt, of federal funds. Accessibility of The federal Department of Homeland Security, the DHS Office of Inspector General, the Records Comptroller General of the United States, Cal OES, and any of their authorized representatives, shall have the right of access to any books, documents, papers, or other records which are pertinent to the subgrant, in order to make audits, monitoring reviews, examinations, excerpts, and transcripts. The right of access is not limited to the required retention period but shall last as long as the records are retained. Refer to Title 44 CFR Part 13.42 for more information about accessibility of records. Reimbursement The EMPG is a reimbursement grant and therefore no cash advances are permitted under the of Eligible Costs EMPG. The EMPG funds will be disbursed on a reimbursement basis, using the FMFW. Follow the Workbook instructions for Reimbursement Requests13 and submit the signed forms to your EMPG Program Specialist. It can take between six to eight weeks to receive payment after the Grants Management Section receives a valid and complete Reimbursement Request. It is strongly recommended that copies of all documents adding up to the total of each Reimbursement Request be retained to make verification by monitors and /or auditors easier. Cal OES may require submittal of these documents at any time. Grant Post award budget, scope, and other modifications must be requested using the Cal OES FMFW Modifications and be signed by the subgrantee's Authorized Agent. A hard copy must be submitted to Cal OES and approved by Cal OES' Grants Management Section, pt•ior to initiating any revised scope of work or incurring the associated expenditures. The OAs may submit modifications to Cal OES once per quarter during the performance period. Failure to submit modifications and receive approval prior to expenditure could result in a reduction or disallowance of that part of the subgrant. Instructions on how to submit a Modification Request are available at the link identified in the footnote, 14 The Reimbursement Request instructions can be located at: I, tt .- ftmy.ealoes.ca ggvLLM$- HS-Ftazlytat /Pages /1;nteraency I fanagement- P erfo rmauee- Grant -Doca meats. asox. t The Modification Request instructions can be Located at: li p: / /www caloes oa ov /F S-HSHaz_nv tit/- ,ggos/Eme,rwency-Manaeentettt- e �forrrr yancc- .Gray�:- Docu.ments.asp.N. [121 55A -78 Performance Subgrantees must prepare and submit Performance Reports to the State for the duration of the Reports grant performance period, or until all grant activities are completed and the grant is formally closed by Cal OES, The report must include the progress made on identified activities, as well as other required information and data. Failure to submit a Performance Report could result in subgrant reduction, termination, or suspension. Subgrantees must also complete a Biannual Strategy Implementation Report (BSIR) using the DHS/FEMA Grants Reporting Tool (GRT). To obtain access to the online ORT, log on to their website at www.reporting,odp.dhs.aov. To create a new account, follow the instructions that read, "If you need to register for an account, please click here." For additional assistance with the GRT, contact: Gina Joaquin at gina. joagain(a)caloes.ca.gov, (916) 845 -8647. Closeout The State will close a subgrantee award after: • Receiving a subgrantee Performance Report indicating that all approved work has been completed, and all funds have been disbursed • Completing a review to confirm the accuracy of reported information • Reconciling actual costs to awards, Modifications, and payments If the closeout review and reconciliation indicates that the subgrantee: • Is owed additional funds, the State will send the final payment automatically to the subgrantee • Did not use all funds received, the State will issue a deobligation amendment, invoice or letter to recover unused funds • Did not expend all obligated grant funds, the State will require that a Grant Award Amendment be done to deobligate the unspent funds and revert them back to the State Records Specific requirements for record retention can be found in Title 44 CFR Part 13.42. In the Retention Grant Closeout Letter, the State will notify the subgrantee of the start of the record retention period for all programmatic and financial grant - related records. Final Subgrant Cal OES will review the OA's final Performance Report for compliance with all subgrant Report conditions. The final Performance Report is due to Cal OES by July 14, 2015 (unless the subgrant performance period is extended) and will serve as the final subgrant report. Audit The OAs, and their subrecipients, must comply with the audit requirements contained in OMB Requirements Circular A -133 and Title 44 CF'R Part 13.26. Monitoring The State may perform periodic reviews of the OA's subgrant performance. The Monitoring Subgrant Division is actively conducting monitoring visits, both desk review and on -site, among Performance subgramees. These reviews may include, but are not limited to: • Comparing actual subgrant activities to those approved on the Financial Management Forms Workbook • Confirming compliance with: — Grant Assurances — Information provided on the Performance Reports • Rcviewing and monitoring financial and administrative records [13] 55A -79 XHIBIT "D" 55A -80 FY14 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms, and Conditions FEDERAL AGREEMENT ARTICLES Article I - Administrative Requirements The administrative requirements that apply to most DES award recipients through a grant or cooperative agreement arise from two sources; 1) Office of Management and Budget (OMB) Circular A -102, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments (also known as the "A -102 Common Rule "), found under DES regulations at Title 44, Code of Federal Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. 2) OMB Circular A -110, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non - Profit Organizations, relocated to 2 CFR Part 215. The requirements for allowable costs /cost principles are contained in the A -102 Common Rule, OMB Circular A- 110 (2 CFR § 215.27), DES program legislation, Federal awarding agency regulations, and the terms and conditions of the award. The four costs principles that apply to DES award recipients through a grant or cooperative agreement originate from the following sources: - OMB Circular A -21, Cost Principles for Educational Institutions, relocated to 2 CFR Part 220. - OMB Circular A -87, Cost Principles for State, Local, and Indian Tribal Governments, relocated to 2 CPR Part 225. - OMB Circular A -122, Cost Principles for Non - Profit Organizations, relocated to 2 CFR Part 230. - OMB Circular A -133, Audits of States, Local Governments and Non - Profit Organizations; origination of audit requirements for State, Local and Tribal recipients of DES awards. Article II - DHS Specific Acknowledgements and Assurances All recipients of financial assistance must acknowledge and agree -and require any subrecipients, contractors, successors, transferees, and assignees acknowledge and agree -to comply with applicable provisions governing DHS access to records, accounts, documents, information, facilities, and staff. 1. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS. 2. Recipients must give DHS access to and the right to examine and copy records, accounts, and other documents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by DHS regulations and other applicable laws or program guidance. 