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FULL PACKET_2015-07-07
MINUTES OF THE SPECIAL AND REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA CALLED TO ORDER JUNE 16, 2015 CLOSED SESSION MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:09 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VINCENT F. SARMIENTO, Mayor Pro Tem ANGELICA AMEZCUA P. DAVID BENAVIDES (5:10 p.m.) MICHELE MARTINEZ (5:10 p.m.) 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 5:09 p.m. TELECONFERENCE - Pursuant to Government Code Section 54953(b), Councilmembers Martinez participated in a portion of the meeting via teleconference from Aria Hotel, 3730 Las Vegas Blvd. South, Las Vegas, NV. The Agenda for said meeting was posted at said location as required by the Brown Act. 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: CITY COUNCIL MINUTES 1 JUNE 16, 2015 1 0A -1 1. CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: CHOU• IDELSHON; JAMES; JAMES: and SKY HIGH HOLISTIC v. CITY OF SANTA ANA, et al - Case 8:15 -cv -00941 NASEER -AHMED QURESHI V. CITY OF SANTA ANA, ADJ Numbers ADJ3871560; ADJ469214; ADJ1855024; ADJ6697125; 5) ADJ9704108 and ADJ9098771. DAVID MONDRAGON V. CITY OF SANTA ANA; Orange County Superior Court Case No. 30- 2014 - 00732464 2. CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8: Address of Property: Centennial Education Center 2900 W. Edinger Avenue Santa Ana, CA 92704 Negotiators: City Manager David Cavazos, Parks, Recreation & Community Services Agency Director Gerado Mouet and Chancellor of the Rancho Santiago Community College District (RSCCD) Raul Rodriguez Terms: Price and Terms of Lease 3. 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 2 JUNE 16, 2015 1 0A -2 CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 5:56 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 1 0A -3 JUNE 16, 2015 REGULAR OPEN MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:58 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VINCENT F. SARMIENTO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ (6:07 p.m.) ROMAN A. REYNA SAL TINAJERO (6:07 p.m.) PLEDGE OF ALLEGIANCE INVOCATION PRESENTATION COUNCILMEMBERS Absent: NONE STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council NEREYDA FLORES AND KEVIN OLIVARES, MONTE VISTA ELEMENTARY SCHOOL BOB BARNETT, POLICE CHAPLAIN CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER REYNA to the following parents who received the Parent of the Year award from the Santa Ana Unified School District: Carolina Alvarez; Claudia Alvarez; Maria Anguiano; Luz Avila; Jenna Beghtol; Erika Blake Najera; Dora Burnett; Maricela Bustos; Erika Calvo; Maricela Castro; Guadalupe Celedon (2 schools); Maria Cervantes; Delia Covarrubias; Maria del Carmen De Jesus; Roni De Salas; Idalia Frias; Alma Frutos; Cristina Garcia; Julio Garcia; Yesica Gomez; Maria Margarita Gonzalez; Rocio Guzman; Manuela Herreda; Myra Jacobo; Maria Rosa Jaraleno; Silvia Jimenez; Leticia Jimenez de Brito; Betty Lopez; Angelina Lopez; Adriana Macias; Esperanza Maciel; Rosa Martinez; Ana Mena; Martha Mendez; Alejandra Meza; Kerri Moreno; Maria Munguia; E. Rocio Noyola; Jesus Oropezo; Rebecca Ortiz; Antonia Osorio; CITY COUNCIL MINUTES 4 JUNE 16, 2015 1 0A -4 Veronica Plascenia; Oralia Ramirez; Susana Ramirez Carbajal; Pearl Raya; Pablo Antonio Rodriguez; Jesus Rodriguez; Lety Rodriguez; Maria Elena Sanchez; Maria Eufemia Sanchez; Myra Suarez; Nelly Terrones; Eduardo Torres; Adriana Valenzuela; Anel Villanueva. CLOSED SESSION REPORT - See Agenda Item 19A for Closed Session Report. TELECONFERENCE - Pursuant to Government Code Section 54953(b), Councilmembers Martinez and Tinajero participated in a portion of the meeting via teleconference from Keep Memory Alive Event Center, 888 W. Bonnerville, Las Vegas, NV 89108 and Dallas Marriott City Center, 650 N. Pearl St., Dallas, TX 75201, respectively. The Agenda for said meeting was posted at respective locations as required by the Brown Act. AGENDA ITEMS TAKEN OUT OF ORDER PUBLIC HEARING 75A -1. ADOPTION OF CITY BUDGET FOR FISCAL YEAR 2015 -2016; SEVEN - YEAR CAPITAL IMPROVEMENT PROGRAM (CIP) FROM FISCAL YEAR 2015 -2016 THROUGH FISCAL YEAR 2021 -2022; AMEND AND REESTABLISH THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLANS - Finance & Management Services Legal Notice published in the Orange County Register on May 22, 2015 and May 29, 2015. Continued from the June 2, 2015 City Council meeting by a vote of 7 -0. At the June 2, 2015 City Council meeting Mayor Pulido opened and closed the Hearing. Staff report presentation by City Manager Cavazos Proposed Budget Adjustments based on input from June 2nd City Council Meeting • Incorporated $2,550,000 in Cost of Living Adjustment • Addition of 2 positions in the Planning & Building Agency: — Principal Planner $164,000 (General Fund) — Senior Planner 134.000 (General Fund) Total of $298,000 CITY COUNCIL MINUTES 5 JUNE 16, 2015 1 0A -5 • Addition to the Community Development Agency: — Wayfinding $150,000 (General Fund) Economic Dev. 150,000 (General Fund) Total of $300,000 • Addition to the Clerk of the Council: • Temporary Assistance $50,000 (General Fund) Total General Fund Budget Adjustments: $3,198,000 Adjustment to the Personnel Services Agency Workforce Changes: • Exclude the addition of the Labor Relations Manager ($220,000) (Non - General Fund) • Exclude the deletion of the Personnel Services Specialist $72,500 (Non - General Fund) Total Non - General Fund Budget Adjustment: ($147,500) Proposed General Fund Final Budget All &wn MUemSI riS,W,A]%1 13 ,All ezSh Oth59 %) 6 Ma '.. SSSI1 -0 Al Igon.w.,s•amamarm 112%l Council discussion ensued. Councilmember Tinajero, motioned for approval. Councilmember Martinez, noted that Mayor Pro Tern Sarmiento had requested $150,000 for the South Main Street Improvements and Councilmember Benavides funding for branding that were not included in the revised budget. City Manager Cavazos, indicated that South Main Street Improvements were included in the Strategic Plan funds and the branding will be considered with surplus funds during the Fall budget re- allocation process. CITY COUNCIL MINUTES 1 0A -6 JUNE 16, 2015 General Fund Appropriations: $225,813,258 "Includes Cost of Living Adjustment - $2,550,000 wROk.e�•�m m,.�es Pr9 Polk. OeWNneM 8110,519.d� n,•ppnpN,l, cemm�b LtrNipmnls1�00.`9+ Pyyi X525 %) 811,6&,300(184 %) Igg.[,.pM1eSnIAt510.i %) Oen qLk Caro f ]�.Si1(U I %) VewnM 51,1]6,TA IOS%) All &wn MUemSI riS,W,A]%1 13 ,All ezSh Oth59 %) 6 Ma '.. SSSI1 -0 Al Igon.w.,s•amamarm 112%l Council discussion ensued. Councilmember Tinajero, motioned for approval. Councilmember Martinez, noted that Mayor Pro Tern Sarmiento had requested $150,000 for the South Main Street Improvements and Councilmember Benavides funding for branding that were not included in the revised budget. City Manager Cavazos, indicated that South Main Street Improvements were included in the Strategic Plan funds and the branding will be considered with surplus funds during the Fall budget re- allocation process. CITY COUNCIL MINUTES 1 0A -6 JUNE 16, 2015 Councilmember Amezcua, seconded the motion. Councilmember Martinez, requested clarification on management merit performance bonus for executive managers. Stated for the record that she is not in support of the performance pay due to inequity with other groups that are only receiving 2.5% cost of living increases; also, not in support of any water transfers to general fund. Supports balance of the budget as proposed. City Manager Cavazos, noted that pay for performance program previously approved by the City Council; proposed budget is for cost of living increases only. Councilmember Benavides, commented on need to prioritize before re- allocation of surplus funds; supports Strategic Plan efforts, economic development and infrastructure improvements. Mayor Pro Tern Sarmiento, thanked staff for proposed budget; asked that any cost of living increases (COLA) above 2.5% needs to be tied to merit or achievement criteria; should not be defacto. City Manager Cavazos, indicated that incentives and performance based models will be evaluated. Councilmember Reyna, commended staff for implementing police body cameras. Mayor Pulido, opined that revised budget is significantly better than original such as increased staffing in Planning and Building Agency. Recorded a "No Vote" on inclusion of 2.5% COLA increases across the board but support balance of the budget. Would like to consider defer maintenance and programming at parks in the Fall such as adding 2 tennis courts at Cabrillo Tennis and adding skate parks. Councilmember Amezcua, expressed support for improvements at Riverview Park to be considered in the Fall. MOTION: 1. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2878 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROPRIATING MONIES TO THE SEVERAL OFFICES, AGENCIES AND DEPARTMENTS OF THE CITY FOR FISCAL YEAR BUDGET PERIOD COMMENCING JULY 1, 2015 *`Mayor Pulido and Councilmember Martinez voted "No" on specified sections of the budget as noted in discussion above. CITY COUNCIL MINUTES 7 JUNE 16, 2015 1 0A -7 2. Adopt a Seven -Year Capital Improvement Program (CIP) beginning fiscal year 2015 -16 through fiscal Year 2021 -22 per Orange County Transportation Authority (OCTA) Measure M2 eligibility requirement. 3. Adopt a resolution. RESOLUTION NO. 2015 -026 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND AND REESTABLISH THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLANS TO EFFECT CERTAIN CHANGES, AND TO RESCIND RESOLUTION NOS. 2015 -001 AND 2015 -008 75A -2. FISCAL YEAR 2015 -16 MISCELLANEOUS FEES RESOLUTION {STRATEGIC PLAN NO. 4, 2A) - Finance & Management Services MOTION: Adopt a resolution. RESOLUTION NO. 2015 -027 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A UNIFORM SCHEDULE OF MISCELLANEOUS FEES FOR FISCAL YEAR 2015- 2016 MOTION: Tinajero VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Amezcua Amezcua, Benavides, Pulido, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None(0) Martinez, COUNCIL AGENDA ITEM Pursuant to Santa Ana Charter Section 411, any member of the City Council may place items on the City Council Agenda to be considered by the City Council. 85A. DISCUSS AMENDED ASSEMBLY BILL 1217 AND OPTIONS TO REPRESENT THE CITY OF SANTA ANA'S POSITION — Councilmember Amezcua Councilmember Amezcua outlined status of Assembly Bill; offered options for consideration: do nothing; draft a letter requesting a meeting between CITY COUNCIL MINUTES 6 JUNE 16, 2015 iIlLm: Assembly member Tom Daly and Orange County Fire Authority (OCFA) Chair to discuss Bill; or agendize matter for consideration by the Legislative Council Committee. Councilmember Tinajero, expressed support for Councilmember Amezcua's position. *Councilmember Tinajero ended the teleconference at 6:33 p.m. Mayor Pulido, noted that OCFA has been uneventful recently; opined that smaller board would more manageable; had met with leaders from the City of Irvine to advocate board streamlining; supports representation from smaller city on a rotational basis; Bill going through committees — important to take position rather than agendize for council committee review; motion to support amended Bill in current form. Councilmember Amezcua, indicated that smaller donor cities considering terminating contract with OCFA if Bill approved; also, clarified for the record that Irvine City Council has remained neutral on the Bill. Councilmember Benavides, noted that as a former board member had difficulty reaching consensus with such a large body; Bill provides opportunity to realign; also, noted that Assembly member, prior to authoring Bill, met with representatives in his jurisdiction. Councilmember Reyna, noted that former board members had not approached Assembly member to author Bill; supports option to agendize matter before the Legislative Committee to review matter and make recommendations for City Council consideration. CouncilmemberAmezcua, proposed substitute motion. Mayor Pro Tern Sarmiento, noted that other members have voiced concern with current structure; proposed that if not time sensitive agendize matter before the Legislative Committee, if so take a position to be modeled after Orange County Transportation Authority; important that Santa Ana's representation on the Board not be diminished. Assistant to the City Manager, Mark Lawrence indicated that City had recently taken formal position to support Assembly Bill. Councilmember Amezcua, indicated that she was not sure if matter scheduled for committee review, however, California League of Cities has opposed the Bill. Mayor Pulido, opined that no compelling reasons have been provided to schedule matter before the Legislative Committee; supports position to CITY COUNCIL MINUTES 9 JUNE 16, 2015 1 0A -9 restructuring board that will give permanent seat on smaller board that better represents the residents of the City. SUBSTITUTE MOTION: Legislative Council Committee to consider matter and make recommendations that are in the City's best interest. MOTION: Amezcua VOTE: AYES: NOES: ABSTAIN: ABSENT: Motion failed. SECOND: Reyna Amezcua, Reyna (2) Benavides, Martinez, Pulido, Sarmiento (4) None (0) Tinajero (1) ORIGINAL MOTION: Support amended Assembly Bill 1217. MOTION: Pulido SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento (4) NOES: Amezcua, Reyna (2) ABSTAIN: None (0) ABSENT: Tinajero (1) *Councilmember Martinez ended the teleconference at 6:51 p.m. PUBLIC COMMENT - None CONSENT CALENDAR MOTION. Approve staff recommendations on Consent Calendar items 10A through 31C, with the following modifications: Mayor Pulido pulled Agenda Item 25G for separate discussion. MOTION: Sarmiento SECOND: Amezcua CITY COUNCIL MINUTES 10 JUNE 16, 2015 1 0A -10 VOTE: MINUTES f_ AYES: Amezcua, Benavides, Pulido, Reyna, Sarmiento (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Martinez, Tinajero (2) ADMINISTRATIVE MATTERS MINUTES FROM THE REGULAR OPEN MEETING OF JUNE 2, 2015 {STRATEGIC PLAN NO. 5, 1) — Clerk of the Council Office MOTION: Approve Minutes. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve settlement agreement, as follow: 1. CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: • AGMT NO. 2015 -120 - DAVID MONDRAGON V. CITY OF SANTA ANA, Orange County Superior Court Case No. 30- 2014 - 00732464 — settlement in the amount of $21,277.21 (6 -0 vote with Tinajero absent) 19B. EXCUSED ABSENCES — None 19C. STRATEGIC PLAN MONTHLY REPORT FOR MAY 2015 {STRATEGIC PLAN NO. 5, 1) - City Manager's Office MOTION: Receive and file. 19D. DESTRUCTION OF OBSOLETE CITY RECORDS (STRATEGIC PLAN NO. 5, 1) — Planning and Building Agency CITY COUNCIL MINUTES 11 JUNE 16, 2015 1 0A -11 MOTION: Approve the requests for the destruction of obsolete records from various City departments in accordance with the retention schedule outlined in City Council Resolution 2013 -014. The Citywide Records Retention Schedule has specific retention periods for many City documents. The Schedule is modeled after the California Secretary of State's sample for local government and incorporates other statutory periods applicable to Santa Ana. These are minimum retention periods. Each department makes discretionary decisions on whether to retain records past the minimum requirements. BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A. RECOGNIZE DEVELOPER CONTRIBUTION AND APPROPRIATION FOR OFF -SITE IMPROVEMENTS TO PUBLIC INFRASTRUCTURE, 601 EAST SANTA ANA BOULEVARD {STRATEGIC PLAN NOS. 3, 3, C & 3, 5) - Public Works Agency MOTION: 1. Recognize a developer contribution from Core Holdings, LLC, in an amount of $60,000 in Fiscal Year 2014 -2015. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -190 - Fiscal Year 2014- 2015 transferring $60,000 to the budget line items where expenditures were incurred as follows: a. $26,790 to Select Street Construction Fund, b. $12,799 to General Fund, c. $10,591 to Water Enterprise Fund, d. $7,113 to Sanitation Enterprise Fund, and e. $2,707 to Sewer Enterprise Fund 20B. APPROPRIATION ADJUSTMENT AND AGREEMENT FOR BOARD -UP SERVICES TO SECURE PROPERTY /BUILDING IN HAZARDOUS CONDITIONS (ABATEMENT COSTS AND ADMINISTRATIVE FEES BILLED TO OWNER) {STRATEGIC PLAN NO. 5, 41 - Planning and Building Agency MOTION: CITY COUNCIL MINUTES 12 JUNE 16, 2015 1OA -12 1. Authorize the City Manager and the Clerk of the Council to execute agreements in an aggregate amount not to exceed $50,000 for a period of three years, (April 21, 2015 thru April 21, 2018), subject to non - substantive changes approved by the City Manager and City Attorney. • AGMT NO. 2015 -104 - SLS Property Solutions, Inc. • AGMT NO. 2015 -105 - ALA Construction, Crystal Glass & Mirror • AGMT NO. 2015 -106 - Cedelco Construction • AGMT NO. 2015 -107 - Real Estate Consulting & Services Inc. 2. Approve an appropriation adjustment. (Requires five affirmative) APPROPRIATION ADJUSTMENT NO. 2015 -191 - Approve an appropriation adjustment recognizing $5,000 to the Special Repair and Demolition Fund account (no. 12116540- 62300) for fiscal year 2014 -15 and appropriating the same in the expenditure account. SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 15 -041 - SWAT EQUIPMENT {STRATEGIC PLAN NO. 1, 5) (Police Department) - Finance & Management Services MOTION: Award a contract to Proforce Law Enforcement in an amount not to exceed $34,000, subject to non - substantive changes approved by the City Manager and City Attorney. 22B. SPEC. NO. 15 -042 - ZOO COMMISSARY PRODUCE {STRATEGIC PLAN NO. 2, 2) (Parks, Recreation & Community Services Agency) - Finance & Management Services MOTION: Award a contract to Swift Produce Inc. for a one -year period expiring June 30, 2016, in an annual amount not to exceed $35,000, with provision for four, one -year renewals exercisable by the City Manager, subject to non - substantive changes approved by the City Manager and City Attorney. 22C. SPEC. NO. 15 -027 - SCREEN PRINTED AND EMBROIDERED CLOTHING FOR VARIOUS SPORTS AND YOUTH GUIDANCE PROGRAMS; SPECIAL EVENTS AND EDUCATIONAL PROGRAMS {STRATEGIC PLAN NO. 7, 2) (Parks, Recreation and Community Services; Public Works Agency; and Police Department) - Finance & Management Services CITY COUNCIL MINUTES 13 JUNE 16, 2015 1 0A -13 MOTION: Award a contract to Scott's Screen Printing for a one -year period expiring June 30, 2016, with provisions for two one year - renewals exercisable by the City Manager, subject to non - substantive changes approved by the City Manager and City Attorney, in an annual amount not to exceed $40,000. PROJECTS /CHANGE ORDERS 23A. CONSTRUCT WATER MAIN IMPROVEMENTS IN WILSHIRE AVENUE AND BORCHARD AVENUE, AND RESIDENTIAL STREET REPAIR, FISCAL YEAR 2014 -15 (PROJECTS 15 -6452 & 15 -6836) {STRATEGIC PLAN NOS. 6, 1, B & 6, 1, G) - Public Works Agency MOTION: 1. Award a contract to Excel Paving Company, the lowest responsible bidder, in accordance with the unit bid prices, totaling $2,468,442, for construction of Water Main Improvements in Wilshire Avenue and Borchard Avenue and Residential Street Repair, Fiscal Year 2014 -15, 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $3,332,340. 23B. ROADWAY REHABILITATION ON MCFADDEN AVENUE, CIVIC CENTER DRIVE AND MEMORY LANE (PROJECTS 14 -6801, 14 -6804, & 14 -6811) {STRATEGIC PLAN NOS. 6, 1, B; 6, 1, C; & 6, 1, G} - Public Works Agency MOTION: 1. Award a contract to Eagle Engineering & Development, Inc., the lowest responsible bidder, in accordance with the Base Bid plus Add Alternate 1 totaling $1,342,612.13, for the Roadway Rehabilitation on McFadden from Newhope to Harbor, on Civic Center from Main to Spurgeon, and on Memory Lane from Main to North City Limits Project. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $1,772,000. AGREEMENTS CITY COUNCIL MINUTES 14 JUNE 16, 2015 1 OA -14 25A. GEOSPATIAL INFORMATION SYSTEMS CONSULTING AND TRAINING SERVICES (GENERAL FUND) (PROJECT 15 -6005) {STRATEGIC PLAN NO. 6, 1) - Public Works Agency MOTION: 1. AGMT NO. 2015 -108 - Authorize the City Manager and Clerk of the Council to execute an agreement with Environmental Systems Research Institute, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, to provide GIS Roadmap Consulting Services for a one -year period expiring on June 15, 2016, in an amount not to exceed $40,899. 2. AGMT NO. 2015 -109 - Authorize the City Manager and Clerk of the Council to execute an agreement with Environmental Systems Research Institute, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, to provide GIS Training Services for a one -year period expiring on June 15, 2016, in an amount not to exceed $25,500. 25B. AGMT NO. 2015 -110 - ANALYSIS OF IMPEDIMENTS TO FAIR HOUSING CHOICE (STRATEGIC PLAN NO. 5, 1) - Community Development Agency MOTION: Approve a Memorandum of Understanding agreement with the City of Newport Beach in an amount not to exceed $39,463, which includes a $10,000 contingency, for the term of June 16, 2015 through May 31, 2016, subject to non - substantive changes approved by the City Manager and City Attorney. 25C. AGMT NO. 2015 -111 - ONLINE SEARCHING SERVICES FOR LAW ENFORCEMENT INVESTIGATIONS {STRATEGIC PLAN NO. 1, 5) - Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with LexisNexis Risk Solutions FL Inc., commencing February 1, 2015, in an amount not to exceed $49,968, expiring January 31, 2017, subject to non - substantive changes approved by the City Manager and City Attorney. 25D. AGMT NO. 2015 -112 — CONSULTING SERVICES FOR 'READY OC" EMERGENCY PREPAREDNESS AND "IF YOU SEE SOMETHING, SAY SOMETHINGTM" PUBLIC AWARENESS CAMPAIGNS (GRANT FUNDED) {STRATEGIC PLAN NO. 1, 6} - Police Department CITY COUNCIL MINUTES 15 JUNE 16, 2015 1 0A -15 MOTION: Authorize the City Manager and Clerk of the Council to execute the one -year agreement, with two one -year options to renew, with Westbound Communications, Inc. for the period June 16, 2015 to June 15, 2016 for consulting services related to the continuance of the Ready OC Emergency Preparedness Campaign, and the "If You See Something, Say SomethingT" ' Public Awareness Campaign, which primarily serves the Anaheim /Santa Ana Urban Area, for a total three year amount not to exceed $1,500,000, subject to non - substantive changes approved by the City Manager and City Attorney. 25E. AGMT NO. 2015 -113 - ANIMAL SHELTER SERVICES {STRATEGIC PLAN NO. 1, 3 - Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute the one -year agreement with the County of Orange to provide animal care shelter services for the period July 1, 2015 through June 30, 2016, in the amount of $1,135,400 subject to non - substantive changes approved by the City Manager and City Attorney. 25F. AGMT NO. 2015 -114 - VIDEO SECURITY SYSTEM MAINTENANCE ENHANCEMENT PROGRAM {STRATEGIC PLAN NO. 1, 5} - Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute a one -year agreement with Siemens for the period of June 1, 2015 through May 31, 2016, in an amount not to exceed $174,914, subject to non - substantive changes approved by the City Manager and City Attorney. 25G. AGMT NO. 2015 -115 - HOUSING FOR > FEDERAL INMATE {STRATEGIC PLAN NO. 1, 4A} - Police Department, • Dylan Thompson, spoke in opposition to Agenda Item 25G and representing May Day Coalition, opposed to house illegal immigrants in City jail for the following reasons: ethical, local use and financial, and public safety. • Jason Aula, indicated that City of Long Beach took formal position to not oppose federal law; supports housing illegal inmates. City Manager Cavazos, discussed economic factors to support increasing rates with U.S. Immigration and Customs Enforcement; also, indicated that proposed agreement allows for 90 day cancellation notice, will allow for full cost recovery and staff to continue exploring outsourcing option. CITY COUNCIL MINUTES 16 JUNE 16, 2015 1 0A -16 Mayor Pro Tern Sarmiento, supports staff recommendation; noted that Public Safety Committee and Legislative Committee Chairs lobbied to cease subsidy and attain full cost recovery. Councilmember Benavides, opined that it is fiduciary responsibility to approve increase; best interest of the community and public safety concern. MOTION: Authorize the City Manager and the Clerk of the Council to execute the five -year agreement with U.S. Immigration and Customs Enforcement, for the period July 1, 2015 to June 30, 2020, at the per diem rate of $105 per inmate (this is the first increase in nine years and represents a 28% increase in the per diem), subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Benavides Amezcua, Benavides, Sarmiento (5) None (0) None (0) Martinez, Tinajero (2) Pulido, Reyna, 25H. AGMT NO. 2015 -116 - BILL PRINT SERVICES {STRATEGIC PLAN NO. 7, 5F) - Finance & Management Services MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with InfoSend, Inc. ( "InfoSend ") extending the contract term through June 30, 2016, with the option to extend an additional year (July 1, 2016 to June 30, 2017) upon a written request executed by the City Manager, subject to non - substantive changes approved by the City Manager and City Attorney. The extension of the agreement through June 30, 2016 totals $570,000 for various bill print services including mailings related to Water Conservation and Water /Sewer Rate Adjustment notices. 251. AGMT NO. 2015 -117 CARD PAYMENTS) Management Services - MERCHANT PAYMENT SERVICES (CREDIT {STRATEGIC PLAN NO. 7, 5F) - Finance & CITY COUNCIL MINUTES 17 JUNE 16, 2015 1 0A -17 MOTION: Authorize the City Manager and the Clerk of the Council to execute an amendment to the existing Agreement (Agreement #A- 2014 -071) with TransFirst LLC, for merchant payment services covering October 1, 2013 through June 30, 2016, with the option to extend one additional year (July 1, 2016 through June 30, 2017) upon a written request executed by the City Manager, subject to non - substantive changes approved by the City Manager and City Attorney in an amount not to exceed $95,000 annually for merchant payment services. 2. Approve payment for merchant payment services, not to exceed $24,000 for expenditures through the close of fiscal year 2014 -15. 25J. AGMT NO. 2015 -118 - ARCHITECTURAL CONSULTING SERVICES FOR THE SANTA ANA REGIONAL TRANSPORTATION CENTER AMERICANS WITH DISABILITIES ACT (ADA) IMPROVEMENTS (PROJECT 15 -7538) {STRATEGIC PLAN NO. 6, 1, G) - Public Works Agency and Community Development Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Gillis, Panichapan Architects, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, for a one -year period expiring June 16, 2016, with provision for a one -year extension exercisable by the City Manager, in a total amount not to exceed $29,590. 25K. AGMT NO. 2015 -119 - WATER CONSERVATION OUTREACH CAMPAIGN {STRATEGIC PLAN NO. 5, 2) - Public Works Agency MOTION: Authorize the City Manager and the Clerk of Council to amend the agreement with Straightline Communications, subject to non - substantive changes approved by the City Manager and City Attorney, for an additional amount of $50,000, for a total not to exceed $170,000 for the agreement term expiring December 31, 2017. CONDITIONAL USE PERM ITIVARIANCES 31 A. CONDITIONAL USE PERMIT NO. 2014 -51 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE UPGRADE AND CONDITIONAL USE PERMIT NO. 2015 -10 TO ALLOW AFTER -HOURS OPERATION UNTIL 2:00 A.M. AT GYPSY DEN LOCATED AT 125 NORTH BROADWAY, UNIT D - BRETT ENGSTROM, APPLICANT {STRATEGIC PLAN NO. 3, 2; 3, 4) - CITY COUNCIL MINUTES 18 JUNE 16, 2015 1 0A -18 Planning Commission approved recommended action on May 26, 2015, by a vote of 5 -0 (Bacerra and Verino absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -51 and Conditional Use Permit No. 2015 -10 as conditioned. 31 B. CONDITIONAL USE PERMIT NO. 2015 -11 TO ALLOW A 60 -FOOT HIGH WIRELESS FACILITY FOR VERIZON WIRELESS AT 1417 NORTH SUSAN STREET — VINCULUMS SERVICES INC., APPLICANT {STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on May 26, 2015, by a vote of 4 -0 (Alderete, Bacerra and Verino absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2015 -11 as conditioned. 31 C. CONDITIONAL USE PERMIT NO. 2015 -12 TO ALLOW AN INDOOR SPORTS FACILITY AT 1411 SOUTH VILLAGE WAY — AJ AHMAD, APPLICANT {STRATEGIC PLAN NOS. 3, 2; 3, 5) - Planning and Building Agency Planning Commission approved recommended action on May 26, 2015, by a vote of 5 -0 (Bacerra and Verino absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2015 -12 as conditioned. * *END OF CONSENT CALENDAR ** BUSINESS CALENDAR RESOLUTIONS 55A. CONTINUATION OF ADDITIONAL PARTIALLY -PAID TEMPORARY MILITARY LEAVE OF ABSENCE FOR CITY EMPLOYEES CALLED TO ACTIVE DUTY {STRATEGIC PLAN NO. 7) - Personnel Services Agency MOTION: Adopt a resolution. RESOLUTION NO. 2015 -028 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION NO. 2001 -065 CITY COUNCIL MINUTES 19 JUNE 16, 2015 U1 M V. TO PROVIDE FOR CONTINUATION OF ADDITIONAL PARTIALLY -PAID TEMPORARY MILITARY LEAVE OF ABSENCE FOR CITY EMPLOYEES CALLED TO ACTIVE DUTY WITH THE ARMED FORCES AND CONTINUATION OF BENEFITS FOR THEIR DEPENDENTS MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Reyna Amezcua, Benavides, Sarmiento (5) None (0) None (0) Martinez, Tinajero (2) Pulido, Reyna, 55B. ANNUAL STATEMENT OF INVESTMENT POLICY (STRATEGIC PLAN NO. 4, 1) - Finance & Management Services MOTION: 1. Adopt a resolution. RESOLUTION NO. 2015 -029 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE CITY'S STATEMENT OF INVESTMENT POLICY 2. Receive and file the Annual Statement of Investment Policy. MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Sarmiento Amezcua, Benavides, Sarmiento (5) None (0) None (0) Martinez, Tinajero (2) PUBLIC HEARING 75A. AGENDA ITEM TAKEN OUT OF ORDER Pulido, Reyna, CITY COUNCIL MINUTES 20 JUNE 16, 2015 1 OA -20 COUNCIL AGENDA ITEM 85A. AGENDA ITEM TAKEN OUT OF ORDER COMMENTS PUBLIC COMMENTS • Samuel Romero, represents Santa Ana Business Council, requested meeting with City Manager and Chief of Police to address concerns with illegal activity in Downtown area. • City Manager to follow up on concerns with East End Block Party that occurred on June 6th. • Paul Lucas, urged City Council to null and void Measure BB and start over with medical marijuana regulations. • John Brienly, spoke in opposition to Salvation Army Temporary Emergency Shelter at 1710 W. Edinger; recommend that the Good Neighborhood Advisory Committee provide monthly progress reports to the City Council and allow termination of agreement should there be serious problems attributed directly to the shelter. • Councilmember Benavides, staff to ensure that the Temporary Salvation Army shelter provides staff with monthly reports on any notable activity, forward reports to the City Council and keep neighborhood residents apprised. • Marilyn Thomas, concerned with neighborhood parking caused by limited parking at Latitude Apartments located near Santa Clara Ave. and Tustin Ave. • Brett Sweet, requested assistance in addressing parking spill over issues from Latitude Apartments. • Councilmember Amezcua, asked staff to set up a meeting with area residents. • Jason Aula, spoke of recent federal lawsuit on medical marijuana regulations; supports regulated medical marijuana and accountability. • Jeff Benson, spoke in support of regulated medical marijuana. • John Raya, invited all to upcoming TKO and Captain Bruce Carlson event scholarship event scheduled for June 28th at Original Mike's; portion of the proceeds will cover travel expenses for 5 of the youth competing in World Ringside Tournament in August. • Norah Briceno, owner of Mil Jugos Restaurant, requested police assistance with recent break -in. • City Manager Cavazos, noted that additional police officers have been approved in the budget for the Downtown area. • Ilya Tselgio, concerned with services offered by Regional Center of Orange County. • Robert Tseglio, spoke of constitutional violations by various county facilities. CITY COUNCIL MINUTES 21 JUNE 16, 2015 1 OA -21 • Mayor Pro Tern Sarmiento, noted that residents had been directed to Disability Rights California, but were not able to assist; City has limited authority in this area. • Kandice Hawes - Lopez, would like to follow up on recent medical marijuana dispensary raid; requested review of actions by police officers as depicted in video. • Jessica Lux, family member of dispensary that was raided last week; have complied with request • Ivan Enriquez, Chair of the Youth Commission, reported that the Youth Commission will be reviewing bylaws at their next regular meeting and also noted that commissioners have submitted topics for consideration. • USA Citizen, concerned with recent police department actions. • Ruth encouraged police non - emergency calls be investigated, if warranted. 90A. CITY MANAGER'S COMMENTS • Invited all to attend upcoming 4th of July celebration at Centennial Park. 90B. CITY COUNCILMEMBER COMMENTS Councilmember Amezcua: • Congratulated all graduates; • Wished all a happy Father's Day; and • Asked that Mayor keep all informed (on AB1217 developments). Councilmember Reyna: • Be water wise; • Wished all a happy Father's Day; • Asked all to shop in Santa Ana; and • Staff to explore permanent location for a bust of former Santa Ana Police Officer Jose Vargas. Councilmember Benavides: • Wished all happy Father's Day; • Encouraged al to attend 4th of July celebration; and • Urged all to shop in Santa Ana. Mayor Pro Tern Sarmiento: • Thanked all speakers tonight; • Commented on police raid; investigation underway; thanked staff for being proactive and let the public know what steps are being taken; police department reputation important; • Attended conference at George Washington Law School funded by Joint Center for Economic and Political Studies to discuss public policy CITY COUNCIL MINUTES 22 JUNE 16, 2015 1 OA -22 on criminal justice reform, energy, technology; staff to review the report by the Presidential Task Force on 21st Century Policing and adopt recommendations where appropriate; agendize for Public Safety Committee consideration; and • Wished all happy Father's Day. Mayor Pulido: • Urged Police Department to conclude investigation as soon as possible; professionalism of department important. • Thanked City Council for adopting budget at tonight's meeting; and • Hope all have a safe 4t" of July celebration. ADJOURNED- 7:49 p.m. - The next meeting of the City Council is scheduled for Tuesday, July 7, 2015 at 5:00 for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Maria Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Mater Dei High School Parking Structure and School Expansion Project • Community Engagement Plan • Conflict and Interest Code Review CITY COUNCIL MINUTES 23 JUNE 16, 2015 1 OA -23 1 OA -24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: ORDINANCE SECOND READING: FISCAL YEAR 2015 -2016 — CITY BUDGET {STRATEGIC PLAN NO. 5, 1} CITY MAN ER RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 16' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER On June 26, 2015, the following Ordinance was introduced for first reading and City Council authorized publication of title by a vote of 7 -0: ORDINANCE NO. NS -2878 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROPRIATING MONIES TO THE SEVERAL OFFICES, AGENCIES AND DEPARTMENTS OF THE CITY FOR FISCAL YEAR BUDGET PERIOD COMMENCING JULY 1, 2015 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 -2878 11 A -1 11 A -2 Qxs 05/21/15) ORDINANCE NO. NS- AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROPRIATING MONIES TO THE SEVERAL OFFICES, AGENCIES AND DEPARTMENTS OF THE CITY FOR FISCAL YEAR BUDGET PERIOD COMMENCING JULY 1, 2015 THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: SECTION 1: The City Council of the City of Santa Ana hereby, finds, determines and declares as follows: A. The City Manager has prepared and submitted to this Council, pursuant to the provisions of Section 605 of the City Charter, a proposed budget for expenditures for the fiscal year commencing July 1, 2015. B. In accordance with Section 606 of the City Charter, a public hearing has been held upon said proposed budget of expenditures after notice of such public hearing had been published in the manner prescribed in said Section 606 of the City Charter. C. The proposed budget of expenditures duly submitted and considered as hereinbefore stated, together with any supplemental revisions and amendments thereto, was approved, adopted and fixed by the Council as the budget of the City for fiscal year 2015 -2016, commencing July 1, 2015, in the amounts and for the funds, purposes, functions, department activities and programs as therein set forth, including the Seven -Year Capital Improvement Program Plan update per Orange County Transportation Authority Measure M2 eligibility requirement. Said adopted budget, including said supplemental revisions and amendments, together with a copy of this appropriation ordinance, shall be placed in the official files of the Clerk of the Council. SECTION 2: There are hereby appropriated to the several offices, agencies, and departments of the City, being the respective objects and purposes specified in that certain document entitled "Fiscal Year 2015 -2016 City Budget", a copy of which is on file in the Office of the Clerk of the Council, out of the various funds of the City for fiscal year 2015 -2016, the several amounts stated as proposed expenditures from said funds, respectively, in those columns of said Budget that are headed "FY 15 -16 ". Each aggregate of expenditures so specified in said Budget for said fiscal year for each program shall be deemed to be an appropriation for a single object and purpose within the meaning of Section 609 of the Charter, except that as to any office, department, or agency of the Ordinance No. NS- 2015 -XXX Page 1 of 3 11 A -3 Qxs 05/21/15) City for which more than one program is designated in Section 2 (General Fund Operating Budget) of said Budget, the aggregate expenditure authorized for all programs in said Section 2 of each such office, department, or agency shall be deemed to be an appropriation for a single object and purpose within the meaning of Charter Section 609. SECTION 3: The appropriations hereby made shall constitute the maximum expenditures authorized for the several offices, agencies, and departments opposite which the amounts of such appropriations are shown in such Budget. SECTION 4: No warrant shall be issued or indebtedness incurred for any purpose which exceeds the unexpended balance of the appropriations established by this ordinance, unless such appropriation shall have been amended or supplemented by the City Council in the manner set forth in Section 609 of the Charter. The City Manager is hereby authorized to make revisions between the items included within any such appropriation if, in his opinion, such revisions are necessary and proper. SECTION 5: The Executive Director of Finance and Management Services is hereby authorized to transfer monies in accordance with the Interfund Transfers listed in said Budget in such amounts and at such times during the fiscal year as he may determine necessary to the competent operation and control of City business, except that no such transfer shall be made in contravention of State law or City ordinance or exceed in total the amount stated herein or as amended by the City Council. SECTION 6: One certified copy of this appropriation ordinance together with a certified copy of each amendment thereto shall be transmitted by the Clerk of the Council to the Executive Director of Finance and Management Services. SECTION 7: The City Council of the City of Santa Ana hereby adopts the updated Seven -Year Capital Improvement Program, as set forth in the 2015 -2016 City Budget. SECTION 8: Upon and from the effective date of this ordinance, expenditures of monies appropriated hereby are authorized beginning July 1, 2015 SECTION 9: The Clerk of the Council shall cause the title of this ordinance to be published as required by law. SECTION 10: All presently applicable documentation pertaining to the number, titles, qualifications, powers, duties, or compensation of officers or employees of the City, which has been previously approved by resolution or order of the City Council and which is currently on file with the Executive Director of Personnel Services is incorporated herein and is hereby approved. The City Manager is authorized to create, alter, or abolish any position of employment, or the number, title, qualifications, powers, duties, or compensation thereof, when such action is appropriate to promote the efficiency of the City administrative organization; provided, however, that no such action shall be effective unless and until approved by resolution or order of the City Council. Ordinance No. NS- 2015 -XXX Page 2 of 3 11 A -4 Qxs 05/21/15) ADOPTED this day of June, 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Jose Sandoval Chief Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on 2015, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: June—, 2015 Clerk of the Council City of Santa Ana 11 A -5 Ordinance No. NS- 2015 -XXX Page 3 of 3 11 A -6 1M - • A16111 0 1, i 4 CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: RESOLUTION OF INTENTION TO FORM THE WARNER INDUSTRIAL COMMUNITY ASSESSMENT DISTRICT AND AGREEMENT WITH FIELDMAN, ROLAPP & ASSOCIATES FOR FINANCIAL ADVISORY SERVICES (NON- GENERAL FUND) {STRATEGIC PLAN NO. 6, 1G} _ f CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1e' Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt a Resolution of Intention to consider the formation of an Assessment District for the Warner Industrial Community. By adopting the Resolution of Intention, the City Council will, among other actions, be: a. Declaring the intention of the City Council to order the reconstruction of the paving within the proposed Assessment District conditional upon the formation of the Assessment District and the approval by the property owners of the levy of assessments to finance the reconstruction; b. Describing the proposed boundaries of the Assessment District; c. Ordering the development of the Engineer's Report which details the improvements, the special benefits, the costs of the improvements, the cost distribution methodology, and the amount assessed on each parcel receiving the special benefits in the proposed Assessment District; d. Giving notice that the City intends to issue limited obligation improvement bonds to finance the cost of reconstruction of the paving; and e. Declaring that the City will not obligate itself to advance available funds from the City treasury to cure any deficiency of the funds available to pay debt service on the bonds as a result of delinquencies in the payment by property owners of annual assessment installments. 12A -1 Warner Industrial Community Assessment District July 7, 2015 Page 2 2. Authorize the City Manager and Clerk of the Council to execute an agreement with Fieldman, Rolapp & Associates, subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide professional financial advisory services to facilitate assessment district formation, for a period expiring on December 31, 2016, with provision for one, one -year extension exercisable by written authorization of the City Manager and City Attorney, in an amount not to exceed $36,000. DISCUSSION The recommended actions will allow staff to investigate the costs, benefits, and commitments related to the formation of an Assessment District (AD). An AD legally establishes a mechanism to levy and collect funds for financing improvements that provide special benefits to participating properties. The AD proposed for consideration would fund reconstruction of the Warner Industrial Community (WIC) roadways. Before any decisions or commitments are made by City Council, the recommended actions would allow staff to prepare and present a full report to City Council which fully discloses the legal procedures necessary to form an AD, establishes probable costs and City commitments, and provides financing options for the construction of the improvements. Ultimately, the report will provide information on which property owners can base their vote on whether or not to form the AD. BACKGROUND In 2011, Ms. Gail Fosler, a Santa Ana business owner in the WIC, approached the City regarding the rehabilitation of local industrial streets (Exhibit 1). The total cost of design and construction of the roadway improvements in the WIC is estimated between $5 million and $6 million. Since City funding was not available for industrial street improvements, Ms. Fosler inquired about options to share the cost of repairs between property owners and the City. Staff has worked with the WIC property owners' representatives to identify the most appropriate and feasible option to share the costs of the needed improvements. The establishment of an AD as a cost - sharing opportunity would be beneficial to both the WIC property owners and the City. Well- maintained roadways in the WIC will clearly and directly benefit the industrial businesses and property owners in that area. Economically productive businesses operating on well- served properties will benefit the City in terms of a higher local tax base and employment. Additionally, based on the project schedule for the City's pavement management system, funding for these improvements will not be available for 10 to 15 years. By establishing this AD, the roadway repair project would be accelerated and completed within 12 months. Success of this public - private partnership will provide an alternative funding model for other industrial areas in the City that need roadway infrastructure repairs. 12A -2 Warner Industrial Community Assessment District July 7, 2015 Page 3 Discussions with WIC property owners have centered on sharing the total cost of roadway improvements. Subsequent to informational meetings with and among WIC property owners, Ms. Fosler has documented approximately 60 percent support for the formation of an Assessment District based on a 50 -50 cost share, contingent upon approval by the City Council and a vote of affected property owners. ANALYSIS In accordance with Proposition 218 guidelines, the general sequential steps to form this Assessment District are as follows: STEP TIME NEEDED ACTION 1 Today's Action Approve a Resolution of Intention (Exhibit 2) and order the preparation of the draft Engineer's Report. At this point, the City does not make any commitments, except for the costs of performing the Engineer's Report and related district formation research. 2 4 to 5 Months Staff completes design of the improvements, prepares the plans and specifications, and advertise the proiect for construction bids. Based on the construction bids, the total cost to deliver the improvements is established, and the corresponding assessment amount for each property is determined. 3 Concurrent Present the Draft Engineer's Report to the City Council. The report will contain the overall costs (including design and construction), the with Step 2 legal basis to establish the AD, the methodology to distribute the costs, the proposed assessments based upon the bids and details on any City commitments. Upon Council approval of the Engineer's Report and authorization to proceed with balloting, the assessment ballot procedure provides the WIC property owners with the opportunity to decide whether the proposed assessment should be levied. 12A -3 Warner Industrial Community Assessment District July 7, 2015 Page 4 STEP TIME NEEDED ACTION 4 2 to 3 Months Distribute the assessment ballots to the property owners along with notice of the public hearing. City Council holds the public hearing as scheduled. Upon the conclusion of the public hearing, the assessment ballots will be tabulated. Votes are weighted by the amount assessed. The "yes" votes are totaled by the sum of their individual and respective assessment amounts and compared to the sum of the "no" votes, with the higher amount prevailing. 5 1 to 2 Months If the ballots support the formation of the AD, City Council may resolve to form the AD and order the levy of assessments based on the Engineer's Report. City Council action is required to commit the City's portion of the project funding and award the construction contract. Construction could begin soon thereafter. 6 2 to 3 Months Construct and complete the AD improvements. If the process concludes with the property owners ultimately approving formation of this AD, land - secured financing will be used to fund the pavement rehabilitation project. Factors such as business type, size, and location have to be considered in the methodology used to prepare the Draft Engineer's Report. The assessments must be in proportion to the special benefit that each property receives. The City's share of the project costs will be funded by a combination of Pavement Impact, Measure M2, and other related transportation funds. Developing this cost distribution will require the combined efforts of City staff, financial consultants, and bond counsel. On November 21, 2013, the City issued a Request for Qualifications for financial advisory services and on January 21, 2014, City Council approved a master agreement with Fieldman, Rolapp & Associates (FR&A). Staff recommends that Fieldman, Rolapp & Associates be approved to provide financial advisory services for establishment of the proposed Warner Industrial Assessment District in an amount not to exceed $36,000. (See Exhibit 3.) STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Differed Maintenance Plans). 12A -4 Warner Industrial Community Assessment District July 7, 2015 Page 5 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding for financial advisory services in the amount of $36,000 is budgeted in Fiscal Year 2015- 16 in the Public Works Admin Services account (10117601 - 62300), for expenditure in FY 2015- 16. N�) Av� F ed Mousavipour E ecutive Director Public Works Agency FM /EWGIKN APPROVED AS TO FUNDS AND ACCOUNTS: *F-ranci Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Warner Industrial Community Boundary Map 2. Resolution of Intention 3. Fieldman, Rolapp & Associates Agreement 12A -5 12A -6 SANTA ANA PWA ACqrrWyCWCL 2015 rua lc .Ona x[r 12A -7 12A -8 RESOLUTION NO. 2015 -xx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA DECLARING INTENTION TO ORDER THE ACQUISITION OR CONSTRUCTION OF CERTAIN IMPROVEMENTS IN PROPOSED ASSESSMENT DISTRICT NO. 2015 -01 (WARNER INDUSTRIAL COMMUNITY); DECLARING THE IMPROVEMENTS TO BE OF SPECIAL BENEFIT; DESCRIBING THE DISTRICT TO BE ASSESSED TO PAY THE COSTS AND EXPENSES THEREOF; AND PROVIDING FOR THE ISSUANCE OF BONDS 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 that the public interest and convenience require, and it is the intention of this body, pursuant to the provisions of Division 12 of the Streets and Highways Code of the State of California (the "Municipal Improvement Act 1913 "), to order the acquisition or construction of certain public improvements, together with appurtenances and appurtenant work, in a special assessment district (mown and designated as Assessment District No. 2015 -01 (Warner Industrial Community) (the "Assessment District "). Section 2. The Improvements. The improvements proposed to be financed through the levy of assessments on properties within the Assessment District are described in Exhibit A attached hereto and incorporated herein by this reference, and appurtenances and appurtenant work, all necessary for and to specially benefit properties within the boundaries of the Assessment District (collectively, the "Improvements "). The description of the Improvements contained in this Resolution is general in nature and the plans and profiles of the Improvements as contained in the Engineer's Report (defined below) shall be controlling as to the correct and detailed descriptions thereof. All of the Improvements to be acquired or constructed are to be installed at the places and in the particular locations, and to the sizes, dimensions and materials, to the lines, grades and elevations as shown and delineated upon the plans, profiles and specifications, all to be made a part of the Engineer's Report. Rights -of -way and easements, if any, required for the Improvements shall be shown upon the plans referred to herein and to be filed with these proceedings. Section 3. Description of Assessment District. The Improvements confer special benefit on the properties within the Assessment District. This legislative body EXHIBIT 2 Resolution No. 2015 - Page 1 of 8 12A -9 hereby determines that the expenses of the acquisition or construction of such Improvements which reflect the special benefit to be conferred on the properties within the Assessment District from such Improvements are chargeable upon such properties. Such properties are described as follows: All of that certain territory in the proposed Assessment District included within the exterior boundary lines shown on the map exhibiting the property specially benefited and proposed to be assessed to pay the expenses of the acquisition or construction of the Improvements described above, such map entitled "Proposed Boundaries of Assessment District No. 2015 -01 (Warner Industrial Community)," a copy of which is attached as Exhibit B to this Resolution. Section 4. Report of the Assessment Engineer. The proposed Improvements are hereby referred to Psomas, (the "Assessment Engineer") who is hereby directed to make and file a report as required by the Improvement Act, Article MID of the Constitution of the State of California and the Omnibus Proposition 218 Implementation Act (Government Code Section 53750) (collectively "Assessment Law ") such report to be in writing and contain the following: A. A description of the Improvements; B. Plans and specifications of the Improvements sufficient to show or describe the general nature, location and extent of the Improvements; C. An estimate of the cost of the acquisition or construction of the Improvements, including the cost of the incidental expenses, in connection therewith; D. A diagram showing, as the same existed at the time of passage of this Resolution of Intention, the following: the exterior boundaries of the Assessment District and any benefit areas therein; the lines and dimensions of each parcel of land within the Assessment District and the Benefit Areas therein, if any; provided, however, such diagram may refer to the county assessor's maps for a detailed description of such lines and dimensions, in which case such maps shall govern for all details concerning such lines and dimensions; and E. A proposed assessment of the total amount of the costs and expenses of the proposed Improvements upon the several divisions of land in the Assessment District and the benefit areas therein, if any, in proportion to the estimated special benefits to be conferred on such subdivisions, respectively, by such Improvements. Such assessment shall refer to such subdivisions upon such diagram by the respective numbers thereof. Resolution No. 2015 - Page 2 of 8 12A -10 F. A proposed maximum annual assessment upon each of the several subdivisions of land in the district to pay the costs incurred by the City and not otherwise reimbursed which result from the administration and collection of assessments or from the administration or registration of any associated bonds and reserve or other related funds. When any portion or percentage of the assessable costs and expenses of the construction of the Improvements is to be paid from sources other than assessments, the amount of such portion or percentage shall first be deducted from the total estimated costs and expenses of such construction, and such assessment shall include only the remainder of the estimated costs and expenses. Section 5. Financing of the Improvements. NOTICE IS HEREBY GIVEN that the City proposes to finance the cost of the Improvements, including the cost of the incidental expenses, in connection therewith through the issuance of bonds (the "Improvement Bonds ") pursuant to the "Improvement Bond Act of 1915" (the "Bond Act "), Division 10 of the Streets and Highways Code of the State of California. The payment of the debt service on the Improvement Bonds shall be secured by the unpaid assessments within the District or the Benefit Area for which such series of the Improvement Bonds have been issued pursuant to the provisions of the Improvement Act and the Bond Act. The provisions of Part 11.1 of the Bond Act, providing an alternative procedure for the advance payment of assessments and the calling of bonds shall apply to the Improvement Bonds. The principal amount of each series of the Improvement Bonds maturing each year shall be other than an amount equal to an even annual proportion of the aggregate principal of such series, and the amount of principal maturing in each year, plus the amount of interest payable in that year, will be generally an aggregate amount that is equal each year, except for the first year's adjustment. Pursuant to the provisions of the Improvement Act and specifically Streets and Highways Code Section 10603, the Treasurer is hereby designated as the officer to collect and receive the assessments during the cash collection period. Section 6. Assessment Law. Except as may otherwise be provided for in the issuance of the Improvement Bonds described above, all of the Improvements shall be constructed pursuant to the provisions of the Assessment Law. Section 7. Surplus Funds. If any excess shall be realized form the assessment, it shall be used in such amounts as the legislative body may determine, in accordance with the provisions of law for one or more of the following purposes: A. Transfer to the General Fund, provided that the amount of any such transfer shall not exceed the lesser of One Thousand Dollars ($1,000.00) or five percent (5 %) of the total from the Improvement Fund; Resolution No. 2015 - Page 3 of 8 12A -11 B. As a credit upon the assessment and any supplemental assessment; C. For the maintenance of the Improvements; or D. To call Improvement Bonds, Section 8. Improvement Fund. The legislative body hereby establishes a Special Improvement Fund identified and designated by the name of this Assessment District, and into such Fund monies may be transferred at any time to expedite the acquisition or construction of the Improvements, and any such advancement of funds is a loan and shall be repaid out of the proceeds of the sale of bonds as authorized by law, Section 9. Grades. Notice is hereby given that the grade to which the work shall be done is to be shown on the plans and profiles therefor, which grade may vary from the existing grades. The work herein contemplated shall be done to the grades as indicated on the plans and specifications, to which reference is made for a description of the grade at which the work is to be done. Any objections or protests to the proposed grade shall be made at the public hearing to be conducted under these proceedings. Section 10. Proceedings Inquiries. For any and all information relating to these proceedings, including information relating to protest procedure, your attention is directed to the person designated below: FRED MOUSAVIPOUR EXECUTIVE DIRECTOR PUBLIC WORKS AGENCY CITY OF SANTA ANA 20 CIVIC CENTER PLAZA (M -21) SANTA ANA, CALIFORNIA 92701 (714) 647 -5662 Section 11. Public Property. All public property shall be subject to assessment in these proceedings unless otherwise expressly provided and listed herein. Section 12. Acquisition. The public interest, convenience and necessity requires that certain land, rights -of -way or easements be obtained in order to allow the Improvements as proposed for this Assessment District to be accomplished. The Engineer's Report, upon adoption, shall set forth general description of the location and extent of easements and /or land necessary to be acquired. Section 18. Contribution. The City of Santa Ana Intends to provide a contribution of revenues, not otherwise prohibited by law, to the acquisition and construction of the Improvements and the payment of expenses incidental thereto. Section 14. No City Liability. This legislative body hereby declares not to obligate itself to advance available funds from the Treasury to cure any deficiency that may occur in the bond redemption fund. This determination is made pursuant to the authority of Section 8769(b) of the Streets and Highways Code of the State of Resolution No. 2015- Page 4 of 8 12A -12 California, and such determination shall further be set forth in the text of the bonds issued pursuant to the Bond Act. Section 15. Annual Administrative Assessment. It is hereby declared that this legislative body proposes to levy an annual assessment pursuant to Section 10204 of the Streets and Highways Code of the State of California, such annual assessment to pay costs incurred by the City and not otherwise reimbursed which result from the administration and collection of assessments or from the administration or registration of any associated bonds and their related funds. Section 16. 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 July, 2015. APPROVED AS TO FORM: Sonia RrvallW, City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers Miguel A. Pulido Mayor 12A -13 Resolution No. 2015 - Page 5 of 8 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. MUIZAR, 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 12A -14 Resolution No. 2015 - Page 6 of 8 EXHIBIT A Description of the Improvements Reconstruction of street pavement, construction of curb ramps, repair of driveway approaches, sidewalks, curbs, & gutters, adjustment of surface utility frames & covers, and installation of pavement markings. 12A -15 WL 1 !9 MAP OF PROPOSED BOUNDARIES OF ASSESSMENT DISTRICT 2015-01 1 EXHIBrr B 12A-16 CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this 7`h day of July, 2015, by and between Fieldman, Rolapp Financial Services, LLC, a California Limited Liability Company (hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of assessment district financial advisory services. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $36,000.00 during the term of this Agreement. b. Payment by City shall be made within forty -five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. lit-W0 This Agreement shall commence an the date first written above and terminate on December 31, 2016, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended for one one -year extension upon a writing executed by the City Manager and the City Attorney. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. Ex1 N't A 7 5, OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, Including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit C upon execution of this Agreement and shall be approved in form by the City Attorney. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles, as applicable to Consultant's use of automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. 12A -18 (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. If Consultant falls or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to Indemnify the City for any work performed prior to approval of insurance by the City. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement, to the extent that the injury, damages, just compensation, restitution, judicial or equitable relief is caused by the negligence of the Consultant. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. In no case will Consultant be required to indemnify or hold harmless the City from injury, damages, just compensation, restitution, judicial or equitable relief caused by negligence of the City. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs Incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 12A -19 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714- 647 -6956 With courtesy copies to: Executive Director — Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714• - 64.7 -5622 -1 me City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -6515 12A -20 To Consultant: James V. Fabian Principal Fieldman, Rolapp & Associates 19900 MacArthur Boulevard, Suite 1100 Irvine, CA 92612 949- 660 -7300 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15, TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 12A -21 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California, Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City In the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 12A -22 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA City Aft 0 • 1, ..►0.._5 •: s".• FRED MOUSAVIPOUR Executive Director — PWA CITY OF SANTA ANA DAVID CAVAZOS City Manager FIELDMAN, ROLAPP & ASSOCIATES J ES V. FABIAN Principal Tax ID# 12A -23 EXHIBIT A SCOPE OF SERVICES 12A -24 tC AS10CIATES Nov j.,V No aNb,CNaf,da fryr exrAeriiirG:. June 22, 2015 Mr. Kenny Nguyen Senior Civil Engineer City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Re: Financial Advisory Services for Proposed Assessment District Dear Mr. Nguyen, Pursuant to your request, Fieldman, Rolapp & Associates is pleased to submit this Letter Agreement (the "Agreement ") to the City of Santa Ana (the "City ") describing our proposed scope of services to be performed in conjunction with the planning and financing of the proposed improvements for the City's proposed Assessment District which relates to the rehabbing of streets for a commercial / industrial area known as Warner Industrial Park (the "Project "), It is our understanding that special assessment improvement bonds will be sold pursuant to the Municipal Improvement Act of 1915 (the "Bonds "). As you may be aware, Fieldman, Rolapp & Associates is an independent financial advisory services firm, and is a SEC - registered Municipal Advisor. We proposed to provide the following services in connection with advising the City on the Project and the Bonds: Phase I Services: District Formation 1. Assist in Developing Cost Estimate in Preliminary Engineer's Report We will confer with City staff, bond counsel, consulting engineers and other consultants for the purpose of making a preliminary survey of the Project and to assist in the formulation of a coordinated plan to finance the Project. We will assist in review and developing of the financing aspects (e.g. bond cost estimates, interest rates, etc) of the Preliminary Engineer's Report. (Note: we do not handle the legal or any other matters related to the Preliminary Engineer's Report, including the methodology for allocating the costs / benefits to properties.) II. Develop District Formation and Financing Schedule We will develop a schedule which will include all steps necessary to form the proposed District and, assuming a favorable approval of property owners, the steps and timeline to issue the Bonds. During the formation and financing process, we will act as the City's project manager to coordinate any necessary conference calls, document review meetings, and other related actions to ensure Clio City's desired project schedule is met and all consultant activities are coordinated. 19900 Maduthurr Blvd., Suite 1100 • llviw, CA 92612 + phnne: 949.660.7300 - U: 949.474.8773 • wmv.fieldrnsac.rn 00116029.DOC / MA Proioct, No. 08146 12A -25 Financial Advisory Services for Assessment District City of Santa Ana Page 2 III. Attendance at Public Meetings /Owner Workshops We will attend meetings concerning the Project when deemed necessary and, in addition, be available to meet with the affected property owner(s) to explain the process, costs, and tuning of any proposed bond issue. I.V. Procure Additional Services Required We will be develop requests for proposals or make recommendations for other consultants and services the City may need to accomplish the District formation and financing, including bond counsel, bond underwriter, disclosure counsel, bond trustee, printing services, or any other services as needed. V. Attendance at City Council Meetings and Public Hearing We will attend all City Council meetings presentations to the extent deemed necessary. as may be requested. PHASE II Services: Bond Financing as requested and shall participate in any related We will review and comment on any staff reports Phase II services will commence upon the District being approved by the City Council following the Public FIearing. Phase I services shall be deemed completed upon commencement of Phase II services. Bond Structuring We will furnish the City with information concerning cuizent municipal bond market conditions and make recommendation as to the technical details of the financing, including bond issue maturity schedules, term and repayment structure, bond covenants, early redemption features, and other details which will, in our opinion, make the proposed financing the most advantageous to the City. II. Bond Method of Sale / Bond Underwriter Selection We will advise the City or the most advantageous method to sell the Bonds, assessing negotiated public offering, private placement, or competitive sale options. We will advise or the selection of bond underwriter and negotiate or competitively determine bond underwriting fees. III. Transaction Management and Bond Sale 1. Review of Documents We will review the financial aspects of all documents relating to the marketing of the proposed Bonds including the final Engineer's Report, Bond Indenture, Official Statement and Bond Purchase Agreement. 12A -26 Financial Advisory Services for Assessment District City of Santa Ana Page 3 2. Due Diligence Meeting We will coordinate and participate in a due diligence meeting and assist the City in the examination of all material fact's related to Assessment District property and the repayment of the proposed bond issue. Pricing We will assist the City in negotiating the sale of the contemplated Bonds to the underwriter selected by the City and make appropriate recommendations to the City. These recommendations will include our recommendations regarding the appropriate pricing for the bonds (discount and interest rates), underwriting costs, accrued interest, and any other financial items, ENGAGEMENT We would propose to enter into an agreement or contract acceptable to the City based on the services outlined above and the fees provided in Exhibit A to this agreement. If desired, we can provide the City with our standard contract for review and signature or you can sign this letter and we can begin our Phase I services. Thank you for the opportunity to advise the City on the Project! Sincerely, ;�X�a 4L�� Runes V. Fabian Principal HELDMAN, ROLAPP & ASSOCIATES ACCEPTANCE Executed on behalf of the City of Santa Ana this day of 2015. . By: Title: Date: 12A -27 EXHIBIT B FEE SCHEDULE 12A -28 EXHIBIT A Financial Advisory Services for Assessment District City of Santa Ana Page 4 EXMBIT A PEES AND EXPENSES For Phase I, our fees will be based on our standard hourly rates as provided in the table below and the time required, capped at an amount not -to- exceed $9,500. In the event the District is not confirmed after the Public Hearing or the Project is otherwise discontinued by the City, the Phase I fees accrued to date will be payable at such time, In the event the District is approved at the Public Hearing, any accrued fees during Phase I will be applied towards a total fee of $36,000, due upon the closing of the District Bonds. Therefore, in no event shall our fees exceed $9,500 for Phase I services or $36,000 in total. Expenses will be billed in addition to the fees above. Our expenses will only include direct out of pocket items, such as travel, conference calls, or other direct costs related to the District formation or bond issuance. Expenses billed will be capped at $1,500. SCHEDULE Effective Jantimy 1, Executive Officer 2010 $300 Per Hour Principal $290 Per Hour Principal /Senior Vice President $275 Per Hour Vice President $225 Per Hout Assistant Vice President $195 Per Hour Seniot Associate $150 Per Hour Associate $125 Per Hour Analyst $85 Pet Hour Administrative Assistant $65 Per Hour Clerical $35 Per Hour 12A -29 EXHIBIT C ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy # _ Issued to Named Countersigned by this endorsement form as a part of Authorized Representative 12A -30 CITY OF SANTA ANA LEGISLATIVE CITY COUNCIL COMMITTEE MEETING CANCELLATION NOTICE The regularly scheduled Legislative City Council Committee meeting scheduled for Wednesday, June 24, 2015 at 12:00 p.m. has been cancelled. The date of the next meeting is September 23, 2015. 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 Il, 28 CFR 35.1021 Miguel A. Pulido, Vincent F. Sarmiento, Michele Martinez, Angelica Amezcua, P. David Benavides, Roman Reyna, Sal Tinajero, Mayor Mayor Pro Tem, Ward 2 Ward 3 Ward 4 Ward 5 Ward 6 MPul Joesanta -anao Ward MMed' -O.ana o RRevn2. aan ST'naam(,san VS— Ianto(nJSa City Hall, 20 Civic Center Plaza • P.O. Box 1988 a Santa Ana, California 92702 Mayor & Council Telephone: 714. 647.6900 + Agenda Item Inquiries: 714- 647 -5200 • Website: www.santa- ana.ora 13A -1 13A -2 CITY OF SANTA ANA COUNCIL COMMITTEE MEETING SPECIAL MEETING AGENDA DEVELOPMENT AND TRANSPORTATION COMMITTEE THURSDAY, JUNE 25, 2015 5:00 P.M. CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California RE Committee Members: Vincent Sarmiento, Chairperson Michele Martinez, Vice Chairperson David Benavides Recording Secretary: Lorrie Ortiz 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 1. Streetcar Project Update — David Cavazos {Strategic Plan Nos. 6, 1 G; 3, 2C} 2. Warner Avenue Improvements Update— William Galvez {Strategic Plan No. 6, 1B and 1G} 3. Third & Broadway Update — Developer Selection Panel Results and Next Steps — David Cavazos {Strategic Plan No. 3, 5A} 4. Presentation: Sewer Lines Ownership Ordinance Amendment — Nabil Saba {Strategic Plan No. 6, 1 H} 5. Presentation: Drought Water Rate Surcharge — Nabil Saba {Strategic Plan No. 6, 1 H} 6. Housing Opportunity Ordinance Discussion — Review Potential Changes to Existing Ordinance — Hassan Haghani {Strategic Plan No. 5, 3B} 7. Complete Streets Plan for Downtown Update — Cory Wilkerson {Strategic Plan No. 5, 6B} 8. Active Transportation Program Update — William Galvez {Strategic Plan No.1, 1E} 9. Presentation: Project W: Safe Transit Stops - Input on Transit Stop Concepts — Suzi Furjanic {Strategic Plan Nos. 3, 4A; 6, 1G } MIf 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 Il, 28 CFR 35.102] Santa Ana City Council Miguel A. Pulido, Vincent F. Sarmienlo, Michele Martinez, Angelica Amezcua, P. Davld Benavides, Roman Rayne, Sal Tinalero, Mayor Mayor Pro Tem, Ward 1 Ward 2 Ward 3 Ward 4 Ward 5 Ward 6 WuhdoNsa aan a.org DBenavtlesrnisanaan 2ften',ln?gm',', ui oee ST'na emlolganaan City Hall, 20 Civic Center Plaza • P.O. Box 1988 • Santa Ana, California 92702 Mayor & Council Telephone: 714- 647.6900 • AgBr{3t/iti In3iries: 714. 647.6520 • Website: www.santa- ana.org STAFF COMMENTS COMMITTEE MEMBER COMMENTS FUTURE AGENDA ITEMS ADJOURNMENT— The next meeting scheduled for Thursday, July 2, 2015 at 5:00 p.m. is cancelled. The complete Strategic Plan document is available at http : / /`www.santo- ana.org/strategic- planning/ DEVELOPMENT & TRANSPORTATION COMMITTEE AGENDA 2 JULY 2, 2015 13A -4 N CALL TO ORDER CITY OF SANTA ANA SPECIAL MEETING OF THE CODE OF CONDUCT AND ETHICS COUNCIL COMMITTEE TUESDAY, JUNE 30, 2015 4:00 P.M. IeFr]�►1J_1 City Hall, Ross Annex, Room 16 20 Civic Center Plaza, Santa An. COMMITTEE MEMBERS: STAFF: David Cavazos, the Council PUBLIC COMMENTS - Members of the public or matters within the jurisdiction of the Com 1. 2. 3. 4. APPROVE MINUTES PLAN NO. 5, 1} CONTI IT REL AN DISCO: DEFEN a, Chair Clerk of on agenda items 14 REGULAR MEETING {STRATEGIC )MMENDATIONS ON CITY COUNCIL POLICY AS IONS AND SANCTIONS CONDUCT AND ETHICS {STRATEGIC PLAN NO. 5, 1} SIONS AND CAMPAIGN CONTRIBUTION LIMITS ON LEGAL ®If you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647 -5340. 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 35.102] Santa Ana City Council Miguel A. Puree, Vincent F. Sarmlento, Michele Martinez, Angelica P. David Benavides, Roman Rayne, Sal Tinajero, Mayor Mayor Pro Tem, Ward 1 Ward 2 Amezcua, Ward 3 Ward 4 Ward 5 Ward 6 WuIItlo,@sanU- ana.om eBenavltlas(NSanU ana.om RRevna&a nta- ana.om STlnaleron)- nlaanaom • ana om City Hall, 20 Civic Center Plaza s P.O. Box 1988 . Santa Ana, California 92702 Mayor & Council Telephone: 714- 647 -6900 . Agenda Item Inquiries: 714 -647 -6520 • Website: www.santa- ana.orq 13A -5 DISCUSSION AND POSSIBLE ACTION RELATED TO STATE REQUIRED AB 1234 MANDATORY ETHICS TRAINING BY CITY ELECTED AND APPOINTED OFFICIALS {STRATEGIC PLAN NO. 5, 11 COMMITTEE MEMBER COMMENTS (STRATEGIC PLAN NO. 5, 1) ADJOURNMENT — Next regularly scheduled meeting is November 19, 2015 13A -6 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON DEVELOPMENT AND TRANSPORTATION BE CANCELLATION NOTICE The City Council Committee meeting on Development and Transportation scheduled for Thursday, July 2, 2015 at 5:00 p.m. has been cancelled. The next meeting will be held Thursday, October 1, 2015 5:00 P.M. City Hall Ross Annex Conference Room 1600 20 Civic Center Plaza Santa Ana, California 13A -7 13A -8 CITY COUNCIL MEETING DATE JULY 7, 2015 TITLE: �nn N V `!db1!t AUTHORIZE PHASE TWO OF THE PILOT UTILITY CABINET PROGRAM {STRATEGIC PLAN NO. 5, 5B} �f CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: yWT1;♦ As Recommended As Amended ❑ Ordinance on 1'' Reading C Ordinance on 2nd Reading Implementing Resolution Set Public Hearing For CONTINUED TO FILE NUMBER Authorize Community Development Agency staff to release Phase Two of the Pilot Utility Cabinet Program application, subject to non - substantive changes. fimi At its regular meeting on June 18, 2015, by a vote of 6:0 (Alvarado and Gomez absent), the Arts and Culture Commission recommended that the City Council release Phase Two of the Pilot Utility Cabinet Program application. On September 5, 2013; an Ad -Hoc Committee consisting of the Mayor, Councilman Benavides, and Councilman Reyna met to discuss opportunities for a pilot effort to use the City's traffic control cabinets as canvases for local artists, students and other community groups. Best practices were compiled regarding utility box painting In other cities throughout California to provide options for implementing a pilot program in Santa Ana. After reviewing the options, the Ad -Hoc Committee decided to propose a two -phase pilot Utility Box Art Program. At the November 4, 2013 meeting, City Council authorized to allocate funds In the amount of $7,700 to paint utility cabinets as part of the Pilot utility Cabinet Program; $6,300 allocated to phase one and $1,400 allocated to phase two of the program. The first phase focused on painting seven selected utility cpbinets located within the downtown. A stipend of $700 per utility cabinet as well as reimbursement of up to $200 for materials and supplies was awarded to selected artists. This phase was completed in November 2014. The second phase proposed selecting seven utility cabinets citywide, one in each Council ward to be selected by each respective Councilmember and an at -large location to be selected by the Mayor. The artists selected to paint the seven utility cabinets citywide will be reimbursed up to $200 for materials and supplies, but will not be offered a stipend. The intent 1s to focus the 19C -1 Phase Two Utility Cabinet Program July 7, 2015 Page 2 citywide program on volunteers, students, emerging artists, and community groups, ideally under the mentorship /guidance of a professional artist, This phase has not yet to begun, At its regular meeting on May 21, 2015, the Arts and Culture Commission reviewed phase two of the pilot program. After substantial discussion, one of the Commission's recommendations was to increase community outreach. Staff will incorporate the recommendation into the phase two process by providing an informational flyer (Exhibit 2) to the Santa Ana Public Library, Santa Ana Unified School District, Santa Ana College and other local colleges and universities. The flyer will also be posted on the City's website and Facebook page and will be sent electronically to individuals and organizations who have expressed interest in receiving such notices. Staff is requesting authorization to release the Phase Two Utility Cabinet Program application (Exhibit 1) to solicit proposals from students, volunteers, emerging artists, or community groups. It Is recommended that each Arts and Culture Commissioner evaluate applications for their respective ward; applications that do not specify a desired ward may be rated by all Commissioners. The evaluations will be based on established criteria such as appropriateness of scale, form and content, as well as artistic excellence and the artists experience working on comparable projects. One utility cabinet in each Council ward will be selected by each Commissioner and an at -large location to be selected by the Chairman. Factors that will be considered when selecting the location of the utility cabinets will be high visibility corridors that are gateways into the City and /or run through several wards, as well as considering potential community impact and the desired location suggested by applicant. The Commission's recommendations for artist selection and utility cabinet location will be submitted to City Council for final consideration and approval. STRATEGIC PLAN ALIGNMENT Approval of this Item supports the City's efforts to meet Goal #5 Engagement & Sustainability, Objective #5 (Promote a strong a Strategy B (Generate public and private support and resource s stabilize funding for the arts), FI§GA.L IMPACT There is no fiscal impact associated with this action, 19C -2 Community Health, Livability, its and culture infrastructure), to strengthen, expand and Phase Two Utility Cabinet Program July 7, 2015 Page 3 � _ Kelly ReerWers Executive Director Community Development Agency KR/SB Exhibit: 1, Artist Application 2, Informational Flyer Executive Director Public Works Agency 19C -3 19C -4 - OTTO Utility Cabinet Pilot Art Proqram The artist selected to paint the utility cabinet will be reimbursed up to $200 for materials and supplies. The intent of the Utility Cabinet Pilot Art Program is to focus on volunteers, students, emerging artists and community groups, ideally under the mentorship /guidance of a professional artist. A suggested location of the utility cabinet will be considered, however, the final location will be recommended by the Commission and approved by City Council. SUBMISSION REQUIREMENTS Applications must contain the following documents to be considered: 1. Completed application 2. Design Template (up to two) Applications must be submitted by 4 P.M., August 12, 2015 via one of the following methods: Mail/Hand Delivery: City of Santa Ana Utility Cabinet Pilot Art Program Community Development Agency M -25 20 Civic Center Plaza, 6th floor Santa Ana, CA 92701 CONTACT Website: https://cityofsantaana.submittable.com/submit For questions regarding the application contact Kelly Reenders at (714) 647 -5360 or kreendersna,santa- ana.org. ANTICIPATED TIMELINE 07/13/15 Applications available 08/12/15 Applications due by 4 p.m. 09/17/15 Awardee recommendations from Commission 10/06/15 City Council Approval of Awardees 10/19/15 Mandatory Pre - Install Meeting January 2015 Utility Cabinets to be Completed IE W s Phase Two for the Utility Cabinet Pilot Art Program APPLICATION City of Santa Ana Please note that applicants must live, work or study in Santa Ana to apply. Vinyl wraps are encouraged but not required. Applicant information Name Organization Name (if applicable) Street Address City State Zip Phone Number E -Mail Website Name of Artist Mentor (must attach resume /portfolio) Prefered City Ward for Utility Box? 1:11 ❑ 2 ❑ 3 ❑ 4 1:15 ❑ 6 1:17 ❑ No preference Suggested Intersection of desired utility box(if applicable): Artwork Description Title of Submission #1 Design Description Title of Submission #2 Design Description Getting to Know the Applicant Applicant's approach to the project — Vision and Intent Applicant's philosophy on public art; why is public art important? How does the artistic rendering(s) represent Santa Ana? 19C -6 a O h Phase Two for the Utility Cabinet Pilot Art Program City of Santa Ana Below is a template of a typical utility box showing four sides and the top. Use this template to illustrate your color rendering(s). You may enlarge the template as needed. Unique colors and bold graphics work well, along with the bright images that compliment pedestrian activity. The Selection Committee will use this submittal along with the application to select the winning w 0 U) H z O Of LL W 0 Co Note: The dimensions of the template may not accurf rpRec711 utility boxes; proposed designs must be adjustable. 19C -8 0 f A " - iv �� k•i,\ .�+�"'�� \1��aea.� .�7ny t�� t�� , i " � .--,ems � h �r ,1 £` . . r. .n�:f. V� 6.4q' k.. nlar.�'+.i.r �ti b ➢CY)e'. 19C -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE; JULY 7, 2015 TITLE: SHOP LOCAL SANTA ANA (STRATEGIC PLAN NO. 3, 1, F) n CITY MANAG RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1B1 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER To continue to promote and support a vibrant business climate, the City of Santa Ana is unveiling a new "Shop Local Santa Ana" campaign. Through the City's website campaign, local residents will be educated on the many benefits of supporting their own local business community. The City's website (http: // santa- ana.org/eda /shoplocal.aso) will highlight the Mayor and City Council's "Shop Local in Santa Ana" video, the benefits of shopping locally, and will link to the City's interactive business directory that will provide valuable information to residents on the local businesses in Santa Ana. Businesses that want to help market and support the program will be given special "Shop Local Santa Ana" reusable bags to hand out to their customers. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #1, (Implement a comprehensive Economic Development strategy to ensure that Santa Ana is a City with a vibrant business climate that is accessible, user - friendly and welcoming to all residents and visitors), Strategy F (Promote local business, reduce retail leakage and improve revenue tax base performance through the development of a "Santa Ana Buy Local Plan "). FISCAL IMPACT There is no fiscal impact associated with this action. 19D -1 Shop Local July 7, 2015 Page 2 Kelly Reenders Executive Director Community Development Agency KR /MM /sb Exhibit: 1. Shop Local Santa Ana Website Screenshot 19D-2 1 6 r U O l� d � G _I a � G • ~ V -d I cl -� 0 QI 0 u W H� rr a v ti 0 0 w u v s. 'o v Gl N y C a 3 o 7 � E o 0 V � GJ 4 x uc � W y r Y [n O R J a yL� L a a 19D-3 14 0A F m 2 X W 19D-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 07, 2015 TITLE: APPROPRIATION ADJUSTMENT ACCEPTING SUPPLEMENTAL LAW ENFORCEMENT SERVICES ACCOUNT (SLESA) FUNDS (STRATEGIC PLAN NO. 1, B) CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 at Reading ❑ Ordinance on 2n6 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve an appropriation adjustment to recognize $306,172.45 in the FY 2014 -15 Supplemental Law Enforcement Services revenue account and appropriate same to the grant expenditure account for special enforcement and gang detail overtime. DISCUSSION The State of California provides grant funding to state law enforcement agencies through the Supplemental Law Enforcement Services Account (SLESA). This program requires that funding be allocated to counties and cities in accordance with specific requirements for front line law enforcement services. Front line law enforcement typically includes community oriented policing projects and special law enforcement activities that require use of additional police officers in specially targeted saturation areas. Funding allocations for SLESA are based on annual estimated population figures for respective counties and cities. Based on Santa Ana's population figures, the State estimates that the Police Department will receive $524,222 in FY 2014 -15 SLESA funding. To date, the Police Department has received $306,172.45 of the FY 2014 -15 allocation. The Police Department is anticipating the final FY 2014 -15 payments of approximately $218,049 later this fiscal year. The Police Department proposes to utilize this funding for special enforcement and gang detail overtime. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing and reducing criminal activity and traffic collisions). 20A -1 Appropriation Adjustment — SLESA Funds July 7, 2015 Page 2 FISCAL IMPACT The appropriation adjustment will recognize $306,172.45 in the Supplemental Law Enforcement Services revenue account (no. 12814002 52026), and appropriate same to expenditure account (no. 12814407 61040), for the FY 2015 -16 fiscal year. 20A -2 AS TO FUNDS AND ACCOUNTS: rrez Director, Finance & Mgt. Svcs. REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING OFFICE OF TRAFFIC SAFETY, STEP PROGRAM GRANT FUNDS {STRATEGIC PLAN NO. 1, 36} CITY MANAGIER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 0r]Ji *1T /=Ie7 ❑ As Recommended ❑ As Amended ❑ Ordinance on Vt Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to execute a one -year agreement with the State Office of Traffic Safety for Selective Traffic Enforcement Program (STEP) Grant funds, for the period of October 1, 2015 through September 30, 2016, in an amount not to exceed $343,480 subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment recognizing State of California, Office of Traffic Safety, Selective Traffic Enforcement Program (STEP) Grant funds in the amount of $343,480 in the Office of Traffic Safety revenue account and appropriate same to expenditure accounts. DISCUSSION The Santa Ana Police Department has been awarded a $343,480 grant from the State of California, Office of Traffic Safety under the Selective Traffic Enforcement Program (STEP). The goal of this program is to reduce the number of persons killed and injured in crashes involving alcohol, speed, red light running, and other primary collision factors. To accomplish this goal, the program will fund education and enforcement activities. The enforcement activities will follow proven, "best practice" strategies and will be conducted on an overtime basis. The funded strategies will include DUI checkpoints and DUI saturation patrols to apprehend drunk drivers. The program will also concentrate on bicycle /pedestrian safety, speed violations, aggressive driving, and seat belt enforcement. The educational portion of the grant will include funding to facilitate multi -media presentations at local high schools in partnership with the Santa Ana Unified School District. Promotional and educational materials will be made available to support our ongoing outreach programs already in place. This one -year agreement will cover the program period from October 1, 2015 through September 30, 2016. 20B -1 Agreement with OTS for STEP Program July 7, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing and reducing criminal activity and traffic collisions). FISCAL IMPACT The appropriation adjustment will enhance the Office of Traffic Safety revenue account (no. 16514002 - 52001) and appropriate same to the grant expenditure account (no. 16514414 - various) for fiscal year 2015 -16 in the amount of $257,610 and fiscal year 2016 -17 in the amount of $85,870. �--� APPROV AS TO FUNDS AND ACCOUNTS: Carlo ojas FIrancisco Gutierrez Chief of Police Executive Director Santa Ana Police Department Finance & Mgt. Services Agency 20B -2 State of California — Office of Traffic Safety GRANT AGREEMENT - Page i OTS -38 (Rev, 4/15) GRANT NUMUER PT16124 1. GRANTTITLE SELECTIVE TRAFFIC ENFORCEMENT PROGRAM (STEP) 2. NAME OF AGENCY CITY OF SANTA ANA 4. GIANT PERCOD From: 1011115 3. AGENCY UNIT TO ADMINISTER GRANT SANTA ANA POLICE DEPARTMENT To: 9/30/16 5. GnANTDESCRUTION To reduce the number of persons killed and injured in traffic crashes involving alcohol and other primary collision factors, "best practice" strategies will be conducted. The funded strategies may include: DUI checkpoints, DUI saturation patrols, warrant service operations, stakeout operations, a "HOT Sheet" program, educational presentations, and court stings. The program may also concentrate on speed, distracted driving, seat belt enforcement, operations at intersections with disproportionate numbers of traffic crashes, and special enforcement operations encouraging motorcycle safety, These strategies are designed to earn media attention thus enhancing the overall deterrent effect. 6. FEDERAL FUNDS ALLOCATED UNDER THIS AGREEMENT SHALL NOT EXCEED:. $ 343,480.00 7. TERMS AND CONDrr(ONS: The parties agree to comply with the terms and conditions of the following which are by this reference made a part of the Agreement: • Schedule A (OTS -38b) —Problem Statement, Goals and * Exhibit A- Certifications and Assurances Objectives and Method of Procedure • Exhibit B* - OTS Grant Program Manual • Schedule B (OTS -38d) — Detailed Budget Estimate and Sub - Budget Estimate (if applicable) • Schedule B -1 (OTS -38f) -- Budget Narrative and Sub - Budget Narrative (if applicable) *Items shown with an asterisk ( *), are hereby incorporated by reference and made a part of this agreement as if attached hereto. These documents can be viewed at the OTS home web page under Grants: www ota ca ¢ov. We, the officials named below, hereby swear under penalty of perjury under the laws of the State of California that we are duly authorized to legally bind the Grant recipient to the above described Grant terms and conditions, IN WITNESS WHEREOF, this A reemoid has been executed b y the parties hereto. 8.__,AI'YltOVAL_S,IGYAT'I1RES - A. GRANT DIRECTOR B. AUTHORIZING OFFICIAL OF A(`ICNCY NAMe: Enrique Esparza PHONa: 714- 245.8210 NAAm David Cavazos PRONa: 714- 647 -5200 Tres: Commander FAx: 714 -245 -8190 } THLa: City Manager FAX: 714. 647.6956 ADDRnss: 60 Civic Center Plaza ADDUSs: 20 Civic Center Plaza, 8 °i Floor P.O. Box 1981 P.O. Box 1988 Santa Ana, Ca 92702 Santa Ana, Ca 92702 e- [Aa: EEsparza @santa- ana.org ' a -mIL: dcavazos @santa- ana.org _.. __ ... (Signature) ure) a t(Signat_ (D. e. . . . . - __- E ._- -_ u D. OrFicEAu ,rHORIZEDTORECVEPAYMCNTS NAMR: Bich Duong To Poem: 714- 647 -5434 i NAME: Finance Department Accounting Manager Tarn: FA C J ADDR ESS: 20 Civic Center Plaza, 3rd Floor Anmlass: 20 Civic Center Plaza, 3m Floor i P.O. Box 1988 P.O. Box 1988 ; Santa Ana Ca 92702 O Santa Ana, Ca 92702 c 9, DUNS NUrnHER s -MAR -: bta @santa- anaarg60 Civic Center Plazay p DUNS #: 083153247 RBOISTERIin 20 Civic Center Plaza, Ste Floor h AnDanss & K (Signature) (Date) zm: Santa Ana, CA 92701 -4058 ro : �Ir r1- iu <C I .J v, -t: In GRANTS MADE EASY -STEP SCHEDULE A GRANT DESCRIPTION GRANT No. PT16124 1. PROBLEM STATEMENT pAnq i The city of Santa Ana is a dynamic and diverse city. It is a hub of employment within the county drawing hundreds of thousands of persons to the city on a daily basis. With features like the Bowers Museum, Orange County High School for the Arts, and Cal State University Fullerton Center for the Arts, it is a popular destination of arts aficionados and students. The downtown area has become a popular destination on weekend nights. Over the last few years numerous chic restaurants and bars have opened their doors to welcome patrons, This influx of patrons has greatly increased the number of drivers on the road in the evenings, many of whom have been drinking. The city of Santa Ana is the home of approximately 330,000 residents. It has approximately 477 miles of local, arterial, and collector roads. They are patrolled by approximately 150 sworn police officers that are fielded either in a patrol assignment or traffic enforcement. The Traffic Division has 18 sworn officers, This includes two Sergeants, three Corporals, eleven motor officers, and two collision investigators. There are l l motor officers who are tasked with traffic enforcement, and collision investigation. Since 2011, there has been a dramatic increase in fatality traffic collisions. Many of these fatalities have been the result of alcohol - related collisions and pedestrian collisions. Injury traffic collisions have also increased, although not as dramatic as fatalities. Nearly one half of all injury traffic collisions have been caused by three Primacy Collision Factors: Right of Way, Unsafe Speed, and Signs & Signals. Our City has committed itself to Traffic Safety. In a recently published five year strategic plan, traffic safety was outlined to be a top priority, specifically pedestrian safety. In response, the Traffic Division has already begun education programs targeting all children and adults alike. We have published printed material and recorded a public safety program. Through our efforts in education, both grant- funded and internally- funded measures, we hope to prevent the Cragic consequences of unsafe drivers, pedestrians, and impaired drivers. 'rho educational efforts, in conjunetion with vigorous enforcement activities will have a positive effect on the connnunity and make our streets safer. We are looking forward to a successful partnership with the California Office of Traffic Safety as we make our streets safer. OTS -38b (Rev. 4115) GRANTS MADE EASY- STEP SCHLDULE A GRANT DESCRIPTION GRANT No. PT16124 A. Traffic Data Summary: Collision 2012 2013 A e YAUE L 5014 Fatal Collisions Victims Collisions Victims' Collisions victims Injury 16 1,413 16 1,970 19 1,324 -Fatal 21 1,916 18 1344 20 1996 Alcohol - Fatal Injury 8 105 killed Idjared g 161 Injury Killed 'Liured_ )<Met In1ui Killed Inlnrad, Involved 3 78 3 126 8 139 $ 222 Hit & Run 4 197 4 251 5 165 6 212 3 194 5 222 Nighttime (2100 -0259 flours) 5 151 5 214 5 130 5 185 3 139 3 214 To '3 Primary Collision Factors - -T Fatal Injury Killed _ injured #1- Right -of -Wa 6 353 7 506 #2 - I Unsafe Speed 1 293 1 460 #3 - Signals and Signs 4 274 5 298 2. PERFORMANCE MEASUR[ts A. Goals: 1) To reduce the number of persons killed in traffic collisions. 2) To reduce the number of persons injured in traffic collisions, 3) To reduce the number of persons killed in alcohol - involved collisions. 4) To reduce the number of persons injured in alcohol - involved collisions. 5) To reduce the number of persons killed in drug4nvolved collisions, 6) To reduce the number of persons injured in drug- involved collisions. 7) To reduce the number of persons killed in alcohol /drug combo - involved collisions. 8) To reduce the number of persons injured in alcohol /drug combo - involved collisions. 9) To reduce the number of motorcyclists killed in traffic collisions. 10) To reduce the number of motorcyclists injured in traffic collisions. OTS -38b (Rev, 4/15) Rekur w a �a r 20B -5 GRANTS MADE EASY - STErP SCHEWLE A GRANT DESCRIPTION GRANT No. PT16124 PACE 3 11) To reduce the number of motorcyclists killed in alcohol - involved collisions. 12) To reduce the number of motorcyclists injured in alcohol - involved collisions. 13) To reduce hit & run fatal collisions. 14) To reduce hit & run injury collisions. 15) To reduce nighttime (2100 - 0259 hours) fatal collisions. 16) To reduce nighttime (2100 - 0259 hours) injury collisions. 17) To reduce the number of bicyclists killed in trafffo collisions. 1 &) To reduce the number of bicyclists injured in traffic collisions, 19) To reduce the number of pedestrians killed in traffic collisions. 20) To reduce the number ofpedestrians injured in traffic collisions. B. Objectives: 1) To develop (by December 31) and /or maintain a "HOT Sheet" program to notify patrol and traffic officers to be on the lookout for identified repeat DUI offenders with a suspended or revoked license as a result of DUI convictions. Updated HOT sheets should be distributed to patrol and traffic officers monthly. 2) To send 4 law enforcement persomzel to the NHTSA Standardized Field Sobriety Testing (SFST) (minimum 16 hour) POST - certified training. 3) To send 2 law enforcement personnel to the NHTSA Advanced Roadside Impaired Driving Enforcement (ARIDE) 16 hour POST - certified training. 4) To send 1 law enforcement personnel to the IACP Drug Recognition Expert (DRS) training. 5) To send 1 law enforcement personnel to the IACP Drug Recognition Expert (DRE) Recertification training. 6) To conduct 16 DUI /DL Checkpoints. Note: A minimum of I checkpoint should be conducted during the NHTSA Winter Mobilization and 1 during the NFXTSA Summer Mobilization. 7) To conduct 50 DUI Saturation Patrol operation(s). OTS -38b (Rev. 4/t5) rI- GRANTS MADE EASY - STEP SCIIEDULE A GRANT DESCRIPTION GRANT No. PT16124 PAnvd 8) To conduct 12 Traffic Enforcement operation(s), including but not limited to, primary collision factor violations. 9) To conduct 10 Distracted Driving enforcement operation(s) targeting drivers using hard held cell phones and texting. 10) To conduct 2 highly publicized Motorcycle Safety enforcement operation(s) in areas or during events with a high number of motorcycle incidents or collisions resulting from unsafe speed, DUI, following too closely, unsafe lane changes, improper turning, and other primary collision factor violations by motorcyclists and other drivers. 11) To conduct 2 Night -time (2100 - 0259 hours) Click It or Ticket enforcement operation(s). 12) To conduct 10 Traffic Safety educational presentations with an effort to reach 500 connnunity members. Note: Presentations may include topics such as distracted driving, DUI, speed, bicycle & pedestrian safety, seatbelts and child passenger safety. 