3. Recipients must submit timely, complete, and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation to support the reports. 4. Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance. 5. It, during the past three years, the recipient has been accused of discrimination on the grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DES awarding office and the DHS Office of Civil Rights and Civil Liberties. 6. In the event any court or administrative agency makes a finding of discrimination on grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status against the recipient, or the recipient settles a case or matter alleging such discrimination, recipients must forward a copy of the complaint and findings to the DHS Component and /or awarding office. The United States has the right to seek judicial enforcement of these obligations. Initials 55A -81 Article III - Lobbying Prohibitions None of the funds provided under an award may be expended by the recipient to pay any person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any Federal action concerning the award or renewal of any Federal contract, grant, loan, or cooperative agreement. These lobbying prohibitions can be found at 31 U.S.C. §1352. Article IV - Acknowledgement of Federal Fundine from DHS All recipients of financial assistance must comply with requirements to aelmowledge Federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with Federal funds. Article V - Copyright All recipients of financial assistance will comply with requirements that publications or other exercise of copyright for any work. first produced tinder Federal financial assistance awards hereto related unless the work includes any information that is otherwise controlled by the Government (e.g., classified information or other information subject to national security or export control laws or regulations). For any scientific, technical, or other copyright work based on or containing data first produced under this award, including those works published in academic, technical or professional journals, symposia proceedings, or similar works, the recipient grants the Government a royalty -free, nonexclusive and irrevocable license to reproduce, display, distribute copies, perform, disseminate, or prepare derivative works, and to authorize others to do so, for Government ptu-poses in all such copyrighted works. The recipient must affix the applicable copyright notices of 17 U.S.C. § 401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work lust produced under an award. Article VI - Use of DIIS Seal, Logo and Flags All recipients of financial assistance must obtain DHS's approval prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. Article V1I - Activities Conducted Abroad All recipients of financial assistance will comply with the requirements, and must ensure, that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained. Article VIII - Fly America Act of 1974 All recipients of financial assistance must comply with the requirements of the Preference for U.S. Flag Air Carriers: Travel supported by U.S. Government funds requirement, which states preference for the use of U.S. flag air carriers (air carriers holding certificates under 49 LT. S.C. § 41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B138942. Article IX - GPD - Drug -Free Workplace Regulations All recipients of financial assistance must comply with the requirements of the Drug -Free Workplace Act of 1988 (412 U.S.C. § 701 et seq,), which requires that all organizations receiving grants from any Federal agency agree to maintain a drug -free workplace. The recipient must notify the awarding office if an employee of the recipient is convicted of violating a criminal drug statute. Failure to comply with these requirements may be cause for debarment. These regulations are codified at 2 CFR 3001. Initials 55A -82 Article X - GPD - Trafficking Victims Protection Act of 2000 All recipients of financial assistance must comply with the requirements of the govenmzent -wide award term which implements Section 106(g) of the Trafficing Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104), located at 2 CPR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register, Volume 72, No. 218, November 13, 2007. In accordance with the statutory requirement, each agency award under which funding is provided to a private entity, Section 106(g) of the TVPA, as amended, requires the agency to include a condition that authorizes the agency to terminate the award, without penalty, if the recipient or a subrecipient - (a) Engages in severe forms of trafficking in persons during the period of time that the award is in effect; (b) Procures a commercial sex act during the period of time that the award is in effect; or (c) Uses forced labor in the performance of the award or sub - awards under the award. Full text of the award term is provided at 2 CFR § 175,15. Article XT — Title VT of the Civil Rights Act of 1964 All recipients of financial assistance must comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 U,S,C. § 2000d et seq.), codified at 6 CFR Part 21 and 44 CFR Part 7, which provides that no person in the United States will, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. Article X11 - Civil Right Act of 1968 All recipients of financial assistance must comply with Title VIII of the Civil Rights Act of 1968, which prohibits recipients from discriminating in the sale, rental, financing, and advertising of dwellings, or in the provision of services in connection therewith, on the basis of race, color, national origin, religion, disability, familial status, and sex (42 U.S.C. §3601 et seq,), as implemented by the Department of Housing and Urban Development at 24 CFR Part 100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units i.e., the public and common use areas and individual apartment units (all units in buildings with elevators and ground -floor units in buildings without elevators) -be designed and constructed with certain accessible features (see 24 CFR. §100,201). Article X1II - Americans with Disabilities Act of 1990 All recipients of financial assistance must comply with the requirements of Titles I, 11, and III of the Americans with Disabilities Act, which prohibits recipients from discriminating on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12101 - 12213). Article XIV - Age Discrimination Act of 1975 All recipients of financial assistance must comply with the requirements of the Age Discrimination Act of 1975 (42 U.S.C. §6101 et seq.), which prohibits discrimination on the basis of age in any program or activity receiving Federal financial assistance. All recipients of financial assistance must comply with the requirements of Title IX of the Education Amendments of 1972 (20 U.S.C. §1681 et seq.), which provides that no person in the United States will, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any educational program or activity receiving Federal financial assistance. These regulations are codified at 6 CFR Part 17 and 44 CFR Part: 19. Article XVI - Rehabilitation Act of 1973 55A -83 Initials All recipients of financial assistance must comply with the requirements of Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. §794, as amended, which provides that no otherwise qualified handicapped individual in the United States will, solely by reason of the handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. These requirements pertain to the provision of benefits or services as well as to employment. All recipienta must comply with the Civil Right Act of 1964 (Title VI), prohibition against discrimination on the basis of national origin, which requires that recipients of Federal financial assistance must take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services. Providing meaningful access for persons with LEP may entail providing language assistance services, including oral interpretation and written translation. In order to facilitate compliance with Title VI, recipients are encouraged to consider the need for language services for LEP persons served or encountered both in developing budgets and in conducting programs and activities. Executive Order 13166, improving Access to Services for Persons with Limited English Proficiency (August 11, 2000), requires federal agencies to issue guidance to recipients, assisting such organizations and entities in understanding their language access obligations. DHS published the required recipient guidance in April 2011, DHS Guidance to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 76 Fed. Reg. 21755 - 21768, (April 18, 2011). The Guidance provides helpful information such as how a recipient can determine the extent of its obligation to provide language services; selecting language services; and elements of an effective plan on language assistance for LEP persons. For additional assistance and information regarding language access obligations, please refer to the DHS Recipient Guidance hops: / /ww,,v.dhs, aoy/gWdance- published -helu- d artment- snorted- orgatljy, ons provide- meanin ful- aaoess- people l� }xli ed and additional resources on lutp://www.le oy. Article XVIII - Animal Welfare Act of 1966 All recipients of financial assistance will comply with the requirements of the Animal Welftu•e Act, as amended (7 U.S.C. §2131 et seq.), which requires that minimum standards of care and treatment be provided for vertebrate animals bred for commercial sale, used in research, transported commercially, or exhibited to the public. Recipients must establish appropriate policies and procedures for the humane care and use of animals based on the Guide for the Care and Use of Laboratory Animals and comply with the Public Health Service Policy and Goverranent Principles Regarding the Care and Use of Animals. All recipients of financial assistance will comply with the requirements o£42 U.S.C. §7401 et seq. and Executive Order 11738, which provides for the protection and enhancement of the quality of the nation's air resources to promote public health and welfare and for restoring and maintaining the chemical, physical, and biological integrity of the nation's waters. Article XX - Protection of Human Subjects All recipients of financial assistance will comply with the requirements of the Federal regulations at 45 CFR Part 46, which requires that recipients comply with applicable provisions /law for the protection of human subjects for purposes of research. Recipients must also comply with the requirements in DHS Management Directive 026 -04, Protection of Human Subjects, prior to implementing any work with human subjects. For purposes of 45 CFR Part 46, research means a systematic investigation, including research, development, testing, and evaluation, designed to develop or contribute to general Icnowledge. Activities that meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program that is considered research for other purposes. The regulations specify additional protections for research involving human fetuses, pregnant women, and neonates (Subpart 13); prisoners (Subpart C); and children (Subpart D). The use of autopsy materials is governed by applicable State and local law and is not directly regulated by 45 CFR Part 46, Initials 55A - -84 All recipients of financial assistance will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42 U.S.C. §4331 et seq., which establishes national policy goals and procedures to protect and enhance the environment, including protection against natural disasters. To comply with NEPA for its grant - supported activities, DHS requires the environmental aspects of construction grants (and certain non - construction projects as specified by the component and awarding office) to be reviewed and evaluated before final action on the application. Article XXII - National Flood Insurance Act of 1968 All recipients of financial assistance will comply with the requirements of Section 1306(c) of the National Flood Insurance Act, as amended, which provides for benefit payments under the Standard Flood Insurance Policy for demolition or relocation of a structure insured under the Act that is located along the shore of a lake or other body of water and that is certified by an appropriate State or local land use authority to be subject to imminent collapse or subsidence as a result of erosion or undermining caused by waves or currents of water exceeding anticipated cyclical levels. These regulations are codified at 44 CFR Part 63. Article XXHJ - Flood Disaster Protection Act of 1973 All recipients of financial assistance will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 [J.S.C. § 4001 of seq.), which provides that no Federal financial assistance to acquire, modernize, or construct property may be provided in identified flood -prone communities in the United States, unless the community participates in the National Flood Insurance Program and food insurance is purchased within one year of the identification. The flood insurance purchase requirement applies to both public and private applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published in the Federal Register by FEMA. All recipients of financial assistance will comply with the requirements of Executive Order 11990, which provides that federally funded construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive Order provides that, in furtherance of Section 101(b)(3) of NEPA (42 U.S.C. §4331(b)(3)), Federal agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction located in wetlands unless the head of the agency finds that there is no practicable alternative to such construction, and that the proposed action includes all practicable measures to minimize harm to wetlands that may result from such use. In malting this finding, the head of the agency may take into account economic, environmental, and other pertinent factors. The public disclosure requirement described above also pertains to early public review of any plans or proposals for new construction in wetlands. This is codified at 44 CFR Part 9. Article XXV - USA Patriot Act of 2001 All recipients of financial assistance must comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. § §175 -175c. Among other things, it prescribes criminal penalties for possession of any biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic, protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on access to specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or receive any biological agent or toxin that is listed as a select agent. n1 U, W nn V x — neat rracnces ror uouection ano Use of Personally Identifiable Information (PII) All recipients of financial assistance who collect PlI are required to have a publicatly- available privacy policy that describes what PII they collect, how they use the PII, whether they share PII with third parties, and how individuals may have their PII corrected where appropriate. Useful resources are