13) To conduct 12 highly publicized enforcement operation(s) in areas of or during events with a high number of bicycle and /or pedestrian collisions resulting from violations made by bicyclists, pedestrians, and drivers. 14) To participate in and collect and report DUI enforcement data for the NHTSA Winter and S'wnmer Mobilizations. 15) To participate in and collect and report data for the National Distracted Driving Awareness Month in April. 16) To participate in and collect and report data for the NHTSA Click It or Ticket mobilization period in May. 17) To participate in the National Bicycle Safety Month in May. 18) To collaborate with the county's Avoid Lead Agency by: participating in all planning/scheduling meetings and MADD /Avoid DUI Seminars; providing your agency's schedule of operations that occur during any Avoid campaign; and reporting your agency's DUI arrests & DUI fatality information during any Avoid campaign. .NOTE; Nothing in this "agreement" shall be interpreted as a requirement, formal or informal, that a particular police officer issue a specified or predetermined number of citations in pursuance of the goals and objectives hereunder. OTS•38b (Rcv. 4115) 20B -7 GRANTS MADE EASY - ST.C, P SCREDULE A GRANT DESCRIPTION GRANT No. 11116124 PACT 5 NOM. To enhance the overall deterrent effect and promote high visibility, it is recommended the grantee issue an advance press release for each checkpoint operation, Tor combination DWIDL checkpoints, departments should issue press releases that mention DL's will be checked at the DUI /DL checkpoint. Signs for DUI /DL checkpoint operations should read 'DUI /Driver's License Checkpoint Ahead. " OTS does not fund or support independent DL checkpoints. Only on an exception basis and with OTSpre- approval will OTSfund checkpoint operations that begin prior to 1800 hours. 3. METROD Or PROCEDURE A. Phase I - Program Preparation. Trainhrg and Implementation (Vi Quarter of Grant Year) • The police department will develop operational plans to implement the "best practice" strategies outlined in the objectives section. • All training needed to implement the program should be conducted this quarter. • All grant related purchases needed to implement the program should be made this quarter. • In order to develop /maintain the "Hot Sheets," research will be conducted to identify the "worst of the worst" repeat DUI offenders with a suspended or revoked license as a result of DUI convictions. The Hot Sheets may include the driver's name, last known address, DOB, description, current license status, and the number of times suspended or revoked for DUI. Plot Sheets should be updated and distributed to traffic and patrol officers at least monthly. • Implementation of the STEP grant activities will be accomplished by deploying personnel at high collision locations, Media Requirements • Issue a press release announcing the kick -off of the grant by November 15. The kick -off press releases and media advisories, alerts, and materials must be emailed to the OTS Public Information Officer at pio@ots.ca.eov, and copied to your OTS Coordinator, for approval 14 days prior to the issuance date of the release. B. Phase 2 - Program Operations (ThroulhQut Grant Year) • The police department will work to create media opportunities throughout the grant period to call attention to the innovative program strategies and outcomes. Media Requirements • Send all grant - related activity press releases, media advisories, alerts and general public materials to the OTS Public Information Officer (PIO) at pio(a )ots.ca.aov, with a copy to your OTS Coordinator. OTS -38b (Rev. 4/15) r1- • GRANTS MADE EASy - STEP SCHEDULE A GRANT DESCRIPTION GRANTNo. PT16124 Dn"4 a) If an OTS template -based press release is used, the OTS PIG and Coordinator should be copied when the release is distributed to the press. If an OTS template is not used, or is substantially changed, a draft press release shall be sent to the OTS PIO for approval. Optimum lead time would be 10 -20 days prior to the release date to ensure adequate turn - around time. b) Press releases reporting the results of grant activities such as enforcement operations are exempt from the recommended advance approval process, but still should be copied to the OTS PIO and Coordinator when the release is distributed to the press. c) Activities such as warrant service operations and court stings that could be compromised by advanced publicity are exempt from pre - publicity, but are encouraged to offer embargoed media coverage and to report the results. • Use the following standard language it, all press, media, and printed materials: Funding for this program was provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic Safety Administration. • Ernail the OTS PIO at nio(ivots.ca,gov and copy your OTS Coordinator at least 30 days in advance, a short description of any significant grant- related traffic safety event or program so OTS has sufficient notice to arrange for attendance and /or participation in the event. • Submit a draft or rough -out of all printed or recorded material (brochures, posters, scripts, artwork, trailer graphics, etc.) to the OTS PIO at pio@ots.ca gov and copy your OTS Coordinator for approval 14 days prior to the production or duplication. • Include the OTS logo, space permitting, on grant- funded print materials; consult your OTS Coordinator for specifics, C. Phase 3 — Data Collection & Renortin (Throughout Grant Year) • Agencies are required to collect and report quarterly, appropriate data that supports the progress of goals and objectives. • Statistical data relating to the grant goals and objectives will be collected, analyzed, and incorporated in Quarterly Performance Reports (QPRs). QPRs for the quarter ending September 30 will include year -to -date comparisons of goals and objectives. If required, a separate quarterly data reporting form will be completed each quarter and submitted as part of the QPR. • Reports will compare actual grant accomplishments with the planned accomplisluuents. They will include information concerning changes made by the Grant Director in planning and guiding the grant efforts. OTS-38b (Rev. ass) rl- • GRANTS MADE EASY - STEP SCHEDULE A GRANT DESCRIPTION GRANT No. PT16124 PA(;F. 7 • Reports shall be completed and submitted in accordance with OTS requirements as specified in the Grant Program Manual. 4. METHOD OF EVALUATION Using the data compiled during tho grant, the Grant Director will complete the "Final Evaluation" section in the fourth/final Quarterly Performance Report (QPR). The Final Evaluation should provide a brief summary of the grant's accomplishments, challenges and significant activities. This narrative should also include whether goals and objectives were met., exceeded, or an explanation of why objectives were not completed. 5. ADMINISTRATIVE SUPPORT This program has full support of the City of Santa Ana. Every effort Adll be made to continue the activities after the grant conclusion. OTS -38b (Rev. 4115) 20B -10 SCFFDULE B DETAILED BUDGET ESTIMATE GRANT NO. PT16124 FUND NUMBER CATALOG NUMBER (CFDA FUND DESCRIPTION TOTAL AMOUNT Minimum Penalties for Repeat Offenders for ttuu 9/30/16 164AL 20.608 Driving While Intoxicated $ 281,650.00 FY -1 402PT 20.600 State and Community Highway Safety $ 61,830.00 COST CATEGORY FISCAL YEAR ESTIMATES TOTAL COST 1011115 ttuu 9/30/16 TO GRANT A. PERSONNEL COSTS CFDA FY -1 Positions and Salaries Overtime DUI /Driver's License Checkpoints 20,608 $ 137,600,00 $ 137,600.00 DUI Saturation Patrols 20.608 $ 139,250.00 $ 139,250.00 Traffic Enforcement Operations 20.600 $ 14,880.00 $ 14,880.00 Distracted Driving Operations 20.600 $ 12,400.00 $ 12,400.00 Motorcycle Safety Operations 20.600 $ 2,480.00 $ 2,480,00 Nighttime CIOT Operations 20.600 $ 2,480,00 $ 2,480.00 Bike /Pedestrian Safety Operations 20 .600 $ 14,880.00 $ 14,880.00 Traffic Safety Education Presentations 20.600 $ 4,560.00 $ 4,560.00 SFST /ARIDE /DREInstruction & Cerlificartar 20.600 $ 3,650.00 $ 3,650.00 Category Sub -Total $ 332,180..00 1 $ 332,18100 B. TRAVEL EXPENSE In -State 20,600 $ 2,500.00 $ 2,500.00 Out -of -State $ _ $ - Category Sub -Total $ 2,500.00 $ 250000 C. CONTRACTUAL SERVICES None $ $ Category Sub -Total $ D. EQUIPMENT None $ $ Category Sub -Total E. OTIIER DIRECT COSTS Multi -Media Presentations 20.600 ,$ 4,000.00 $ 4,000.00 PAS Flashlights 20.608 $ 2,400.00 $ 2,400.00 PASDevice /Calibration Supplies 20.608. $ 2,400,00 $ 2,400.00 Category Sub -Total $ 8,800,00 $. 8,800.00 P. INDIRF,CT COSTS None $ Category Sub -Total $ - GRANT TOTAL $ 343 480.00 u $ 343,480.00 OTS - -38d (Rev. 4115) Page 1 of I 20B -11 SCREDULE B -1 GRANT No. PT16124 BUDGET 1NARRnTivE Page 1 PERSONNEL COSTS Overtime Overtime for grant funded law enforcement operations may be conducted by personnel such as a Lieutenant, Sergeant, Corporal, Deputy, Officer, Reserve Officer, Community Services Officer, Dispatcher, etc., depending on the titles used by the agency and the grantees overtime policy, Personnel will be deployed as needed to accomplish the grant goals and objectives. Costs are estimated based on an overthne horsily rate range of $50.00/hour to $99.00 /hour. Overtime reimbursement will reflect actual costs of the personnel conducting the appropriate operation up to the maximum range specified, No benefits will be paid in this grant. TRAVEL EXPENSE In State Costs are included for appropriate staff to attend conferences and training events supporting the grant goals and objectives and /or traffic safety. Local mileage for grant activities and meetings is included. Anticipated travel may include Lifesavers (enter other known conferences or required events). All conferences, seminars or training notspeciflcally identified in the Schedule B -1 (Budget Narrative) must be approved by OTS. All travel claimed must be at the agency approved rate, Per Diem may not be claimed for meals provided at conferences when registration fees are paid with OTSgrant funds. CONTRACTUAL SERVICES None EQUIPMENT None OTHER DIRECT C087S 4 Multi -Media Presentations - to provide high - impact traffic safety presentations to convey the message about the consequences of drinking and driving, distracted driving, and making the right choices when behind the wheel. 3 PAS Flashlights — preliminary alcohol screening flashlights combine a high- intensity flashlight, a dynamic sampling system and a miniature alcohol sensor to analyze ambient air, breath, open containers or enclosed spaces for the presence of alcohol during enforcement efforts for DUI. 3 PAS Device /Calibration Supplies - preliminary alcohol screening devices to detect the presence of alcohol in a person's breath and calibration supplies to ensure accuracy. Costs may include mouth pieces, gas, and accessories. OTS -38f (Rev. 4115) 20B -12 SCHEDULE B-1 CPAW' IVA DmIKIIA OTS•38E(Rev, 4115) 20B -13 El XHIBIT A CrPTUICATIONS AND AssuRANcBs Failure to comply with applicable Federal statutes, regulations, and directives may subject Grantee Agency officials to civil or criminal penalties and /or place the State in a high risk grantee status in accordance with 49 CFR § 18.12. The officials named on the grant agreement, certify by way of signanaxc on the grant agreement signature page, that the Grantee Agency complies with all applicable Federal statutes, regulations, and directives and State rules, guidelines, policies and laws in effect with respect to the periods for which it receives grant finding. Applicable provisions include, but are not limited to, the following: • 23 U.S.C. Chapter 4— Highway Safety Act of 1966, as amended 49 CFR Part 18— Unifomr Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments • 23 CF`R Part 1200 — Uniform Procedures for State Highway Safety Grant Programs NoNDIBCRumiNATION The Grantee Agency will comply with all Federal statutes and implementing regulations relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (Pub, L. 88- 352), which prohibits discrimination on the basis of race, color or national origin (and 49 CFR Part 21); (b) Title IX of the Education Amendments of 1972, as amended (20 U,S.C. 1681 -1683 and 1685- 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act: of 1973, as amended (29 U.S.C. 794), and the Americans with Disabilities Act of 1990 (Pub. L. 101 -336), as amended (42 U.S.C. 12101, et seg.), which prohibits discrimination on the basis of disabilities (and 49 CFR Part 27); (d) the Ago Discrimination Act of 1975, as amended (42 U.S.C. 6101 - 6107), which prohibits discrimination on the basis of age; (e) the Civil Rights Restoration Act of 1987 (Pub. L. 100 -259), which requires Federal -aid recipients and all sub - recipients to prevent discrimination and ensure nondiscrimination in all of their programs and activities; (f) the Drug Abuse Office and Treatment Act of 1972 (Pub. L. 92- 255), as amended, relating to nondiscrimination on the basis of drug abuse; (8) the comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (Pub, L. 91 -616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (h) Sections 523 and 527 of the Public Health Service Act of 1912, as amended (42 U,S.C. 290dd -3 and 290ee -3), relating to confidentiality of alcohol and drug abuse patient records; (i) Title VIII of the Civil Rights Act of 1968, as amended (42 U.S.C. 3601, et seq.), relating to nondiscrimination in the sale, rental or financing of housing; 0) any other nondiscrimination Provisions in the specific statutes) under which application for Federal assistance is being made; and (k) the requirements of any other nondiscrimination statute(s) which may apply to the application. Certifications and Assurances (Rev. h/15) 20B -14 EXHIBIT A CERTIFICATIONS AND ASSURANCES BUx AMERICA ACT Page 2 The Grantee Agency will comply with the provisions of the Buy America Act (49 U,S.C. 5323(j)), which contains the following requirements: Only steel, iron and manufactured products produced in the United States may be purchased with Federal funds unless the Secretary of Transportation determines that such domestic purchases would be inconsistent with the Public interest, that such materials are not reasonably available and Of a satisfactory quality, or that inclusion of domestic materials will increase the cost of the overall project contract by more than 25 percent. Clear justification for the purchase of non- domestic items must be in the form of a waiver request submitted to and approved by the Secretary of Transportation. POLITICAL ACTIVITY (HATCH ACT) The Grantee Agency will comply with provisions of the Hatch Act (5 U.S.C. 1501 -1508) which limits the political activities of employees whose principal employment activities are funded in whole or in pats with Federal funds. CERTIFICATION REGARDING FEDERAL LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that 1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the malting of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement, 2. If any funds other than Federal appropriated funds have been paid or will be paid to any personn 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 Forrn- LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions, 3, The undersigned shall require that the language of this certification be included in the, award documents for all sub -award at all tiers (including subcontracts, sub - grants, and contracts under grant, loans, and cooperative agreements) and that all sub - recipients shall certify and disclose accordingly, This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this certification sI all be subje t to a civil pelt lty f not less than $10,000 and not morelthtan $100,000 for each such failure, Cerdfeadons and Assurances (Rev. 6/15) 20B -15 EXHIBIT A CERTIFICATIONS AND ASSURANCES CERTIFICATION REGARDING DEBARMENT AND SUSPENSIdN Page 3 Instructions for Primary Certification 1. By signing and submitting this grant agreement, the Grantee Agency Official is providing the certification set out below, 2. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the Grantee Agency Official to furnish a certification or an explanation shall disqualify such person from participation in this transaction. 3. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the Grantee Agency Official knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. 4. The Grant Agency Official shall provide immediate written notice to the department or agency to which this grant agreement is submitted if at any time the Grantee Agency Official teams its certification was erroneous when submitted or has become erroneous by reason of changed circumstances, 5. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, grant agreement, and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and covorago sections of 49 CFIt Part 29. You may contact the department or agency to which this grant agreement is being submitted for assistance n obtaining a copy of those regulations. 6. The Grantee Agency Official agrees by submitting this grant agreement that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. 7. The Grantee Agency Official further agrees by submitting this grant agreement that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 8. A participant in a. covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, ineligible, or vohnttarity, excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the Certifications and Assurances (Rev. 6115) 20B -16 EXHIBIT A CERTIrICATIONS AND ASSURANCES euglourty or its principals, Each participant may, but is not required to, check the from Federal Procurement and Non - procurement Programs, 9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a Participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default, Certification Regarding Debarment, Suspension, and Other Responsibility Matters- Primary Covered Transactions (1) The Grantee Agency Official certifies to the best of its knowledge and belief, that its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency, (b) Have not within a three -year period preceding this grant agreement been convicted of or had a civil ,judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or Local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery; falsification or destruction of record, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or Local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and (d) Have not within a three -year period preceding this application/grant agreement had one or more public transactions (Federal, State, or local) terminated for cause or default. (2) Where the Grantee Agency Official is unable to certify to any of the Statements in this certification, such Prospective participant shall attach an explanation to this grant agreement, Instructions for Lower Tier Certification 1. By signing and submitting this grant agreement, the prospective lower tier participant is providing the certification set out below. 2. The certification in this clause is a. material representation Of fact upon which reliance was placed when this transaction was entered into, If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal government, tine Cerdrications and Assurances (Rev. 6/15) 20B -17 ERIIinIT A CERTIFICATIONS AND ASSURANCES department or agency with which this transaction originated may pursue suspension and /or debarment. 3 The prospective lower tier participant shall provide immediate written notice to the person to which this grant agreement is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, grant agreement; and voluntarily excluded, as used in this clause, have the meanings set out in the Definition and Coverage sections of 49 CFR Part 29. You may contact the person to whom this grant agreement is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this grant agreement that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated 6. The prospective lower tier participant further agrees by submitting this grant agreement that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion — Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. (See below) 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Non- procurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings, 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9,4, suspended, debarred, ineligible, or volmtarily excluded from participation in this transaction, in addition to other remedies available to the Federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and /or debarment. Certifications and Assurances (Rev, 6115) r1- EXHIBIT A CERTINICATIONS AND ASSURANCES Page 6 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Covered Transactions: 1. The prospective lower tier participant certifies, by submission of this grant agreement, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this grant agreement. Cerdfications and Assurances (Rev. 6115) 20B -19 20B -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 71 2015 TITLE: CONTRACT AWARD TO LEDOUX INDUSTRIES INC. FOR WORKSHOP BENCHES AND LOCKERS (SPEC NO. 15 -035) (STRATEGIC PLAN NO. 6, B) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: V:2:10401#11, ❑ As Recommended ® As Amended CI Ordinance on 1" Reading Ordinance on 2nd Reading Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize a one -time purchase and payment of purchase order to Leroux Industries Inc. for acquisition and Installation of work benches and lockers in an amount not to exceed $72,207, subject to nonsubstantive changes approved by the City Manager and City Attorney. r, • The City of Santa Ana Public Works Agency Water Resources Division oversees and maintains the daily operations of the water and sewer systems. These operations require special Personal Protective Equipment to comply with special testing, state and loom laws. In order to keep this equipment in a good working condition it must be stored and maintained properly; therefore, commercial industrial -grade lookers, work benches, cabinets and tables are required, The notice inviting bids was advertised on April 3, 2015, on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 21 Vendors were notified 3 Vendors downloaded the bid packet 1 Bid received The bid received from Leroux Industries was opened May 5, 2015, and evaluated. Staff determined that the bid is responsive to the specifications and meets the City's requirements. STRATEGIC PLAN ALIGNMENT Approval of this Item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #2 (address deferred maintenance on City buildings and equipment), Strategy B (utilize a five -year Deferred Maintenance Plan to strategize and finance funded and unfunded needs). 22A -1 Contract Award to LeDoux Industries Inc. July 7, 2015 Page 2 FISCAL IMPACT Funds are budgeted and will be available in FY 2015 -16 Public Works Water Production and Supply account (50% - 06017640 - 63001) and Sanitary Sewer Service account (50% - 05617640- 63001). lv[) A, I Fred Mousavipour Executive Director Public Works Agency FM /NS /af /ds APPROVED AS TO FUNDS AND ACCOUNTS: V' Executive Director Finance & Management Services Agency 22A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: AWARD CONTRACT FOR CONSTRUCTION OF EL SALVADOR PARK IMPROVEMENTS (PROJECT 14 -7540) (STRATEGIC PLAN NO. S, 1B, 1G) 1 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: p••te R ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2n6 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Award a contract to ACE CD, Inc., the lowest responsible bidder, in accordance with the unit bid prices, totaling $318,344.98, for construction of El Salvador Park Improvements. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $410,172. This action will allow for the construction of park improvements in El Salvador Park. The project will include a new community garden and security lighting. The new community garden will be enclosed with a chain link fence and will include a tool shed, new landscaping, irrigation, new benches, new picnic tables, and new security lighting. In addition, the existing outdated and inadequate lighting will be replaced to improve security and visibility. El Salvador Park is an 8.5 -acre community park that includes a community center, swimming pool, lighted ball fields, picnic facilities, and basketball, volleyball, and handball courts. The community will have access to the new garden beds and tool shed. Once completed, these improvements will enhance the appearance of the park and the neighborhoods. A Notice Inviting Bids was advertised on May 5 and 6, 2015, and bids were opened on May 26, 2015. The following tables summarize the bid invitations made and the bids received: 23A -1 Contract Award For El Salvador Park Improvements July 7, 2015 Page 2 Contractor Participation Data Santa Ana contractors receiving notices 15 Contractors requesting bidding documents 26 Bids received 3 Bids received from Santa Ana contractors 0 Bid Results Summary Rank BIDDER'S NAME CITY BID AMOUNT 1 ACE CD, Inc. Glendora $318,344.98 2 HYM Engineering, Inc. Buena Park $460,570.00 3 Faris Construction Company Oceanside $471,000.00 A total of three bids were received and all were deemed responsive. ACE CD, Inc. submitted the lowest responsive bid in the amount of $318,345 which is consistent with the engineer's estimate of $300,000. Therefore, staff recommends award of this contract to ACE CD, Inc. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B (equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe, and aesthetically pleasing for all users), and Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment Plan), ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No, ER 2015 -58 has been filed for this project. FISCAL IMPACT The Project Cost Analysis estimates project expenditures of $410,172, which include the construction contract, construction administration and inspection, as well as contingencies 23A -2 Contract Award For El Salvador Park Improvements July 7, 2015 Page 3 (Exhibit 2). The budget for Community Development Block Grant funds will be carried forward from Fiscal Year 2014/15 to Fiscal Year 2015/16 for Project 14 -7540 in Account No. 13518783- 66220 for expenditure in Fiscal Year 2015/16. Public Works Agency av"i Gerardo Mouet Executive Director Parks, Recreation & Community Services Agency �'JA)4A k K611y Reende Executive Di for Community Development Agency FM /EWG /ET Exhibits: 1. Location Map 2. Cost Analysis 3. Construction Contract APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez r, J Executive Director ti Finance & Management Services Agency 23A -3 23A -4 PROJECT N0.14 -754( U EXNIBfI' 11 SANTA ANA i� jTE El SALVADOR IMPROVEMENTS AGEND : PROJECT NO. 14-7540) JULY 7,2015, PUOCiC MWO Afi ll 23A -5 PAGE 1 OF 1 23A -6 COST ANALYSIS PROJECT NO. 14-7540: EL SALVADOR PARK IMPROVEMENTS Construction Contract pi ............ ...... .. . ............ ........ .... . ....... .... . ...... . ......... Contract Administration $1 on and Testina 1 $30.199.60 Contingencies 1 $42,084.16 TOTAL ESTIMATED CONSTRUCTION $410,172.00 COSTS I Exhibit 2 23A-7 23A -8 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT NO. 14 -7540 ELSALVADOR PARK IMPROVEMENTS This CONSTRUCTION CONTRACT is made and entered into this 7th day of July, 2015 by and between the CITY OF SANTA ANA, CALIFORNIA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY" and ACE CD, INC, hereinafter referred to as "CONTRACTOR ". The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Project No. 14 -7540, El Salvador Park Improvements identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents," as defined by the Standard Specifications for Public Works Construction and which include the following: • ...Notice Inviting Bids • ... Instructions to Bidders • ... Bid Proposal • ... Bid Bond Contract Forms ._. Contract Bonds • ...General Provisions Special Provisions • ...Technical Provisions ...Project Plans • ...Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete Project No, 1.4 -7540, El Salvador Park Improvements the sum total amount not to exceed $318,344.98 as set forth and identified in the BID PROPOSAL, which is attached hereto and. incorporated herein as Exhibit "A ". The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not Pagel of3 Exhibit 3 23A -9 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT NO, 14 -7540 EL SALVADOR PARK IMPROVEMENTS expressly or by implication agree that the actual amount of work will correspond, therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as maybe deemed necessary or advisable, 4. CONTRACTOR agrees to complete the Project No. 14 -7540, El Salvador Park Improvements within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A ") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the Project No. 14 -7540, E1 Salvador Park Improvements a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100 %) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100 %) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond equal to at least ten (10 %) percent of the filial Contract price or $1,000, whichever is greater (Warranty Bond). CONTRACTOR shall, upon project completion as a condition of project acceptance, furnish a Warranty Payment and Performance bond to be approved by the CITY, in the amount of Twenty -Five Percent (25 1/o) of the Contract price, to warrant the work done under said Contract Agreement against material or quality defects for a period of one year after acceptance by the AGENCY. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. // Page 2 of 3 23A -10 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT N0, 14 -7540 EL SALVADOR PARK IMPROVEMENTS IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City A"ney--- x,'-) Sandoval fi Assistant City Attorney CITY OF SANTA ANA DAVID CAVAZOS City Manager RECOMMENDED FOR APPROVAL: Fred Mousavipour, P.E. Executive Director, Public Works Agency CONTRACTOR: ACE CD, INC. Bq( Title: p��Ce � Page 3 of 3 23A -11 23A -12 MAYOR Miguel A. Pulidn MAYOR PRO TEM Vincent F. Sannlento COUNCILMEMBERS Angelica Amezcua P. David Bonavides Michele Martinez Raman Rayna Sal TinaJero May 21, 2015 ADDENDUM No, ONE PUBLIC WORKS AGENCY 20 civic Center Plaza m -3s + P,Q, Box 1985 M36 Santa Ana, California 92702 SUBJECT: PROJECT NOS. 14.7540: El Salvador park Improvements The following change has been made to Specifications for the subject project: Ape Iflcatlons CITY MANAGER David Cavazos CITY ATTORNEY Sonia R, Carvalho CLERK QF THE COUNCIL Maria D. I•luizar 1, Appendix G- Federal Wage Rate: Federal wage rates were updated on 5/8/15; therefore, replace entire Appendix G with the attached. The latest Federal Wage Rate determination can also be obtained at the following location, upon entering Davis -Bacon Act Wage Decision (DBA WD) #CA35 www.wdol.gc v /dba.aspx All other terms and conditions remain the same. CITY OF SANTA ANA ftX I "Edwin" (Alvez m Ci Engineer . W '9- Exhibit A SANTA ANA CITY COUNOM Mlryud A, POW" 1 9.1 nnajaro i Wmnnl f.$'"MwM ! Mivin+lp MnrOnez AngOm Alnwvw MNyar i Meyor Pry fgm WBrj t 1 W""d I +Nad 2 WoN3 Nir>,alnn�aanl�.n 5 TiOlfu v`s nt, ?naaa vsur.SJkLISfLTbPUJe_1,L+¢.uru MtM�`uld +ndlolncNn;auw.ttre AamgagtiieQNaala.:ait.,anrto 23A -13 P 011'I ao Alldeo I Malin fiayn. Wards i vva'Vi Laaa La, L&Mr�£aaLl a K9 Pr9 19l fig t .l'al M ::ApI xaa Ia!) CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: ACg CD Ivic, REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sums) set forth in the following schedule: Item Description Quantity Unit Unit Price Amount 1 Mobilization 1 LS $ $ fg'(�; ,7� 2 Unclassified Excavation* 23 CY $7,OP135 $ 1167T-�o 3 Construct PCC Pavement* 7 CY $33$7 °vO $2- 1$10.z ^n 4 Construct Stabilized 3" Autumn Gold Decomposed Granite with weed control fabric* 280 SF $ 3, 6E5 0 '7&° Jm 5 Construct PCC Slab Including wire mesh 600 SIP $ "%+ 15 -70 $ '�Y,f•.c)fy vL c 6 Construct PCCSidewalk 300 SF $7 ' $,Qh;310 7 Construct PCC Curb Ramp 200 SF 8 Construct PCC Driveway (T=6") 100 SF 9 Construct PCC Curb (6-1) 125 LF $�ef.°.�u $4�fJ.L✓ "a"' 10 Construct Parkway Culvert per C,S.A. Sid. Plan No, 318, Type "II" 1 EA $ 2, e'ete-ov $,;Zr 11 Construct PCC Mow Strip 364 LF $ I3 "Z o $ �,-o • e61 12 Raised Garden Bed (Complete in Place) 1 LS $ .I, 000 $ U1000,0 13 CMU Storage Shed Include Standing Seam Roof (Complete In Place) 1 LS $)J4,,x,l10'"- 14 CMU Block Wall (H=4') 65 LF $12d °50 $81zm,° 0 15 Furnish& Install Picnic Table byQuickcrete (Model #} Q- LBT -96PT) 5 EA $Ikq'500 BP -1 of 17 23A -14 11 kill CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS Item Description quantity Unit Unit Price Amount 16 Furnish& Install Picnic Table byQuickcrete 1 EA $,��Icj'•^' $,�,r('LC,••''• (Model M Q- LBT- 102PTADA) 17 Furnish &Install Concrete Bench by 4 EA $1 r Ogtf `•i` $ Lfi;, 7e • Quickcrete (Modelo # 02- CAL -72B) 18 Furnish& Install INV Double Rolling Gate 1 EA $:515 -7,5•' $ aj 5'75-^ Vinyl- Coated (including all accessories for chain lock) 19 Furnish & Install 1"xV Chain Link Fence 346 LF $ "%%'P 5'zv $A-i 7� % � ✓` Black Vinyl- Coated (Included fabric, posts, and footing, H =8') 20 Furnish & Install 1'x1" Chain Link Fence 1 EA $ 21 ( 45 •'' $ jr 145- Black Vinyl- Coated Pedestrian Gate (6' wide) 21 Construct Rock Swale 1 LS $ 7153 5 ° $ 75355- 22 Furnish and Install Redwood 160 LF $ a r 6 o $ 11 of d Header(2 "x4 ") 23 Furnish and Install Phoenix Dactylifera: 8 EA $aeli 160 " Date Palm Tree (25' BTH) 24 Landscaping 1 LS $ %71500" l $r`7iflf% "'"� 25 Irrigation 1 LS $2Jt,7S;P $2'P 750 26 Landscape and Irrigation Maintenance 1 LS $6, K ,0 - �- $ 6f 250 ^ ✓ 27 Furnish and Install Organic Soil* 73 CY $ 1 PLr•50 $ 7(IM 9.5D 28 Security Lighting 1 LS $Ifft 5re, $ qq 15'Eyo •,^^"` TOTAL BID 3 ) b 13Ij Ll- f q6 The lowest BIDDER shall be selected on based on the lowest responsible total bid. The City reserves the right to award the Base Bid, and any, all, or none of the add-alternate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid itern shall not be subject to the "25 %" limit as stated in Section 3 -2 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown.aboue, within seventy 70 working days after the commencement date stated in the Notice to Proceed. The bidder also proposes to commence construction of the Work within ten BP -2 of 17 23A -15 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS 10 da s after issuance of a Notice to Proceed, and to continue in a diligent and workman -like manner without interruption, and to complete the construction thereof within the time specified above. The liquidated damages amount in lieu of the amount specified in Subsection 6 -9 of the Standard Specifications, shall be $1,000 per calendar day. Name of Firm A cr— Cb 111C. Signature of BIDDER Title e Cg& (if an individual, so state) BP -3 of 17 23A -16 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS BIDDER'S STATEMENT BIDDER understands and agrees that this Bid Proposal, Contract Documents and subsequent Construction Contract Agreement shall constitute the entire agreement between BIDDER and the AGENCY only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Public Works Agency Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to BIDDER or deposited with the United States Postal Service properly addressed to the BIDDER with the correct postage affixed thereto. BIDDER further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish AGENCY all required bonds and certificate of liability insurance within ten (10) business days or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, that the estimated quantities set forth in the bid schedule are solely for the purpose of comparing bids, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. The BIDDER also certifies that the bid is a balanced bid. In accordance with Section 7028.15 of the California Business and Professions Code, the undersigned certifies under penalty of perjury that the foregoing is true and correct. Name of Firm A C15 rA Imc , Signature of B Title / C� (if an individual, so state) (If a firm or co- partnership, state the firm name and give the names of all individual co- partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) BP -4 of 17 23A -17 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 El. SALVADOR PARK IMPROVEMENTS CONTRACTOR'S LICENSING and REGISTRATION STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that he /she and all his /her subcontractors are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name: A 45 CID I rIc • Business Address: I t W. J i9wie ( tf3� ,6vtih "Cf, t 40717'+0 Business E -Mail Address: Ct Cc Telephone: " &�-� () JCi _;t State Contractor's License No. and Class: g tP?qL? 7 A , $, C,2 7 License Expiration Date: ���ZtIa20� State Dept. of Industrial Relations (DIR) Registration No.: State Dept. of Industrial Relations (DIR) Registration Expiration Date: { Of qp (5 Signed: a Title: C>YFl CA& -- BP -5 of 17 23A -18 CITY OF SANTA ANA PROPOSAL PROJECT NO, 14 -7540 EL SALVADOR PARK IMPROVEMENTS PREVAILING WAGE COMPLIANCE AND MONITORING STATEMENT Contractor is aware of the requirements of California Labor Code Section 1720, et seq., as well as California Code of Regulations, Title 8, Section 16,000, et seq., ( "Prevailing Wage Laws "), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. Since the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. The undersigned certifies that the foregoing is true and correct. Name of Firm a C Ci? I $A C , Signature of BID Title 6 CP—K _ (if an individual, so state) 131P-6 of 17 23A -19 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA COUNTY OF = LOS AV jk q�s: _ CITY OOFF6ANTA°ANA XrW _� � IT ! @ Y" , being . duly sworn, deposes and says: ❑ INDIVIDUAL That he /she is the party making the foregoing proposal: ❑ PARTNERSHIP That he /she is a member of the cc- partnership firm designated as: and who has been and Is duly vested with the authority to make and execute Instruments for the co- partnership by: who constitute the other members of the co- partnership. CORPORATION That he is of: A CI— C0 Ike a corporation which Is making the foregoing proposal: ❑JOINTVENTURE That he is of: one of the parties making the foregoing proposal as a joint venture, and the he /she has been and is duly vested with the authority to execute instruments for an on behalf of the parties making said bid who are: that such a bid is genuine and not collusive or sham, and has not in any manner sought by collusion to secure any advantage against the City of Santa Ana or any person interested in the proposed con r ct for himself or any other person. Signature of BIDDER Subscribed and sworn to before me this A( /'4 day of LyRr 20 ) 5 Signature of offic-1, Administering Oath (Notary Public.) BP -7 of 17 23A -20 CITY OF SANTA ANA PROPOSAL. PROJECT NO, 14 -7540 EL SALVADOR PARK IMPROVEMENTS KNOW ALL MEN BY THESE PRESENTS that, ..D _D Systems Inc DBA Ace CD Inc as BIDDER, and Contractors Bonding and Insurance Company as SURETY, are held and firmly bound unto the CITY OF SANTA ANA, as AGENCY, in the penal sum of Ten Percent of Total Amount Bid - - -- Dollars ($10% of Bid ), which is ten percent (10 %) of the total amount bid by BIDDER to AGENCY for the above- stated project, for the payment of which sum, BIDDER and SURETY agree to be bound, jointly and severally, firmly by these presents, THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas BIDDER is about to submit a bid to AGENCY for the above- stated project, if said bid is rejected, or if said bid is accepted and a contract is awarded and entered into by BIDDER in the manner and time specified, then this obligation shall be null and void, otherwise it shall remain in full force and effect in favor of AGENCY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this 22nd day of May . 2015. BIDDER* D D Systems Inc DBA Ace CD Inc - 1199 Englewild Drive Glendora CA 91741 Phone: (626) 523 -1141 SURETY* Contractors Bonding and Insurance Company - 111 Pacifica Suite 350 Irvine, CA 92618 tulle Durkin (949) 341 -9110. Subscribed and sworn to before me this day of , 20_ " *Please See Attached ** Signature: Notary Public in and for the County of , State of *Provide BIDDER/ SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. BP -8 of 17 23A -21 CALIFORNIA ALL-PURPOSE ACKNOWLEDOMENT CIVIL CODE § 1189 .2 A notary public or other officer completing this cortificate verifies only the Identity of the individual who signed the document to which this certificate Is attached, and not the truthfulness, accuracy, or validity of that document. State of California ) County of Orange ) On 05/22/2015 before me, R. Paramo, Notary Public Date Here Insert Name and Title of the Officer personally appeared Rebecca Haas -Bates NameKof Signer(sl who proved to me on the basis of satisfactory evidence to be the persons) whose name(6* is/me subscribed to the within instrument and acknowledged to me that iae/she /they executed the same in ila /her/thQir authorized capacity(iies), and that by IcWher/theirsignatureZ on the instrument the person(s}, or the entity upon behalf of which the person(s), acted, executed the Instrument. R. PA AAAM 0 47 Commission # 2035690 -ts Notary Public - California z ,`t.. Orange County My Comm. F=4 Au- 5, 2017 Place Notary Seal Above I certify under PENALTY OF PERJURY under the laws of the Statef,alifornla that the foregoing paragraph is trueand- corroct. my hark and of Notary OPTIONAL —°— Though this section Is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document 'Title or Type of Document: Bid Bond Document Date: uorareuu Number of Pages: -One 1 Signer(s) Other Than Named Above: Capacity(ies) Claimed by Signer(s) Signer's Name: Rebecca Haas -Bates • Corporate Officer — Title(s): • Partner — ❑ Limited ❑ General • Individual 12Attorney in Fact Gl Trustee ❑ Guardian or Conservator ❑ Other: Signer Is Representing: Contractors Bonding and Insurance Company Signer's Name: • Corporate Officer — Title(s): • Partner — ❑ Limited ❑ General • Individual ❑ Attorney in Fact ❑ Trustee ❑ Guardian or Conservator ❑ Other: Signer Is Representing: 02014 National Notary Association • www.NationaiNotary.org - 1- 800 -US NOTARY (1- 800 - 876 -6827) Item #5907 23A -22 err RLI Con,PPnY 9025 N. Lindbergh Dr, I Peoria, IL 61615 Phone! (800)645 -24021 Fax: (309)689-2036 Know All Men by These Presents: OMAN I RLI Insurance Company Contractors Bonding and Insurance Company That this Power of Attorney is not valid or in effect unless attached to the bond which it authorizes executed, but may be detached by the approving officer if desired. That this Power of Attorney may be effective and given to either or both of RLI Insurance Company and Contractors Bonding and Insurance Company, required for the applicable bond. That RLI Insurance Company and/or Contractors Bonding and Insurance Company, each Illinois corporations (as applicable), each authorized and licensed to do business in all states and the District of Columbia do hereby make; constitute and appoint: William Sorkin Sergio D. Beehara Rebecca Haas- Bates, Richard Adair, icintly or severally in upon zances in an amount not to for any single obligation. , as ivaomcy in ract, wrm not power ana some on its behalf as Surety, in general, any and Dollars The acknowledgment and execution of such bond by the said Attorney in Fact shalt be as binding upon this Company as if such bond had been executed and acknowledged by the regularly elected officers of this Company. RLI Insurance Company and Contractors Bonding and Insurance Company, as applicable, have each further certified that the following is a true and exact copy of the Resolution adopted by the Board of Directors of each such corporation, and now in force, to -wit: "All bonds, policies, undertakings, Powers of Attorney or other obligations of the Corporation shall be executed in the corporate name of the Corporation by the President, Secretary, any Assistant Secretary, Treasurer, or any Vice President, or by such other officers as the Board of Directors may authorize. The President, any Vice President, Secretary, any Assistant Secretary, or the Treasurer may appoint Attorneys in Fact or Agents who shall have authority to issue bonds, policies or undertakings in the name of the Corporation. The corporate seal is not necessary for the validity of any bonds, policies, undertakings, Powers of Attorney or other obligations of the Corporation. The signature of any such officer and the corporate seal may be printed by facsimile or other electronic image." IN WITNESS WHEREOF, RLI Insurance Company and /or Contractors Bonding and Insurance Company, as applicable, have caused these presents to be executed by its respective Vice President with its corporate seal affixed this 22nd day of .ianarv, 2015-. RLI Insurance Company 10A110,,"1, Wets ;' °me"•• sDgy, '`y� °?,q ^•,, Contractors Bonding and insurance Company `0 A90A4P M c'� +•'AtlAPOR,gfF SEAL SEAL _ •. SEAL: State of Illinois Roy C. Die Vice President } SS Ituuos .�2 CI N 016 .. County of Peoria CERTIFICATE On this 22nd day of January 1 2015 . before me, a Notary Public, personally appeared. Roy C Die , who being by me duly swom, acknowledged that he signed the above Power of Attorney as die aforesaid officer of the RLI Insurance Company and /or Contractors Bonding and Insurance Company, and acknowledged said instrument to be the voluntary act and deed of said corporation. 1, the undersigned officer of RLI Insurance Company, and /or Contractors Bonding and Insurance Company, each Illinois corporations, do hereby certify that the attached Power of Attorney is in frill force and effect and is irrevocable; and furthermore, that the Resolution of the Company as set forth in the Power of Attorney, is now in force. In testimony whereof, I have Hereunto set my hand and the seal of the RIA Insurance Company and /or Contractors Bonding and Insurance Company this Z2n A,day ofM�u RId Insurance Company Notary Rlblic Contractors Bonding and Insurance Company "0F'1 L "tACs RoyC.DiVice President CCMMmS e111U10 oarsfsso2o272 A0059115 23A -23 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS LIST OF SUB - CONTRACTORS Section 4100 et. seq. of the Public Contract Code requires listing of all subcontractors with the bid for all subcontract work exceeding the following amount: • Streets, highways including bridge projects: Y2% of the bid or $10,000, whichever is greater • Buildings, parks, or other projects: Y2% of the bid Section 1725.5 of the Public Contract Code requires all Subcontractors be registered with the State Department of Industrial Relations (DIR). BIDDER proposes to subcontract certain portions of the work to the firms listed below: Name gobed— L✓i'Lp„ License # /Exp. )51 _ DIR Reg. # /Exp. 10,r2,0Q0, 1 1 qV &!0_5 r5 Location I OLf bAAA -pa h,c, Phone C, 0'1 M'XA. Type Of Work '(C(Tg -iC. Amount $ go, pe 19 Name PAMnAmil 15s.('wtl Y9 °.n4 Q.Y R. License 4 /Exp. (,,77822 110,9015 DIR Reg. # /Exp. No ®o U-167 E' /3-Cf K License # Location Phone Alb - _ --- Type Of Work C®s,Cy -tie Amount $ Name License # /Exp. DIR Reg. # /Exp. License # Location Phone _ Type Of Work Amount $ Signature o Bidder 0FM License # /Exp. DIR Reg. # /Exp. Location Phone Type Of Work Amount $ Name License # /Exp. DIR Reg. # /Exp. License _ Location _ Phone _ Type Of Work Amount $ Name License # /Exp. DIR Reg.# /Exp. License # _ Location _ Phone _ "type Of Work Amount $ BP -9 of ] 7 23A -24 CITY OF SANTA ANA PROPOSAL PROJECT N0. 14 -7540 EL SALVADOR PARK IMPROVEMENTS REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which BIDDER has performed similar work within the past three years. 1. 61 Name and Address of Owner. w,'-K) 0" 7'a m gu- Name and Telephone Number of person familiar with project. ,*17b eey Contract Amount Type of Work Date Completed Name and Address of owner. qoo \5 Name and telephone Number of person familiar with project. 363,000 PAVY, 2�ntr�vowrewcft ti �atLt Contract Amount Type of Work Date Completed ( r 3Y?iHie CBtcvl Sgv� �'('�1K Dt's�r,2 �a�txcw��I Avtypuuuc °w 9/r Name and Addre s of owner. Name and Telephone Number of person familiar with . - -- withprroject. ,d� 10 (l7? S Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. M 7 t( Al 675"3 cc 12 R-e(. CVi�e� Ci4 't2 -6.2i? BP -10 of 17 23A -25 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or Subcontractor has performed Park Improvement projects in the past 5 years, 1. Name and Address of Owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work 2. Date Completed Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work 3. Date Completed Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work The following are the names, addresses, and telephone numbers of all from whom BIDDER intends to procure insurance and bonds. Date Completed brokers and sureties 13P -11 of 17 23A -26 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put In a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of California County of Lt% 110, Subscribed and sworn to (or affirmed) before me on this NIA day of � 20-tS by .LanV / La iY proved to me on the basis of satisfactory evidence to be the person(}4who appeared before me Notary Public Si nature r Notary Public Public Seal ARMANDO HEGDAHL Commission # 1954808 -e Notary Public - California Loa Angeles County to Comm. En fires Oci 2 &, 2095 BP -12 of 17 23A -27 CITY OF SANTA ANA PROPOSAL. PROJECT N0, 14 -7540 EL SALVADOR PARK IMPROVEMENTS NON- DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1. The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following; employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2, The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3, The Contractor shall send to each labor union or representative of workers with which he /she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. S. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non - compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order BP -13 of 17 23A -28 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939; and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: & "(p V- Firm: �C C'3 laif T Date: BP -14 of 17 23A -29 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: 1. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 1 Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3. Contribute to the fund or funds in each craft or trade in which he /she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other contractors, except contractors not signatory to the trust agreement shall pay a like amount to the California Apprenticeship Council. Signed: Title: Firm: t9r "C }{Cif Cb IAC, Date: f,2 �I BP -15 of 17 23A -30 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14.7540 EL SALVADOR PARK IMPROVEMENTS STATEMENT REGARDING "ANTI- KICKBACK" REQUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti- Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be prohibited from Inducing, by any means, any person employed in the construction or repair of public work, to give up any part of the compensation to which he /she is otherwise entitled. Signed: Title: Firm: 4cr rr� {„-X_, Date: 5.26 % 15 BP -16 of 17 23A -31 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7540 EL SALVADOR PARK IMPROVEMENTS PUBLIC CONTRACT CODE SECTION 10162 QUESTIONAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No t" F the answer is yes, explain the circumstances in the following space. BP -17 of 17 23A -32 J s V 4 S U 23A -33 w M x u� s � LA a n ,A d 23A -33 w M 23A -34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: AWARD CONTRACT FOR CONSTRUCTION OF MEMORIAL PARK SECURITY LIGHTING (PROJECT 14 -7515) {STRATEGIC PLAN NO. 6, 1B ,1G} CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2 "tl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to Green Giant Landscape Inc., the lowest responsible bidder, in accordance with the unit bid prices, totaling $334,500, for construction of the Memorial Park Security Lighting Project. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $430,415. DISCUSSION This action will allow construction of new security lighting in Memorial Park. The improvements include new pole foundations, electrical conduit and wiring, vandal- resistant security light concrete poles, and energy efficient LED fixtures. Memorial Park is a 17 -acre community park that includes a community center, swimming pool, lighted ballfields, picnic facilities, a tot lot, an outdoor venue, and volleyball, basketball, and handball courts. The park receives heavy use and the community has expressed concerns about adequate security lighting in the park. The current lighting system was installed over 50 years ago and is significantly deteriorated. Several of the existing wood poles have been severed and, due to the system's poor condition, maintenance costs have significantly increased. Therefore, staff recommends replacing the lighting system to improve visibility and security. A Notice Inviting Bids was advertised on May 1 and 2, 2015, and bids were opened on May 27, 2015. The following tables summarize the bid invitations made and the bids received: 23B -1 Contract Award For Memorial Park Security Lighting July 7, 2015 Page 2 Contractor Participation Data Santa Ana contractors receiving notices 6 Contractors requesting bidding documents 15 Bids received 6 Bids received from Santa Ana contractors 0 Bid Results Summary RANK BIDDER'S NAME LOCATION BID 1 Green Giant Landscape, Inc. La Habra $334,500 2 Vido Samarzich Inc. Alta Loma $348,000 3 Metro Builders & Engineers Group, Ltd. Newport Beach $397,000 4 Minako America Corporation Gardena $507,700 5 Pacific Winds Building Inc. Irvine $504,000 6 Amtek Construction Whittier $889,088 A total of six bids were received and all were deemed responsive. Green Giant Landscape, Inc., submitted the lowest responsive bid in the amount of $334,500, which is consistent with the engineer's estimate of $304,000. Therefore, staff recommends award of this contract to Green Giant Landscape, Inc. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B (equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe, and aesthetically pleasing for all users), and Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment Plan - e.g., neighborhood streets, traffic improvements, etc.), ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER 2015 -56 has been filed for this project. In addition, a Certification of Categorical Exclusion and Statutory Worksheet have been prepared in accordance with the National Environmental Policy Act. 23B -2 Contract Award For Memorial Park Security Lighting July 7, 2015 Page 3 FISCAL IMPACT The Project Cost Analysis estimates project expenditures of $430,415, which include the construction contract, construction administration and inspection, as well as contingencies (Exhibit 2). The budget for Community Development Block Grant Funds will be carried forward from Fiscal Year 2014/15 to Fiscal Year 2015/16 for Project 14 -7515 in Account No. 13518783- 66220 for expenditure in Fiscal Year 2015/16. r Executive Director h Public Works Agency Executive Director Parks, Recreation & Community Services Agency A A Ke y Reen rs Executive Director Community Development Agency FM /EWG /KW Exhibits: 1. Location Map 2. Cost Analysis 3. Construction Contract APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez G s Executive Director d Finance & Management Services Agency 23B -3 23B -4 t U) O O cn L2 i SAINT ANDREW PL Q O Q O GERTRUDE PL m cn O O O lP l I_ C WARNER AV �FIF PROJECT LOCATION LEGEND: PROJECT LIMITS EXHIBIT 1 SANTA ANA CONTRACT AWARD FOR CITY COUNCIL P W A AGENDA DATE: MEMORIAL PARK SECURITY LIGHTING I JULY 7,2015 PROJECT NO. 14 -7515 PUBLIC WORKS AGENCY 23B -5 PAGE 1 OF 1 MEMORIAL PARK 0 ANAHURS Y C: Q Q O Q O GERTRUDE PL m cn O O O lP l I_ C WARNER AV �FIF PROJECT LOCATION LEGEND: PROJECT LIMITS EXHIBIT 1 SANTA ANA CONTRACT AWARD FOR CITY COUNCIL P W A AGENDA DATE: MEMORIAL PARK SECURITY LIGHTING I JULY 7,2015 PROJECT NO. 14 -7515 PUBLIC WORKS AGENCY 23B -5 PAGE 1 OF 1 PWEW COST ANALYSIS PROJECT NO. 14 -7515: MEMORIAL PARK SECURITY LIGHTING Exhibit 2 23B -7 r CITY OF SANTA ANA Construction Contract PROJECT NO. 14.7515 MEMORIAL PARK SECURITY LIGHTING This CONSTRUCTION CONTRACT is made and entered into this 7th day of July, 2015, by and between the CITY OF SANTA ANA, CALIFORNIA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY" and GREEN GIANT LANDSCAPING, INC. hereinafter referred to as "CONTRACTOR ", WITNESSETH: The CiTY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the "Memorial Park Security Lighting Project" identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents," as defined by the Standard Specifications for Public Works Construction and which include the following; • ...Notice Inviting Bids ,..Instructions to Bidders • ...Bid Proposal • ... Bid Bond • ...Contract Forms • ...Contract Bonds • ...General Provisions • ...Special Provisions • ...Technical Provisions —Project Plans • ...Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete "Memorial Park Security Lighting Project" the sum total amount not to exceed $334,500, as set forth and identified in the BID PROPOSAL. Page 1 of Exhibit 3 23B -9 CITY OF SANTA ANA Construction Contract PROJECT NO. 14 -7515 MEMORIAL PARK SECURITY LIGHTING 4. CONTRACTOR agrees to complete the "Memorial Park Security Lighting Project" within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the "Memorial Park Security Lighting Project" a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100 %) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100 %) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY, CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond equal to at least ten (10 %) percent of the final Contract price or $1,000, whichever is greater (Warranty Bond). 7. CONTRACTOR shall, upon project completion as a condition of project acceptance, furnish a Warranty Payment and Performance bond to be approved by the CITY, in the amount of Twenty -Five Percent (25 %) of the Contract price, to warrant the work done under said Contract Agreement against material or quality defects for a period of one year after acceptance by the AGENCY. s. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. // Page 2 of 3 23B -10 CITY OF SANTA ANA Construction Contract PROJECT NO. 14 -7515 MEMORIAL PARK SECURITY LIGHTING IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney__ fry CITY OF SANTA ANA DAVID CAVAZOS City Manager RECOMMENDED FOR APPROVAL: Sand val Fred Mousavipour, P.E. Assist t City Attorney Executive Director, Public Works Agency Page 3 of 3 23B -11 23B -12 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7515 MEMORIAL PARK SECURITY LIGHTING BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Green Giant Landscape, Inc: REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Description Quantity Unit Unit Price Amount 1 New Security lighting System 1 LS $ $ 5311'�Vo 331000 TOTAL BID ( cjTj p�j The lowest BIDDER shall be selected on based on the lowest base bid. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete said work within ninety (90) working days after the commencement date stated in the Notice to Proceed. The bidder also proposes to commence construction of the Work within fifteen (15) days after issuance of a Notice to Proceed, and to continue in a diligent and workman -like manner without interruption, and to complete the construction thereof within the time specified above. The liquidated damages amount shall be $250.00 per calendar day. Exhibit A 23B -13 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7515 MEMORIAL PARK SECURITY LIGHTING BIDDER'S STATEMENT BIDDER understands and agrees that this Bid Proposal, Contract Documents and subsequent Construction Contract Agreement shall constitute the entire agreement between BIDDER and the AGENCY only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Public Works Agency Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to BIDDER or deposited with the United States Postal Service properly addressed to the BIDDER with the correct postage affixed thereto. BIDDER further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish AGENCY all required bonds and certificate of liability insurance within ten (10) business days or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, that the estimated quantities set forth in the bid schedule are solely for the purpose of comparing bids, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. The BIDDER also certifies that the bid is a balanced bid. In accordance with Section 7026.15 of the California Business and Professions Code, the undersigned certifies under penalty of perjury that the foregoing is true and correct. Name Signati Title (if an individual, so state) (if a firm or co- partnership, state the firm name and give the names of all individual co- partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) 23B -14 GREEN GIANT LA ® i Kd INC* - SPATE LIC. A&.0 -27, # 670474 CERTIFIED COPY OF RESOLUTIONS OF BOARD OF DIRECTORS OF GREEN GIANT LANDSCAPE, INCORPORATED "RESOLVED, that Donald L. Henderson, as President of Green Giant Landscape Incorporated, is authorized to enter into and sign all contracts on behalf of this Corporation." I, Rosie Toledo, the duly elected, qualified and acting Secretary of Green Giant Landscape Incorporated, an organized and existing California Corporation, do hereby certify that the foregoing is a full, true and correct copy of the resolution duly adopted by the Board of Directors of said corporation at a meeting thereof at which meeting a quorum of said Board was at all time present and acting; and that said resolution has not been modified or rescinded and is at the date of this Certificate in full force and effect. IN WITNESS WHEREOF, the undersigned has executed this Certificate and affixed the corporate seal of said corporation this day ofg 20115. , Rosie Toledo, Secret y 941 -A Macy Street . La Habra, GA 90631.3400 ® (562) 690.6205 ® Fax (562) 690 -5029 E -Mail: greengianMmc@ 2I3rB1%ngiantoffice@aol.com CITY OF SANTA N PROPOSAL PROJECT NO. , {4&! CONTRACTOR'S LICENSING and REGISTRATION STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that he /she and all his /her subcontractors are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name: Business Address: Business E -Mail Address: Green Giant Landscape, Inc. Telephone: 5 iF 0 rQ ° (r)-08 state Contractor's License No. and Class: (P IU_2 A i - License Expiration Date:3' y State Dept. of Industrial Relations (DIR) �� f�� Registration No.: J al Relations (DIR) Date: [ Signed: `�°, l�lr i 3 n.� �e✓"� Title: Pre 23B -16 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7515 MEMORIAL PARK SECURITY LIGHTING PREVAILING WAGE COMPLIANCE AND MONITORING STATEMENT Contractor is aware of the requirements of California Labor Code Section 1720, et seq., as well as California Code of Regulations, Title 8, Section 16,000, et seq., ( "Prevailing Wage Laws "), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance projects. Since the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. The undersigned certifies that the foregoing is true and correct. Name of Pirr Signature of Title _ (if an individual, so 23B -17 CITY OF SANTA AJNA NSA PROJECT NO. 14-7515 OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA ) COUNTY OF ORANGE f� CITY OF -SANTA ANA "�J{.t r ) (- (-u��� , being duly sworn, deposes and says: INDIVIDUAL That he /she is the party rnakingthe foregoing proposal: (� PARTNERSHIP That he /she is a memberof the co- partnership firm designated as: and who has been and is duly vested with the authority to make and execute instruments for the co- partnership by: who constitute the other members of the co- partnership, ,ffCORPORATION That els of: ;, +rte -iuP Green iant Landsc:apejnc,— ._.... -_ a corporation which is making the foregoing proposal: I]JOINT VENTURE 'that he is of: one of the parties making the foregoing proposal as a Joint venture, and the he /she has been and is duly vested with the authority to execute Instruments for an on behalf of the parties making said bid who are: such a bid is genuine and not collusive or sham, and has not in any manner sought by Eion to secure any advantage against the City of Santa Ana or any person interested in the od contract, for himself or any other person. Signature of Bider u` Subscribed and sworn of e this 6 day —20, � Signature of offi d r6 ist ri Oath Notary Public) m me NENOERSON COMM. if 2086132 ��pp NOTARY PUBLIFCALIPORM �1 Los ANOELES COUNTY EXP, NOV, 16, 2010 ^� 23B -18 CITY OF SANTA ANA PROPOSAL PROJECT .M 2 KNOW ALL MEN BY THESE PRESENTS that, Green Giant Landscape, Inc, , as BIDDER, and Philadelphia Indemnity Insurance Company , as SURETY, are held and firmly bound unto the CITY OF SANTA ANA, as AGENCY, in the penal sum of - Nr�iy`k l'�1r2 i r„� Sreb f rnrG+.tiu1�'�1' 'boilers ($--3 3 L' �Z7 — �, which is ten percent (10%) of the total amount bid by BIDDER to AGENCY for the above- stated project, for the payment of which sum, BIDDER and SURETY agree to be bound, jointly and severally, firmly by these presents, THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas BIDDER is about to submit a bid to AGENCY for the above - stated project, if said bid is rejected, or if said bid Is accepted and a contract Is awarded and entered into by BIDDER in the manner and time specified, then this obligation shall be null and void, otherwise it shall remain In full force and effect in favor of AGENCY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this 26th day of May , 20 15 , BIDDER` Green Giant Landsca a, Ina. -941 -A Mac St, La Habra, CA 90831 - i862)6946208 SURETY* Insurance Company -281 S, Lake Avenue, Suite 360, Pasadena, CA 91101- 628- 639.1321 Notary Public in and for the County of_ „___„ ,, u._ State of this _ _ day of *Provide BIDDER/ SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative, 23B -19 CALIFORNIA ALL-PURPOSE ACKNOWLEDOMENT CIVIL CODE § I ISO oll=a2orrrts A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of On 3.4 before me, Summer L Reyes, Notary Public Date Here Insign Name and Title of the Officer personally appeared Matthew J. Coats Namoy(a) of Signers) who proved to Line on the basis of satisfactory evidence to be the person* whose names} Weety subscribed to the within instrument and acknowledged to me that he/she/9" executed the same in hWhoer/geeir authorized capanefty(lea), and that by hic/beir/reek signature(s+on the instrument the person*, or the artily upon behalf at which the per8on(4 acted, executed the instrument. SUMMER L. R"YES Oommission # 1986627 Votary Public- California Orange County @My Comm. Expres Jul 29, 2016 I certify Linder PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. Wil NESS my hand and official seal. Signature s` U&�_ ignatuko of Notary Public Piece Notary Seat Above OPTIONAL Though this section is optional, completing this information coil deter alteration of the document or fraudulent reattachment of this form to an unintended document, Description of Attached Document Title or Type of Document: Document Date: Number of Pages: _ Signer(s) Other Than Named Above: — Capacity(fies) Claimed by Signbera) Signer's Name: — Corporate Officer — Title Partner — C Limited 0 General r—iindividual E. Attorney in Fact ,-]Trustee E Guardian or Conservator 3 Other: Signer Is Representing: Signer's Name: Corporate Officer — Title(s): Partner — 7-11 Limited —. General Individual -- Attorney in Fact Trustee E'l Guardian or Conservator Other: Signer Is Representing: 02014 National Notary Association , wegeelaylognalNotary.org - 1-800-US NOTARY (1-800-876-6827) Item 45907 23B-20 mm PHILADELP111A. INDEMNTTV INSURANCE COMPANY 231 St. Asoph's Rd -, Suite 190 Bala Cymryd, PA 19001 -0930 proven otAttotmty KNOW ALL PERSONS BYTHESEPRE 'SLISTS: drat PHILADELPHIA INDEMNITY INSURANCE COMPANY(theCmupanyT a COryorationorsam7ed and existing under the liras or the Ceanmmntralth of Pennsylvania, does hereby constitute and appoint- Linda D, Coats and Matthew J. Coats Of Coats Surety Insurance Services, Inc. Its true and IaMhI Aanmer(s) in fact pith full authority to exenumon its behalf bonds, undanakfngs, recogniranees find other conimats "indemnity and tunings obligatory in the nature thereof, issued is Inc course of its business and to hind the Company thereby, in an onmant her to exceed jZj&ftQM This Plover orAttomey is gmmed mid is signed and scaled by facsimile undersold by doe mahola y arms fallowing Resolution adopted by the Board of D rnamrs of PIIILADCLPI UA INDEMNITY INSURANCE COMPANY at A ram ntg duly Called the I" day of Job, 2W 1- RESOLVED: That the board of Directors hereby authorizes the President or any Vice President of the Common, to (1) Appoint Attorney(s) in Fact and oathorize the Attomey(s) in Pact to exceme rnt behalf or the Company bonds and undertakings, contracts or indemnity and other writings obligatory in ilia nature thereat and to atmch the seal of the Company th€rem, and (2) to waloW, at any time, ally such Attorney -in -Faro and revoke the authordygiean. rAnd.beit FURTHER RESOLVED; That the sometimes at such officers hod the seat of ilia Company tnay be xfised to any such Power of Atmmey or cenifcaue renting thereto by facsimile. mid any such Power of ARorney so executed and entitled by facsimile signatures and ralsimile seal shall be valid and biding area the Company In ilia boom with tire nespect to any bond or undertaking to which it is attached IN'ITSTD,ioNY VVIIEREOP, PHILADELPHIA INDEMNITY INSURANCE COMPANY HAS CAUSED PHIS INSTRUMENT "f0 81. SIGNED AND ITS CORPORATE SEALTO BE AFFIXED 13Y ITS AUTHORIZED OF 17ICE TIES 7.a DAY OF FEBRUARY 2013- IA7` re's (Sceli id Robert D. O'Leary )r President R CEO Philadclph4u Indem ir) Insumnoa CGtnpan)` On this 9'A day of February 2013, before ran came the individual Was executed the preceding instrument, to me pasonally knmlu, and being by me duly slut said that he is the therein described and authorized officer of the PIIMADEC.PDLA INUFAINNI'I Y INSURANCE COMI ANN, him fleeced affixed tG said instrument is ilia Corporate seal ofsaid Company, that the said Corporate, Seal and his signature w`nol duly aftaxvd. VA tNTRkW.6EP.l pA{:IEt1EP0Et47B. uoletypcou tgwv'}AtdoaT Cora M Cararr t 361 Notary Public. (Notary Sean resmingm fisTlp.,S,YB11}d p My commission assures, FAAmIL2 I, Cm14 P- Keller. Exccutive Vice President, Chief IF Officer and Secretary of PIIILADI-LPFIIA INDFMNITY INSURANCE COMPANY. do herby certify that the foregoing resolution of file Board of Directors and this Power of Attorney issued p rcuma literati, are toe and correct and are still in 011 ti m€ and effect. (do further certify distRoban D O'Leary Jr, who executed the Pownrot'AUOme~yy m President, was on dw date of ecccution of the attached P ovi of Atrnmcy the duly elected Presidentof PH LAAr_LPHIA INDEMNITY INSURANCE COMPANY. In Te.,6mmyy Whemof I bare subscnhed no ricrac and affixed the fawintlle seal of €ach Cnmprig this _,day of 20 I Craig L Keller Ececuttw Vice Presider Chief Financial Officer R Secretary ¢„ ! , -, 'r PHILADELPHIA INDENINCIV INSI RANCE, COMPANY 3 Y.. 23B -21 • -6 A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of County of On personally appeared %fG Y - who proved to me on basis of satisfactory evidence to be the person(s) whose name(s) is /are subscribed to the within instrument and acknowledged to me that he /she /they executed the same in his /her /their authorized capacity(ies), and that by his /her /their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is trVe and correct, WITNESS m P vial seal. RosIR Totean•NewRnR ON Y @^ CaMM.6 2066732 /�qq (� er 41 NOTARY PUCLICAALIFORNIA urt LOB ANCILFS COUNTY no • MY COW RAP• Nov. is, 2018•' Notary b' Sig u e (Notary Public Seal) ADDITIONAL OPTIONAL INFORMATION DESCRIPTION OF THE ATTACHED DOCUMENT (Title or description of attached document) (Title or description of attached document continued) Number of Pages _ Document Datl CAPACITY CLAIMED BY THE SIGNER C3 Individual (s) ❑ Corporate Officer (Title) • Partner(s) • Attorney -in -Fact ❑ Trustee(s) ❑ Other It) i* Varsiorr wr^ s ^eNu;erybluaSnS. corn ECG- M1 -Ei8b6 IL' INSTRliCTIONS FOR COMPLETING TI-I1S FORM 7hisformcomphesivith cumeut Colyowia statures ragardlag notatywin ding and, ifneeded, should be completed and attached to the document. Aclmmoledginants from other stares ntav be campl etedfor documents being sent to that state so long as the ivora5hg does not require the Caljromot nouuy to violate Calj/brnta notary late. • State and County information must be the State and County where the document signors) personally appeared before the notary public for acknowledgment. • Data of notarization must be the date that [trig signor(a) personally appeared which must also be the same date the acknowledgment is completed. • The notary public must print his or her name as it appears within his or her commission followed by a comma and then your title (notary public). • Print the names) of document signers) who personally appear at the time or notarization. • Indicate the correct singular or plural forms by crossing off hrcorrect forms (i.0. hahihe/dsea is/ era) or circling the correct forms. Pollinate correctly indicatethis information tiny lead to rejection of document recording. • The notary seal impression must be clear and photographically reproducible. Impression must not cover text or lines. If seat impression smudges, ro•soal if a sufficient area permits, otherwise complete a different acknowledgment form. • Signature of the notary public must match the signature on rile with the office of the county Clerk. Additional information is not required but could help to ensure this acknowledgment is not misused or attached to a different document. �S Indicate title or type of attached document, number of pages and date, Indicate the capacity claimed by the signer. If the claimed capacity is e corporate officer, indicate the title (i.e. CEO, CFO, Secretary). • Securely attach this document to the signed document with a staple. 23B -22 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7515 MEMORIAL PARK SECURITY LIGHTING LIST OF SUB - CONTRACTORS Section 4100 et. seq. of the Public Contract Code requires listing of all subcontractors with the bid for all subcontract work exceeding the following amount: • Streets, highways including bridge projects: ' /_% of the bid or $10,000, whichever is greater • Buildings, parks, or other projects: Y2% of the bid Section 1725.5 of the Public Contract Code requires all Subcontractors be registered with the State Dept, of industrial Relations (DIR). BIDDER proposes to subcontract certain portions of the work to the firms listed below: Name 5`k uAy4 G eofyi c License # /Exp, !J 06 Qq (,a fe -301 DIR Reg. #/Exp. L {Jf '1'03'7`2 fi(' f Location tZ de Phone - 9 yvi ( Type Of Work —to'f eowleGs Amount $ Name License # /Exp. DIR Reg. # /Exp. License # Location Phone _ Type Of Work Amount $ Name License # /Exp. DIR Reg. # /Exp. License # Location Phone Name License # /Exp. DIR Reg.# /Exp. Location Phone Type Of Work Amount $ Name License # /Exp, DIR Reg. # /Exp. License # Location Phone Type Of Work Amount $ Name License # /Exp. DIR Reg, # /Exp. License # Location Phone 23B -23 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7515 MEMORIAL PARK SECURITY LIGHTING REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which BIDDER has performed similar work within the past three years. 1. z. Name and Address of Owner. "T I sit �2r t U,'- s �' Name and Telephone Number of person familiar with project. { L3�}�xn1f� ¢lt f �v7 rcl c%i11 �i Contract Amount Type of Work C' GC Date Completed and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed 3. ` d4f 1-Ona 14 C�7 � 0 -ot'emc Name and Address o owner. 5kr S% r77r (5 Name and Telephone Number of person familiar with project. '7 '� MI5 °L �t/Y C�hffYi aD 13 Contract Amount —� Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Ad, pwu 10 - /G1&0 it I I, Rtet a 23B -24 0, !%r CITY OF SANTA ANA PROPOSAL PROJECT NO. 14-7515 MEMORIAL PARK SECURITY LIGHTING ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for TH— public agencies for which the BIDDER or Subcontractor has performed electrical work and site lighting in the past 5 years, 1. Name and Address f Owner. Name and Telephone umber of person familiar with project. Contract Amount Type of Work Date Completed 2. Name and Address of owner. Name and Telephone Number of person fam � with project. Contract Amount Ty of W k Date Completed 3. Name and Addr7-oprocure Name and Teleperson familiar with project. Contract AmouType of Work Date Completed The following are tses, and telephone numbers of all rokers and sureties from whom BIDDER e insurance and bonds, 23B -25 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14-7515 MEMORIAL PARK SECURITY LIGHTING NON- COLLU�DAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made In the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non - collusion Affidavit. BB DL`jare cautioned that making,a false certification may subject the certifier to criminal Signed State of Calif County of ' � j � u scri d atc .worr to (or affirmed) before me on this �� day of 20{sby i 5p oved to me on the basis of satisfactor evid . e to be the person(s) who appeared before me Notary Public Seal p ° "� ""�c R091E T04EOO-NENOER90N 'M � ''''''''T``' .� SIE TOV 2088792 �. NOTARY PUBLIC•pALIPOANIA N Los ANatEs COUNTY rGmcM" MY Gull. PYe. Ynv AA ofta -0 _ CITY OF SANTA ANA PROPOSAL PROJECT NO. 14-7515 MEMORIAL PARK SECURITY LIGHTING NON - DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1. The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin, Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin, 3. The Contractor shall send to each labor union or representative of workers with which he /she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor, S. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non - compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such 23B -27 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7515 MEMORIAL PARK SECURITY LIGHTING other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public wo ' tin, this Section is subject to all the penalties imposed for a violation of the Chap r, A Signed: Title: Firm: Green Giant Landscape, Inc. Date: - ;)-'%-} 23B -28 CITY OF SANTA ANA PROPOSAL PROJECT NO. 14 -7515 MEMORIAL PARK SECURITY LIGHTING STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777,5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: 1. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2, Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3. Contribute to the fund or funds in each craft or trade in which he/she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in e same ma er as the other contractors, except contractors not signatory to the trust agree,wentshall pay'V like amount to toe California Apprenticeship Council. Title: Vve 3ti-+i t Firm: Green Giant Landscape, Inc. Date, 23B -29 CITY OF SANTA ANA PROPOSAL PROJECT NO, 14 -7515 MEMORIAL PARK SECURITY LIGHTING STATEMENT REGARDING "ANTI - KICKBACK" REQUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti- Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be prohibited from inducing, by any means, any person employ e co uction or repair Of public work, to give up any part of the compensation to whi h he /she is Other ise entitled. Signed: Title; Pv�5t J-&k Firm: Green Giant Landscape, Inca Date: — 2,77 -15-- 23B -30 m CITY OF SANTA ANA PROPOSAL PROJECT NO. 14-7515 MEMORIAL PARK SECURITY LIGHTING PUBLIC CONTRACT CODE SECTION 10162 QUESTIONAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No If the answer is yes, explain the circumstances in the following space. 23B -31 MAYOR Miguel A. Pulido MAYOR PRO TEM Vincent F. Sarmlento COUNCILMEMBERS Angelica Ame7CLIa P. David Senavides Michele Mardnez Roman Royna Sal Tinajero May 21, 2015 ADDENDUM No. ONE CITY OF SANTA ANA PUBLIC WORKS AGENCY 20 Civic Center Plaza M-36 e P.O. Box 1906 M -36 Santa Ana, California 92702 vvrwv.sa111-Am ruxr SUBJECT: PROJECT No, 14 -7515 Memorial Park Security Lighting The following changes have been made to the plans and specifications of the subject project: Flans: 1. Replace sheet #6E2,1the revised attached sheet 1kE2.1. Specifications CITY MANAGER David Cavazos CITY ATTORNEY Sonia R, Carvalho CLERK OF THE COUNCIL Maria D. Hulzar 1. Sheet 31: revise 'TRENCHING AND CONDUIT WORK ", paragraph 2, to read as follows: "Trenches shall be backfilled level with surrounding grades when fully compacted. Trenches in lawn areas shall be seeded in accordance with Section 7 -9 of the Standard Specificatians ". 2. Sheet 31: revise 'PULL BOXES ", entire section, to read as follows: "Install pull boxes where and as noted on drawings." 3. Sheet 32, revise "FOUNDATIONS ", paragraph 1, to read as follows: "Contractor shall excavate and install foundations for each pole as noted on drawings. All concrete shall be poured against undisturbed soil. Backfilling and compacting will not be approved," 4. Sheet 33, Delete "PAYMENT" section in its entirety. All other terms and conditions remain the same. FOR THE TTY OF SANTA ANA William E. Galvez, PE City Engineer SANTA ANA CITY COUNCIL MIf W A Pulor. i V,,mnl F s..oWo i MOMS Mani'mZ I Analog AmH2BUa j P. Dowd eanaldea Roman Repo I Sal T,Tap. Mayor i Mayor Pro Tom, Ward i i Wand i Ward3 i Warda i Wards i Ward MP rd4�a { - a tl I Vaarm ealo!alaao(n app 1 MMTrTnez.S}sanfa ana ora tti r5.4a8rsonw -ana ara i D9an.ode ASa n2aNM 8Roy oaasanta_m& -0e { ET �a orr tsenla -ana om 23B -32 _.,...._.-'.der. "kikoew nuMos„e W Ran straytjorl 1'gae,f3Btf,L -•s UUi,15 Into[ man on Ate Fify DUNS .informctloo w+ Nshloss Lnformation x IRS Consent C AGE nr iNCAGE Code CAGE Ownership Dohalk Ganerul Information Pinaadat Lnfonnadon Executive Companeotlan Questions Mit Pr ceedln9s (2ve01,m_s 6A Infmtnacolt C9pG O+R 0 psme coreDLata ?3£Ad?J,ain c rsp�,tlons oiid 4eitifirW lerA* Pnliri'sgf Coulac[ S,ybM2&ei4ifjcatima U I5 "✓F'(t15kcAS G KT fLiAlt:Yi" SAM I system WAoreA Mv".§Went i,o System for Award Management ylr '• "a)c�f:,��,orn�C +, 1p'a�Vcrifv nUfLS Pntonn,�ia�p:. Verify DUNS Information Donald Henderson �..., ,t:J,v e..,., DUNS: 943425249 �s Pape Description Please renA.w the Information retrieved Prom Dun N Bradstreet (O&B) for accuracy. If you click "Save @ Cordnua f the Information from M will appear to yogj' entity's registration. It the Information returned is Incorrect, please dick "Cgncel "and make the nacessary updates In DmB. If you've recelved confirmation from DO that your requested updates ware competed owr24 hours ago, and that Information Is not yet dIspI dyed under falls returned from O@B ", dld<the button to refresh yots dota. . Details Entered by the user DUNS: 943425249 Legal Business Name: Green Giant Landscape, Inc. Doing Business As: (nom) Address Una 1: 941•A 14aey St, Address Une 2: City, City: La Habra State: CA ZIP/Postal code: 00631 Country:. „UNIrm STAT64 i ikaCLit', Details returned from D &B rns: 943425249 Legal Business Name: Green Giant Landscape Inc, - Doing Business Ad: (none) _Address Ldne 1: 941 A Macy St Address Une 2: City, La Flabra State: CA 4pipestal Code: 90631 -3466 Countly. _ _. UNIIEOSTATGB IBM v1.P.27,26150327.1211 Content Glol Core data: DUNS /OoDWA Name: Address: NANW4 NN .v, Note to all Users: This Is a Federal Government compute system, Use of this system aondtitmes consent to moNtodnq at all Hynes. 3PN ,5„rOOA11XdoACJgYXZheCSmYW Nlay5yvWJOIaGVOYnJpZGdIUNIJ QVRFXOI EAAAAAQApdmIldzozMDEzN0hkZC11Y2QzI LTQwMzQtO1)NM COxMzNI> )o3ZOMYfEABil l City of Santa Ana Section 3 Contract Clause These Clauses are to be inserted in all contracts A. The work to be performed tinder this contract number p �_ J_ _ b9,a9nd between referred City of Santa Ana, hereinafter referred to as "City" and �i°een lail a11tTSC` t✓� 1 einaiter referred to as "Contractor ', is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended 12 U.S.C. 170lu (section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated HUD assistance or HUD - assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low-and very low - income persons. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are tinder no contractual or other constraint that would prevent them from complying with the Part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the Contractor has an agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the Contractor's commitments tinder this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can seethe notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin, D. The Contractor agrees to include a Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Fart 135, and agrees to take appropriate action, upon a finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The Contractor will not subcontract with any subcontractor where the Contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR Part 135. E The Contractor wilt certify that any vacant employment positions, including training positions, that are filled (1) after the Contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, were not to circumvent the Contractor's obligations under 24 CFR part 135. F. Noncompliance with regulations in 24 CFR Part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted projects. The Contractor by this signature affixed hereto declares under penalty of perjury; Contractor has read City requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. Sign r of ntraetor Print Name and Title �� Date Contractor License Number & Designation Federal DUNS Number 23B -34 City of Santa Ana Section 33 New Hire Calculation Form Project Name: H e4ttl`� of q^�l ,' VA / �e ebuy -1 � { ?� Project Location: �IU � IUr(yt )A 361 /h�khA� _ Street City State Zip Contractor Name: Green Giant Landscape, Inc. Contractor Contact: l fl'/ t Contractor Telephone Number: _ �7 4 Contractor Email Address I Section 3 Resident of New Hires Total number of Section 3 resident new hires necessary to comply with contract: Si gna rContractor Date 23B -35 __7 — 1*1411113M City of Santa Ana Section 3 Employment Opportunity Notice Pursuant to Section 3 of the Housing and Urban Development Act of 1968, as amended, 12, U.S.C. 170u, the City of Santa Ana is pleased to announce construction employment opportunities for low- income individuals residing in the following area(s) of the City of Santa Ana: PROJECT(S) LOCA.TION(S): .1. R& _$ I have w rk ex en nce n the construction trades listed above, and yarn live in the are g listed above, call e i 4 ( 0 (contractor's or subcontractor's name), at G' (} " 6 G &Y contractor's or subcontractor's telephone number) for an employment application. For additional information on the City of Santa Ana`s Section 3 Economic Opportunities Plan, please call Community Development Agency, at 714- 647 -5445. 23B -36 Resident's Name: Resident's Address: City of Santa Ana SECTION 3 RESIDENT CERTIFICATION FORM (2014 INCOME GUIDELINES) I hereby certify that I am a Section 3 resident, based on the following qualification(s): I . [ I am a Public Housing Resident (Specify Name of the Public Housing Unit): 11 2. ❑ I am a low- income resident in the County of , in which the Section 3 covered assistance is expended (Specify the Name of the Section 3 covered construction Check your household size, annual income level (from all sources), and specify racial and ethnic background: 1: t"ilifii'�l: c�71fi9ilol INCOME LEVEL ❑ 1 $50,600 or less ❑ $50,600.01 or more ❑ 2 $57,800 or less ❑ $57,800.01 or more ❑ 3 ❑ $65,050 or less ❑ $65,050,01 or more 4 ❑ $72,250 or less ❑ $72,250.01 or more 5 ❑ $78,050 or less ❑ $78,050.01 or more 6 ❑ $83,850 or less ❑ $83,850,01 or more ❑ 7 ❑ $89,600 or less ❑ $89,600.01 or more ❑ 8 ❑ $95,400 or less ❑ $95,400.01 or more RACIAL BACKGROUND: Mark an "X" bellow; next to the category that best describes your origin: SINOLB OATBOORIRS DOUBLE CATBGORtBs ❑ American lndian/AlaskaNative ❑ American Indian or Alaska Native AND White ❑ Asian ❑ Asian AND White ❑ Black/Al ican American ❑ Black. or African American AND White ❑ Nattve ktawaiimrlOther Pacific Islander ❑ American Indian or Alaska Native AND Black or African American ❑ White ❑ Other — fnr individuals not identified above. FJIINIC BACKGRDUND: Mark an "X" below, next to the category that best describes your ethnicity: &Hispanic /Latino ❑ Not Aispaoieflatino THE UNDERSIGNED DECLARES THAT THE ABOVE INPORMATIONIS COMPLETE AND CORRECT Signature of Section 3 IBesi t Date To Be Completed by Employer The above -named person eis a permanent frill -time emplovoe or ❑ was hired on This persa .s-s J b J Classification is Name of Employer: -rpep P YET /.,Q nj , To Be Completed by Local Contracting Agency Preference Category: Targeted Service Area ❑ Youth build ❑ McKinney Homeless ❑ Other Section 3 Income Level: ❑Low y Very Low Census Tract Number: 23B -37 r Wyl M a I & City of Santa Ana Section 3 Business Concem Opportunity Notice Pursuant to Section 3 of the Housing and Urban Development Act of 1968, as amended, 12, U.S.C. 170u, the City of Santa Ana is pleased to announce building construction contract and /or subcontract opportunities for qualified Section 3 business concerns located in Santa Ana, or employing low- income Santa Ana Residents. If you reside in the City of Santa Ana, in or near the following location(s), and/or employ low- income individuals residing. in or near this area, you may qualify as a. Section 3 business concern: PROJECT(S) LOCATION(s): CONSTRUCTION CONTRACT ACT /SUBCONTRACT ACT OPPORTUNITIES If you are, or would like to be, certified by the City of Santa as a echo 3 business concern, and provide contract s iaes fir}tthe c nstruction trades listed above, cal] re 6 `l &C, , (contractor's name), at %z 6 6Z09.— (contractor's telephone number) for contract or subcontract bidding information. For additional information on this project, call (City of Santa Ana, Project Manager), at (Project Manager's telephone number). For additional information on the City of Samta Ana's Section 3 Economic Opportunities Plan, please call the City's Community Development Department at 23B -38 EXHIBIT 6 City of Santa Ana Section 3 Business Concern Eligibility Certificate Name of Business: nn Careen Giant Land cane.•Inc_ �,. �_ Address of Business: V, bi I " Al ( ko 3+ - La_ OWI — 90 (gS Telephone Number:Pv� Type of Business: tL]'' Corporation ®Sole Proprietorship Section 3 Business Concern Oualifvina Basis Fax Number: S te D" 10 56 �1_ ❑Partnership 13 Joint Venture 1. 51% owned by Section 3 low- income residents; or 2. Permanent, full -time employees that include at least 30% Section 3 low- income or very low- income residents; or 3. Written commitment to subcontract with more than 25 % of the dollar award of all subcontracts to be awarded to business concerns) that meet either of the above (I or 2) Section 3 qualifications, Specify Ethnicity and Gender of Business Ownership (please check one): ❑ American Indian or Alaska Native 11 Asian © Native Hawaiian or Other Pacific Islander ® White American Indian or Alaska Native and White © Asian and White Black or African American and White El Black or African American 1� tjmerican Indian or Alaska Native and Black or African American Balance of individuals reporting more than one race Gender: Male 01<emale Ltbi' signorine kd I declare under penalty ofp erjury that tho above information is correct. Sign ur fB Date ty Print Name Received by Date 23B -39 EXHIBIT 8 Contractor's Section 3 Af nnative Action Plan Project Number and Title The undersigned contractor agrees to implement the following affirmative action steps directed at increasing the utilization of lower income residents and business concerns located within the County of Orange. 1. Take affirmative action to ensure that employees or applicants for employment or training are not discriminated against because of race, color, religion, sex or national origin. 2. Send a notice of the contractor's Section 3 commitment to each labor organization or representative of workers and post a copy of the notice at a conspicuous place available to employees and applicants for eployment or training. To the greatest extent feasible, make a good faith effort to recruit for employment or training lower income residents from the County, and to award contracts to business concerns which are located in or owned in substantial part by persons residing in the County through use of, local advertising media, signs placed at the project site and notification to community organizations and public or private institutions operating within or serving the project area such as Service Employment and Redevelopment (SER), Opportunities Industrialization Center (OIC), Urban League, Contracted Employment Program, U,S. Employment Service, Chamber of Commerce, labor unions, trade associations and business concerns. 4. Maintain a file of all low - income area residents who applied for employment or training either on their own or on referral from any source, and the action taken with respect to each area resident. 5. Maintain a file of all business concerns located in the County who submitted a bid for work on the project, and the action taken with respect to each bid. b. Maintain records, including copies of correspondence, memoranda, etc., which document that aflinnative action steps have been taken, 7. Incorporate the Section 3 clause provisions in all subconnacYs, and require subcontractor(s) to submit a Section 3 Affirmative Action Plan. Green Giant Landscape, Inc. Company Name Signa f dritractor Address: Street, Ci , State, Zip printed Name DUNS Number Title 23B -40 City of Santa Ana Section 3 Contract Award Consideration Bidder's Name: Green Giant Landscape, Inc. Please check the numbered statement that is applicable to your business: 1. My business qualifies as a Section 3 business concern: If you have checked statement TTl1 yi LJ 1_ please read the attached Section 3 Business Concern Preference - Bidding Requirements. (Please check the applicable qualification for statement number Z) 51 % owned by Section 3 residents; or 4_ Permanent, full -time employees include at least 30% Section 3 residents; or Will subcontract more than 25% of the dollar award of all subcontracts to be awarded to business concern(s) that meet either of the two preceding qualifications. Note: You are required to list all subcontractors and owner - operators in your bid statement. 2. —My business does not qualify as a Section 3 business concern. Note: Section 3 business concern are located in this project's Contract Documents & Specifications Manual within the see ion ti led Section 3 Economic Opportunities Plan. <N__I�t I 617 1, Signal o usine Owner Date Print Name 23B -41 EXHIBIT 12 CITY OF SANTA ANA WOMEN OWNEDIMINORITYBUSINESS OWNED ENTERPRISES (W /MBE) GOOD FAITH EFFORTS Pro•ectName: melwliitij '; 4V Pro•ectNumber: 114-266 C Pursuant to 24 CFR Part 85 § 8536 (e) of Code of Federal Regulations, contractor must take all necessary affirmative steps to assure that minority business firms, women's business enterprises and labor surplus firms are used whenever possible. Contractor shall submit the following information to demonstrate that a goof faith effort has been made to comply with the above section of the Code of Federal Regulations. Submittal of this form, in and of itself, may not provide sufficient documentation to demonstrate that goof faith effort was made. Documentation such as copies of advertisement, letters of solicitation, telephone logs, rejected quotes, etc. should accompany this form. 1. The names and dates of advertisement of each newspaper, trade paper, and minority -focus paper in which a request for W /MBE participation for this project was placed by the bidder: 2. The names and dates of written notices sent to W /MBE soliciting bids for this project and methods used for following up initial solicitation to determine with certainty whether the W/MBE were interested. 3. The items of work which the bidder made available to W /MBE firms, including, where appropriate, any breaking down of the contracts into economically feasible units to facilitate W /MBE participation, and the information furnished to W /MBE such as plans, specifications, and requirements for the work. Items of Work: r1.� 64 Breakdown of Items: Information Furnished: Q�iVl F: OOCS�PROPsvcsWuorORMS1MBU5BNAMB- 8000nnp...DOC 23B -42 EXHIBIT 12 (cant,) 4. Efforts made to assist W/MBE in obtaining bonding, lines of credit or insurance, and any technical assistance related to the plans, specifications and requirements for the work which was provided to W/MBE: S. Any additional data to support a demonstration of good faith effort, such as contracts with W/MBE assistance agencies: I declare under penalty ofperjury that the foregoing information is true and correct to the best of my knowledge. I understand that the City of Santa Ana and/or "the U.S. Department ofFlousing and Urban Development may verify the information provided herein in connection with W /MBE compliance evaluationlaudit activities and that failure to fully and truthfully complete this form may result in economic or other sanctions. Signature: Name: Title: kaeli (SAoT Date: -- t 5 Business Racial/Ethnic/Gender Code: Circle the numeric code which indicates the racial /ethnic /gender character of the owner(s) and controller(s) of 51% of the business. When 51% or more is not owned and controlled by any single raeial/ethnicitylgender category, circle the code which seems most appropriate. White Americans 2 = Black Americans 3 =Native Americans Woman Owned Business: 4 = Hispanic Americans 5 = Asian /Pacific Americans 6 = Hasidic Jews Circle One: Yes or No F:% DOCS�PROPSVCS�HUDFORMSIMBU5B04AMB- S.d.OSP.M.DOC 23✓-43 EXHIBIT 13 U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT Los Angeles Area Office, Region IX 1615 West Olympic Boulevard Los Angles, California 90015 -3801 CERTIFICATION FOR APPLICABLE FRINGE BENEFIT PAYMENTS Project Name: --- ���I4l'1 �k�A -� 1� �{� � 1 � i „` -1 €�1 �3 Project Number: W Y_ f GI 11 i Classification /Fringe Benefits Provided Name, Address and Telephone Number of Plan /FandProgram Y) Health and Welfare $ .............m Pension $ Vacation $ Apprenticeship / Trah�ing $ 2) Health and Welfare $ Pension $ - Vacation $� _ Apprenticeship /Training$ _ 3) Health and Welfare $ Pension $ Vacation $ Apprenticesip /Training$ a Health and Welfare $ Pension $ Vacation $ Apprenticeship / Training $ OR: (CHECK IF APPLICABLE) �./1 certify that I do not make payments to approved fringe benefit la fiords, or programs. Green Giant Landscape, Inc. Contractor /Subcontractor Si tpre 611-7 t 5' Date Title F: 1DOCS\ PROPSVOSWUOPORMSIMBU5804AMS- SeO.o3SP.. 600 23B -44 EXHIBIT 14 CERTIFICATION OF NON- SEGREGATED FACILITIES Federally Assisted Projects The Federally assisted construction contractor certifies that he does not maintain or provide for his employees any segregated facilities at any of his establishments, and that he does not permit his employees to perform their service at any location, under his control, where segregated facilities are maintained. The federally assisted construction contractor certifies farther that he will not maintain or provide for his employees any segregated facilities at any of his establishments, and that he will not permit his employees to perform their services at any location, under his control, where segregated facilities are maintained. The Federally assisted construction contractor agrees that a breach of this certification is a violation of the Equal Opportunity clause in this contract. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive or are in fact segregated on the basis of race, creed, color, or national origin, because of habit local custom or otherwise. The Federally assisted construction contractor agrees that (except where he has obtained identical certifications from proposed subcontractor(s) for specific time periods) lie will obtain identical certifications from proposed subcontructor(s) prior to the award of subcontracts exceeding $10,000 which are not exempt from the provisions of the equal Opportunity clause, and that he will retain such certifications in his files. NOTE. The penalty for making false statements in offers is prescribed in 18 17.5.0. 