the DHS Privacy Impact Initials 55A -85 Assessments: litto; / /www.dhs.gov /xlibrary/ assets /privacy /privacy piajuicianoe june2010.pff, and uov /xlibraiv /assets /privacy /pi'i,vacy gia tel-fl �g.,pdf. Article XXVIl — Duplication of Benefits State, Local, and Tribal Recipients must comply with 2 CFR Part §225, Appendix A, paragraph (C)(3)(c), which provides that any cost allocable to a particular Federal award or cost objective under the principles provided for in this authority may not be charged to other Federal awards to overcome fund deficiencies. tr]L'lluly0 V III — 1`axScL AUA1113 trAOl dlAw r A vglu 111 I I Ulm\AY1I 1IVLLLVU1Va All recipients of financial assistance must comply with the requirements of 31 U.S.0 §3729 which set forth that no recipient of Federal payments shall submit a false claim for payment. See also 38 U.S.0 §3801 -3812 which details the administrative remedies for false claims and statements made. Article XXIX — Federal Debt Status All recipients of financial assistance are required to be non - delinquent in their repayment of any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowance, and benefit overpayments. See OMB Circular A -129 and form SF -42413, item number 17 for additional information and guidance. Article XXX — Hotel and Motel Fire Safety Act of 1990 Itn accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. §2225(a), all recipients must ensure that all conference, meeting, convention, or training space funded in whole or in part with Federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, 15 U.S.C. §2225. Article XXXI — Nou- supplanting Requirement All recipients who receive awards made under programs that prohibit supplanting by law must ensure that Federal funds do not replace (supplant) funds that have been budgeted for the same purpose tluough non - Federal sources. Where Federal statues for a particular program prohibits supplanting, applicants or award recipients may be required to demonstrate and document that a reduction in non - Federal resources occurred for reasons other than the receipt of expected receipt of Federal funds. Article XXXII — Debarment and Suspension All recipients must comply with Executive Orders 12549 and 12689, which provide protection against waste, fraud and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government, f lLMIV L1L1L1111 -1 UVU V4llllGll Lpl llllllllll 1p Lllll 1 -L V- L l 1 Alai A All recipients of financial. assistance proposing projects that have the potential to impact the environment, including but not limited to construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description that explains the goals and objectives of the proposed project along with supporting documentation so that FEMA may determine whether the proposed project has the potential to impact environmental resources and /or historic properties. The EHP review process must be completed before finds are released to tarty out the proposed project. EHP Policy Guidance can be found in FP 108- 023 -01, Environmental Planning and Historic Preservation Policy Guidance, at http // vw.fema.Npv/ media- librat�/ggsets /document /85376. Article XXXIV — SAFECOM 55A -86 Initials All recipients who receive awards made under programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications. All recipients investing in broadband - related investments should review Information Bulletin (IB) 386: Clarification on Use of DHS/FEMA Public Safety Grant Funds for Broadband - Related Expenditures and Investments before developing applications. The SAFECOM Guidance on Emergency Communication Grants can be found at: FY 2014 SAFECOM Guidance on Emergency Communications Grants. ASSURANCES The applicant hereby assures and certifies compliance with all applicable Federal statutes, regulations, policies, guidelines, and requirements. See Article I above. The applicant also specifically assures and certifies that it: 1. Has the legal authority to apply for Federal assistance, and the institutional, managerial, and financial capability (including funds sufficient to pay the non - Federal share of project costs) to ensure proper planning, management, and completion of the project described in this application. 2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the assistance or award; and will establish a proper accotmting system in accordance with generally accepted accounting standards or agency directives. See Article II above. 3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. § §4728 -4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of Office of Personnel Management's (OPM) Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F), 6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88 -352) which prohibits discrimination on the basis of race, color or national origin: (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § §1681- 1683, and 1685 - 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. § §6101 - 6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -2S5), as amended, relating to nondiscrimination on the basis of drug abase; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism;(g) § §523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. § §290 dd -3 and 290 cc-3), as amended, relating to confidentiality of alcohol and chug abuse patient records; (h) Title VIII of the Civil Right Act of 1968 (42 U.S.C. § §3601 et seq.), as amended, relating to nondiscrimination in the sale, rental, or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and, (j) the Initials 55A -87 requirements of any other nondiscrimination statute(s) which may apply to the application. See Articles XI, XII, XIII, XIV, XV, XVI, and XVII. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L, 91 -646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal and /or federally - assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases, 8. Will comply, as applicable, with the provisions of the Hatch Act (5 U.S.C, § §1501 -1508 and 7324 -7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. §§ 276a to 276a -7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. §874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. § §327 -333), regarding labor standards for federally- assisted construction subagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93 -234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable constriction and acquisition is $10,000 or more; and the National Flood Insurance Act of 1968. See Articles XXII and XXIII. 11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of envirorunental quality control measures under National Environmental Protection Act (NEPA) of 1969 (P.L. 91 -190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. § §145'1 et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. § §7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93 -523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93 -205), See Articles XIX, XXI, and XXIV. 12. Will comply with the Wild and Scenic Rivers Act of 1968 (I6 U.S.C. §§ 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. § §469a -1 or seq.). Alt proposed construction and renovation activities must undergo an Environmental Planning and historic Preservation (EHP) review, including approval of the review from FEMA, prior to undertaking any action related to the project, Any applicant that is proposing a construction project should pay special attention to the EHP requirements. See Article XXXIII 14. Will comply with P.L. 93 -348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. See Article XX. Initials 55A -88 15. Will comply with the Laboratory Animal welfare Act of 1966 (P.L. 89 -544, as amended, 7 U.S.C. § §2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. See Article XVIII. 16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. § §4801 et seq.) which prohibits the use of lead -based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1996 or OMB Circular No. A -133, "Audits of States, Local Governments, and Non -Profit Organizations." 18, Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program. This includes all requirements, restrictions and regulations identified in the California Governor's Office of Emergency Services (Cal OES) Fiscal Year 2014 Emergency Management Performance Grants (EMPG) Program - California Supplement to the Federal Program Funding Opportunity Announcement; or, The State Guidance. 19. Will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C, 7104) which prohibits grant award recipients or a. sub - recipient from (1) Engaging in severe forms of trafficking in persons during the period of time that the award is in effect (2) Procuring a commercial sex act during the period of time that the award is in effect or (3) Using forced labor in the performance of the award or subawards under the award. See Article X. 20. Will comply with Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents. The adoption of the NIMS is a requirement to receive Federal preparedness assistance, through grants, contracts, and other activities. The NIMS provides a consistent nationwide template to enable all levels of government, tribal nations, nongovernmental organizations, and private sector partners to work together to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity. 21, Will not dispose of, modify the use of, or change the terms of the real property title, or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the Federal interest in the title of real property in accordance with awarding agency directives and will include a covenant in the title of real property acquired in whole or in part with Federal assistance funds to assure non- discrimination during the useful life of the project. 22. Will comply with the requirements of the assistance awarding agency with regard to the drafting, review and approval of construction plans and specifications. 23. Will provide and maintain competent and adequate engineering supervision at the constriction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progress reports and such other information as may be required by the assistance awarding agency or State. 24. Will comply with Public Law (PL) 109 -282 (Federal Funding Accountability and Transparency Act of 2006), as amended by Section 6202(a) of the Government Funding Transparency Act of 2008 (PL 110 -252), which is outlined in FEMA GPD Information Bulletin NO. 350. If the subgrantee in the preceding year did not get 80% or more of its annual gross revenues from Federal Awards, and $25M or more in annual gross revenues from Federal Awards, and the public does have access to information about the compensation of the senior executives of the entity, then the subgrantee is not subject to the FFATA Financial Disclosure requirements. Initials 55A -89 25. Will comply with the following: (a) All recipients of financial assistance must acknowledge and agree —and require any subrecipients, contractors, successors, transferees, and assignees acknowledge and agree ---to comply with applicable provisions governing Cal OES access to records, accounts, documents, information, facilities, and staff; (b) Recipients must cooperate with any site visit, compliance /monitoring review or complaint investigation conducted by Cal OES; (c) Recipients must give Cal OES access to and the right to examine and copy records, accounts, and other documents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by Cal OES regulations and other applicable laws or program guidance; (d) Recipients must submit timely, complete, and accurate reports to the appropriate Cal OES officials and maintain appropriate backup documentation to support the reports; and (e) Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by law or detailed in the program guidance. 26. Will comply with the EMPG - Funded Personnel Training and Exercise Requirement. All recipients of financial assistance must acknowledge and agree —and require any subrecipients, to acknowledge and agree —to comply with the EMPG - funded personnel training and exercise requirement, as detailed in both the Federal and State program guidance. Failure to comply with this requirement, by individuals whose salary is funded in part or whole with EMPG, may result in the incurred salary costs associated with the non- compliant EMPG- handed personnel from being eligible for reimbursement and/or result in the recipient's repayment of already disbursed grant funding associated with the non - compliant EMPG -funded personnel's salary - related costs. CERTIFICATIONS 1. CERTIFICATION FOR CONTRACTS GRANTS LOANS AND COOPERATIVE AGREEMENTS: The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. See Article III. (2) If any funds other than Federal appropriated £rinds 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 of Lobbying Activities," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. 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 malting 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. Statement for Loan Guarantees and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: Initials 55A -90 If any 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 commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. Submission of this statement is a prerequisite for malting or entering into this transaction imposed by section 1352, title 31, U,S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 2. DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS (DIRECT RECIPIENT)_ As required by Executive Orders 12549 and 12589, Debarment and Suspension, and implemented at 44 CPR, Part 17 (See Article XXXII): A. The applicant certifies that it and its principals: (1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; (2) Have not within a three -year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or Local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft-, forgery, bribery, falsification or destruction of records, malting false statements, or receiving stolen property; (3) 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 (A)(2) of this certification; and (4) Have not within a three -year period preceding this application had one or more public transactions (Federal, State, or Local) terminated for cause or default; and B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 3, CERTIFICATIONS REGARDING DRUG -FREE WORKPLACE REQUIREMENTS: This certification eorrunits the applicant to compliance with the certification requirements under 44 CFR, Part 17 Governnient- wide Requiretnents, far Drug -Free Morkplace (Grants). See Article IX. A. The grantee certifies that it will or will continue to provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing an ongoing drug-free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drag -free workplace; Initials 55A -91 (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will — (1) Abide by the terms of the statement; and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; (e) Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was wonting, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; (f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted— (1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drag -free workplace through implementation of paragraphs (a), (b), (c), (d), (e), and (f). 