1001 Company: -, Green C�,ial t Landscape, Inc. p 0 In Title: re Date: F90 CC$% PROPSVCSWUDFORMffiMDUS004AMB- Sed1on3Spaw.00C 23✓-45 To the City of NONCOLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) OE PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106, the bidder declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Green Giant Landscape, Inc. Name of Contractor ' L41- 4 imlw'f S Address r Sn a r ATit 6-'c�7 -( Date F ; \DOCSIPROPSVCSW UOFORMSWBU5BBAAMB - Sedlon3SP.. 00C 23B -46 � 1 Acting on behalf of the above -named firm as its Authorized Official, I make the following Certification to the Department of Housing and Urban Development (HUD) and the Community Development Commission, County of Los Angeles: 1) No Federal appropriated funds have been paid, by or on behalf of the above -named firm to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, loan, or cooperative agreement, and any extension, continuation, renewal, amendment, or modification thereof; and 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee or 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 above -named firm shall complete and submit Standard Form —LLL, "Disclosure Form to Report Lobbying" in accordance with its instructions; and 3) The above -named firm shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, sub - grants, and contracts under grants, loans, and cooperative agreements) and that all sub - recipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is apreregiuisite for making or entering into the transaction imposed by Section 1 352 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 $100,000 for each such failure. Authorized Official: Name: Signature Title: Date: - J--I ! F:P OCB \PROPSVCS0iU0FORMSVMBU5604AMB - Sodlon3Spm.DOC 23B -47 EXHIBIT 17 CERTIFICATION OF UNDERSTANDING AND AUTHORIZATION Project Name: Me IN y9 (l_KOVV-- O'U C,A ?t/ t "lj t4, } — Project Number: I q — 11515 This is to certify that the principals and the authorized payroll officer, below, have read and understand the Minutes of the Preeonstruction Conference and the labor standards clauses pertaining to the subject project. The following person(s) is designated as the payroll officer for the undersigned and is authorized to sign the Statement of Compliance, which will accompany our weekly certified payroll reports for this project: Title Date Contractor /Subcontractor License No. DUNS Number F: 00061PROP$ VCSIHUDFORMSIMDUSD04AMD- SadIon3SRec DOC 23B -48 a 23B -50 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED AWARD CONTRACT FOR LOCAL ❑ As Recommended STREET SLURRY SEAL 2014 -15 ❑ As Amended (PROJECT 156839) p Ordinance on 2nd Reading (STRATEGIC PLAN NO. 6, 1B, 1C & 1G) ❑ Implementing Resolution ❑ Set Public Hearing For„ CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Award a contract to All American Asphalt, the lowest responsible bidder, in accordance with the Base Bid totaling $2,150,000, for construction of the Local Street Slurry Seal 2014 -15 Project. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $2,902,500. DISCUSSION This action will allow construction of the local street slurry seal project approved in the City's Capital Improvement Program for Fiscal Year 2014 -15. The recommended local street segments are located throughout the City and were identified by the City's Pavement Management System (Exhibit 1) as high priority streets for slurry seal. The work consists of preparing the roadway by performing minor pavement repairs, including localized replacement of asphalt concrete pavement, followed by slurry seal resurfacing, striping, and signage. A Notice Inviting Bids was advertised on May 12 and 13, 2015, and bids were opened on June 2, 2015. The following is a summary of the bid invitations made and the bids received: Contractor Participation Data Santa Ana contractors receiving notices 6 Contractors requesting bidding documents 10 Bids received 2 Bids received from Santa Ana contractors 0 23C -1 Contract Award for Local Street Slurry Seal 2014 -15 July 7, 2015 Page 2 Bid Results Summary RANK BIDDER'S NAME LOCATION BID 1 All American Asphalt Corona $2,150,000 2 Pavement Coatings Co. Jurupa Valley $2,747,040 A total of two bids were received and both were deemed responsive. All American Asphalt submitted the lowest responsive bid in the amount of $2,150,000, which matches the engineer's estimate of $2,150,000. Therefore, staff recommends award of this contract to All American Asphalt. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B (equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe, and aesthetically pleasing for all users), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard), and Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment Plan - e.g., neighborhood streets, traffic improvements, etc.). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. 2015 -57, was filed for this project. In addition, a Certification of Categorical Exclusion and Statutory Worksheet have been prepared in accordance with the National Environmental Policy Act. FISCAL IMPACT The Project Cost Analysis estimates a total project delivery cost of $2,902,500, which include the construction contract; construction administration, survey, and inspection; and contingencies (Exhibit 2). Funds are budgeted in the Gas Tax Residential Street Improvement Fund (Account No. 05817661- 66220) and the Measure M2 Fairshare Fund (Account No. 03217662 - 66220) for expenditure in Fiscal Year 2015 -16 as follows: 23C -2 Contract Award for Local Street Slurry Seal 2014 -15 July 7, 2015 Page 3 Proiect Account Amount 156839 05817661 - 66220 Gas Tax $2,249,540 03217662 - 66220 Measure M2 Fairshare 652,960 TOTAL: $2,902,500 Executive Director Public Works Agency FM /EWG /ET Exhibits: 1. Location Map 2. Cost Analysis 3. Construction Contract APPROVEMAS TO FUNDS AND ACCOUNTS: #V- P F ancisco Gutierrez " Executive Director Finance & Management Services Agency 23C -3 23C -4 `L (NTS) SANTA ANA TMlB QUIA WA A @JD ATE= CON'iRACT AWARD r-aLa juLV i LOCAL STREET SLURRY SEAL 2014 -15 (PROJECT NO.; 156M) Exhibit 1 23C -5 23C -6 COST ANALYSIS PROJECT NO. 15 -6839: LOCAL STREET SLURRY SEAL 2014 -15 Construction Contract $2,150,000 Contract Administration $96,750 Inspection and Testing $161,250 Surveying $64,500 Contingencies $430,000 TOTAL ESTIMATED CONSTRUCTION COSTS $2,902,500 Exhibit 2 23C -7 23C -8 CITY OF SANTA ANA CONSTRUCTION CONTRACT" Proiace No. 15-6839 Local Street Slurry Seat This CONSTRUCTION CONTRACT is made and entered inter this i day of July 2015, by and between the CITY OF SANTA ANA, CALIFORNIA, a charter city and municipal corporation Organized and existing under the Constitution and Taws of the State of California, hereinafter referred to as '"CI'T'Y" and All American Asphalt* hereinafter referred to as OCONTRAC"i`tlW. =M@= T= The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows; 1. CONTRACTOR agrees to perform all the wort; and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the Ci`I'Y, the following projects, herein after referred to as the 'PROJECT'. r Project No. 15-6839: Local Street Slurry Seal All work shalt be completed in accordance with the Contract Do currents prepared by the City's Public Works Agwcy. 2. The complete Construction Contract consists of the " Contract Documents," as defined by the Standard Specifications for Public Works Cons4Tuction and which include the following; Notice IxavitinBids +... Instructions to Tltlders •... Bid Prop osa] .., Contract For=ms �... Contract fonds •... Specifications .,.. General Provisions ... Special. Provisions 0... Project Plans Appendices Coatract Agreement In case of conflict between the Contract Documents, the precedence of documents shall. be as established in the Standard Specifications for Public Works, Construction, 2012 edition.. Exhibit 3 Page ;t of $ CITY OF SANTA ANA CONSTRUCTION CONTRACT Rr *d No.15.6839 Local street slaw sea! 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the PROJECT the sum total amount not to exceed $2,472 „500, as set forth and identified in the BrD PROPOSAL, which is attached hereto and incorporated herein as Exhibit Ow, The BID PROPOSAL contains a schedule of unit price(s) or lump sumCs) based on approx=imate quantities only, and the City= does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as maybe deemed necessary or advisable. 4. CONTRACTOR agrees to complete the PROJECT within the tune specified in the Time for Completion of Improvements semon of the BID PROPOSAL (Rxldbit 'Wo including commencing construction within the titneframe therein specified after issuance of a Notfco, to Proceed. 5. The CONTRACTOR will pay, and wild require all subcontractors to pay, all employees an the PROJECT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6, CONTRACTOR shall, after award of this Contract, furnish two fronds to be approved by the CITY, one in the amount of One Hundred Percent (1006) of the Contract price, to guarantee the faithful performance of the work (Performance bond), and one in the amount of One Hundred Percent (1II0%) of the Contract price to guarantee payineut of all claims for labor and materials furnished (Payment Bond), This Contract shall not become effective until such bonds are supplied to and approved by the CITY, CONTRACTOR shall, prior to the release of the performance and payment fronds or the retention payment, furnish a warranty performance and payment bond equal to at least tan (100A) percent of the final Contract price or $1,000, whichever is greater (Warranty llcrnd). 7. CONTRACTOR shall, upon protect completion as a condition of project acceptance, furnish a Warranty Payment and Performance bond to be approved by the C7"C , in the amount of Twenty -Five Percent (250A) of the Contract price, to warrant the work done under said Contract Agreement against material or quality defects for a period of one year after acceptance by the AGENCY. B. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to tae approved by the CITY. Page 2 of 3 •r ■ . r r r .ar ATTEST e e r a tOFORM. CITYOFSANTAANA DAVID CAVAZOS City Manager • � ei v� �e a ♦i 23C -12 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: ALLAMFRICANASPHALT REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount I Mobilization 1 LS $n $ 2 Unclassified Excavation 1,000 CY 3 Cold Milling * 60,000 SF 4 Asphalt Concrete * 2,700 TN 5 Rubberized Emulsion Aggregate Slurry (REAS), Type II 2,600 TN $ e p 6 Traffic Loop 30 EA $ 7 Temporary Construction Sign 6 EA 8 Crack Sealing 1 LS t x'10- $ IT $ Nito- 9 Protection of Stuface Utility Frames and. Covers I LS $y� C,�r� d5w 10 Signing & Striping 1 S $ II�lAA1'� $ � 1 y GIY�r�.Dp 11 Traffic Control I LS Exhibit.A 2 36£13 { y .j _I i i CITY OF SANTA ANA PROPOSAL PROJECT NO.: t5 -6839 LOCAL STREET SLURRY SEAL, 2014-15 TOTAL BASE Bill 1 j 0, The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add - alternate bid items (if any). * The quantity for this bid item is shown forbid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 3 -2 of the Standard Specifications, The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within si? t 60 working days after the commencement date stated in the Notice to Proceed. The bidder also proposes to commence construction of the Work within ten 10) working days after issuance of a Notice to Proceed, and to continue in a diligent and workman- like manner without interruption, and to complete the construction thereof within the time specified above. The liquidated damages amount in lieu of the amount specified in Subsection 6 -9 of the Standard Specifications, shall be $2,500 per calendar day. Name of Firm ALL AMERICAN ASPHALT Signature of BIDDER Title EDWARD J. CARLSON, VICE PRESIDENT (if an individual, so state) BP2of16 23C -14 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6539 LOCAL STREET SLURRY SEAL 2014 -15 BIDDER'S STATEMENT BIDDER understands and agrees that this Bid Proposal, Contract Documents and subsequent Consttnction Contract Agreement shall constitute the entire agreement between BIDDER and the AGENCY only after it has been accepted by the City Council, endorsed by the Cleric of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Public Works Agency Executive Director or his /her duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to BIDDER or deposited with the United States Postal Service properly addressed to the BIDDER with the correct postage affixed thereto. BIDDER further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish AGENCY all required bonds and certificate of liability insurance within ten (10) business days or the fiends, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said fiords, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, the estimated quantities set forth in the bid schedule are solely for the purpose of comparing bids, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. The BIDDER also certifies that the bid is a balanced bid. In accordance with Section 7028.15 of the California Business and Professions Code, the undersigned certifies wider penalty of perjury that the foregoing is true and correct. Name of Firm Signature of BI ALL AMERICAN ASPHALT Title EDWARD J. CARLSON, VICE PRESIDEN"r (if an individual, so state) (If a firm or co- partnership, state the firm name and give the names of all individual co- partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) ALL AMERICAN ASPHALT - CORPORATION MARK LUER - PRESIDENT EDWARD J. CARLSON - VICE PRESIDENT MICHAELFARKAS - SECRETARY BP3of16 23 C -15 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 CONTRACTOR'S LICENSING AND REGISTRATION STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that he /she and all his /her subcontractors are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Narne: ALL AMERICAN ASPHALT Business Address: PO BOX 2229, CORONA, CA 92878 Business E -Mail Address: PUBLICWORKS @ALLAMERICANASPHALT.COM Telephone: 961. 736 -7600 State Contractor's License No. and Class: License Expiration Date 1/3112016 State Dept. of Industrial Relations (DIR) Registration No.: 267073 A& C -12 1000001051 State Dept. of Industrial Relations (DIR) Registration Expiration Date: r �; 6/30/2015 Signed: Title: EDWARD J. CARLSON, VICE PRESIDENT BP4of16 23C -16 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 PREVAILING WAGE COMPLIANCE AND MONITORING STATEMENT" Contractor is aware of the requirements of California Labor Code Section 1720, et seq., as well as California Code of Regulations, Title 8, Section 16,000, et seq., ( "Prevailing Wage Laws "), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. Since the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to Comply with the Prevailing Wage Laws. The undersigned certifies that the foregoing is true and correct. NazneofFirm ALL AMERICAN ASPHALT Signature of BIDDER Title EDWARD J. CARLSON, VICE PRESIDENT (if an individual, so state) -13 2PjS.Qf 11 7 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6834 LOCAL STREET SLURRY SEAL 2014 -15 OWNERSHIP AFFIDAVIT STATE OF CAT ) COUNTY OFoRANGE RIVERSIDE) SS; CITY OF SANT-A-ANA CORONA ) EDWARD J. CARLSON - -, being duly sworn, deposes and says: ❑ INDIVIDUAL That he /she is the party making the foregoing proposal: ❑ PARTNERSHIP That he /she is a member of the co- partnership First designated as: and who has been and is daily vested with the authority to make and execute instruments for the co- partnership by: who constitute the other members of the co- partnership. INCORPORATION That he is of: ALL AMERICAN ASPHALT a corporation which is making the foregoing proposal: ❑ JOINT V ENTU RE That lie, is of: one of the parties making the foregoing proposal as a joint venture, and the he /she has been and is duty vested with the authority to execute instruments fur an on behalf of the parties making said bid who are: that such a bid is genuine and not collusive or sham, and has not in any manner sought by collusion to secure any advantage against the City of Santa Ana or any person interested in the proposed contract, for hi If or any other person. Signature of Bidder EDWARD J. CARLSON, VICE PRESIDENT Subscribed and sworn to before me this ay of 20 — Signature of officer Admini ering Oath (Notary Public) BP6of16 23C -18 FORNIA OOV CODE 5 8202 A notary public or other officer completing this certificate verges only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of Riverside Subscribed and sworn to (or affirmed) before me on this 111 day of June 2015, Date Month By (1) Edward J Carlson Name of Signer Proved to me on the basis of satisfactory evidence 0 RCVSTER be the person who appeared before me Cc®ml6Slon # 2003032 Notary Public . California z (and z ` Riverside County My COMIM Expires Oct 26, 2010 M (2) Name of Signer Prove5A6 me on the basis of satisfactory evidence be tja 6 person who appeared before me.) Signature _ 4—V�t- Place Notary seat above Signatureitf :Notary Public OPTIONAL Though. the Information below is not required by law, it may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Further Description of Any Attached Document Title or Type of Document. Ownershlo Affidavit Document Date: 6.1.15 Number of Pages: 1 Signer(s) Other Than Named Above: None Top of Thumb here 23C -19 CITY OF SANTA ANA Bid Bond No. 08597423 PROPOSAL Bid Date: 06/02/2015 PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 45 KNOW ALL PRESENT that, All American Asphalt as BIDDER, and Fidelity and Deposit Company of Maryland ,,is SURETY, are held and firmly bound unto the CITY OF SANTA ANA, as AGENCY, in the penal sum of _ Tell Percent of Total Amount Bid - - - -- Dollars ($ 10% of Bid ), which is ten percent (10 %) of the total amount bid by BIDDER to AGENCY for the above - stated project, for the payment of which sum, BIDDER and SURETY agree to be bound, jointly and severally, fnvily by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas BIDDER is about to submit a bid to AGENCY for the above- stated project, if said bid is rejected, or if said bid is accepted and a contract is awarded and entered into by BIDDER in the manner and time specified, then this obligation shall be null and void, otherwise it shall remain in full force and effect in favor of AGENCY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this 1st day of June ,2015. BIDDER* All American Asphalt - 400 East Sixth Street, Corona, CA 92879 Pho=(951)736 -7600 SURETY* Fidelity and Deposit Company of Maryland - 777 S. Figueroa Street, Suite 3900, Los Angeles, CA 90017 David Wei (213) 270 -0600 Rebecca Baas- Bates, Attorney-fin-Fact Subscribed and sworn to before me "Please See Attached" this day of ,20_ Signature: Notary public in and for the County of , State of *Provide BIDDER/ SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. BP7of16 23C -20 CALIFORNIA ALL - PURPOSE ACKNOWLEDGEMENT CIVIL CODE 4 1189 A notary public or other officer completing this certificate verifies only the ,identity of the individual who signed the document to which this certificate is attached. and not the uvthfulness. accuracy, or validitv of that document State of California County of Riverside On ;Tune 1, 2015 before me, B. Rooster, Notary Public Date Here Insert name and Title of the Omcer personally appeared Edward J. Carlson Name�pors5gner(�° who proved to me on the basis of satisfactory evidence to be the persons) whose name(f) is /are subscribed to the within instrument S. ROYSTER and acknowledged to me that he(shekhey executed the same In Commission # 2083832 his /tterltheir authorized capaolty(les), and that by his /henkhelr z :"'^� - Notary Public- California z signature(a) on the instrument the person(s), or the entity upon behalf q Rlversltle County of which the person(r) acted, executed the instrument. }� M Comm. Ex Ires Oct 26, 201a I certify under PENALTY OF PERJURY under the laws of the State of California that the forgoing paragraph is true and correct. WITNESS my hpnd anA official seal Signature 4,1. Piece Notary seal Above sign ere of Notary Public OPTIONAL Though the information below is not required by law, if may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Document Title or Type of Document Bid Bond —City of Santa Ana Document Date: June 1 2015 Number of Pages: 3 Signer(s) Other Than Named Above:. Rebecca Haas - Bates, Attorney -In -Fact Capacity(les) Claimed by Signer(s) Signer's Name: Edward J. Carlson ❑ Individual X Corporate Officer — Title(s): „ Vice President ❑ Partner ❑ n Limited o General ❑ Attorney in Fact ❑ Trustee Tap of Thumb here n Other: Signer is Representing: Signer's Name: ❑ Individual ❑ Corporate Officer— Title(s): • Partner ❑ ❑ Limited ❑ G�esnE • Attorney in Fact j • Trustee ❑ Other: i Signer is Representing: 23C -21 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT CIVIL CODE § 1189 A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate Is attached, and not the truthfulness, accuracy, or validity of that document. State of California ) County of Orange ) On-- 06/01/2015 before me, R. Paranxo, Notary Public Date Here Insert Name and Title of the Officer personally appeared Rebecca ldaas -Bates NameKof Signerrsj who proved to me on the basis of satisfactory evidence to be the persons} whose name* is /tea subscribed to the within instrument and acknowledged to me that Ere /she /they executed the same in his/her/thair authorized capacity(iBS), and that by hts(her/thsir signatures{ on the instrument the person(s) or the entity upon behalf of which the persons) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph R. PARAMOWI NESS my flan nd offl is cal. Commission 0 2036690 Notary Public - Oellforrna 7Z C�� Orange County tg �at� P My Comm. fz ire$ Au 5, 2017 Signature of Notary Public Place Notary Seal Above OPTIONAL Though this section is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document Title or Type of Document: Bid Bond Document Date; 06[01/2015 Number of Pages: One i Signer(s) Other Than Named Above: All American Asphalt Capacity(ies) Claimed by Signer(s) Signer's Name: Rebecca Haas -Bates O Corporate Officer — Title(s): ❑ Partner — ❑ Limited n General • Individual ['Attorney in Fact • Trustee ❑ Guardian or Conservator • Other: Signer Is Representing: Fidelity and Deposit Company of Maryland Signer's Name: ❑ Corporate Officer — Title(s): D Partner — Cl Limited ❑ General • Individual 0 Attorney in Fact • Trustee ❑ Guardian or Conservator • Other: Signer Is Representing: 02014 National Notary Association • www.NEttionalNotary.org • 1- 800 -US NOTARY (1- 800 -876 -6827) Item #5907 23C -22 EXTRACT FROM BY -LAWS OF THE COMPANIES "Article V, Section 8, Attome9s -in -�. The Chief Executive Officer, the President, or any Executive Vice President or Vice President may, by written instrument under the attested corporate seal, appoint attorneys -in -fact with authority to execute bonds, policies, recognizances, stipulations, undertakings, or other like instruments on behalf of the Company, and may authorize any officer or any such attorney -in -fact to affix the corporate seal thereto, and may with or without cause modify of revoke any such appointment or authority at any time." CERTIFICATE I, the undersigned, Vice President of the ZURICH AMERICAN INSURANCE COMPANY, the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY, and the FIDELITY AND DEPOSIT COMPANY OF MARYLAND, do hereby certify that the foregoing Power of Attorney is still in tall force and effect on the date of this certificate; and I do further certify that Article V, Section 8, of the By -Laws of the Companies is still in force. This Power of Attorney and Certificate may be signed by facsimile under and by authority of the following resolution of the Board of Directors of the ZURICH AMERICAN INSURANCE COMPANY at a meeting duly called and field on the 15th day of December 1998. RESOLVED: "That the signature of the President or a Vice President and the attesting signature of aSecretary or an Assistant Secretary and the Seat of the Company inay be affixed by facsimile on any Power of Attorney... Any such Power or any certificate thereof bearing such facsimile signature and seal shall be valid and binding on the Company." This Power of Attorney and Certificate may be signed by facsimile under and by authority of the following resolution of the Board of Directors of the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY at a meeting duly called and held on the 5th day of May, 1994, and the following resolution of the Board of Directors of the FIDELITY AND DEPOSIT COMPANY OF MARYLAND at a meeting duly called and held on the loth day of May, 1990. RESOLVED: "That the facsimile or mechanically reproduced seal of the company and facsimile or mechanically reproduced signature of any Vice - President, Secretary, or Assistant Secretary of the Company, whether made heretofore or hereafter, wherever appearing upon a certified copy of any power of attorney issued by the Company, shall be valid and binding upon the Company with the same force and effect as though manually affixed. IN TESTIMON�Y� WHEREOF, I have hereunto subscribed my name and affixed the corporate seals of the said Companies, this � day of z.- .x.r.r�x. , 20_E lryroil nrT'N U. g uw r 3 spa. taea %c °d' B/1L 4+.r.w 'svd'N *.' *eF'6�33,Pyp hhry „ Geoffrey Delisio, Vice President 23C -23 CITY OF SANTA ANA PROPOSAL, PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 LIST OF SUB - CONTRACTORS Section 4100 et, seq. of the Public Contract Code requires listing of all subcontractors with the bid for all subcontract work exceeding the following amount: • Streets, highways including bridge projects: %z% of the bid or $10,000, whichever is greater • Buildings, parks, or other projects: '' /z% of the bid Section 1725.5 of the Public Contract Code requires all Subcontractors be registered with the State Department of Industrial Relations (DIR). BIDDER proposes to subcontract certain portions of the work to the firms listed below: Name jOX License # /Exp. DIR Reg. # /Exp. Location Phone x Type Of Work Amount $ Name Licen DIR I Licen Locat Phone Type Amot Name Licen DIR I Licen Local Phone Type Amot Naive License #i /Exp. DIR Reg. # /Exp. Location Phone __ Type Of Work Amount $ Name License # /Exp. DIR Reg. # /Exp. License # Location Phone Type Of Work Amount $ Name License #/Exp. DIR Reg. # /Exp, License # Location Phone Type Of Work Amount $ Signature of Mder EDWARD J. CARLSON, VICE PRESIDENT BP8of16 23C -24 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 The following are the names, addresses, and telephone numbers for THREE public agencies for which BIDDER has performed similar work within the past three years. 1. City of Fullerton, $03 W. Commonwealth Ave, Fullerton, CA 92832 Name and Address of Owner. Kevin Kwak (714) 738.6865 Name and Telephone Number of person familiar with project. $1,348,000.00 StreetRehabllitatlon 1112014 Contract Amount Type of Work Date Completed 2, Port of Long Beach 4801 Airport Plaza Drive, Long Beach, CA 90815 Name and Address of owner. Lincoln Lo (562) 283 -7000 Name and Telephone Number of person familiar with project, $992,000.00 Roadway Maintenance & Slurry Seal Contract Amount Type of Work 3, City of Santa Ana 20 Civic Center, Santa Ana, CA 92701 Name and Address of owner. Curt Weimann (714) 647.5639 Name and Telephone Number of person familiar with project, $6,951,475.00 Street Rehabilitation 10/2014 Date Completed 1212014 Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds, Fidelity and Deposit Company of Maryland 777 S. Figueroa St #3900, Santa Ana, CA 90017 (213) 270 -0600 (Broker) - Millennium Corporate Solutions 5530 Trabuco Road, Irvine, CA 92620 (949) 857 -4500 (Agent) Edgewood partners Insurance Canter 3633 Inland Empire Blvd Ste 640, Ontarlo, CA 91764 (714) 937 -4270 (Insurance) BP9of16 23C -25 CITY OF SANTA ANA PROPOSAL PROJECT NO,: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 ADDITIONAL REFER, CES The following are the names, addresses, and telephone numbers for THRl';B public agencies for which the BIDDER or Subcontractor has performed street improvement work in the past 5 years, 1. City of Santa Clarita 23920 Valencia Blvd, Santa Clarita, CA 91355 Name and Address of Owner. Name and Telephone Nun $5,995,000.00 Contract Amount of person familiar with project. Overlay and Slurry Seal 5/2013 Type of Work Date Completed 2, LACDPW 900 S. Fremont Ave, Alhambra, CA 91803 Name and Address of owner. Hector Hernandez (626) 458.2191 Name and Telephone Number of person familiar with project, $2,077,000.00 Street Rehabilitation 12/2013 Contract Amount Type of Work Date Completed 3, County of Riverside Transportation 3525 14th Street, Riverside, CA 92501 Name and Address of owner, Tral Nguyen (951) 961 -5363 Name and Telephone Number of person familiar with project. $1,695,108,00 Street Rehabilitation Contract Amount Type of Work 9/2013 Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds, Fidelity and Deposit Company of Maryland 777 S. Figueroa St #3900, Santa Ana, CA 90017 (213) 270 -0600 (Broker) Millennium Corporate Solutions 5530 Trabuco Road, Irvine, CA 92620 (949) 857.4500 (Agent) Edgeweod partners Insurance Center 3633 Inland Empire Blvd Ste 640, Ontario, CA 91764 (714) 937 -4270 (Insurance) BP 10 of 16 23C -26 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAT, 2014 -15 NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf o£, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER; or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization; bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that malting a false certification may subject the certifier to criminal prosecutidn, Signed VICE State of California County of Subscribed and swom to (or affirmed) before proved to person(s) who appeased before me Notary Public day of , 20_, by of satisfactory evidence to be the Notary Public Seal BP I 1 of 16 23C -27 GOV CODE A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of Riverside B. ROYSTER Commission # 2083032 i Notary Public - California zz Riverside County My Comm. Expires Oct 26, 2018 Subscribed and sworn to (or affirmed) before me on this 1St day of June 2015, Date Month By (1) Edward J. Carlson Name of Signer Proved to me on the basis of satisfactory evidence be the person who appeared before me (.) (,) (2) (and Name Prove me on the basis of satisfactory evidence be e person who appeared before me.) Signature Place Notary Seal Above Signatur 7f Notary Public OPTIONAL Though the information below is not required by law, it may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Further Description of Any Attached Document Title or Type of Document Non - Collusion Affidavit Document Date: 6 -1 -15 Number of Pages: 1 Signer(s) Other Than Named Above: None 23C -28 Tap of thumb here CITY OF SANTA ANA PROPOSAL PROJECT NO,: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 NON - DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin, The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2, The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor shall send to each labor union or representative of workers with which he /sbo has a collective bargaining agreement or other, contract or understanding, a notice to b6 provided advising the said labor union or workers' representatives of the Contractor's commitments tinder this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4, The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1.965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. In the event of the Contractor's non - compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terrninated, or suspended in whole or in part and the Contractor may be declared hicligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. BP 12 of 16 23C -29 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becornes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: EDWARD J. CARLSON, VICE PRESIDENT Firm: ALL AMERICAN ASPHALT Date: —t p / i L1 ............___..... BP 13 of 16 23C -30 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices; and understands that contractors on contracts exceeding $30,000 or 20 working days shall: 1. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor tinder the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3. Contribute to the fund or funds in each craft or trade in which he/she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other contractors, except contractors not signatory to the trust agreement shall pay a like amount to the Califaniia Aoprehticeship Council. Signed: Title: EDWARD J, CARLSON, VICE PRESIDENT Firm: ALL AMERICAN ASPHALT Date: (0 / / b ,— BP 14 of 16 23C -31 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 STATEMENT REGARDING "ANTI- KICKBACK" REQILIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti - Kickback" Act (18 'USG 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be prohibited from inducing, by any means, any person employed in the construction or repair of public work, to give up any part of the compensation to which he /she is othezwise entitled. Signed: Title: EDWARD J. CARLSON, VICE PRESIDENT Firm: ALL AMERICAN ASPHALT Date: BP 15 of 16 23C -32 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 15 -6839 LOCAL STREET SLURRY SEAL 2014 -15 PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, antler penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No x If the answer is yes, explain the circumstances in the following space. BP 16 of 16 23C -33 23C -34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: AGREEMENT WITH CIVIC COLLECTIONS, INC. FOR ANIMAL LICENSE FEE COLLECTION PROGRAM (STRATEGIC PLAN NO. 7,5F) cYry I NA R CLERK OF COUNCIL USE ONLY: ..0• _o ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearng For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute an agreement with Civic Collection, Inc. (CCI), subject to non - substantive changes approved by the City Manager and City Attorney, for collection of new and delinquent dog license fees and penalties for a one year period (July 1, 2015 to June 30, 2016) with provisions to extend an additional year (July 1, 2016 to June 30, 2017) upon a written request executed by the City Manager. DISCUSSION The Finance and Management Services, Treasury and Customer Service Division ('Treasury") is responsible for the processing of applications and fees for dog licenses. The authority to collect dog license fees is provided by statute for this effort. In addition, the State Health and Safety Code (Sections 121575- 121710) require that local agencies implement a program that provides for the control of rabies. As such, the City of Santa Ana administers a dog licensing program which verifies ownership and rabies compliance of dogs within the City. Community field inspection and collection efforts are a critical component of the dog licensing program. In 2012 the Police Department and Treasury released a request for proposal (RFP) relating to field inspection and collection services in which CCI, the incumbent animal license fee collection service provider, was the sole responder. On August 5, 2013, the City Council approved an agreement with Civic Collections, Inc. for collection of new and delinquent dog license fees and penalties, covering a two year fiscal year period ending June 30, 2015. The field inspections and collections efforts provided by CCI have resulted in a significantly higher rate of revenue recovery than experienced using in -house resources. As such, the City is seeking to maintain the relationship with CCI which promotes quality of services and increased efficiencies. 25A -1 Agreement with CCI for Animal License Fee Collections July 7, 2015 Page 2 Since the inception of the contract CCI has collected the following amounts (revenues -net of fees): fiscal year 2013 -14 - $95,933; fiscal year 2014 -15 (projected) - $106,000. CCI will continue to be compensated at the current rate as follows: • Fifty percent (50 %) for each dog license fee collected, • Fifty cents (50¢) for each new dog license registered, and • Fifty cents (50¢) for each rabies vaccination certificate issued. In recommending a renewed one year agreement with an option for a further one year extension, staff is allowing scope for potential review of possible alternative means for providing animal control services, including dog licensing. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal (Create a culture of innovation and efficiency within the opportunities to engage with outside agencies, both private increase efficiencies). FISCAL IMPACT # 7 Team Santa Ana, Objective # 5 organization), strategy F (explore and public, to share information and Funds for the CCI agreement are budgeted and available for fiscal year 2015 -16 from dog license revenue account (no. 01110002- 51003). Upon exercising of the option year for the contract, funds will be budgeted and made available during fiscal year 2016 -17. APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibit: Agreement WH Police Department 25A -2 CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this 8th day of July, 2015 by and between Civic Collections, Inc., a California corporation (hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of dog license fee collections. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall collect delinquent dog license fees and penalties, and license fees for new dogs. Consultant will also canvas the City of Santa Ana and collect dog license fees at the dog owner's door. The Consultant will encourage the dog owner to pay by check made payable to the "City of Santa Ana ". Consultant will collect dog license fees at rabies clinics if requested by the City. Consultant will verify rabies certificates in connection with the collection of dog license fees. This scope of services is intended to cover all labor, material and standards of workmanship to be employed for in this work plan or reasonably implied by terms of same. Work or materials of a major nature which may not be specifically mentioned, but which may be reasonably assumed as necessary for the completion of this work, shall be provided by the Consultant. 2. CONSULTANT RESPONSIBILITIES Consultant shall hire, train and supervise its employees who will perform services pursuant to this agreement. Consultant shall provide uniforms and I.D. cards for its employees working on the dog license collection project. Consultant shall provide daily remittance reports to the City. Consultant will account for receipt books provided by the City and utilized by its collection employees. At the end of each day, the Consultant will receive all fees collected by its employees. These fees will be deposited each day in an assigned City drop box. 25A -3 Consultant and Consultant's employees will be required to have City of Santa Ana Patches on the uniforms at all times while performing services under this agreement. Such Patches shall be wom in a professional manner and maintained neat in appearance, and easily identifiable. Such Patches will be provided by the City of Santa Ana. The Consultant shall exercise caution at all times for the protection of persons and property. All fines, penalties and/or repair charges resulting from the Consultant actions shall be the sole responsibility of the Consultant. Consultant's service shall be courteous, responsive, timely, equitable and given in the spirit of professionalism and mutual respect. All Consultant personnel are a reflection of the City of Santa Ana and as such are expected to: • Interact with customers and City officials, whether in person or on the phone, in a pleasant, respectful and professional manner. • Give fall attention to each customer's needs by asking questions. Provide information, products and service in an accurate, organized and complete manner. Determine that the customer's request has been fulfilled. • Comply with all federal, state, county, and city laws and regulations. • Use adequate equipment that is kept clean and neat at all times. • Train other Contract employees to be polite and courteous during public contact. • Employ truth and accuracy in reporting customer service records. 3. CITY'S RESPONSIBILITIES The City of Santa will provide a listing of homes that have delinquent dog licenses or make available the City's data base (Dog License System) to the consultant as the City may determine is necessary. Monthly, the City's Finance Department will prepare a collection report. This report will include money collected and number of licenses purchased, as reported by the Consultant, and will be utilized to determine the amount of compensation to be paid to the Consultant as described in section 4 of this agreement. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services, the following sum: a. fifty percent (50 %) of all dog license fees collected, b. fifty cents (50¢) for each new license fee collected from unlicensed dogs, and c. fifty cents (500) for every rabies vaccination certificate collected. Payment by City shall be made within sixty (60) days following receipts of proper invoice, subject to City accounting procedures. In the event funding is not allowed for license collection services during the annual budget approval process, the City shall notify the provider of such occurrence in writing at least 25A -4 thirty (30) days before the end of the current fiscal period, and contract shall terminate on the last day of current fiscal period without penalty or expense to the City. WEENINKINTLN This Agreement shall commence on July 1, 2015 and terminate on June 30, 2016, unless earlier terminated as set forth in Section 14, below. City is granted an option to renew for an additional one -year period. Said option shall be exercised in writing at least thirty (30) days prior to the end of the initial term upon a writing executed by the City Manager and the City Attorney. 6. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to its employees and shall be responsible for all applicable withholding taxes. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. 25A -5 c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement in a form approved by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (3 0) days prior written notice to the City. e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, and employees from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. 9. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of 25A -6 like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 telefacsimile (714) 647 -6956 With courtesy copies to: Francisco Gutierrez, Executive Director Finance and Management Services Agency City of Santa Ana 20 Civic Center Plaza (M17) P.O. Box 1968 Santa Ana, CA 92702 -1968 Fax 714 - 647 -5414 Email: fgutierrezgsanta- ana.org 25A -7 To Consultant: Civic Collections 1565 Eldertree Drive Diamond Bar, CA 91765 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 12. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This agreement may be terminated immediately for cause, or without cause upon thirty (30) days written notice delivered to the Consultant either personally or by mail. Upon termination, City shall pay to Consultant that portion of compensation specified in the Agreement this is earned and unpaid prior to the effective date of termination. 25A -8 In the event Consultant fails or refuses to timely perform any of the provisions of this Agreement in the manner required, or if Consultant violates any provision of this Agreement, Consultant shall be deemed in default. City shall provide written notice of such default to Consultant. Consultant shall cure said default within a period of seven (7) working days. If such cure is not completed in a timely manner, City may terminate the Agreement forthwith by giving written notice to Consultant. City may, in addition to the other remedies provided in this Agreement or authorized by law, terminate this Agreement by giving written notice of termination. Consultant shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during Consultant's default. The Consultant may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require one - hundred and eighty (180) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, Consultant shall give the City thirty (30) working days to cure the alleged breach. 15. NONDISCRIMINATION AND COMPLIANCE WITH APPLICABLE LAWS Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. Consultant shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. Consultant warrants that the performance of services under this contract shall be compliant with the current requirements of the Occupational Safety and Health Act (OSHA) and as it may be amended or updated throughout the term of this contract. 16. JURISDICTION - VENUE This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be governed and construed in accordance with the laws of the State of California. This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services 25A -9 hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. MISCELLANEOUS PROVISIONS Each undersigned represents and warrants by their signature herein below that they have the power, authority and tight to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: SOMA R. CARVALHO City Attoryrey — City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT Civic Collections, hie. Francisco Gutierrez Executive Director of Finance and Management Service (Name) Douglas Shaw (Title) President Employer ID # or Individual SS # 25A -10 k e CITY COUNCIL MEETING DATE: JULY 7, 201E CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Or na�ena Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with West Coast Arborists, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to perform street tree maintenance services, for a two-year period expiring June 30, 2017, with provisions for two, two -year renewal options exercisable by the City Manager and City Attorney, in an amount not to exceed $1,082,516 annually, DISCUSSION The Public Works Agency is responsible for the maintenance of approximately 60,000 parkway and street median trees. The Agency's goal is to preserve the integrity and health of the Santa Ana Urban Forest. Street tree maintenance services have been performed by contract for the past 20 years in partnership with City staff. On March 17, 2015, the City Council approved the release of the Street Tree Maintenance Services Request for Proposals (RFP), which was subsequently advertised on March 31, 2016, on the City's website and online bid management and publication system, A summary of the proposal invitations and proposals received is as follows: 31 Firms notified (2 Santa Ana firms) 7 Firms attended the Mandatory Pre - Proposal Meeting (1 Santa Ana firm) 2 Proposals received Proposals were received on May 1, 2015, and evaluated by a committee comprised of senior City staff representing three agencies: Public Works, Parks and Recreation, and Planning and Building. 25B -1 Agreement with West Coast Arborlsts, Inc. for Street Tree Maintenance Services July 7, 2015 Page 2 Evaluation results are as follows: Firm West Coast Arborists, Inc. Great Scott Tree Service Location Rating Anaheim, CA 460(92%) Stanton, CA 407(81%) Proposal Fee $1,032,516 $1,149,377 The evaluation committee determined that West Coast Arborists, Inc., (WCA) submitted the most competitive proposal. This company received the highest overall rating due to experience, a quality proposal, and interview. WCA is qualified, reputable, and has experience with contracts similar in type and size, as demonstrated by their 200 municipal service contracts throughout Southern California, They have a large staff of arborlsts and tree trimming professionals to maintain trimming schedules according to International Society of Arboriculture standards, as well as two tree nurseries, They also have the ability to provide additional resources during emergencies, such as wind or rain storms which are critical components of City operations ih order to provide Immediate assistance to the community. Following the evaluation process, staff entered into negotiations with West Coast Arborlsts and reached the following key agreement deal points: • Reduced unit pricing — • Light Prune from $39 each tree to $37 • Large Scale Prune from $500 each to $400 • BI-Annual Canary Island Palm Prune from $150 each to $95 • Bi- Annual All Other Palm Prune from $53 each to $50 Reduced GPS inventory service cost by $10,000 • Contractor commitment to recruit and hire Santa Ana residents (currently employs 24 Santa Ana residents) In accordance with the City's Strategic Plan, the RFP also requested a proposal for collection of Global Positioning System (GPS) coordinates (preolse locations) for each of the City's 00,000 trees, Precise tree locations enable more efficient inspection and trimming, accurate recordkeeping, and timely production of information relevant to service requests and liability claims, WCA will perform the GPS Inventory within the first 120 days of the service agreement at the negotiated reduoed cost of $50,000. The proposed annual not- to- exoeed amount of $1,082,510 is based on the WCA proposal fee of $1,032,516 with an additional $50,000 for GPS tree inventory in the first year and as- needed tree trimming in the second year. 25B -2 Agreement with West Coast Arborists, Inc. for Street Tree Maintenance Services July 7, 2015 Page 3 WCA has demonstrated the organizational credentials, resources, and experience necessary to provide the City of Santa Ana's desired level of service. WCA will adhere to all provisions of SB 7 prevailing wages as mandated by the State of California. Based on the information provided in the proposal, interview, and references, staff has determined that WCA will provide the best quality service at the minimum cost to the City and therefore requests Council approval of the recommended action. STRATEGIC PLAN ALIGNMENI" Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B (equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe, and aesthetically pleasing for all users); Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard); and, Strategy F (perform periodic measurements to monitor and update each asset's condition and ensure adequate funding for repair and /or replacement costs in future budgets). Approval of this item also supports the City's efforts to meet Goal #7 Team Santa Ana, Objective #5 (create a culture of innovation and efficiency within the organization), Strategy A (promote the use of new technology to improve the delivery of services and information to staff and the community. E VIRONIIj_IEN L III@PACT There is no environmental impact associated with this action, layl+?v1�li�il Funding for this agreement is available in the FY 2015116 Budget and will be budgeted in future years in the following accounts: 25B -3 Agreement with Vilest Coast Arborlsts, Inc. for Street Tree Maintenance Services July 7, 2015 Rage 4 oun Aggeunj $ 812,516 0681764$.62300 — Public Works Street Trees 100,000 0291763562320 — Median Landscaping 5,000 06717660.62320 — Public Works Agency SARTC Operations 50,000 01113230-62320 Recreation Community Services -Park Maintenance 10,000 0741325062320 Civic Center - Regular Maintenance 5:000 40718842M82300 — Downtown Maintenance Redevelopment $1,082,516 Executive Director Public Works Agency i; Kelly Reand a Ex ®Dative 1 Dtar Community Development Agency Gerardo Mouet Executive Director Parks, Recreation & Community Services Womipa Exhibits; I. Agreement 2, RFP 15,016 3, West Coast Arborlsts Proposal 4. Proposal Item Pricing AS TO FUNDS AND ACCOUNTS; (Executive Director Finance a Management Services Agency 25B -4 CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this 8th day of July, 2015 by and between West Coast Arborists, a California Corporation, (hereinafter "Consultant'), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Street Tree Maintenance Services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit Ato this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not to exceed $1,082,516 annually. This is based on the WCA proposal fee of $1,032;516 with an additional $50,000 for GPS tree inventory in the first year and as- needed tree trimming in the second year. b, Payment by City shall be made within forty -five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2017, unless terminated earlier in accordance with Section 14, below. The term of this agreement is subject to a two -year renewal option exercisable by the City Manager and City Attorney, in an amount not to exceed $1,082,516 annually. Exhibit 1 25B -5 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an Independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided In a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. [Intentionally left blank] 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain Insurance as described below: general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional Insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal Injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit C upon execution of this Agreement. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall Include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident, d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. r e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above In full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect by Consultant without thirty (30) days prior written notice to the City. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and Is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement, Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to ranee INDEMNIFICATION Consultant agrees to and shall Indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, Including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal Injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement, to the extent that the injury, damages, just compensation, restitution, judicial or equitable relief is caused by the negligence of the Consultant. This Indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. In no case shall Consultant be required to indemnify or hold harmless the City from injury, damages, just compensation, restitution, judicial or equitable relief caused by the negligence of the City. 8. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement, Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit; and make transcripts or copies of such records and any other documents 25B -7 created pursuant to this Agreement during regular business hours. Consultant shall allow Inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 9. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such Information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential Information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given If delivered in person or mailed by first class or certified mall, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714.647 -6956 With courtesy copies to: and Executive Director — Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -85) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -3308 r To Consultant: City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1986 Santa Ana, California 92702 Fax 714- 647 -6515 Patrick Mahoney 2200 E. Via Burton Street Anaheim, CA 92806 Fax 714 - 956.3745 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mall, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been aivan twentv -four (241 hours affar tha tlma cat forth n„ tha fro nemiceinn ronr.r4 Imo.,, —. caicuiating these time trames, weekends, federal, state, County or City holidays shall be excluded. 12. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are Inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting an behalf of any party, which are not embodied herein. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay 25B -9 Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17, PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. MISCELLANEOUS PROVISIONS Each undersigned represents and warrants that Its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25B -10 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. City Aftorr 0 Assistant City Attorney • Jill • ► + " "• FRED MOUSAVIPOUR Executive Director Public Works Agency West Coast Arborists Patrick Mahoney President Tax ID# 7 25B -11 CITY OF SANTA ANA DAVID CAVAZOS City Manager EXHIBIT A CITY OF SANTA ANA STREET TREE MAINTENANCE SERVICES SCOPE OF SERVICES Contractors must provide costs for each of the service categories described in the specifications outlined In EXHIBIT F. Contractors must also list all deviations from specifications, if any. The routine maintenance locations will serve as the basis for the RFP. At the discretion of the Projects Manager or designee, one or more optional add -on locations and specialized services may or may not be included in the agreement with contractor, In addition, the City at the discretion of the Projects Manager or designee, reserves the right to decrease the scope of work during the duration of the agreement. FUNCTIONS AND RESPONSIBILITIES A. PROJECTS MANAGER The Projects Manager or designee shall have the authority to accept/reject materials, workmanship and to make minor changes In work or schedule. When the performance of the work or completion per schedule is determined to be sub - standard, he /she may (1) recommend that all or a portion of payment be withheld, and /or forfeiture for delay to be resulting costs, Payment to be withheld shall be deducted from the next monthly payment due the Contractor, or if the amount is insufficient to cover payment, the Contractor shall be liable and will be billed accordingly. The Projects Manager or designee shall decide all questions, which may arise as to the manner of performance and completion per schedule, acceptable fulfillment of the contract by the Contractor, interpretation of the specifications, and compensation to include completion of work by alternate sources. S. CONTRACTOR (1) Contractor's Office Contractor is required to maintain an office /yard within a sixty (66) minute response time of the job site and provide the office with phone service during normal working hours. During all other times, a telephone answering service shall be utilized and the answering service shall be capable of contacting the Contractor by radio or cell phone. Contractor shall have a maximum response time of sixty (60) minutes to all emergencies. There will be no on -site storage of equipment or materials. Contractor will have full responsibility for maintaining an office and a yard. (2) Submittals The Contractor shall submit to the Projects Manager or designee at the beginning of work, 1) a detailed job schedule, 2) time sheet, 3) names and titles of all persons working on the project, and 4) materials and /or chemicals to be used on the project for approval. All submittals shall be periodically updated as necessary. The Projects Manager or designee shall be immediately notified of any deviation from schedule or material usage. Contractor shall provide sufficient personnel to accomplish the work within the allotted time frames as Indicated in this specification, (3) Uniforms /Identification 25B -12 The Contractor shall provide to all field personnel a standard uniform with company identification. All vehicles and equipment on the project site shall also be properly marked with company identification. (4) Licenses and Permits In addition to any and all relevant City, State and Federal permits and licenses required for the performance of the work required by this contract, prior to award of contract and without additional expenses to the City, the Contractor shall hold a valid and current California C -27 and a C- 61(D49 Contractor License, and a City of Santa Ana Business License, and submit a copy thereof, Both State licenses must be in good standing for the previous seven (7) years without any official unresolved record of complaints registered or filed with the Board or California Department of Consumer Affairs. (6) Equipment 1. The Contractor's vehicles and equipment shall be neat In appearance and easily identified. Identification on the Contractor's vehicles shall consist of, at a minimum, company name, local telephone number and contract services provided by City of Santa Ana In print no less than eight (8) inches tall. �,_ _,.1 �.�W��..�.. __.,. _.mm . . ue.r . 3. The Contractor shall provide all personnel, vehicles, supplies and equipment necessary to perform services. (6) Compliance with Applicable Laws and Regulations 1, Contractor shall perform all requirements under and In strict observance of and compliance with all applicable laws, regulations, ordinances, codes and any other legislative or statutory requirements. 2. Contractor warrants that the performance of services under this contract shall be compliant with the current requirements of the Occupational Safety and Health Act (OSHA) and as it may be amended or updated throughout the term of this contract. (7) Contractor shall provide sufficient personnel to accomplish the work within the allotted time frames as indicated in this specification. (8) Global Positioning System (GPS) The Contractor shall provide all vehicles working in the City with a GPS that enables the monitoring of the location of the contract vehicles at all times via computer. This system will also monitor the day -to -day operation of the vehicles, location of vehicle and the direction and speed of travel. The City and Contractor shall be enabled to view this information via computer at all times, GPS reports shall be available at the request of the City. 25B -13 It. SCOPE OF WORK DUTIES AND RESPONSIBILITIES A, INTENT (1) The Intent of these specifications is to provide full and complete contract tree maintenance services for parkway and median trees throughout the City herein described, and that such trees be kept In a healthy, weed -free, vigorous, and well -kept state at all times. B. DESCRIPTION OF PROJECT (1) Furnish all labor, equipment, materials, and supervision to perform tree maintenance as described herein including, but not limited to, the following: 1, tree trimming, 2,,. tree removal, 3. root pruning, n. tree planting, and 5. electronic management of all work records. C. MINIMUM REQUIREMENTS (1) Proposer must have been In the business of providing full service tree maintenance programs to governmental agencies and /or municipalities that includes, but Is not limited to the pruning, removal and replacement of trees for at least five (5) years. In addition, Proposer must provide five (5) references with contact Information for the main agency manager. (2) Proposers must show, through documentation by records of past performance and references, a corporate capability that includes the ability to perform the following work, both consistently and concurrent with other required services: Annually trim as many as fifteen thousand (15,000) trees and five thousand five hundred (5,500) palms, ranging In size from six (6) inches in diameter and larger, with work occurring during regular business hours at nigh t or during weekends. Trees and palms shall be trimmed from the safety of a certified aerial boom truck. The Proposer must be prepared to physically display an Inventory of equipment for inspection by the City that includes certified aerial boom truck equipment with boom height capacity in excess of ninety (90) feet. The City will not allow workers gaffing into palms as a substitution for equipment that does not meet equipment height requirements. The Proposer must be prepared to trim trees based on seasonal appropriateness and the logistical needs of the City. 25B -14 Z Annually remove and grind the stumps of as many as three hundred (300) trees ranging in size from thirty-six (36) inches in diameter and larger, with work occurring during regular business hours. The Proposer must show documentable experience in the safe removal of mature trees using methods of rigging, including the use of cranes. 3. Annually, supply and plant as many as five hundred (500) trees ranging in size from a fifteen (16) gallon to a twenty -four (24) Inch to thirty six (36) inch box -size nursery stock. The proposer shall exhibit, by portfolio and references, experience with planting projects of the scope and quantity described herein. 4. Annually water and maintain as many as five hundred (500) young trees with a regularly scheduled work plan, (3) The Proposer shall exhibit, by portfolio and references, the capacity to respond to emergency tree incidents, ranging from limb failures on single trees to storm related damages affecting many trees, in a manner that meets the needs of the City. D, WORKING HOURS rrrvi aJ iu o:uv rnvi, ivioncay cnrougn rriaay. No Saturday or Sunday work is to be scheduled without prior written permission from the City, unless it is an emergency situation. No motorized equipment shall be operated before 8:00 AM or after 5:00 PM. 1. Normal business hours are according to the Municipal Code, Section 18- 314.(1) — Special provisions, 2. (I) Noise sources associated with the maintenance of real property, provided said activities take place between 7:00 a.m. and 8:00 p.m. on any day except Sunday or a federal holiday, or between the hours of 9:00 a,m, and 8:00 p.m. on Sunday or a federal holiday. E. LEVEL OF MAINTENANU (1) All work shall be performed in accordance with the HIGHEST INDUSTRY STANDARDS, as stated in the enclosed maintenance specification description. Standards and frequencles may be modified from time to time as deemed necessary by the City for the proper maintenance of the sites. (2) If, in the judgment of the City, the level of maintenance is less than that specified herein, the City shall, at its option, In addition to or in lieu of other remedies provided herein, withhold appropriate payment from the Contractor until services are rendered in accordance with specifications set forth within this document and providing no other arrangements have been made between the Contractor and the City. Failure to notify of a change and /or failure to perform an item or work on a scheduled day may, at the City's sole discretion, result in deduction of payment for that date, week, or month. Payment will be retained for work not performed until such time as the work Is performed to City standard. (3) The Contractor Is required to correct deficiencies within the time specified by the Clty. If noted deficient work has not been completed, payment for subject 25B -15 deficiency shall be withheld for current billing period and shall continue to be withheld until deficiency Is corrected, without right to retroactive payments, F. QUALITY OF WORK AND MATERIALS (1) All material and equipment furnished by the Contractor shall be new, high grade, and free from defects and imperfections, unless otherwise hereinafter specified, Workmanship shall be In accord with the best standard practices. Both materials and workmanship shall be subject to the approval of the Project Manager or designee, All materials used shall be approved in advance by the Projects Manager or designee. G. WORKMANSHIP AND SUPERVISION (1) The work force shall include a thoroughly skilled, experienced, and competent supervisor who shall be responsible for adherence to the specifications expressed within the Scope of Work. All supervisory personnel must be able to name to ensure coordination and continuity. (2) At a minimum, Contractor shall provide, in addition to one (1) full time supervisor, and up to four (4) pruning crews. Each Pruning Cre w shall consist of, at minimum: Three (3) employees —1 foreman and 2 tree trimmers One (1) boom truck One (1) chipper truck One (1) chipper and pruning equipment including, but not limited to, chain saws, pole pruners, and pole saws. Foremen shall be proficient In English and be a qualified line clearance worker or qualified arborist. Each Large crews shall consist of at minimum: One (1) foreman Two (2) tree trimmers Six (6) ground workers Three (3) boom trucks One (1) loader with a grappler attachment Two (2) roll off forty (40) yard containers. Foreman and tree trimmers shall be qualified line clearance workers or qualified arborlsts, H. SUPERVISION OF CONTRACT (1) All work shall meet with the approval of the Projects Manager or designee. There shall be a minimum of a monthly meeting with the Contractor and the City 25B -16 representative to determine progress and to establish areas needing attention. A dally maintenance schedule will be submitted in writing to the City every morning, The supervisor of this contract shall be available to meet with the City's representative daily during working hours, as necessary. (2) Any specific problem area which does not meet the conditions of the specifications set forth herein shall be called to the attention of the Contractor and if not corrected, payment to the Contractor will not be made until condition is corrected In a satisfactory manner as set forth in the specifications. SPECIFICATIONS (1) All work shall conform to the pruning standards as noted in the American National Standard Institute, ANSI A300 (Part 1) — 2008 Pruning Standard and the companion publication Best Management Practices, Tree Pruning (Revised 2008), In all cases the City's representative shall have complete and sole discretion in determining conformance and acceptability of trees trimmed by the Contractor. Trimmed trees rejected by the City's representative shall be excluded from payment. (2) Contractor shall comply with Standards of the Division of Occupational Safety and Health (CAL ,OSHA -and the American National Standard Institute - (ANSI)._ (3) These specifications are intended to cover all labor, material and standards of architectural, landscaping, and mechanical workmanship to be employed in the work called for in these specifications or reasonably implied by terms of same. Work or materials of a minor nature which may riot be specifically mentioned, but which may be reasonably assumed as necessary for the completion of this work, shall be performed by the Contractor as if described in the specifications. CORRESPONDENCE All correspondence shall be addressed to: Danell Mercado — Projects Manager Public Works Agency= Maintenance Division 220 South Daisy Avenue — Building A Santa Ana, CA 92703 dmercadoCa7santa -ana A. PROVISIONS FOR EXTRAS (1) No new work of any kind shall be considered an extra unless a separate estimate is given for said work and the estimate is approved In writing by the City before the work is commenced. The Contractor will be required to provide before and after photographs of safety items or emergency repairs which were made without prior City approval. Documentation of contract compliance may be required on some occasions. (2) Should a change or extra work be found necessary by the City, all changes and extra work shall be performed at the same unit price of any proposal item listed, If the work is not listed as a proposal item, the Contractor shall submit a fair cost 25B -17 for the work to be performed, A change order authorization, In writing, will be issued by the City. (3) The City reserves the right to Increase or decrease the quantity of any item(s) or portion(s) of the work described in the specifications or the proposal form or to omit portions of the work so described as may be deemed necessary or expedient by the City Arborist or designated representative and the Contractor shall agree not to claim or bring suit for damages, whether for loss of profits or otherwise, on account of any decrease or omission of any kind of work to be done. The City shall reduce the price accordingly. Alterations, modifications or deviations from the work described In the scope of services by Contractor shall be subject to the prior written approval of the City, Any price adjustments shall be made by mutual consent of the parties in that case, L. STREET CLOSURES DETOURS BARRICADES (1) Warning signs, lights, and devices shall be installed and displayed in conformity work upon highways issue!—by the States of CaRfiDr tia,_ Departmera— of -____ �® ransportatiori and as directed by City staff. (2) If the Contractor fails to provide and Install any of the signs or traffic control devices required hereby or ordered by the City staff, staff may cause such signs or traffic control devices to be placed by others, charge the costs therefore against the Contractor, and deduct the same from the next progress payment. (3) A traffic control plan will be submitted to the Projects Manager or designee ten (10) days prior to starting this contract. M. D18POSAL (1) All debris generated by the Contractor In the performance of work shall become the property of the Contractor from and after the time of site oiean -up, The Contractor shall dispose of all generated debris at no additional cost to City and shall dispose of debris as is consistent with the requirements of AB 939, 1. Provide disposal reports. 2. As requested, City may request Contractor to dump tree mulch at City owned sites at no extra cost to City. 3. All green waste produced as a result of the Contractor's operations under this Agreement shall be reduced, reused, recycled, and /or transformed by Contractor. Weight slips shall be required as proof of final disposal and must be submitted by Contractor with each demand for payment. All brush generated from tree trimming operations shall be recycled where practical. 4. Wood chips; 25B -18 a. Reducing shall include but not be limited to chipping, grinding, and /or shredding operations. Disposal is to be at a recycling yard for use In a mulching program, and Contractor shall provide proof of such with each demand for payment. b. At the direction of the Maintenance Services Manager, wood waste generated from tree removals shall be chipped Into pure wood chips with an even uniform size, These chips may be dumped in specific locations In the City. Reducing will Include, but not be limited to using chipped, ground or shredded tree materials as mulch. If the Contractor has a location outside the City where such mulch may be applied, Contractor must provide the City with documentation (included in each demand for payment) from the property owner Including indicating location and amount of material to be used at that location. RECQRDS inventory system that is capable of uploading historic data and that is compatible with the current tree inventory provided by current contractor (Arbor Access) inventory system (web -based SQL Server 2008). 11 This system shall be password accessible twenty four (24) hours each day of the year via the internet. 2, Historic tree inventory and work history data, to be provided by the City, shall be uploaded and operational within Contractor's tree Inventory system prior to the commencement of any tree service work under the terms of an awarded contract. 3. Thereafter, the Contractor shall update and maintain the tree site specific, internet accessible, computerized tree inventory system to reflect changes in baseline data (e.g. species, height, DBH) and to record the date, cost and crew Identity for any trimming, removal, planting or emergency response work that occurs at any tree site at which tree work Is performed. The system shall be upgraded to reflect the removal and replacement of trees, as well as the addition of trees to the inventory. 4. The system shall be capable of maintaining and displaying all past work histories for any and all tree sites In the Inventory, both Individually and collectively by query, as well as future scheduling to the extent known. 5. All aspects of the system including, but not limited to, data entry, system maintenance, system hardware and /or software upgrades and server security and stability shall be the responsibility of the Contractor and shall be provided at no cost to the City. The system shall not be proprietary In the nature of Its function and shall operate and interface with common computer software and web based applications, including 25B -19 the ability to export data into common spreadsheet applications. The records created for the City shall be the property of the City. (2) The Contractor shall keep accurate records concerning all of his /her employees or agents. The Contractor shall provide this information in an organizational chart as changes in staffing occur. Additionally, the Contractor shall provide the City with names and telephone numbers of emergency contact employees. (3) Contractor will provide on a monthly basis to the Projects Manager or designee a report of any changes noted or performed by the Contractor to the existing street Park Tree Inventory, The City of Santa Ana reserves the right to adjust quantities to this contract. These adjustments will be determined by the Project Manager or designee, 0. EMERGENCY SERVICES The Contractor will provide the City a twenty -four (24) hour emergency phone number and name of at least two (2) qualified persons who can be called by City representatives when emergency maintenance conditions occurs. These Contractor representatives shall respond to said emergency within thirty (30) minutes of receiving notification and mobilize field staff to respond to the emergency within two (2) hours. P. LICENSE In addition to any and all relevant City, State and Federal permits and licenses required in the execution of the contract, the Contractor shall hold a valid and current California 0.27 and a C- 61/D40 Contractor License and submit a copy thereof. Both licenses must be In good standing for the previous seven (7) years without any official unresolved record of complaints registered or filed with the Board or California Department of Consumer Affairs, The name and permit number will be supplied to the City at the beginning of contract, and any changes forwarded within twenty -four (24) hours of said change. 0. CONTRACTOR'S OFFICE Contractor is required to maintain an office within a sixty (600) minutes response time of the job site and provide the office with phone service during normal working hours. During all other times, a telephone answering service shall be utilized and the answering service shall be capable of contacting the Contractor by cell phone or pager. Contractor shall have a maximum response time of sixty (60) minutes to all emergencies, Sec. 36 -145. - Same — Commercial vehicles. No person shall park and /or leave standing on any street, or portion thereof, in any residential district located within the city any commercial vehicle with a manufacturor's gross vehicle weight rating of ten thousand (10,000) pounds or more for a period of time longer then two (2) hours. Such restriction shall not apply to any commercial vehicle which is making pickups or deliveries of goods, wares, and merchandise from or to any building or structure located on the residential street, or for the purpose of delivering materials to be used in the actual and bona fide repair, alteration, remodeling, or construction of any building or structure upon the residential street for which a building permit has previously been obtained. 25B -20 R. SCHEDULES The City operates on a four (4) year prune cycle trimming approximately 55,000 trees. The City annually prunes approximately 15,000 trees and approximately 5,000 palms by grid prune. (1) Annual Schedule Upon contract award, the successful Proposer shall be required to submit a work schedule based on the City's annual pruning requirements, removal and placement program, and planting projects. The proposal shall Include a recommended annual work program, daily work schedules, personnel and vehicles that would be required to complete the annual maintenance program. Depending on the City's current and future needs, the scheduled work may require multiple crews to perform concurrently within the same time constraints. a. The Contractor shall provide an annual maintenance schedule indicating the time frames when items of work shall be accomplished per the performance requirements. b. The Contractor shall submit revised schedules when actua performance differ. subsiantlally.frgLn planned performance, (2) Monthly Schedule Contractor shall meet with the City once a month to discuss work performance, special instructions, any problems encountered and upcoming schedules. 2. Changes to the schedule shall be received by the Projects Manager or designee at least twenty -four (24) hours prior to the scheduled time for the work. 3. Failure to notify of a change and/or failure to perform an item of work on a scheduled day may, at the City's sole discretion, result in deduction of payment for that date, week or month. (3) Dat( Schedule The Contractor shall meet with the City's representative daily for the purpose of reviewing the week's work, receiving special Instructions, and to discuss any problems encountered on the job. Changes to daily schedule can be made verbally or by email to the Projects Manager or designee. (4) Performance on Schedule The Contractor has been provided the maximum latitude in establishing work schedules which correspond to Its manpower and equipment resources. The Contractor has also been provided the opportunity and procedure for adjusting those schedules to meet special circumstances, Therefore, all work shall be completed on the day scheduled, as shown on the weekly schedule, PERFORMANCE DURING INCLEMENT WEATHER 25B -21 (1) During the periods when Inclement weather hinders normal operations, the Contractor shall adjust his /her work force in order to accomplish those activities that are not affected by weather. (2) The Contractor shall Immediately notify the Projects Manager or designee prior to removing the work force from the job site for agreement on degree of inclement weather or other reasons. If the Projects Manager or designee cannot be reached, the Contractor shall notify Maintenance Services Supervisor, T. PUBLIC NOTICING The Contractor shall supply and post standard signage on the trunk of the tree at the site work at which work is to be performed, at least seventy two hours (72) in advance of work with the signage clearly stating what type of work is to be done and what affect the work will have on parking availability at that particular site. Posting shall be affixed to the tree trunk using materials that do not cause permanent damage to the tree such as twine, In the event that a tree trunk is not available for posting, the Contractor shall affix the posting to a standard size safety cone or a three foot stake and place that cone in the center of the parkway where a tree Is to be planted or atop a stump that is scheduled for grinding. On all trees. Including palms, known or suspected to be diseased, pruning tools and out surfaces shall be disinfected with a twenty -five (25) percent chlorine bleach solution or one hundred (100) percent Lysol, after each cut and between trees where there is danger of transmitting the disease on tools. Fresh solution shall be mixed daily. Old solutions shall be disposed of through proper disposal methods. Dumping used or old bleach solutions on the ground or down the storm drain and will result In severe penalties to the Contractor. WILDLIFE PROTECTION (1) The Contractor shall have a wildlife protection program that outlines employee protocol when discovering wildlife in trees scheduled for pruning. A copy of the program material shall be made available to the Projects Manager or designee. (2) Prior to the commencement of any work In the vicinity of any tree, each tree shall be visually surveyed, from all sides, for the sole purpose of detecting the presence of bird nests or wildlife of any type. If a nest is found and Is determined to be active, there shall be no work of any type in the tree in which the nest is found without the verbal or written permission of the City Arborist or designated representative. At no time shall any nest or wildlife be removed from its location. (3) In the event that wildlife is accidentally displaced and needs assistance, the Contractor shall notify the City's Animal Control service and /or the nearest appropriate animal rescue facility, as Identified in the Contractor's submittal required herein regarding "Protection of Wildlife "; shall be contacted for assistance. W. UNDERGROUND EXCAVATIONS 25B -22 The Contractor shall be responsible for locating all underground utility lines to Insure the safety of his /her work crew and to protect, in place, existing utility equipment before commencing any excavation. Contractor shall contact the Projects Manager or designee and Underground Service Alert (1.800227 -2600) 48 hours before commencing any excavation, to locate underground service lines. III. TECHNICAL MAINTENANCE SPECIFICATIONS A. TREE INVENTORY (1) Upon contract award, the successful Proposer shall be required to provide a complete update of the City's tree Inventory at no additional cost to the City and submit the completed Inventory to the City within six (6) months of the contract award. The tree Inventory data shall conform to the existing tree Inventory database and Include but not be limited to the following data fields: (2) Tree Location A Global Positioning System (GPS) tree inventory shall be created with a new database using the City's standardized addressing system for all City owned or maintained easement,,The Contractor shall be..regulred to create an EBRI AreGIS compatible "shaoefile" 2, The inventory shall be capable of showing the location of every existing tree site and vacancies on the City's existing GIS base maps (streets, parcels, addresses, ROW and hardscape, etc,). 3, The tree inventory shall be conducted by visiting each tree site or vacant planting site and plot the position. The data shall be compatible with the latest version of ArcVlew, The minimum accuracy shall be not more than one (1) sub- meter. 4. The systems should be able to export a shapefile that includes all tree attributes. Latitude /Longitude, Species, Height, DBH, Age or Date Planted (if available), ID number (for linkage to maintenance records), etc. (3) Tree condition General condition of individual trees 2. Condition of surrounding hardscape (i.e. displaced or recent repairs or any lift over three quarters (3/4 ") IV. GENERAL MAINTENANCE REQUIREMENTS All maintenance functions shall be performed In accordance with the following specifications. The City shall have the right to determine schedule days and the extent and frequency of additional "as needed" services. Standards and frequencies may be modified from time to time as deemed necessary by the City for the proper maintenance of the listed trees. All operations will be conducted so as to provide maximum safety for the public and minimize disruption of the public use of City streets. 25B -23 Hazardous evaluation of trees or palms at time of trimming and reported through work order system. While performing work of any type, the tree worker should Inspect for any obvious hazards related to trees, including uplifted sidewalk segments (lifted over three quarters (3 /4 "), all hazardous situations should be corrected or promptly reported to the City, Any structural defect or weakened tree shall be reported to the City's designated representative. This information will be updated, at minimum, on a weekly basis Remove loaves, weeds, trash, and other debris from landscaped areas and disposed of off -site. Clean sidewalks, roadways, and any other areas littered or soiled by Contractor maintenance operations. Maintain the premises free of debris at all times. Upon completion of any work project, the Contractor shall remove remaining excess materials, waste, rubbish, debris, and his /her construction and installation equipment from the premises. Any dirt or stains caused by the work shall be removed. Existing City trash containers shall not be used for the disposal of debris collected by the Contractor. Prune trees adjacent to roadway intersections to provide adequate sight distance for vehicles entering the Intersection. re—es maferlaTs so that all iratfic control signs are clearly visible to approaching drivers. Notify the City immediately of any unusual and hazardous conditions at the work site. A. HARDWOOD TREE PRUNING Any tree work performed on a City tree must be done according to the City's specifications. The criterion for pruning varies based on the type or purpose of pruning, (1) General Specifications for hardwood tree orunina 1. Contractor shall consult with the City Arborist before making any cuts that could result in permanent disfigurement of the structure of any tree. 2. Trees shall be pruned so as to prevent branch and foliage interference with safe public passage. Street clearance shall be kept to a minimum of fourteen feet (14') above the paved surface of the street and nine (9) feet above the curb and surface of a public sidewalk or pedestrian way. Exceptions are allowed for young trees, which would be irreparably damaged by such pruning action. If pruning to these standards would result in permanent disfiguration of a tree, the Contractor shall not prune the tree until such time as direction Is obtained from the City Arborist, 3. When removing a live branch, pruning outs should be made in branch tissue just outside the branch bark ridge and collar, which are trunk tissue. If no collar is visible, the angle of the cut should approximate the angle formed by the branch bark ridge and the trunk. 4. When removing a dead branch, the final cut should be made outside the collar of live callus tissue. If the collar has grown out along the branch stub, only the dead stub should be removed, the live collar should remain intact and uninjured. 25B -24 5. Whenever pruning involves the removal of limbs that are too large to hold securely In one hand during the cutting operation, the limb shall be cut off first at a point several feet beyond the Intended final cut. The final cut shall be made in a manner to prevent unnecessary tearing back of the bark and wood. Cuts that result in tearing of tissue on limbs below cuts shall be corrected. 6. All final tree pruning outs shall be made In such a manner so as to favor the earliest possible covering of the wound by natural callus growth, Excessively deep flush cuts, which produce large wounds or weaken the tree at the cut, shall not be made. The branch collar should not be removed. 7. All dead and dying branches and branch stubs shall be removed. 8. All broken or loose branches shall be removed. 91 Branches that are devetoping in such a manner as to become larger than the limbs they originate from shall be removed or reduced to half the diameter of the parent branch. 10. the unit) in order to reduce end weight and thus decrease the likelihood of limb failure. 11. Selectively reduce and /or remove branches that create sight line conflicts with traffic control signs and /or devices. 12. Selectively reduce and /or remove branches that are within five (5) feet of a structure. 13. Clear trees of sprout or sucker growth to a minimum height of ten (10) feet above ground level. Exceptions are allowed for young trees, which would be irreparably damaged by such pruning action. 14. Prune so as to maintain a balanced appearance when viewed from the opposite side of the street immediately opposite the tree, unless authorized by the City Arborist to do otherwise. 15. Remove all vines entwined in trees and on tree trunks. Vine tendrils shall be removed without injury to trees, 16. Tree limbs shall be removed and controlled in such a manner as to cause no damage to other parts of the tree, or to other plants or property. 17. All tools used on a tree known to contain an infectious tree disease shall be properly disinfected immediately before and after completing work on such tree, All major pest problems shall be promptly reported to the City. 18. All cutting tools and saws used in tree pruning shall be kept sharpened to result in final cuts with an un- abrasive wood surface and secure bark remaining intact. 25B -25 19. All trees six (6) Inches In diameter or less shall be pruned with hand tools only. 20. Chain saws will not be permitted to remove any branches two (2) Inches or less in diameter, This Is to prevent any unnecessary abrasions to cambial tissue that may predispose a tree to insect and /or future disease /decay problems, 21. Any extraneous metal, wire, rubber or other material interfering with tree growth shall be removed when possible. 22, The use of climbing spurs or spike shoes in the act of pruning trees is prohibited, unless specifically directed by the City to aid In the safety of climbers performing the removal of a tree. 23. Conifers shall typically be pruned In late winter or early spring, 24. Contractor shall avoid damaging the oentral leader on all conifers. 25. To control the growth of large, mature conifers contractor shall be required to prune the new growth of lateral Ilmbs. (2) Prune Classifications for Hardwood Trees 1. A Light Prune is performed when conditions within the crown of a hardwood tree are such that only target pruning is needed. Trees that are Identified for a Light Prune shall have no more than 15% of the live foliage removed. A Light Prune typically consists of one or more of the following pruning treatments found in sections b, and f below: 2. A Grid Prune is performed when conditions within the crown of a hardwood tree are such that the entire tree needs to be fully pruned. Complete pruning Is recommended when the primary objective is to maintain or improve tree health and structure, and includes pruning to reduce overall canopy mass and excessive wood weight. Trees that are identified for a Grid Prune shall have no more than 25% of the live foliage removed. A Grid Prune typically consists of one or more of the following pruning treatments found in sections a., b, c., d., e. and f below: 3. A Large Scale Prune is performed when conditions within the crown of a hardwood tree are such that the entire tree needs to be fully pruned, Complete pruning is recommended when the primary objective is to maintain or improve tree health and structure, and Includes pruning to reduce overall canopy mass and excessive wood weight. Trees that are Identified for a Large Scale Prune shall have more than 25% of the live foliage removed, have a diameter breast height above 29 ", and /or a 50' spread. All Large scale pruning shall be pre - authorized by the City Arborist or designee. A Large Scale Prune typically consists of one or more of the following pruning treatments found in sections a., b, c., d., e. and f below: A Service Request Prune shall require Contractor to provide tree maintenance services on designated tree(s) as ordered by the City 25B -26 Arborlst or designee, Duration of tree maintenance services could be less than one full work day, requiring Contractor to mobilize to another work area, Most assignments will require several job site set ups to perform the work dependent on field conditions. A Service Request Prune typically consists of one or more of the following pruning treatments found in sections a„ b, c., d., e. and f below: a. Structural Prune: Structural Pruning Is the removal of live branches and stems to Influence the orientation, spacing, growth rate, strength of attachment, and ultimate size of branches and stems. Structural pruning is used on young and medium -aged trees to help engineer a sustainable trunk and branch arrangement. If young trees are pruned to promote good structure, they likely will remain serviceable in the landscape for more years than trees that have not been structurally pruned. This pruning type can be summed up In the phrase: subordinate or remove codominant stems. Small- maturing trees and shrubs are structurally pruned to properly space codominant stems, reduce or remove rubbing limbs, and provide desirable crown configuration. All branches are to be kept less than half the trunk diameter, Spacing scaffold limbs allows for the trunk and leader to develop properly, gives the canopy a mare balanged form,, and b. Crown Cleaning: Crown Cleaning or cleaning out is the removal of dead, diseased, crowded, weakly attached and low -vigor branches and water sprouts from the entirety of the tree crown. Cleaning Is the selective removal of dead, diseased, detached, and broken branches. This type of pruning is done to reduce the risk of branches falling from the tree and to reduce the movement of decay, insects, and diseases from dead or dying branches into the rest of the tree. It can be performed on trees of any age but is most common on medium -aged and mature trees. Cleaning Is the preferred pruning type for mature trees because it does not remove live branches unnecessarily. Cleaning removes branches with cracks that may fail when the interior wood dries, C. Crown Thinning: Crown Thinning includes the selective removal of branches to Increase light penetration and air movernent into and through the crown. Increased light and air stimulates and maintains interior foliage, which in turn improves branch taper and strength. Thinning reduces the wind -sail effect of the crown and the weight of heavy limbs. Care must be used to avoid stripping branches of all foliage at the interior of the tree crown. This practice, known as "lien tailing" disrupts the structural Integrity of the tree, making it subject to limb and branch failure, especially during high winds. Thinning the crown can emphasize the structural beauty of trunk and branches as well as improve the growth of plants beneath the tree by increasing light penetration. When thinning the crown of mature trees, up to 25% of the live foliage may be removed unless directed otherwise by the City Arborist. 25B -27 Crown Reduction: Crown Reduction is used to reduce the height and /or spread of a tree, Crown reduction varies from topping, a destructive practice, in that cuts are not made Indiscriminately, resulting In large stubbed off limbs that are subject to decay. Reduction is the selective removal of branches and stems to decrease the height and /or spread of a tree or shrub. This type of pruning Is done to minimize the risk of failure, to reduce height or spread, for utility line clearance, to clear vegetation from buildings or other structures, or to Improve the appearance of the tree. Portions of the crown, such as Individual limbs, can be reduced to balance the canopy, provide clearance, or reduce likelihood of breakage on limbs with defects. While reducing a crown, tree workers must adhere to basic tree trimming practices involving limb /branch size relationships and use of the branch bark collar in avoiding the onset of decay at cut sites, e. Crown Restoration: Crown Restoration Is corrective pruning used as a means to restore the form of crowns that have been previously damaged by extenuating circumstances, Restoration Is the selective removal of branches, sprouts, and stubs from trees that have been topped, severely headed, vandalized, lion tailed, broken in _a storm., or otherwise damaged. The goal of restoration is to improve a tree structure, form or e�5e rage -- - "' Rropery one, Chic technique provides a more pleasing, unpruned natural look to the tree compared to topping or shearing. Crown Raisin o: Crown Raising consists of removing the lower branches of a tree In order to provide clearance for buildings, vehicles and pedestrians. It Is Important that a tree have at least one -half of its foliage on branches that originate in the lower two - thirds of its crown to ensure a well-formed, tapered structure and to uniformly distribute stress within the tree. B. PALM TREE P LINING Any tree work performed on a City tree must be done according to the City's specification. The criterion for pruning varies based on the type or purpose of pruning, Palm Pruning consists of maintaining the crowns and trunks of palm trees including the pruning of spent or declining fronds, seed pods and the skinning or shaping of spent petiole bases into a ball or nut as applicable by palm type. (1) The specifications for the pruning of Queen Palm trees are as follows: 1. Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Queen Palm (Syagrus romanzofflanum): Palm pruning Is the removal of fronds, flowers, fruit, stems, or loose petioles that may create a hazardous condition, Palms also may be pruned for aesthetic reasons to eliminate sprouts and stems or dead fronds and seapods. Live, healthy fronds should riot be removed. If they must be removed, however, avoid removing those that Initiate at an angle of 45 degrees or greater above horizontal. Fronds removed should be severed close to the petiole base without damaging living trunk tissue. Climbing spikes should not be used to climb palms for pruning, 25B -28 YEAR 3 ESTIMATED ANNUAL TRIM CYCLE 20172018 Fiscal Grid Light Large 394 Annual Estimated Y'enr, Species Prone Prune Scale nano �_ Trim Nest Golden Rain tree 69 29 prune 98 Cycle y ,Trim African Sumac 100 65 100 1 Ash Tone Arig, Skaur Rrey 1519 430 1949 3 20/21 Avocado 12 10 22 3 30/21 Canary island Pine (Winter Only) 1917 131 20.18 2 Carratwood 899 268 1167 2 Chinese Flame 169 106 275 2 Chinese Fringe 43 4 47 2 21122 Chinese Pistache 4 18 22 2 20/21 Chinese Tallowy 3 12 12 3 20121 _crape L1lyrtle . _ 2090_ —10-10t- 010 3100. 5 �� 2a Eucalyptus species combined 319 37 38 394 2 Firewheel tree 1 1 4 2I(27 Golden Rain tree 69 29 98 2 New Zealand Xmas 65 65 52 Oak 3758 1137 4895 4 21122 Olive 38 4 42 2 Orchid tree (Only in winter) 5Q 2 52 2 Peppermint Tree 5 5 10 1 Pine Aleppo (Only in winter) 55 55 4112 Pine Torrey (Only in winter) 11 11 4 21122 She Oak 58 51 109 3 20/21 Silk Floss Tree 3 3 3 20/21 Tipu 354 2 356 1 Total Queen Palms: 5,361 Total Hardwood Trees: 15,084 Grid Prune: 11,644 Light Prune: 3,402 Large Scale Prune: 38 25B -29 YEAR 4 ESTIMATED ANNUAL TRIM CYCLE 2018.2019 Fiscal Species Year - Grid Prone Light Prone, barge Seale Prune Quantity Aanual ,Cycle Estimated Next Next Trim African Sumac 100 is 8 t00 1 26 Maya Bunya(Depends on cones) 2 Pepper Brazilian, California 567 2 5 23/24 Elm Chinese 483 37 Peppermint Tree 520 3 21432 -:" " Elm Siberiaa 41 6 47 3 21122 " Fleas Ben&. Nitlr(a. L2rd�i [P•0U3,A 101 4 88 193 2 20/21 Jacarandas 2797 1416 7 4220 2 20/21 Liquidambar 963 1 410 1373 2 20/21 Locust (Black, Honey) 44 30 74 2 20/21 Loudon Plane (Sycamore Species) 6341 845 7186 422 {2j„ 3lagnohas specie,4.eombiued_ 737 _. 406 _. _11.43 ._ -3 1 :--- 21121.