4. S WEATFREE CODE OF CONDUCT: a. All applicants contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a public works contract, declare under penalty of perjury that no apparel, garments or corresponding accessories, equ'i'pment, materials, or supplies furnished to the state pursuant to the subgrant have been laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. The applicant further declares under penalty of perjury that they adhere to the Sweatfree Code of Conduct as sat forth on the California Department of Industrial Relations website located at www a.oa.gQy, and Public Contract Code Section 6108. b. The applicant agrees to cooperate fiilly in providing reasonable access to the applicant's records, documents, agents or employees, or ,premises if reasonably required by authorized officials of the contracting agency, the Department of Industrial Relations, or the Department of Justice to determine the contractor's compliance with the rcquirements under paragraph (a). Initials 55A -92 5. DOMESTIC PARTNERS: For subgrants executed or amended after July 1, 2004, the applicant may elect to offer domestic partner benefits to the applicant's employees in accordance with Public Contract Code section 10295.3. However, the applicant cannot require an employee to cover the costs of providing any benefits which have otherwise been provided to all employees regardless of marital or domestic partner status. TERMS AND CONDITIONS The following laws apply to persons or entities doing business with the State of California. 1. CONFLICT OF INTEREST: Applicant needs to be aware of the following provisions regarding current or former state employees, If subgrantee has any questions on the status of any person rendering services or involved with the Agreement, the awarding agency must be contacted immediately for clarification. Current State Employees (Public Contract Code ,§10410): 1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment. 2) No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services. Former State Employees (Public Contract Code ,§10411): 1) For the two -year period from the date he or she left state employment, no former state officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision - making process relevant to the contract while employed in any capacity by any state agency. 2) For the twelve -month period from the date he or she left state employment, no former state officer or employee may enter into a contract with any state agency if be or she was employed by that state agency in a policy - malting position in the same general subject area as the proposed contract within the 12 -month period prior to his or tier leaving state service. If applicant violates any provisions of above paragraphs, such action by applicant shall render this Agreement void. (Pub. Contract Code §10420) Members of boards and commissions are exempt from this section if they do not receive payment other than payment of each meeting of the board or commission, payment for preparatory time and payment for per diem. (Pub. Contract Code §10430 (e)) 2. LABOR CODE/WORKERS' COMPENSATION: Applicant needs to be aware of the provisions which require every employer to be insured against liability for Workers' Compensation or to undertake self - insurance in accordance with the provisions, and applicant affirms to comply with such provisions before commencing the perforrmance of the work of this Agreement. (Labor Code Section 3700) 3. AMERICANS WITH DISABILITIES ACT: Applicant assures the State that it complies with the Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. 12101 et seq.) Initials 55A -93 4. APPLICANT NAME CHANGE: An amendment is required to change the applicant's name as listed, on this Agreement. Upon receipt of legal documentation of the name change the State will ,process the amendment. Payment of invoices presented with a, new name cannot be. paid prior to approval of said amendment. 5. RESOLUTION: A county, city, district, or other local public body must provide the State with a copy of a resolution, order, motion, or ordinance of the local governing body which by law has authority to enter into an agreement, authorizing execution of the agreement. 6, AIR OR WATER POLLUTION VIOLATION: Under the State laws, the applicant shall not be: (1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or an air pollution control district; (2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of the Water Code for violation of waste discharge requirements or discharge prohibitions; or (3) finally determined to be in violation of provisions of federal law relating to air or water pollution. SYSTEM FOR AWARD MANAGEMENT (SAM) AND UNIVERSAL IDENTIFIER REQUIREMENTS: A. Requirement for System for Award Management (SAM) Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required. under this award or receive the final payment, whichever is later. This requires that applicants and recipients 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. B. Requirement for Data Universal Numbering System (DUNS) Numbers If recipients are authorized to make subawards under this award, they: 1. Must notify potential subrecipi,ents that no entity (see definition in paragraph C of this award terns) may receive a subaward from you unless the entity has provided its DUNS number to you. 2. May not make a subaward to an entity unless the entity has provided its DUNS number to you. C. Definitions For purposes of this award term: 1. System for Award Management (SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site (currently at bttp: / /www.smn.gz y). 2. Data Universal Numbering System (DUNS) number means the nine digit number established and assigned by Dun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS number may be obtained from D &B by telephone (currently 866 - 705 -5711) or the Intemet (currently at bttp://fedaoy.dnb,com/wehform). 3, Entity, as it is used in this award term, means all of the following, as defined at 2 CFR §25.320, subpart C: a. A Governmental organization, which is a State, Local government, or Indian Tribe; b. A foreign public entity; c. A domestic or foreign nonprofit organization; 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- Federat entity. 4. Stibaward, as defined in 2 CFR § 170.325: 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. Initials 55A -94 b. The term does not include your procurement of property and services needed to carry out the Projector program (for further explanation, see Sec. 210 of the attachment to OMB Circular A -133, " Audits of States, Local Government, and Non -Profit Organizations "). c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5. Subrecipient, as defined in 2 CFR §25.360, means an entity that: a. Receives a subaward frorn you under this award; and b. Is accountable to you for the use of the Federal funds provided by the subaward. 8, FINANCIAL GUIDELINES: The recipient and any subrecipient shall comply with the most recent version of the Administrative Requirements, Cost Principles, and Audit Requirements. A non - exclusive list of regulations commonly applicable to FEMA grants are listed below: A. Administrative Requirements 1. 44 CFR 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments 2. 2 CFR Part 215, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non - Profit Organizations (OMB Circular A -1 IC) 3. 44 CFR part 10, Environmental Considerations B. Cost Principles 1. 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments (OMB Circular A- 87) 2. 2 CFR Part 220, Cost Principles for Educational Institutions (OMB Circular A -21) 3, 2 CFR Part 230, Cost Principles for Non - Profit Organizations (OMB Circular A -122) 4. 48 CFR 31,2, Federal Acquisition Regulations (FAR), Contracts with Commercial Organizations C, Audit Requirements 1. OMB Circular A -133, Audits of States, Local Governments, and Non - Profit Organizations 9, PROHIBITION ON USING FEDERAL FUNDS: The recipient understands and agrees that it cannot use any Federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, without the express prior written approval of FEMA. 10, COMPLIANCE WITH PROGRAM GUIDANCE: The recipient agrees that all allocations and use of funds under this grant will be in accordance with the Program guidance and application kit, 11. CLASSIFIED SECURITY CONDITION: A. Classified national security information, as defined in Executive Order (EO) 12958, as amended, means information that has been determined pursuant to EO 12958 or any predecessor order to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form. B, No funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information if the award recipient has not been approved for and has access to such information. C. Where an award recipient has -been approved for and has access to classified national security information, no funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information by the contractor, subawardee, or other entity without prior written approval from the DNS Office of Security, Industrial Security Program Branch (ISPB), or an appropriate official within the Federal department or agency with whom the classified effort will be performed, D. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7, Initials 55A -95 2008; EOs 12829, 12958, 12968, as amended,; the National Industrial Security Program Operating Manual (NISPOM); and /or other applicable implementing directives or instructions. All security requirement documents are located at: ht –Lww —w hs, =ov /xo anbiz/ ,rantsJudex.shim E. Immediately upon determination by the award recipient that funding under this award will be used to support such a contract, subaward, or other agreement, and prior to execution of any actions to facilitate the acquisition of such a contract, subaward, or other agreement, the award recipient shall contact ISPB, or the applicable Federal department or agency, for approval and processing instructions. DRS Office of Security ISPB contact information: Telephone: 202 - 447 -5346 Email: DD254AdministrativeSecurity( (a)dh, s aov Mail: Department of Homeland Security Office of the Chief Security Officer ATTN: ASD /Industrial Security Program Branch Washington, D.C. 20528 12. REPORTING SUBAWARD AND EXECUTIVE COMPENSATION: A. Reporting of first -tier subawards, L Applicability. Unless you are exempt as provided in paragraph D. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub, L. 111 -5) for a subaward to an entity (see definitions in paragraph E. of this award term). 2. Where and when to report. a. You must report each obligating action described in paragraph A.I. of this award tern to jLA1? //www.fsrs.uov. b.For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2012, the obligation must be reported by no later than December 31, 2012) 3. What to report, You must report the information about each obligating action that the submission instructions posted at http:/ /www.fsrs.gnv specify. B. Reporting Total Compensation of Recipient Executives, 1. Applicability and what to report. You rnust report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if- a. The total Federal funding authorized to date under this award is $25,000 or more; b.in the preceding fiscal year, you received - i. 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and c. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U, S, Security and Exchange Commission total compensation filings at lattp: / /wwwsec. t?oa /answers /execom �.httn,) Initials 55A -96 2. Where and when to report. You must report executive total compensation described in paragraph B.1. of this award terms: a.As part of your registration profile at http;/ /w4vw.sam.gov. b.By the end of the month following the month in which this award is made, and annually thereafter. C. Reporting of Total Compensation of Subrecipient Executives, 1. Applicability and what to report, Unless you are exempt as provided hz paragraph D. of this award term, for each first -tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year if- a, in the subrecipient's preceding fiscal year, the subrecipient received - i. 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CPR 170.320 (and subawards); and ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and b.The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15 (d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at t t_//www.sec. >ov /answers /execonip l tin.) 2. Where and when to report. You must report subrecipient executive total compensation described in paragraph C.1, of the award terns: a, To the recipient. b.By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year. D. Exemptions. 1, If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report: a.Subaward, and b.The total compensation of the five most highly compensated executives of any subrecipient, E. Definitions. For purposes of the award terms: 1. Entity means all of the following, as defined in CFR §25.320: a.A Governmental organization, which is a State, Local government, or Indian Ttribe; b.A foreign public entity; c.A domestic or foreign nonprofit organization; d.A domestic or foreign fox - profit organization; e.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, as defined in2 CFR § 170.315. 3. Subaward, as defined in 2 CRF § 170,325: Initials 55A -97 a.This term means a legal instrarnent 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. b7he term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec._ 210 of the attachment to OMB Circular A -133, "Audits of States, Local Governments, and Non -Profit Organizations "). c. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. 4. Subrecipient, as defined in 2 CFR §25,360 means an entity that: a, Receives a subaward from you (the recipient) under this award; b.Is accountable to you for the use of the Federal funds provided by the subaward. 5. Total compensation, as defined in 2 CFR §170.330 means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)): a. Salary or bonus. b.Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. c. Earnings for services under non - equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. d. Change in pension value, This is the change in present value of defined benefit and actuarial pension plans. e. Above - market earnings on deferred compensation which is not tax- qualified. f. 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 $10,000. Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and applicant may be ineligible for award of any future State agreements if the department determines that any of the following has occurred: the applicant has made false certification, or violated the certification by failing to carry out the requirements as noted above. (Gov. Code §8350 et seq.) I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly authorized to legally bind the prospective jurisdiction to the assurances and certifications listed above. Jurisdiction (Printed) By (Authorized Signature) Printed Name and Title of Person Signing Date L'xecuted Initials 55A -98 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2015 TITLE: CONFIRM APPOINTMENTS TO COUNCIL COMMITTEES AND REGIONAL BOARDS, FILL VACANT POSITIONS AND ADOPT A RESOLUTION FOR ORANGE COUNTY FIRE AUTHORITY REPRESENTATIVES (STRATEGIC PLAN NO. 5, 1) ( � 44141 — C MA GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _...* 9 ❑ As Recommended ❑ As Amended ❑ Ordinance on 16' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Confirm appointments to the following Council committees: • Appoint Sarmiento and Martinez to the Finance, Economic Development and Technology Council Committee. 2. Select three members to sere on the Public Safety, Neighborhood Improvement & Code Enforcement Council Committee: ✓ Amezcua ✓ Benavides ✓ Reyna ✓ Tinajero 3. Confirm appointments to the following regional boards: • Appoint Michele Martinez as City's representative to the Metropolitan Water District Board (replaces Dan Griset). • Appoint Sal Tinajero as City's representative to the OC Sanitation District (replaces D. Benavides). • Appoint Roman Reyna as City's representative to the OC Water District (replaces V. Sarmiento). • Appoint Angelica Amezcua as City's representative to the Orange County Fire Authority (replaces S. Tinajero). • Appoint David Benavides as the City's representative to the Transportation Corridor Agencies (TCA) 5513-1 Confirm Appointments to Council Committees and Regional Boards March 3, 2015 Page 2 4. Select members to serve on the following: ✓ Orange County Fire Authority (OFCA) ✓ Orange County Sanitation District ✓ S.A. / Orange T.S.I.A. ✓ S.A. / Tustin T. S. LA. ✓ Transportation Corridor Agencies (TCA) Alternate Alternate Alternate Alternate Alternate 5. Adopt a resolution confirming the appointment(s) to the Orange County Fire Authority. DISCUSSION On February 17, 2015 the City Council reviewed and recommended changes to the various council committees and regional boards. Prior to the meeting, the Clerk of the Council received the names of the councilmembers interested in serving on the various boards and committees and noted information on the tables below, including the name of Councilmember Tinajero who was absent at said meeting. Action by City Council will confirm changes to said committees and boards; all others will remain status quo. Council committees may be comprised of up to three members and are subject to the Brown Act, since they are standing committees. Councilmembers Amezcua, Benavides, Reyna and Tinajero expressed interest in serving on the Public Safety Committee; City Council will need to appoint up to three members. The Finance, Economic Development and Technology Committee received interest from Councilmember Martinez and Mayor Pro Tern Sarmiento, with potential seat available for consideration. The regional boards were also reviewed and changes recommended at the February 17, 2015 City Council Meeting. The City Council motioned to replace the Orange County Vector Control representative, but later staff determined that California Health and Safety Code section 2022 requires the trustee to serves until their term expires, which will be January 16, 2016. The following alternate positions remain open and may be considered for appointment at tonight's meeting: Orange County Sanitation District, Orange County Fire Authority, S.A. /Orange T.S.I.A., S.A./Tustin T.S.I.A., and the Transportation Corridor Agencies (TCA). Finally, staff has prepared a resolution to confirm the appointment to the Orange County Fire Authority, as required in their bylaws. 55B -2 Confirm Appointments to Council Committees and Regional Boards March 3, 2015 Page 3 Public Safety/ Neighborhood Improvement / Code Enforcement (NICE) COUNCIL COMMITTEES • Benavides • Reyna Every other Month • " "�� Jan., Mar., May, July, Sept., Nov. • Amezcua 4t" Tuesday, 5:30 p.m. • Tinajero • Sarmiento Every other Month Finance, Economic Development Jan., Mar., May, July, Sept., Nov. and Technology •Martinez `Benavides 2nd Monday, 5:30 p.m. Note: * *Joint SAUSD Council Committee to meet twice a vear in Anril & Octoher REGIONAL 130ARDS msgw� W9 agg %1011440 m M �T 2nd Tues of mo. @ 12:30 Metropolitan Water District Michele Martinez Rep. p.m. with Cmte mtgs at 8 Board (MWD) a.m. and also 4th Tues all day OC Sanitation District * Sal Tinajero Rep. 4th Wednesday at 7 p.m. OC Sanitation District * Alt. 4th Wednesday at 7 p.m. 15 & 3d at 5:30 p.m. at 18700 Ward Street, OC Water District * Roman Reyna Rep. Fountain Valley, CA — Committees meet at various times and dates Orange County Fire * Angelica Amezcua Rep. Monthly at 6:30 p.m. Authority (OFCA ) Orange County Fire Authority OFCA) * Alt. Monthly at 6:30 p.m. S.A. / Orange T.S.I. Alt Quarterly, 4th Thursday at 4 p. M. S.A. / Tustin T.S.I.A Alt Quarterly, 4th Thursday at 4 p. M. Transportation Corridor Agencies (TCA David Benavides Rep. 2nd Thursday at 9:30 am 55B -3 Confirm Appointments to Council Committees and Regional Boards March 3, 2015 Page 4 S TM? vT,S+..a�..0 Nv k AII, TENT,. Transportation Corridor * Alt. 2nd Thursday at 9:30 am Agencies (TCA) 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 action. "-a, Maria D. Huizar, Clerk of the Council 55B -4 RESOLUTION NO. 2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, REPEALING RESOLUTION NO, 2014 -007 AND DESIGNATING AND APPOINTING A NEW REPRESENTATIVE AND ALTERNATE TO THE ORANGE COUNTY FIRE AUTHORITY'S BOARD OF DIRECTORS WHEREAS, the City, as a "member" of the Orange County Fire Authority Joint Powers Authority (JPA) is entitled to appoint a representative director ( "Director") and alternate to the Orange County Fire Authority's Board of Directors, and WHEREAS, each member agency, by resolution of its governing body, shall designate and appoint one representative to act as its Director on the Authority Board of Directors, except the County whose Board of Supervisors shall appoint two representatives to act as its Directors, and WHEREAS, each Director shall be a current elected member of the governing body, and WHEREAS, each Director shall hold office until the selection of a successor by the appointing body, and WHEREAS, each member agency shall also appoint an alternate representative to act in each Director's absence; and WHEREAS, each alternate shall be a current elected member of the member agency's governing body, and WHEREAS, each Director and alternate is to serve at the pleasure of his or her appointing body and may be removed at any time, with or without cause, at the sole discretion of that appointing body, and WHEREAS, any vacancy shall be filled in the same manner as the original appointment of a Director and /or alternate. NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City of Santa Ana, California, does hereby: 1. Repeal Resolution No. 2014 -007 in its entirety, and 2. Designate and appoint Councilmember Angelica Amezcua as a Director and Councilmember as alternate to the Orange County Fire Authority Board of Directors. Resolution No. 2015 -XXX 55B -5 Page 1 of 2 PASSED, APPROVED, AND ADOPTED this day of 2015. Miguel A. Pulido, Mayor APPROVED AS TO FORM: 0 Sonia R. Carvalho, City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2015 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Resolution No. 2015 -XXX Page 2 of 2 Clerk of the Council, City of Santa Ana 55B -6