—= Chive 3$ 1 4 42 3 21422 -'" Pecan is 8 26 2 20/21 Pepper Brazilian, California 567 60 627 2 20/21 Peppermint Tree 5 5 10 1 Redwoods (Coast & Sierra) 4 T 4 5 23124 Tipu 354 2 356 1 Total Palms: 6,261 Queen Palms: 5,361 Canary Island Date Palm: 44 Date Palm: 203 Other Palms: 903 Total Hardwood Trees: 15,933 Grid Prune: 12,600 light Prune: 3,238 Large Scale Prune: 95 25B -30 3. While making an approach to the palm crown for pruning, the Contractor shall inspect the trunk of the palm tree for signs of decay, Insect frass, bees, rodents, bird nesting or any other condition suggestive of a structural abnormality. Upon finding any condition suggestive of a structural abnormality of the palm stem, the Contractor shall report to the City Arborist immediately, 4. Care shall be taken in the handling of fruit and flowers as they are likely to release clear liquids that react with and can cause staining to hardscape elements. The Contractor shall be responsible for removing palm fruit related stains from private property hardscape elements (2) The specifications for the pruning of Canary Island Date Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Canary Island Date Palm (Phoenix canarlensis): dead petiole bases shall be formed into an ornamental ball which begins directly below the lowest green fronds and acts to provide a base of support to the palm crown. This ornamental ball shall be uniform and smooth in appearance and shall extend no less than four (4) and no more than eight (B) feet below the lowest live frond in the crown. Ornamental balls with flattened or 'stop sign" sides will not be accepted. The appearance as this treatment defeats the support capacity of the ball. The distal portion of the ball shall begin at a point flush with the periphery of the palm trunk and make a gradual taper upwards until it reaches the periphery of the shaped ornamental ball. The Contractor may use a clean chalnsaw in forming and /or shaping the ornamental ball of a Canary island Date Palm. The use of a sharpened shovels in shaping and maintaining ornamental balls often results in ornamental balls which have flat, untapered bottoms that are likely to relax and collapse into pedestrian and vehicular traffic zones with grave consequences. 3. Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be cut close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. 4. Fronds shall be trimmed using a handsaw, pole saw, or ohalnsaw that has been sterilized for no less than five (5) minutes by having the entirety of Its cutting blade submersed In a twenty -five (25) percent chlorine bleach solution or one hundred (100) percent Lysol, before and after the tool is used to out the fronds of any other palm tree. 5. Using properly sterilized equipment as described herein, any fruit or flower structures in the crown of the palm shall be removed concurrently with frond pruning. 6. The Contractor shall use care not to cut into live trunk tissue while maintaining the ornamental ball, 'rho Contractor shall remove any foreign plant material that has sprouted in an ornamental ball. The Contractor shall verify that the ornamental ball meets the standard described herein each time a Canary Island Date Palm is pruned. (3) The specifications for the pruning of Date Palm trees are as follows: 25B -31 I . Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Date Palm (Phoenix dactylifera): spent petiole bases are left to form a supportive "base" below the lowest green fronds of the crown. Unlike the ornamental ball of a Canary Island Date Palm (Phoenix canariensis), the base does not require ornate shaping. Instead, spent petiole bases are left uniformly long to form the base of the canopy, which shall extend no less then four (4) and no more than six (6) feet below the lowest live frond In the crown. The Contractor may use a chainsaw in forming and /or shaping the base of a Date Palm by shortening a number of the lower petiole bases to bring the length of the nut to standard. The Contractor shall use care not to out Into live trunk tissue while maintaining the nut. The Contractor shall verify that the base meets the standard described herein each time a Date Palm is pruned. (4) The specifications for the pruning of King Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2, King Palm (Archontophoenix cunninghamiana): loose petiole bases are to be removed each time the crown of a King halm is serviced, Petiole bases that are attached to live trunk tissue shall be left undamped (5) The specifications for the pruning of Mexican Fan Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Mexican Fan Palm (Washingtonia robusta): spent petiole bases are left uniformly long to form a base which shall extend no more than four (4) feet below the lowest live frond in the crown. Using hand tools, the Contractor shall verify that the base meets the standard described herein each time a Mexican Fan Palm is pruned. (6) The specifications for the pruning of California Fan Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. California Fan Palm (Washingtonla filifera): spent petiole bases are left uniformly long to form a nut which shall extend no more than eight (8) feet below the lowest live frond in the crown. The Contractor shall verify that the base meets the standard described herein each time a California Fan Palm Is pruned. (7) The specifications for the pruning of Windmill Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: Windmill Palm (Trachycarpus fortune!): Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed, Fronds removed should be out close to the petiole base, taking Into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. 25B -32 (8) The specifications for the pruning of Pinto Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Pindo Palm (Butia capltata): Live, healthy fronds, Initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be out close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental bail at the base of the canopy, as applicable by species. (9) The specifications for the pruning of Mediterranean Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2, Mediterranean Palm (Chamaerops humilis): Live, healthy fronds, Initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be cut close to the petiole base, taking Into consideration the role of petiole bases in the formation and maintenance of the ornamental bail at the base of the canopy, as applicable by species. (10) The specifications for the pruning of Guadalupe Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Guadalupe Palm (Brahea edulis): Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed, Fronds removed should be out close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. (11) The specifications for the pruning of Palmetto Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: Cabbage Palm (Saba) palmetto): Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be cut close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. C. TREE REMOVAL Tree removal consists of the removal of the entirety of a hardwood tree or palm tree and the removal of its root system. (1) The Contractor shall comply with all general specifications standards described herein, 25B -33 (2) The diameter price given by the Contractor for tree removals shall be inclusive of all staff, materials and equipment necessary to remove trees as described herein. (3) All diameter measurements for tree and stump removals shall be at diameter at trunk flare. (4) All diameter measurements for tree only removals shall be at diameter at breast height. (5) As stated previously herein, the Contractor shall Identify the location of all utilities and private property landscape Irrigation components prior to the removal of a tree and Its root system, The Contractor shall notify the City Arborist or designated representative, in writing, of any condition that prevents the removal of a tree and /or the grinding of its root system. The Contractor shall take all responsibility for any damage that occurs once the process of removing a tree and /or associated root grinding begins. (6) The Contractor shall comply with wildlife protection standards described herein whenever removing a tree, (7) The Contractor shall not remove any tree without first confirming that the tree - -- contacting the City Arborist for assistance. (S) During a tree removal, the Contractor shall maintain control of the tree and Its parts at all times, which shall include the selection and use of proper techniques and equipment. At no time shall branches, limbs or tree trunks be allowed to freefall and create damage of any type. Loss of control Incidents shall be penalized. (g) While loading and handling debris, the Contractor shall maintain control at all times so as not to result In damage to the public rights or way or private property. In addition, the Contractor shall not drop logs or trunks so as to create undue noise or impact shock related damages to public and /or private property. (14) Stumps, including the root flare shall be ground to a depth of no less than eighteen (18) inches. Surface roots shall be traced and ground to a depth of no less than eight (8) inches, Debris generated by stump grinding and root removal shall be removed from the site and replaced with native soil, Chips and stump grindings shall not be used as a backfill material. (11) The Contractor shall be responsible for the repair of any private property Irrigation system components damaged during a tree removal or stump grinding. Repairs shall be made using components matching those that were damaged, TREE PLANTING & YOUNG TREE CARE (1) Tree Planting Tree planting consists of the Installation of nursery stock container or palm trees supplied by the Contractor. 2. The Contractor shall comply with all general specifications standards described herein. 25B -34 3. As stated previously herein, the Contractor shall identify the location of all utilities and private property landscape irrigation components prior to the planting of any tree. The Contractor shall assume full responsibility for any damage that occurs during the planting of any tree, 4. The Contractor shall supply quality nursery stock which Is fully rooted and representative of recognized standards for size and quality of the material being planted. 5. Brown trunk height (BTH) for palm trees shall be measured from the top of root bait to the lowest green frond attached to the trunk at an angle of ninety (90) degrees, 6. Planting stock shall be well watered prior to shipping and covered for the duration of transport. Trees that are delivered uncovered, with a dry or fractured root ball or with broken scaffold limbs will be rejected, Root bound material will be rejected. Palms that are delivered uncovered, with a dry root ball or with a soilless root ball will be rejected. 7. The Contractor shall not begin excavation for the planting of a tree without first confirming that the planting site being considered Is Indeed the site intended for the planting of a tree. Any confusion should be planting pits, the Contractor shall not excavate deeper than the depth of the root ball of the tree being installed. The bottom of the planting pit shall be undisturbed so that the planted tree will not settle below top of root ball grade standards defined herein. As the width of the parkway allows, the Contractor shall excavate the planting pit to be two (2) times the width of the root ball of the nursery stock being planted. 8, All nursery containers and box sides shall be removed from tree root balls prior to planting. The Contractor shall not install trees with box bottoms left on. All container debris (e.g. strapping, box fragments, and nails) shall be removed from the planting pit prior to backfilling, 9, The Contractor shall install the tree or palm so that the top of root ball is at grade with top of curb so that the trunk flare is completely exposed. In the event that there is no curb (i.e. park site), the Contractor shall install the tree or palm so that the top of root ball is two (2) Inches above surrounding finish grade. The Contractor shall not resort to cutting or trimming the root ball as a means of meeting grade standards. 10. The Contractor shall backflll hardwood tree plantings with excavated native soil, 11. The Contractor shall backflll transplanted palm plantings with one hundred (100) percent washed mortar (plaster) sand. 12. While backfilling, the Contractor shall cease backfilling when the planting pit is one half (1/2) full and apply water to remove air pockets from the backfill. Once the water has drained, the Contractor shall resume backfilling the planting pit. A watering basin shall be constructod in a uniform circle and shall extend from the center of the tree trunk to six (6) inches beyond the edge of the root ball. The top of the watering basin shall be graded and maintained uniformly with the upper edge of the 25B -35 basin maintained at a grade of four (4) inches above the root flare of the tree, 13. The Contractor shall be responsible for the stability of planted trees. The nursery stake stall be removed from the trunk of the tree (as applicable) and the tree shall be double staked using two (2), two (2) Inch lodge pole stakes of a length sufficient to be installed beyond the depth of the planting stock root ball and to extend to the upper branches of the Installed tree's crown, The stakes shall be installed an equal distance from the trunk of the tree and shall be Installed perpendicular to the street or sidewalk and shall be installed so that one stake is orientated to be one hundred eighty (180) degrees opposite the other. The root ball shall not be damaged by the installation of stakes. The trunk of the tree shall be attached to the stakes using City approved tree ties Installed as per manufacturer's specifications. (2) New Tree Care New Tree Care consists of the Irrigation of young trees which have been installed by the Contractor and the cultivation of new canopy coverage. 1. The Contractor shall comply with ail general specifications standards _described herein 2, As stated previously herein, the Contractor shall Identify the location of all utilities and private property landscape irrigation components prior to the planting of any tree. The Contractor shall take all responsibility for any damage that occurs during the planting of any tree. 3. The Contractor shall not use hoses, equipment or water from private properties when watering parkway trees, 4. While performing tree watering, the Contractor shall maintain the tree watering basin to Include the removal of weeds and debris and the maintenance of the watering basin to size and grade standards defined herein. 5. Trees shall be watered In such a manner that does not result in erosion of the tree watering basin, splashing of parked vehicles or damage to any of the tree's surroundings. Haphazard riggings and /or watering out of the window from the cab of watering equipment will not be tolerated. 6, The Contractor shall maintain a daily log of trees watered. The log shall list the tree watered by site. A printed copy of the log, which shall be maintained in digital format, must accompany invoicing for tree watering services by the Contractor. E. ROOT PRUNING SPECIFICATIONS (1) In an effort to minimize future damage to public sidewalks and curbs and gutters, the City is initiating a root pruning and root barrier installation program. The Contractor will be provided a listing of trees to be root pruned. The list shall include the location of the tree, tree species, lineal feet to be root pruned and area to be pruned such as sidewalk or curb and gutter. 25B -36 (2) Roots shall be pruned adjacent to the edge of the sidewalk, curb and gutter or other improvements as Indicated. Root pruning cuts adjacent to the sidewalk shall be up to four (4) inches wide /twelve (12) Inches deep, and a minimum of twelve (12) feet in each direction from the centerline of the tree as measured from the top of the sidewalk or other improvements. Root pruning cuts adjacent to the curb shall be four (4) inches wide, eighteen (18) Inches deep, and a minimum of eight (8) feet In each direction from the centerline of the tree as measured from the top of the curb or other Improvements, (3) Root pruning equipment shall be specifically designed for this purpose with cutting teeth sharpened adequately to sever roots In a clean manner and equipped with padded tracks or rubber tires to prevent scraping or marking the sidewalk. (4) After the pruning out has been completed, the Contractor shall install the appropriate amount of root pruning barrier by Deep Root Corporation, or an approved equal. All cuts shall be backfilled immediately upon completion of root pruning and barrier installation at each location. BackfBl material shall consist of soil and /or mulch from root pruning and shall be free of rocks and other debris. All debris generated by these operations shall be immediately removed from the site and properly disposed of by the Contractor, systems within the right- of -way that are damaged or removed as a result of the root pruning operation. Repairs shall be implemented immediately and completed by the end of the same working day. Repairs and replacements shall be at least equal quality and configuration to existing improvements and shall match them In finish and dimension. (6) The Contractor shall submit a lineal foot cost for the root pruning and root barrier installation. The cost of providing all labor, tools, equipment and materials necessary for performing the specified work will be included in the Proposal price and no additional compensation will be allowed. CONSULTANT ARBORIST The contractor will provide the service of a consultant arborlst When requested , the consultant arborlst will be performing tree health assessment which should include 360 degree, ground -based visual Inspections of the tree crown, trunk, trunk flare, above ground roots and branch and stem defects, drilling evaluation of target risk Increment, boring, probing, , sounding, sub - surface root and soil assessment and site conditions around the tree in relation to targets, 25B -37 EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES Botanical Name CITY OF SANTA HOLLY OAK CRAPE MYRTLE CANARY ISLAND PINE SOUTHERN MAG• NOLIA DING PALM WHITE CRAPE MYRTLE FERN PINE 25B -38 5,497 5,351 4,218 3,510 2,966 2,048 1,901 1,646 1,355 1,293 1,132 801 632 534 527 620 475 442 394 356 312 275 258 251 200 194 '192 165 132 129 128 127 123 121 109 108 YEW P NE SYCAMORE BOTTLE_TREE SILVER DOLLAR GUM BLOODGUOD_PLANE WHITE ALDER MEXICAN SYCAMORE PINK TRUMPET TREE SWEETSHADE_ ALEPPO PINE ARISTOCRAT PEAR PURPLE-LEAF PLUM INCENSE CEDAR CHINESE FRINGE TREE OAK VICTORIAN BOX SIBERIAN ELM CANARY ISLAND DATE PALM PURPLE ORCHID TREE- OLIVE EILQ L.YPTUS OTHER TREE DANCER PEAR RED IRgNBARK 25B -39 100 99 99 98 98 97 95 92 90 88 86 85 83 78 77 74 71 69 65 59 59 55 ,53 51 50 47 47 46 46 44 43 42 40 33 33 32 32 32 27 26 26 26 26 25 25 AVOCADO ITALIAN STONE PINE CORK OAK PINE RUSTY LEAF FIG EDIBLE L QQUAT SILK -FLOSS TREE TORREY PINE PEPPERMINT TREE CAROLINA LAUREL CHERRY DRAKE ELM ~ RED FLOWERING GUM WHITE MULBERRY SIERRA BLANCA PEAR SAMUEL SOMMER MAGNOLIA PALM MEDITERRANEAN FAN PALM RED GUM CHINESE JUNIPER JAPANESE BLACK PINE QUEENSLAND PITTOSPORUM SOUTHERN LIVE OAK BRUSH CHERRY PINDO PALM 25B -40 22 22 22 22 19 19 19 19 18 17 16 14 13 13 12 '12 12 11 11 10 10 10 9 8 II 7 7 7 6 6 6 6 5 5 5 5 5 5 5 5 5 4 4 MADEIRA BAY FIG PALMETTO BRUSH CHERRY SPANISH DAGGER ACACIA SILVER MAPLE MAPLE HONG KONG ORCHID TREE- AMERICAN ELM BUNYA -BUNYA PAPER MULBERRY CROWN OF GOLD TREE CHESTNUT FALSE CYPRESS LEMON GREEN GEM INDIAN LAUREL EIG KUMQUAT WALNUT JUNIPER RUSSET MAGNOLIA MAGNOLIA FR SERS PFIOTINIA MOCK ORANGE FLOWERING PEAR RED OAK 25B -41 4 4 4 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 1 TRIANGLE PALM_ ASH GUM SWAMPMAHOGONY 7 1 1 1 1 1 1 1 25B -42 1 1 1 1 1 Total; 50.799 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES PLANTING STANDARD 25B -43 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES YEAR 1 ESTIMATED ANNUAL TRIM CYCLE 2015.2016 Fiscal Chinese Fringe Grid - Light barge 47 Annual Estimated 15)16 Species Prime': Prime Scars Quantity Trim iYextTrim _ 483 37 Prune 520 cycle y TS;$ African Sumac 100 6 loo 1 15� Brisbane Box 2373 3176 38 5549 2 151' Bronze Loquats 46 52 98 4 1511 Camphor 1898 2 1900 5 20/21 5116 Canary Island Pine (Winter Only) 1917 131 2048 2 1 16 Carrotwood 899 1 268 ]167 2 AL> Chinese Fringe 43 4 47 2 15)16 Chinese Pistache 4 18 22 2 Elm Chinese 483 37 520 3 TS;$ him Siberian 41 6 47 3 15� Eucalyptus species combined 319 37 38 394 2 151' Gorden Rain tree 69 29 98 2 ` 1511 YCa;nolias species combined 737 406 1143 3 111 Olive 38 4 42 3 3a1 Orchid tree (Only in winter) 50 2 52 2 7St, Peppermint Tree 5 5 10 1 511° Trumpet Tree Species 709 13 722 4 1511¢ , Tipn 354 2 356 1 77;% T Yew pine 92 92 5 20121 Total Queen Palm: 5,361 Total Hardwood Trees: 14,682 Grid Prune: 10,254 Light Prune: 4,390 25B -44 Large Scale Prune: 36 EXHIBIT EI CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES PROPOSER'S CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals, I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price , Pricing shall be based on a unit cost for services described in Exhibit A. Fee must be inclusive of all costs, including but not limited to, direct and Indirect costs for labor, overhead, Incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. 81d`praposal fee-will be based +an i�runing Section Grand Total Prfca. PRUNING SECTION Description Emit U?J(F'PRfCI ;4nnUalrOnts TOTAE`PRfCE ' LI ht Prune Each $ 37.00 4,300 Year f s 162,430.00 a ^ Grid Prune — _ Each $ 63.00 _ io,asa�nar�L_ s 646�,�002,00 b Annual Queen Palm Prune Each s 29,00 s 361 Year 1 $ 155,469.00 G 81-Annual hate Palm Prune Each 95,00 $ 203 Year2 s 19,285,00 a Bi- Annual Canary Island Palm Prune Each 44 rear2 4,180,00 _s95-00 q e BI- Annual All Other Palm Prune Each 50.00 e03 45 150,00 ,s (Year 2) g GRAND TOTAL PRICE – PRUNING SECTION ONLY (a +b +c *e +a +ri $ 1,032,516.00 City at Sanfa Ana Street Tres Maintenance RFP �� Exhibit A Page 48 25B -45 SPECIALTY SERVICES S Serwoo Re uost Prune 'Os' Prune L e Oar So I Prune_ qLQ28cale Prune LRoot Unit UNITPRICE Palm Sk, Palm Skinnin Per Foot 15,00 ,nn'n R Tr Tree, & Stu oe & Stump Groc _5 ,Stump Diameter Standard Haight Per Inch $ 27M_ LREMOVAL$ e Oni Removal Troesla!y Flemoval Diameter Standard Height Per Inch 19.00 m I �:O Only Removal INSPECTIONS Diameter Standard Height Per Inch 1 8.00 eo Orl a tj Infection Report Ass si�rr _e _LO±L L Per Tree 200.00 Consultant Arborigt Ins ection Level l,2oO Per Hour L�140.00 PLANTING — DESIGNATED SPECIES -Plant 16 Gallon With root barrier I Each 160.00 -.Plant 24 inch Box with root border Each $ 300.00 _Plant 16 Inch Box with root barrier Each_ y..95p.0Q Plant 48 inch Box with root barrier Each 2,400.00 Plant 60 inch Box with root barrier Each $ 4,200-00 PLANTING 8 ECIAL VARIETY TREES * Plant 15 Gallon with root barrier Each 175.00 Plant 24 inch Box with root harder Each j_150,00 Plant 36 Inch Box with root barrier Each $ 105000 Plant 48 Inch Box with root barrier Each $ 2 550 00 L Plant 60 Inch Box with root barrier Each 4 g00 0 �O SPECIALTY SERVICES S Serwoo Re uost Prune 'Os' Prune L e Oar So I Prune_ qLQ28cale Prune LRoot Each Each 0 400.00 Root Prun� Root Prunin with 12 with barrier Foot 1900 Pruning nj IS Pruning'.wIth Foot $ 24.00 I _NlatonnR_af oun trees, water truck & op .�qrator I ALLOO CREW RENTALS _00 Grew Ronqta!l (3 man Minimum 3 Hours Per Hour 210,00 =1_1_=0z0001 Emer' inimurn 3 hours Per Hour City of Santa Ana Street Tree Maintenance RFP Page 40 25B-46 YEAR 2 ESTIMATED ANNUAL TRIM CYCLE 2016.2017 'Iseal Species Grid Light Large Seale Quantity Annual Trim Estimated Year Prune- Prune Prune Cycle Next Trim African Sumac 100 t00 I Australian Willow 605 194 799 3 Bottle Brush, Alt Lemon, weeping 107 43 150 3 Bottle Tree 75 13 88 3 Cape Chestnut 76 182 258 5 21/22, . Carob 120 1 121 3 ffm Catalpa 11 11 4 20121 Cherry Brush 8 1 9 4 20/21 Fern Pine 108 21 129 3 Fie (is Benia, Niddn: Rubd.inosrr 101 4 88 19,3 2 Jacarandas 2797 1416 7 4220 2 Llquidambar 963 410 1373 2 Locust (Black, honey) 44 30 74 2 Mulberry 9 1 10 2 Pear species combined. 1900 448 2348 3 Pecan 18 8 26 2 Elm Pepper Brazilian, California 567 60 627 2 Peppermint Tree 5 5 t0 1 Pittosporum Mock Orange 2 2 3 mePittosporum Queensland 5 5 3 No Privet Glossy 62 66 I28 3 Sweetshade 58 13 58 3 Tip 354 2 356 1 Tulips 1 534 154 380 4 20/21 White Alder (Raise Only) 1 83 83 4 20/21 Total Palms: 6,261 Queen Palms: 5,361 Canary Island Date Palm: 44 Date Palm: 203 Other Palms: 903 Total Hardwood Trees: 11,879 Grid Prune: 8,712 Light Prune: 3,072 Large Scale Prune: 95 25B -47 GPS Tree Inventory cast only applies to new trees planted after completion of initial Tree inventory. G o s a tivo Ruraha in_,c It is intended that any other public agency (e.g., city, county, school district, public authority, public agency, municipality, and other political subdivision or public corporation) shall have the option to participate in any award made as a result of this solicitation at the same pricas. The City of Santa Ana shall incur no financial responsibility in connection with any purchase by other public agency. The public agency shall accept sole responsibility for placing orders and making payments to the vendor. L_� oreClas,,,(f'sca4ian _The work- performed on -this corttr'<act -la- routine, recuning; and-usual °7heW ritindluefes uVaterng; ____ trimming, pruning, planting, removal and replacement of trees and plants, and servicing of irrigation. The rates Included in the Cost Proposal are based on prevailing wage determination "Landscape Maintenance Laborer". Coast Arborists, Inc. (800) 621 -37141 Fax: (714) 991 -1027 AND 2200 E. Via Burton, Anaheim, CA 92806 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. -- PROPOSALS THAT 00 NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP Page 60 r EXHIBIT C ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # __ relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional Insureds ( "additional Insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2 With respect to claims arising out of the operations and uses performed primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materlally reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy#_ Issued to Countersigned 10 25B -49 this endorsement form as a part of Insured Authorized Representative by 25B -50 REQUEST FOR PROPOSALS (RFP) FOR PROVIDING STREET TREE MAINTENANCE SERVICES KEY RFP DATES: Issue Date: Mandatory Pre - proposal Meeting: Proposal Due Date: Presentation /Interviews: Projected Award Date: RFP NO.: 15 -016 CITY OF SANTA ANA Public Works Agency 220 South Daisy Avenue Santa Ana, CA 92703 Danell Mercado Projects Manager (714) 647 -3308 Office (714) 647 -3345 Fax dmercado &santa- ana.org Monday, March 31, 2015 Tuesday, April 14, 2015 — 10:00 a.m. Friday. May 1, 2015— 4:00 p.m. Wednesday. May 13, 2015 Tuesday, June 16, 2015 Exhibit 2 Fred Mousavipour Executive Director Public Works Agency NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide street tree maintenance services to maintain an inventory of the parkway and median trees within the City's urban forest. Responses to the Request for Proposals (RFP) will be accepted until Friday, May 1, 2015 at 4:00 PM. If further information is required, contact Danell Mercado at dmercado(asanta- ana.oro. All notifications, updates and addenda will be posted on the City's current RFP Bid page at www.santa- ana.org /bids- rfps. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. The successful proposer must possess or obtain a valid California Class C27 Contractor's license and a C- 61/D49 Contractor License, and a City of Santa Ana Business License prior to the scheduled award date of this contract. MAILED, DELIVERED BY HAND, or COURIERED proposals will be accepted as follows: City of Santa Ana Public Works Agency, Ross Annex, Third Floor 20 Civic Center Plaza Santa Ana, CA 92701 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Proposals shall be made in writing via e-mail to Dane][ Mercado at dmercado osanta- ana.org. The receiving time in the Public Works Agency, 20 Civic Center Plaza, Santa Ana, CA 92701, Ross Annex, Third Floor, will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic, and facsimile proposals will not be accepted. ONLY SEALED RFP RESPONSES ARE ACCEPTABLE DO NOT E -MAIL RFP RESPONSES DO NOT FAX RFP RESPONSES City of Santa Ana Street Tree Maintenance RFP Page 1 25B -52 (9) CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR STREET TREE MAINTENANCE SERVICES TABLE OF CONTENTS I. FUNCTIONS AND RESPONSIBILITIES 12 PAGE I. INTRODUCTION 4 II. PERIOD OF CONTRACT 4 Ill. OPTION OF RENEWAL 4 IV. FISCAL NONFUNDING CLAUSE 4 V. PROPOSAL DEPOSIT AND PERFORMANCE BOND 4 VI. SCOPE OF WORKISERVICES 5 VII. GENERAL INFORMATION 5 VIII, COORDINATION 5 IX. PROPOSER RESPONSIBILITIES 6 X. LICENSE REQUIREMENTS 6 XI. PREVAILING WAGE 6 XII. INITIATION /KICK OFF MEETING 6 XIII. CITY BUSINESS LICENSE 6 XIV. ADDENDA 6 XV. RULES FOR PROPOSALS 7 XVI. MANDATORY PREPROPOSAL MEETING 7 XVII. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS 7 XVIII. SUBMITTAL INFORMATION AND DEADLINE 7 XIX. SUBMITTAL REQUIREMENTS 7 XX. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION 10 XXI. REVIEW EVALUATION RESULTS AND AWARD 11 XXII. PROTEST PROCESS 11 I. FUNCTIONS AND RESPONSIBILITIES 12 II. SCOPE OF WORK 14 III. TECHNICAL MAINTENANCE SPECIFICATIONS 23 IV. GENERAL MAINTENANCE REQUIREMENTS 23 EXHIBIT B — CITY OF SANTA ANA SPECIES LIST 37 EXHIBIT C — PLANTING STANDARD 42 EXHIBIT D — ESTIMATED ANNUAL TRIM CYCLE 43 EXHIBIT E — TREE MEDIAN SPECIES 47 EXHIBIT F — PROPOSER'S CERTIFICATION and PROPOSAL ITEM PRICING 48 EXHIBIT G — RELEVANT WORK HISTORY 51 EXHIBIT H — PROPOSER'S STATEMENT 53 EXHIBIT I — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR 54 EXHIBIT J — RESPONSIBLE PROPOSER— SUPPLEMENTAL QUESTIONAIRE 56 EXHIBIT K— NONCOLLUSION AFFIDAVIT 59 EXHIBIT L — SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL 60 City of Santa Ana Street Tree Maintenancef 58-53 Page 2 GENERAL LIABILITY POLICY EXHIBIT M — SAMPLE AGREEMENT 61 EXHIBIT N — TREE ORDINANCE NO. NS -2414 68 ATTACHMENT 1 — CITY BOUNDARY MAP 74 ATTACHMENT 2— SAMPLE NEIGHBORHOOD MAPS 75 ATTACHMENT 3 —TREE DISTRICT MAPS 83 City of Santa Ana Street Tree Maintenance RFP 25B_54 Page CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR STREET TREE MAINTENANCE SERVICES INTRODUCTION The City of Santa Ana is issuing this Request for Proposals (RFP) to provide street tree maintenance services to maintain an inventory of the street and median trees and trees within the City's urban forest. II. PERIOD OF CONTRACT Unless earlier terminated as allowed for in the agreement, contract term shall be for a period of two (2) years. The contract term is anticipated to commence after City Council award of this contract and upon receipt and approval of all required bonds and insurance documents. The projected contract award date is June 16, 2015, with contract start date as July 1, 2015, and may be adjusted as necessary. III. OPTION OF RENEWAL The term of this agreement shall have provision for two, two -year renewal option at the discretion of City and City Council approval unless the City notifies Contractor in writing at least thirty (30) days before the end of the initial term or any extended term, of its intent to terminate the Agreement at the conclusion of the initial term or any extension. Time is of the essence in the performance of services under this Agreement. No price increase will be considered during the contract term or renewal options. IV. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. V. PROPOSAL DEPOSIT AND PERFORMANCE BOND A proposal deposit in the amount of five percent (5 %) of the total proposed annual contract amount set forth in Exhibit B shall accompany each proposal. The proposal deposit must be in the form of a bid bond, cashier's check, certified check, bank draft, letter of credit, trust company treasurer's check, or money order. Checks shall be payable to the City of Santa Ana. NO PERSONAL OR COMPANY CHECKS WILL BE ACCEPTED. Proposal deposit of the unsuccessful proposers shall be returned upon award of contract by the City. The successful proposer shall supply a performance bond in the amount of one - hundred percent (100°/x) of the successfully awarded total annual contract amount of the proposal prior to execution of the contract. Upon receipt of the performance bond, the proposal deposit will be returned. The proposal deposit is subject to be forfeited if the successful proposer fails to execute the written contract and furnish the required performance bond, or to satisfy any other City of Santa Ana Street Tree Maintenance RFP 25B -55 Page 4 conditions present within a reasonable time as determined by the City. The performance bond is to be renewed annually and submitted by the contractor in the amount of the total annual contract amount. VI. SCOPE OF WORKISERVICES The scope of work may include any and all work efforts related to the Street Tree Maintenance Services as set forth in EXHIBIT A - SCOPE OF SERVICES. The contractor shall be an independent contractor capable of providing experienced, knowledgeable and professional staff. The contractor shall be responsive and maintain excellent working relationships with city residents, businesses, government officials and City staff. The contractor shall provide adequate staffing levels at all times and adhere to established schedules. The contractor shall comply with all federal, state and local laws, rules, regulations, ordinances, and statutes. VII. GENERAL INFORMATION Vlll. A. The term of the contract will begin after the contract award by the City Council and approval of required bonds no later than July 1, 2015. B. When determined appropriate, the City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. C. The proposer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information, attendance at the mandatory pre - proposal meeting, negotiations with City, and /or any other aspect of a proposal prior to award of a written contract will be borne by the proposer. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect in the proposal. E. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractors. Coordination by the awarded proposer with the City, other contractors, and agencies will be required to achieve satisfactory and timely delivery of the required services. Coordination may include, but not be limited to, coordination with neighborhood and civic groups, local and /or state agency boards, and attendance at City Commission, Agency, and Council meetings. City of Santa Ana Street Tree Maintenance RFP 25B -56 Page 5 to The City will decide the manner in which the coordination efforts with be conducted. At the City's option, coordination efforts may be performed by the proposer's direct contact, by the proposer acting through the City or by the City only. When coordination efforts require agreements, such agreements shall be coordinated through the City. The selected proposer will assume responsibilities for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. X. LICENSE REQUIREMENTS In accordance with Section 3300 of the California Public Contract Code, the City has determined that the proposer shall possess a license in the classification specified in the Notice Inviting Proposals. XI. Prevailing Wage The Director of the Department of Industrial Relations of the State of California has ascertained the prevailing rate of per diem wages in dollars, based on a working day of eight hours, for each craft or type of worker or mechanic needed to execute any construction or maintenance contract, which may be awarded by Public Works. The current prevailing wage rates as adopted by the Director of the Department of Industrial Relations are incorporated herein by reference and may be accessed at http: / /www.dir.ca.gov /. The Contractor is required to pay the prevailing wage rate referred to above and is responsible for selecting the classification of workers which will be required to perform this service in accordance with the Contractor's method of performing the work. Pursuant to Section 1775 of the Labor Code (State of California) Contractor shall forfeit $50 for each calendar day, or portion thereof, for each worker paid less than the stipulated prevailing wage rates for any public work done under this Contract or by any subcontractor. XII. INITIATIONXICK OFF MEETING The successful proposer will be required t o services or at any time as required by the including transition of services and scheduling XIII. CITY BUSINESS LICENSE meet with City staff prior to commencement of City, to discuss and agree on operational issues The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. XIV. ADDENDA Any subsequent changes in RFP from the date of preparation to date of submittal will result in an addendum or amendment by the issuing office. Notification of such addendum or amendment shall be effected by posting on City's website, as set forth in the Notice Inviting Proposals. City of Santa Ana Street Tree Maintenance RFP 25B_57 Page 6 XV. RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company, or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer of the proposal has full authority to bind the proposer (Exhibit K). XVI. MANDATORY PREPROPOSAL MEETING A mandatory pre - proposal meeting is scheduled for Tuesday. April 14. 2015, at the Public Works Agency- Maintenance Services, City Yard, 220 S. Daisy Avenue M -85, Second Floor, Santa Ana, CA 92703, at 10:00 AM. The meeting will include a detailed discussion of the project, schedule, relevant details of the service etc. and will be followed by a question -and- answer session. All questions must be submitted in written form. After the pre - proposal meeting, City will respond by e -mail to written questions or requests for clarifications. Said e -mail will be sent to pre - proposal attendees. It is highly recommended that proposer operation /field supervisors attend this meeting. It is the bidder's full responsibility to view and inspect the areas to be maintained in accordance with this specification. XVII. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS To facilitate the RFP process, proposers are required to monitor the City's Bid and RFP page at www.santa- ana.org /bids -rfos. No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein, including the Scope of Services and Terms and Conditions. Every request for such an interpretation must be made in writing via e -mail to the projects manager (dmercado(a)santa- ana.org) no later than Monday April 23, 2015 at 5:00 PM. Significant interpretations or clarifications will be made by an addendum to this RFP, which will be posted to the website. Addenda may become part of the agreement documents. XVIII. SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time, and location set forth on the Notice Inviting Proposals. Faxed and e-mail proposals will not be accepted. XIX. SUBMITTAL REQUIREMENTS The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Submittal of Proposal A. Four (4) copies of the response to the RFP shall be signed by a company official with the power to bind the company. B. One (1) copy of the submittal on a compact disc, USB flash drive or equivalent. Structure your proposal to include the Scope of Services response, general time implementation schedule, fees /contract price, and exhibits. Each firm must address each of the following items in its response to the RFP: A. Statement of Qualifications - In order to maintain uniformity, the Statement of Qualifications must be limited to a MAXIMUM of 20 PAGES (excluding front and back City of Santa Ana Street Tree Maintenance RFP 25B -58 Page 7 covers, section dividers and exhibits). The page limitation includes all appendices, attachments, and supplemental information. The following information is required: 1. Cover Letter — A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. 2. Firm and Personnel Exoerience:A profile of the firm's experience, including the names and experience of personnel and subconsultants who will be providing services. At a minimum, this should include the project manager /principal agent, associates in charge when project manager /principal agent is unavailable, key personnel, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. The project manager /principal agent shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an interview. The firm shall identify at least two (2) ISA Certified Arborists who have at least 5 years' experience in the field of urban forest management that will be responsible for providing project management throughout the life of the contracts as well as a full -time English speaking Project Supervisor who is an ISA Certified Arborist, capable of communicating with any City representative and be authorized to act on behalf of the firm. 3. List of staff qualification including but not limited to: a. Certified Arborists employed by the firm. b. Certified Tree Workers employed by the firm. C. Certified Utility Arborists employed by the firm. d. Utility Line Clearance Specialist employed by the firm. e. Certified Wildlife Protectors employed by the firm. f. California State Licensed Pest Control Advisor employed by the firm. g. California State Licensed Pest Control Applicator employed by the firm. h. Consulting Arborist employed by the firm to consult on tree health issues. I. Technicians providing technical support for inventory software. 4. Documentation of the technical ability and experience similar in scope to the project. a. A description of previous experience, including urban forestry management projects of similar nature and scope. b. A written description of the proposed software program to be used to manage the City's Tree Inventory and firm's ability to provide accurate inventory updates for all trees serviced. C. A statement describing the firm's ability to provide tree inventory data for the City's Geographic Information System (GIS). Data shall be compatible with the City's GIS program. d. A written description of work activities that includes but not limited to the following activities: I. Grid pruning ii. Service responses iii. Planting IV. Removals V. Emergency response protocol e. A written description of the firm's plant to report green waste generated and the method for its disposal. City of Santa Ana Street Tree Maintenance RFP 25B -59 Page 8 f. A complete list of machinery and equipment, including year, serial number and license number, that will be dedicated for use on this contract and all available equipment in reserve to allow for breakdowns. g. A written statement describing the firm's ability to acquire and purchase trees for the City's planting program. Include a description of the facility where the trees are to be stored. 5. Implementation Plan: Proposer shall submit a general description of the deliverables and timelines to complete the project and include firm start date after award and approval on Tuesday, June 16, 2015. 6. Statement of past project disqualifications(s) and litigation. Proposed Quality and Cost Control Plan: to enhance the service and responsiveness to the City. It should include the following: a. The methodology in which the firm will handle complaints from the public and damage to public and private property. b. Effective means to correct problems. C. The means the firm will use for completed the project. 8. Financial Responsibility (Capacity): Proposer shall submit its most recent audited financial statement, evidencing proposer's financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) -day period. If said financial statement does not reflect full ninety (90) -day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity. 9. Proposal Deposit (Bid Bond): Five - percent (5 %) of the total proposed annual contract amount of the proposal item pricing in Exhibit F. The proposal deposit must be in the form of a bid bond, cashier's check, certified check, bank draft, letter of credit, trust company treasurer's check, or money order. Checks shall be payable to the City of Santa Ana. NO PERSONAL OR COMPANY CHECKS WILL BE ACCEPTED. Proposal deposit of the unsuccessful proposers shall be returned upon award of contract by the City. B. EXHIBIT F — PROPOSER'S CERTIFICATION_ AND PROPOSAL ITEM PRICING C. EXHIBIT G — RELEVANT WORK HISTORY D. EXHIBIT H — PROPOSER'S STATEMENT E. EXHIBIT I — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR F. EXHIBIT J — RESPONSIBLE PROPOSER — SUPPLEMENTAL QUESTIONNAIRE G. EXHIBIT K— NONCOLLUSION AFFIDAVIT H. EXHIBIT L— SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY The proposal must be completely responsive to the RFP. Any exceptions to the requirements of this RFP must be included in the proposal. Such exceptions must be included as a separate element of the proposal entitled "Exceptions and Deviations." The Executive Director, in his sole and absolute discretion, may authorize or deny any exceptions. City of Santa Ana Street Tree Maintenance RFP 25B-60 Page 9 J. The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to waive minor inconsistencies in submitted Proposals. XX. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION The criteria for evaluating the proposals submitted will take the following items into consideration: A. Qualifications of Entity and Kev Personnel .................... ............................25% Included ability to provide the requested scope of services, the Proposer's financial capacity, recent experience conducting work of similar scope, complexity and magnitude for other public agencies of similar size, references. B. Approach to Providing the Requested Scope of Services . ............................25% Includes an understanding of the RFP and of the project's scope of services, knowledge of applicable laws and regulations related to the scope of services. C. Price Proposal .................................................................... ............................30% Price Proposals will be evaluated on the basis of the Grand Total Pruning Section submitted in Exhibit F. D. Information Management .......................................... ............................15% 1. Inventory software provided to the City 2. Technical support for software and data management 3. Quantity and types of inventory equipment 4. The ability to provide accurate inventory updates, for all trees serviced, compatible with the City's tree inventory database 5. Geographic Information System (GIS) capabilities E. Innovative and /or Creative Approaches ....................... .............................5% to providing the services that provide additional efficiencies or increased performance capabilities F. Oral Interviews In addition to the written proposal, the top tier proposers may be asked to make an oral presentation to the Selection Advisory Committee. The Contractor should have available a principal in the company and the contractor's proposed project manager to discuss the following: 1. The major elements of the proposal and be prepared to answer questions clarifying the proposal details. 2. A description of similar experience the Contractor has in providing the requested services. Exhibits may also be used. 3. The proposed staffing, supervision coverage, level of training, and fleet and facility resources identified to provide the requested services. 4. Any other are the City finds necessary to address. The proposals will be reviewed by a Selection Advisory Committee of City staff members. The committee will evaluate proposers based on the response to the RFP and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. The committee may interview the top tier of proposers on Wednesday, May 13, 2015, and recommend award of the contract to the proposer who will provide the best quality service at minimum cost to the City. The City reserves the right to negotiate pricing and for City of Santa Ana Street Tree Maintenance RFP 25B_61 Page 10 additional terms City reserves the right to begin negotiations and enter into a contract without an interview or further discussions. XXI. REVIEW EVALUATION RESULTS AND AWARD Proposals will become public record after award of contract. Interested offerors may submit a written request with a self- addressed stamped envelope to receive results of the evaluation. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. Submit your request to City of Santa Ana, Public Works Agency- Maintenance Division, 220 S. Daisy Avenue, Santa Ana, CA 92703. XXII. PROTEST PROCESS Any protest must be submitted in writing to the Executive Director of Public Works, City of Santa Ana, 20 Civic Center Plaza M- 21, Santa Ana, CA 92701 before 4:00 p.m. of the 5" business day following City's notification of intent to award contract. Protester is responsible for ensuring timely delivery of protest. Hand delivered protests must be delivered to the receptionist at the Public Works Receptionist Counter of the 4`h floor of the City Hall Ross Annex. The protest shall include a complete statement of the basis for the protest, and shall specify the basis for the protest. The protest shall include the name, address and telephone number of the person representing the protesting party. The person filing the protest shall concurrently transmit a copy of the protest document, and any attached documentation to all other parties with a direct financial interest which may be adversely affected by the outcome of the protest. Such parties include all other proposers who appear to have a reasonable prospect of receiving an award depending on the outcome of the protest. If a timely protest is received, the Executive Director of Public Works, or designee, shall set a hearing within five (5) business days, or as soon thereafter as a hearing may be set. All interested parties may appear and offer testimony at the protest hearing. Formal rules of evidence shall not apply at this hearing, nor shall testimony under oath be required. The burden of proof shall be on the protesting party to demonstrate that staff's determination of the proposed "best quality service at minimum cost" is arbitrary and capricious or unsupported by substantial evidence in the record. The Executive Director will issue a written decision to the City Council on the protest, which shall also be promptly provided to all interested parties. The procedure and time limits set forth in this paragraph are mandatory and are the proposers' sole and exclusive remedy in the event of a protest. Failure to comply with the procedures shall constitute a waiver of any right to further pursue the protest, including filing a Government Code Claim or legal proceedings. City of Santa Ana Street Tree Maintenance RFP Page 11 25B -62 EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES SCOPE OF SERVICES Contractors must provide costs for each of the service categories described in the specifications outlined in EXHIBIT F. Contractors must also list all deviations from specifications, if any. The routine maintenance locations will serve as the basis for the RFP. At the discretion of the Projects Manager or designee, one or more optional add -on locations and specialized services may or may not be included in the agreement with contractor. In addition, the City at the discretion of the Projects Manager or designee, reserves the right to decrease the scope of work during the duration of the agreement. FUNCTIONS AND RESPONSIBILITIES A. PROJECTS MANAGER The Projects Manager or designee shall have the authority to accept/reject materials, workmanship and to make minor changes in work or schedule. When the performance of the work or completion per schedule is determined to be sub - standard, he /she may (1) recommend that all or a portion of payment be withheld, and /or forfeiture for delay to be assessed; (2) direct the work be accomplished by either City forces or separate contractor, in order to complete the necessary work as close to schedule as possible, and withhold the resulting costs. Payment to be withheld shall be deducted from the next monthly payment due the Contractor, or if the amount is insufficient to cover payment, the Contractor shall be liable and will be billed accordingly. The Projects Manager or designee shall decide all questions, which may arise as to the manner of performance and completion per schedule, acceptable fulfillment of the contract by the Contractor, interpretation of the specifications, and compensation to include completion of work by alternate sources. B. CONTRACTOR (1) Contractor's Office Contractor is required to maintain an office /yard within a sixty (60) minute response time of the job site and provide the office with phone service during normal working hours. During all other times, a telephone answering service shall be utilized and the answering service shall be capable of contacting the Contractor by radio or cell phone. Contractor shall have a maximum response time of sixty (60) minutes to all emergencies. There will be no on -site storage of equipment or materials. Contractor will have full responsibility for maintaining an office and a yard. (2) Submittals The Contractor shall submit to the Projects Manager or designee at the beginning of work, 1) a detailed job schedule, 2) time sheet, 3) names and titles of all persons working on the project, and 4) materials and /or chemicals to be used on the project for approval. All submittals shall be periodically updated as necessary. The Projects Manager or designee shall be immediately notified of any deviation from schedule or material usage. Contractor shall provide sufficient personnel to accomplish the work within the allotted time frames as indicated in this specification. City of Santa Ana Street Tree Maintenance RFP 25B_63 Page 12 (3) Uniforms /Identification The Contractor shall provide to all field personnel a standard uniform with company identification. All vehicles and equipment on the project site shall also be properly marked with company identification. (4) Licenses and Permits In addition to any and all relevant City, State and Federal permits and licenses required for the performance of the work required by this contract, prior to award of contract and without additional expenses to the City, the Contractor shall hold a valid and current California C -27 and a C- 61/D49 Contractor License, and a City of Santa Ana Business License, and submit a copy thereof. Both State licenses must be in good standing for the previous seven (7) years without any official unresolved record of complaints registered or filed with the Board or California Department of Consumer Affairs. (5) Equipment 1. The Contractor's vehicles and equipment shall be neat in appearance and easily identified. Identification on the Contractor's vehicles shall consist of, at a minimum, company name, local telephone number and contract services provided by City of Santa Ana in print no less than eight (8) inches tall. 2. The Contractor shall maintain its vehicles and equipment in safe and mechanically sound condition. 3. The Contractor shall provide all personnel, vehicles, supplies and equipment necessary to perform services. (6) Compliance with Applicable Laws and Regulations 1. Contractor shall perform all requirements under and in strict observance of and compliance with all applicable laws, regulations, ordinances, codes and any other legislative or statutory requirements. 2. Contractor warrants that the performance of services under this contract shall be compliant with the current requirements of the Occupational Safety and Health Act (OSHA) and as it may be amended or updated throughout the term of this contract. (7) Contractor shall provide sufficient personnel to accomplish the work within the allotted time frames as indicated in this specification. (8) Global Positioning System (GPS) The Contractor shall provide all vehicles working in the City with a GPS that enables the monitoring of the location of the contract vehicles at all times via computer. This system will also monitor the day -to -day operation of the vehicles, location of vehicle and the direction and speed of travel. The City and Contractor shall be enabled to view this information via computer at all times. GPS reports shall be available at the request of the City. City of Santa Ana Street Tree Maintenance RFP 25B_64 Page 13 II. SCOPE OF WORK DUTIES AND RESPONSIBILITIES A. INTENT (1) The intent of these specifications is to provide full and complete contract tree maintenance services for parkway and median trees throughout the City herein described, and that such trees be kept in a healthy, weed -free, vigorous, and well -kept state at all times. B. DESCRIPTION OF PROJECT (1) Furnish all labor, equipment, materials, and supervision to perform tree maintenance as described herein including, but not limited to, the following: 1. tree trimming, 2. tree removal, 3. root pruning, 4. tree planting, and 5. electronic management of all work records. C. MINIMUM REQUIREMENTS (1) Proposer must have been in the business of providing full service tree maintenance programs to governmental agencies and /or municipalities that includes, but is not limited to the pruning, removal and replacement of trees for at least five (5) years. In addition, Proposer must provide five (5) references with contact information for the main agency manager. (2) Proposers must show, through documentation by records of past performance and references, a corporate capability that includes the ability to perform the following work, both consistently and concurrent with other required services: Annually trim as many as fifteen thousand (15,000) trees and five thousand five hundred (5,500) palms, ranging in size from six (6) inches in diameter and larger, with work occurring during regular business hours at night or during weekends. Trees and palms shall be trimmed from the safety of a certified aerial boom truck. The Proposer must be prepared to physically display an inventory of equipment for inspection by the City that includes certified aerial boom truck equipment with boom height capacity in excess of ninety (90) feet. The City will not allow workers gaffing into palms as a substitution for equipment that does not meet equipment height requirements. The Proposer must be prepared to trim trees based on seasonal appropriateness and the logistical needs of the City. City of Santa Ana Street Tree Maintenance RFP 25B_65 Page 14 2. Annually remove and grind the stumps of as many as three hundred (300) trees ranging in size from thirty -six (36) inches in diameter and larger, with work occurring during regular business hours. The Proposer must show documentable experience in the safe removal of mature trees using methods of rigging, including the use of cranes. 3. Annually, supply and plant as many as five hundred (500) trees ranging in size from a fifteen (15) gallon to a twenty -four (24) inch to thirty -six (36) inch box -size nursery stock. The Proposer shall exhibit, by portfolio and references, experience with planting projects of the scope and quantity described herein. 4. Annually water and maintain as many as five hundred (500) young trees with a regularly scheduled work plan. (3) The Proposer shall exhibit, by portfolio and references, the capacity to respond to emergency tree incidents, ranging from limb failures on single trees to storm related damages affecting many trees, in a manner that meets the needs of the City. WORKING HOURS (1) Normal working hours shall be within a ten -hour day between the hours of 7:00 AM and 5:00 PM, Monday through Friday. No Saturday or Sunday work is to be scheduled without prior written permission from the City, unless it is an emergency situation. No motorized equipment shall be operated before 8:00 AM or after 5:00 PM. 1. Normal business hours are according to the Municipal Code, Section 18- 314.(i)— Special provisions. 2. (1) Noise sources associated with the maintenance of real property, provided said activities take place between 7:00 a.m. and 8:00 p.m. on any day except Sunday or a federal holiday, or between the hours of 9:00 a.m. and 8:00 p.m. on Sunday or a federal holiday. E. LEVEL OF MAINTENANCE (1) All work shall be performed in accordance with the HIGHEST INDUSTRY STANDARDS, as stated in the enclosed maintenance specification description. Standards and frequencies may be modified from time to time as deemed necessary by the City for the proper maintenance of the sites. (2) If, in the judgment of the City, the level of maintenance is less than that specified herein, the City shall, at its option, in addition to or in lieu of other remedies provided herein, withhold appropriate payment from the Contractor until services are rendered in accordance with specifications set forth within this document and providing no other arrangements have been made between the Contractor and the City. Failure to notify of a change and /or failure to perform an item or work on a scheduled day may, at the City's sole discretion, result in deduction of payment for that date, week, or month. Payment will be retained for work not performed until such time as the work is performed to City standard. (3) The Contractor is required to correct deficiencies within the time specified by the City. If noted deficient work has not been completed, payment for subject City of Santa Ana Street Tree Maintenance RFP 25B -66 Page 15 deficiency shall be withheld for current billing period and shall continue to be withheld until deficiency is corrected, without right to retroactive payments. QUALITY OF WORK AND MATERIALS (1) All material and equipment furnished by the Contractor shall be new, high grade, and free from defects and imperfections, unless otherwise hereinafter specified. Workmanship shall be in accord with the best standard practices. Both materials and workmanship shall be subject to the approval of the Project Manager or designee. All materials used shall be approved in advance by the Projects Manager or designee. G. WORKMANSHIP AND SUPERVISION (1) The work force shall include a thoroughly skilled, experienced, and competent supervisor who shall be responsible for adherence to the specifications expressed within the Scope of Work. All supervisory personnel must be able to communicate effectively in English (both orally and in writing). Any order given to supervisory personnel shall be delivered to the Contractor. The supervisor assigned must be identified by name to ensure coordination and continuity. (2) At a minimum, Contractor shall provide, in addition to one (1) full time supervisor, and up to four (4) pruning crews. Each Pruning Crew shall consist of, at minimum: Three (3) employees — 1 foreman and 2 tree trimmers One (1) boom truck One (1) chipper truck One (1) chipper and pruning equipment including, but not limited to, chain saws, pole pruners, and pole saws. Foremen shall be proficient in English and be a qualified line clearance worker or qualified arborist. Each Large Crews shall consist of at minimum: One (1) foreman Two (2) tree trimmers Six (6) ground workers Three (3) boom trucks One (1) loader with a grappler attachment Two (2) roll off forty (40) yard containers. Foreman and tree trimmers shall be qualified line clearance workers or qualified arborists. SUPERVISION OF CONTRACT (1) All work shall meet with the approval of the Projects Manager or designee. There shall be a minimum of a monthly meeting with the Contractor and the City City of Santa Ana Street Tree Maintenance RFP 25B_67 Page 16 representative to determine progress and to establish areas needing attention. A daily maintenance schedule will be submitted in writing to the City every morning. The supervisor of this contract shall be available to meet with the City's representative daily during working hours, as necessary. (2) Any specific problem area which does not meet the conditions of the specifications set forth herein shall be called to the attention of the Contractor and if not corrected, payment to the Contractor will not be made until condition is corrected in a satisfactory manner as set forth in the specifications. SPECIFICATIONS (1) All work shall conform to the pruning standards as noted in the American National Standard Institute, ANSI A300 (Part 1) — 2008 Pruning Standard and the companion publication Best Management Practices, Tree Pruning (Revised 2008). In all cases the City's representative shall have complete and sole discretion in determining conformance and acceptability of trees trimmed by the Contractor. Trimmed trees rejected by the City's representative shall be excluded from payment. (2) Contractor shall comply with Standards of the Division of Occupational Safety and Health (CAL OSHA) and the American National Standard Institute (ANSI), Z133.1 -1988, Safety Requirements. (3) These specifications are intended to cover all labor, material and standards of architectural, landscaping, and mechanical workmanship to be employed in the work called for in these specifications or reasonably implied by terms of same. Work or materials of a minor nature which may not be specifically mentioned, but which may be reasonably assumed as necessary for the completion of this work, shall be performed by the Contractor as if described in the specifications. J. CORRESPONDENCE All correspondence shall be addressed to: Danell Mercado — Projects Manager Public Works Agency— Maintenance Division 220 South Daisy Avenue — Building A Santa Ana, CA 92703 dmercado(@.santa-ana.org K. PROVISIONS FOR EXTRAS (1) No new work of any kind shall be considered an extra unless a separate estimate is given for said work and the estimate is approved in writing by the City before the work is commenced. The Contractor will be required to provide before and after photographs of safety items or emergency repairs which were made without prior City approval. Documentation of contract compliance may be required on some occasions. (2) Should a change or extra work be found necessary by the City, all changes and extra work shall be performed at the same unit price of any proposal item listed. If the work is not listed as a proposal item, the Contractor shall submit a fair cost City of Santa Ana Street Tree Maintenance RFP 25B -68 Page 17 for the work to be performed. A change order authorization, in writing, will be issued by the City. (3) The City reserves the right to increase or decrease the quantity of any item(s) or portion(s) of the work described in the specifications or the proposal form or to omit portions of the work so described as may be deemed necessary or expedient by the City Arborist or designated representative and the Contractor shall agree not to claim or bring suit for damages, whether for loss of profits or otherwise, on account of any decrease or omission of any kind of work to be done. The City shall reduce the price accordingly. Alterations, modifications or deviations from the work described in the scope of services by Contractor shall be subject to the prior written approval of the City. Any price adjustments shall be made by mutual consent of the parties in that case. L. STREET CLOSURES, DETOURS. BARRICADES (1) Warning signs, lights, and devices shall be installed and displayed in conformity with "The California Manual on Uniform Traffic Devices" for use in performance of work upon highways issued by the State of California, Department of Transportation and as directed by City staff. (2) If the Contractor fails to provide and install any of the signs or traffic control devices required hereby or ordered by the City staff, staff may cause such signs or traffic control devices to be placed by others, charge the costs therefore against the Contractor, and deduct the same from the next progress payment. (3) A traffic control plan will be submitted to the Projects Manager or designee ten (10) days prior to starting this contract. M. DISPOSAL (1) All debris generated by the Contractor in the performance of work shall become the property of the Contractor from and after the time of site clean -up. The Contractor shall dispose of all generated debris at no additional cost to City and shall dispose of debris as is consistent with the requirements of AB 939. 1. Provide disposal reports 2. As requested, City may request Contractor to dump tree mulch at City owned sites at no extra cost to City. 3. All green waste produced as a result of the Contractor's operations under this Agreement shall be reduced, reused, recycled, and /or transformed by Contractor. Weight slips shall be required as proof of final disposal and must be submitted by Contractor with each demand for payment. All brush generated from tree trimming operations shall be recycled where practical. 4. Wood chips City of Santa Ana Street Tree Maintenance RFP 25B_69 Page 18 a. Reducing shall include but not be limited to chipping, grinding, and /or shredding operations. Disposal is to be at a recycling yard for use in a mulching program, and Contractor shall provide proof of such with each demand for payment. b. At the direction of the Maintenance Services Manager, wood waste generated from tree removals shall be chipped into pure wood chips with an even uniform size. These chips may be dumped in specific locations in the City. Reducing will include, but not be limited to using chipped, ground or shredded tree materials as mulch. If the Contractor has a location outside the City where such mulch may be applied, Contractor must provide the City with documentation (included in each demand for payment) from the property owner including indicating location and amount of material to be used at that location. RECORDS (1) Contractor shall provide and operate, at no cost to the City, a computerized tree inventory system that is capable of uploading historic data and that is compatible with the current tree inventory provided by current contractor (Arbor Access) inventory system (web -based SQL Server 2008). 1. This system shall be password accessible twenty four (24) hours each day of the year via the internet. 2. Historic tree inventory and work history data, to be provided by the City, shall be uploaded and operational within Contractor's tree inventory system prior to the commencement of any tree service work under the terms of an awarded contract. 3. Thereafter, the Contractor shall update and maintain the tree site specific, internet accessible, computerized tree inventory system to reflect changes in baseline data (e.g. species, height, DBH) and to record the date, cost and crew identity for any trimming, removal, planting or emergency response work that occurs at any tree site at which tree work is performed. The system shall be upgraded to reflect the removal and replacement of trees, as well as the addition of trees to the inventory. 4. The system shall be capable of maintaining and displaying all past work histories for any and all tree sites in the inventory, both individually and collectively by query, as well as future scheduling to the extent known. 5. All aspects of the system including, but not limited to, data entry, system maintenance, system hardware and /or software upgrades and server security and stability shall be the responsibility of the Contractor and shall be provided at no cost to the City. The system shall not be proprietary in the nature of its function and shall operate and interface with common computer software and web based applications, including City of Santa Ana Street Tree Maintenance RFP 25B -70 Page 19 the ability to export data into common spreadsheet applications. The records created for the City shall be the property of the City. (2) The Contractor shall keep accurate records concerning all of his /her employees or agents. The Contractor shall provide this information in an organizational chart as changes in staffing occur. Additionally, the Contractor shall provide the City with names and telephone numbers of emergency contact employees. (3) Contractor will provide on a monthly basis to the Projects Manager or designee a report of any changes noted or performed by the Contractor to the existing street Park Tree Inventory. The City of Santa Ana reserves the right to adjust quantities to this contract. These adjustments will be determined by the Project Manager or designee. O. EMERGENCY SERVICES The Contractor will provide the City a twenty -four (24) hour emergency phone number and name of at least two (2) qualified persons who can be called by City representatives when emergency maintenance conditions occurs. These Contractor representatives shall respond to said emergency within thirty (30) minutes of receiving notification and mobilize field staff to respond to the emergency within two (2) hours. LICENSE In addition to any and all relevant City, State and Federal permits and licenses required in the execution of the contract, the Contractor shall hold a valid and current California C -27 and a C- 61/D49 Contractor License and submit a copy thereof. Both licenses must be in good standing for the previous seven (7) years without any official unresolved record of complaints registered or filed with the Board or California Department of Consumer Affairs. The name and permit number will be supplied to the City at the beginning of contract, and any changes forwarded within twenty -four (24) hours of said change. Q. CONTRACTOR'S OFFICE Contractor is required to maintain an office within a sixty (600) minutes response time of the job site and provide the office with phone service during normal working hours. During all other times, a telephone answering service shall be utilized and the answering service shall be capable of contacting the Contractor by cell phone or pager. Contractor shall have a maximum response time of sixty (60) minutes to all emergencies. Contractor will have full responsibility for maintaining an office and a yard. There will be no on -site storage of equipment or materials, according to City ordinance: Sec. 36 -145. - Same — Commercial vehicles. No person shall park and /or leave standing on any street, or portion thereof, in any residential district located within the city any commercial vehicle with a manufacturer's gross vehicle weight rating of ten thousand (10,000) pounds or more for a period of time longer than two (2) hours. Such restriction shall not apply to any commercial vehicle which is making pickups or deliveries of goods, wares, and merchandise from or to any building or structure located on the residential street, or for the purpose of delivering materials to be used in the actual and bona fide repair, alteration, remodeling, or construction of any building or structure upon the residential street for which a building permit has previously been obtained. City of Santa Ana Street Tree Maintenance RFP 25B_71 Page 20 R. SCHEDULES The City operates on a four (4) year prune cycle trimming approximately 55,000 trees. The City annually prunes approximately 15,000 trees and approximately 5,000 palms by grid prune. (1) Annual Schedule Upon contract award, the successful Proposer shall be required to submit a work schedule based on the City's annual pruning requirements, removal and placement program, and planting projects. The proposal shall include a recommended annual work program, daily work schedules, personnel and vehicles that would be required to complete the annual maintenance program. Depending on the City's current and future needs, the scheduled work may require multiple crews to perform concurrently within the same time constraints. a. The Contractor shall provide an annual maintenance schedule indicating the time frames when items of work shall be accomplished per the performance requirements. b. The Contractor shall submit revised schedules when actual performance differs substantially from planned performance. (2) Monthly Schedule Contractor shall meet with the City once a month to discuss work performance, special instructions, any problems encountered and upcoming schedules. 2. Changes to the schedule shall be received by the Projects Manager or designee at least twenty -four (24) hours prior to the scheduled time for the work. 3. Failure to notify of a change and /or failure to perform an item of work on a scheduled day may, at the City's sole discretion, result in deduction of payment for that date, week or month. (3) Daily Schedule The Contractor shall meet with the City's representative daily for the purpose of reviewing the week's work, receiving special instructions, and to discuss any problems encountered on the job. Changes to daily schedule can be made verbally or by email to the Projects Manager or designee. (4) Performance on Schedule The Contractor has been provided the maximum latitude in establishing work schedules which correspond to its manpower and equipment resources. The Contractor has also been provided the opportunity and procedure for adjusting those schedules to meet special circumstances. Therefore, all work shall be completed on the day scheduled, as shown on the weekly schedule. S. PERFORMANCE DURING INCLEMENT WEATHER City of Santa Ana Street Tree Maintenance RFP 25B -72 Page 21 (1) During the periods when inclement weather hinders normal operations, the Contractor shall adjust his /her work force in order to accomplish those activities that are not affected by weather. (2) The Contractor shall immediately notify the Projects Manager or designee prior to removing the work force from the job site for agreement on degree of inclement weather or other reasons. If the Projects Manager or designee cannot be reached, the Contractor shall notify Maintenance Services Supervisor. T. PUBLIC NOTICING The Contractor shall supply and post standard signage on the trunk of the tree at the site work at which work is to be performed, at least seventy two hours (72) in advance of work with the signage clearly stating what type of work is to be done and what affect the work will have on parking availability at that particular site. Posting shall be affixed to the tree trunk using materials that do not cause permanent damage to the tree such as twine. In the event that a tree trunk is not available for posting, the Contractor shall affix the posting to a standard size safety cone or a three foot stake and place that cone in the center of the parkway where a tree is to be planted or atop a stump that is scheduled for grinding. U. TOOL SANITATION On all trees, including palms, known or suspected to be diseased, pruning tools and cut surfaces shall be disinfected with a twenty -five (25) percent chlorine bleach solution or one hundred (100) percent Lysol, after each cut and between trees where there is danger of transmitting the disease on tools. Fresh solution shall be mixed daily. Old solutions shall be disposed of through proper disposal methods. Dumping used or old bleach solutions on the ground or down the storm drain and will result in severe penalties to the Contractor. V. WILDLIFE PROTECTION (1) The Contractor shall have a wildlife protection program that outlines employee protocol when discovering wildlife in trees scheduled for pruning. A copy of the program material shall be made available to the Projects Manager or designee. (2) Prior to the commencement of any work in the vicinity of any tree, each tree shall be visually surveyed, from all sides, for the sole purpose of detecting the presence of bird nests or wildlife of any type. If a nest is found and is determined to be active, there shall be no work of any type in the tree in which the nest is found without the verbal or written permission of the City Arborist or designated representative. At no time shall any nest or wildlife be removed from its location. (3) In the event that wildlife is accidentally displaced and needs assistance, the Contractor shall notify the City's Animal Control service and /or the nearest appropriate animal rescue facility, as identified in the Contractor's submittal required herein regarding "Protection of Wildlife', shall be contacted for assistance. W. UNDERGROUND EXCAVATIONS City of Santa Ana Street Tree Maintenance RFP 25B_73 Page 22 The Contractor shall be responsible for locating all underground utility lines to insure the safety of his /her work crew and to protect, in place, existing utility equipment before commencing any excavation. Contractor shall contact the Projects Manager or designee and Underground Service Alert (1 -800- 227 -2600) 48 hours before commencing any excavation, to locate underground service lines. III. TECHNICAL MAINTENANCE SPECIFICATIONS A. TREE INVENTORY (1) Upon contract award, the successful Proposer shall be required to provide a complete update of the City's tree inventory at no additional cost to the City and submit the completed inventory to the City within six (6) months of the contract award. The tree inventory data shall conform to the existing tree inventory database and include but not be limited to the following data fields: (2) Tree Location 1. A Global Positioning System (GPS) tree inventory shall be created with a new database using the City's standardized addressing system for all City owned or maintained easement. The Contractor shall be required to create an ESRI ArcGIS compatible "shapefile ". 2. The inventory shall be capable of showing the location of every existing tree site and vacancies on the City's existing GIS base maps (streets, parcels, addresses, ROW and hardscape, etc.). 3. The tree inventory shall be conducted by visiting each tree site or vacant planting site and plot the position. The data shall be compatible with the latest version of ArcView. The minimum accuracy shall be not more than one (1) sub - meter. 4. The systems should be able to export a shapefile that includes all tree attributes. Latitude /Longitude, Species, Height, DBH, Age or Date Planted (if available), ID number (for linkage to maintenance records), etc. (3) Tree condition General condition of individual trees 2. Condition of surrounding hardscape (i.e. displaced or recent repairs or any lift over three quarters (3/4 ") IV. GENERAL MAINTENANCE REQUIREMENTS All maintenance functions shall be performed in accordance with the following specifications. The City shall have the right to determine schedule days and the extent and frequency of additional "as needed" services. Standards and frequencies may be modified from time to time as deemed necessary by the City for the proper maintenance of the listed trees. All operations will be conducted so as to provide maximum safety for the public and minimize disruption of the public use of City streets. City of Santa Ana Street Tree Maintenance RFP 25B_74 Page 23 Hazardous evaluation of trees or palms at time of trimming and reported through work order system. While performing work of any type, the tree worker should inspect for any obvious hazards related to trees, including uplifted sidewalk segments (lifted over three quarters (3/4 "), all hazardous situations should be corrected or promptly reported to the City. Any structural defect or weakened tree shall be reported to the City's designated representative. This information will be updated, at a minimum, on a weekly basis. Remove leaves, weeds, trash, and other debris from landscaped areas and disposed of off -site. Clean sidewalks, roadways, and any other areas littered or soiled by Contractor maintenance operations. Maintain the premises free of debris at all times. Upon completion of any work project, the Contractor shall remove remaining excess materials, waste, rubbish, debris, and his /her construction and installation equipment from the premises. Any dirt or stains caused by the work shall be removed. Existing City trash containers shall not be used for the disposal of debris collected by the Contractor. Prune trees adjacent to roadway intersections to provide adequate sight distance for vehicles entering the intersection. Prune trees materials so that all traffic control signs are clearly visible to approaching drivers. Notify the City immediately of any unusual and hazardous conditions at the work site. A. HARDWOOD TREE PRUNING Any tree work performed on a City tree must be done according to the City's specifications. The criterion for pruning varies based on the type or purpose of pruning. (1) General Specifications for hardwood tree pruning 1. Contractor shall consult with the City Arborist before making any cuts that could result in permanent disfigurement of the structure of any tree. 2. Trees shall be pruned so as to prevent branch and foliage interference with safe public passage. Street clearance shall be kept to a minimum of fourteen feet (14') above the paved surface of the street and nine (9) feet above the curb and surface of a public sidewalk or pedestrian way. Exceptions are allowed for young trees, which would be irreparably damaged by such pruning action. If pruning to these standards would result in permanent disfiguration of a tree, the Contractor shall not prune the tree until such time as direction is obtained from the City Arborist. 3. When removing a live branch, pruning cuts should be made in branch tissue just outside the branch bark ridge and collar, which are trunk tissue. If no collar is visible, the angle of the cut should approximate the angle formed by the branch bark ridge and the trunk. 4. When removing a dead branch, the final cut should be made outside the collar of live callus tissue. If the collar has grown out along the branch stub, only the dead stub should be removed, the live collar should remain intact and uninjured. City of Santa Ana Street Tree Maintenance RFP 25B_75 Page 24 5. Whenever pruning involves the removal of limbs that are too large to hold securely in one hand during the cutting operation, the limb shall be cut off first at a point several feet beyond the intended final cut. The final cut shall be made in a manner to prevent unnecessary tearing back of the bark and wood. Cuts that result in tearing of tissue on limbs below cuts shall be corrected. 6. All final tree pruning cuts shall be made in such a manner so as to favor the earliest possible covering of the wound by natural callus growth. Excessively deep flush cuts, which produce large wounds or weaken the tree at the cut, shall not be made. The branch collar should not be removed. 7. All dead and dying branches and branch stubs shall be removed. 8. All broken or loose branches shall be removed. 9. Branches that are developing in such a manner as to become larger than the limbs they originate from shall be removed or reduced to half the diameter of the parent branch. 10. When encountering limbs that are weighted with more foliage than the limb is likely to support, selectively prune branches toward the end of the limb in order to reduce end weight and thus decrease the likelihood of limb failure. 11. Selectively reduce and /or remove branches that create sight line conflicts with traffic control signs and /or devices. 12. Selectively reduce and /or remove branches that are within five (5) feet of a structure. 13. Clear trees of sprout or sucker growth to a minimum height of ten (10) feet above ground level. Exceptions are allowed for young trees, which would be irreparably damaged by such pruning action. 14. Prune so as to maintain a balanced appearance when viewed from the opposite side of the street immediately opposite the tree, unless authorized by the City Arborist to do otherwise. 15. Remove all vines entwined in trees and on tree trunks. Vine tendrils shall be removed without injury to trees. 16. Tree limbs shall be removed and controlled in such a manner as to cause no damage to other parts of the tree, or to other plants or property. 17. All tools used on a tree known to contain an infectious tree disease shall be properly disinfected immediately before and after completing work on such tree. All major pest problems shall be promptly reported to the City. 18. All cutting tools and saws used in tree pruning shall be kept sharpened to result in final cuts with an un- abrasive wood surface and secure bark remaining intact. City of Santa Ana Street Tree Maintenance RFP 25B -76 Page 25 19. All trees six (6) inches in diameter or less shall be pruned with hand tools only. 20. Chain saws will not be permitted to remove any branches two (2) inches or less in diameter. This is to prevent any unnecessary abrasions to cambial tissue that may predispose a tree to insect and /or future disease /decay problems. 21. Any extraneous metal, wire, rubber or other material interfering with tree growth shall be removed when possible. 22. The use of climbing spurs or spike shoes in the act of pruning trees is prohibited, unless specifically directed by the City to aid in the safety of climbers performing the removal of a tree. 23. Conifers shall typically be pruned in late winter or early spring. 24. Contractor shall avoid damaging the central leader on all conifers. 25. To control the growth of large, mature conifers contractor shall be required to prune the new growth of lateral limbs. (2) Prune Classifications for Hardwood Trees 1. A Light Prune is performed when conditions within the crown of a hardwood tree are such that only target pruning is needed. Trees that are identified for a Light Prune shall have no more than 15% of the live foliage removed. A Light Prune typically consists of one or more of the following pruning treatments found in sections b, and f below: 2. A Grid Prune is performed when conditions within the crown of a hardwood tree are such that the entire tree needs to be fully pruned. Complete pruning is recommended when the primary objective is to maintain or improve tree health and structure, and includes pruning to reduce overall canopy mass and excessive wood weight. Trees that are identified for a Grid Prune shall have no more than 25% of the live foliage removed. A Grid Prune typically consists of one or more of the following pruning treatments found in sections a., b, c., d., e. and f below: 3. A Large Scale Prune is performed when conditions within the crown of a hardwood tree are such that the entire tree needs to be fully pruned. Complete pruning is recommended when the primary objective is to maintain or improve tree health and structure, and includes pruning to reduce overall canopy mass and excessive wood weight. Trees that are identified for a Large Scale Prune shall have more than 25% of the live foliage removed, have a diameter breast height above 29 ", and /or a 50' spread. All Large scale pruning shall be pre- authorized by the City Arborist or designee. A Large Scale Prune typically consists of one or more of the following pruning treatments found in sections a., b, c., d., e. and f below: A Service Request Prune shall require Contractor to provide tree maintenance services on designated tree(s) as ordered by the City City of Santa Ana Street Tree Maintenance RFP 25B_77 Page 26 Arborist or designee. Duration of tree maintenance services could be less than one full work day, requiring Contractor to mobilize to another work area. Most assignments will require several job site set ups to perform the work dependent on field conditions. A Service Request Prune typically consists of one or more of the following pruning treatments found in sections a., b, c., d., e. and f below: a. Structural Prune: Structural Pruning is the removal of live branches and stems to influence the orientation, spacing, growth rate, strength of attachment, and ultimate size of branches and stems. Structural pruning is used on young and medium -aged trees to help engineer a sustainable trunk and branch arrangement. If young trees are pruned to promote good structure, they likely will remain serviceable in the landscape for more years than trees that have not been structurally pruned. This pruning type can be summed up in the phrase: subordinate or remove codominant stems. Small- maturing trees and shrubs are structurally pruned to properly space codominant stems, reduce or remove rubbing limbs, and provide desirable crown configuration. All branches are to be kept less than half the trunk diameter. Spacing scaffold limbs allows for the trunk and leader to develop properly, gives the canopy a more balanced form, and reduces wind resistance. Suppress growth on branches with included bark to minimize the chance of breakage. b. Crown Cleaning: Crown Cleaning or cleaning out is the removal of dead, diseased, crowded, weakly attached and low -vigor branches and water sprouts from the entirety of the tree crown. Cleaning is the selective removal of dead, diseased, detached, and broken branches. This type of pruning is done to reduce the risk of branches falling from the tree and to reduce the movement of decay, insects, and diseases from dead or dying branches into the rest of the tree. It can be performed on trees of any age but is most common on medium -aged and mature trees. Cleaning is the preferred pruning type for mature trees because it does not remove live branches unnecessarily. Cleaning removes branches with cracks that may fail when the interior wood dries. C. Crown Thinning: Crown Thinning includes the selective removal of branches to increase light penetration and air movement into and through the crown. Increased light and air stimulates and maintains interior foliage, which in turn improves branch taper and strength. Thinning reduces the wind -sail effect of the crown and the weight of heavy limbs. Care must be used to avoid stripping branches of all foliage at the interior of the tree crown. This practice, known as "lion tailing" disrupts the structural integrity of the tree, making it subject to limb and branch failure, especially during high winds. Thinning the crown can emphasize the structural beauty of trunk and branches as well as improve the growth of plants beneath the tree by increasing light penetration. When thinning the crown of mature trees, up to 25% of the live foliage may be removed unless directed otherwise by the City Arborist. City of Santa Ana Street Tree Maintenance RFP 25B -78 Page 27 Crown Reduction: Crown Reduction is used to reduce the height and /or spread of a tree. Crown reduction varies from topping, a destructive practice, in that cuts are not made indiscriminately, resulting in large stubbed off limbs that are subject to decay. Reduction is the selective removal of branches and stems to decrease the height and /or spread of a tree or shrub. This type of pruning is done to minimize the risk of failure, to reduce height or spread, for utility line clearance, to clear vegetation from buildings or other structures, or to improve the appearance of the tree. Portions of the crown, such as individual limbs, can be reduced to balance the canopy, provide clearance, or reduce likelihood of breakage on limbs with defects. While reducing a crown, tree workers must adhere to basic tree trimming practices involving limb /branch size relationships and use of the branch bark collar in avoiding the onset of decay at cut sites. e. Crown Restoration: Crown Restoration is corrective pruning used as a means to restore the form of crowns that have been previously damaged by extenuating circumstances. Restoration is the selective removal of branches, sprouts, and stubs from trees that have been topped, severely headed, vandalized, lion tailed, broken in a storm, or otherwise damaged. The goal of restoration is to improve a tree structure, form, or appearance. Properly done, this technique provides a more pleasing, unpruned natural look to the tree compared to topping or shearing. Crown Raising: Crown Raising consists of removing the lower branches of a tree in order to provide clearance for buildings, vehicles and pedestrians. It is important that a tree have at least one -half of its foliage on branches that originate in the lower two - thirds of its crown to ensure a well- formed, tapered structure and to uniformly distribute stress within the tree. B. PALM TREE PRUNING Any tree work performed on a City tree must be done according to the City's specification. The criterion for pruning varies based on the type or purpose of pruning. Palm Pruning consists of maintaining the crowns and trunks of palm trees including the pruning of spent or declining fronds, seed pods and the skinning or shaping of spent petiole bases into a ball or nut as applicable by palm type. (1) The specifications for the pruning of Queen Palm trees are as follows: 1. Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Queen Palm (Syagrus romanzoffianum): Palm pruning is the removal of fronds, flowers, fruit, stems, or loose petioles that may create a hazardous condition. Palms also may be pruned for aesthetic reasons to eliminate sprouts and stems or dead fronds and seapods. Live, healthy fronds should not be removed. If they must be removed, however, avoid removing those that initiate at an angle of 45 degrees or greater above horizontal. Fronds removed should be severed close to the petiole base without damaging living trunk tissue. Climbing spikes should not be used to climb palms for pruning. City of Santa Ana Street Tree Maintenance RFP 25B_79 Page 28 3. While making an approach to the palm crown for pruning, the Contractor shall inspect the trunk of the palm tree for signs of decay, insect frass, bees, rodents, bird nesting or any other condition suggestive of a structural abnormality. Upon finding any condition suggestive of a structural abnormality of the palm stem, the Contractor shall report to the City Arborist immediately. Care shall be taken in the handling of fruit and flowers as they are likely to release clear liquids that react with and can cause staining to hardscape elements. The Contractor shall be responsible for removing palm fruit related stains from private property hardscape elements. (2) The specifications for the pruning of Canary Island Date Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: Canary Island Date Palm (Phoenix canariensis): dead petiole bases shall be formed into an ornamental ball which begins directly below the lowest green fronds and acts to provide a base of support to the palm crown. This ornamental ball shall be uniform and smooth in appearance and shall extend no less than four (4) and no more than eight (8) feet below the lowest live frond in the crown. Ornamental balls with flattened or "stop sign" sides will not be accepted. The upper portion of the ornamental ball shall not taper in, resulting in a "pineapple' appearance as this treatment defeats the support capacity of the ball. The distal portion of the ball shall begin at a point flush with the periphery of the palm trunk and make a gradual taper upwards until it reaches the periphery of the shaped ornamental ball. The Contractor may use a clean chainsaw in forming and /or shaping the ornamental ball of a Canary Island Date Palm. The use of a sharpened shovels in shaping and maintaining ornamental balls often results in ornamental balls which have flat, untapered bottoms that are likely to relax and collapse into pedestrian and vehicular traffic zones with grave consequences. 3. Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be cut close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. 4. Fronds shall be trimmed using a handsaw, pole saw, or chainsaw that has been sterilized for no less than five (5) minutes by having the entirety of its cutting blade submersed in a twenty -five (25) percent chlorine bleach solution or one hundred (100) percent Lysol, before and after the tool is used to cut the fronds of any other palm tree. 5. Using properly sterilized equipment as described herein, any fruit or flower structures in the crown of the palm shall be removed concurrently with frond pruning. 6. The Contractor shall use care not to cut into live trunk tissue while maintaining the ornamental ball. The Contractor shall remove any foreign plant material that has sprouted in an ornamental ball. The Contractor shall verify that the ornamental ball meets the standard described herein each time a Canary Island Date Palm is pruned. (3) The specifications for the pruning of Date Palm trees are as follows: City of Santa Ana Street Tree Maintenance RFP 25B -80 Page 29 1. Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Date Palm (Phoenix dactylifera): spent petiole bases are left to form a supportive "base" below the lowest green fronds of the crown. Unlike the ornamental ball of a Canary Island Date Palm (Phoenix canariensis), the base does not require ornate shaping. Instead, spent petiole bases are left uniformly long to form the base of the canopy, which shall extend no less than four (4) and no more than six (6) feet below the lowest live frond in the crown. The Contractor may use a chainsaw in forming and /or shaping the base of a Date Palm by shortening a number of the lower petiole bases to bring the length of the nut to standard. The Contractor shall use care not to cut into live trunk tissue while maintaining the nut. The Contractor shall verify that the base meets the standard described herein each time a Date Palm is pruned. (4) The specifications for the pruning of King Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: King Palm (Archontophoenix cunninghamiana): loose petiole bases are to be removed each time the crown of a King Palm is serviced. Petiole bases that are attached to live trunk tissue shall be left undamaged. (5) The specifications for the pruning of Mexican Fan Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: Mexican Fan Palm (Washingtonia robusta): spent petiole bases are left uniformly long to form a base which shall extend no more than four (4) feet below the lowest live frond in the crown. Using hand tools, the Contractor shall verify that the base meets the standard described herein each time a Mexican Fan Palm is pruned. (6) The specifications for the pruning of California Fan Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: California Fan Palm (Washingtonia filifera): spent petiole bases are left uniformly long to form a nut which shall extend no more than eight (8) feet below the lowest live frond in the crown. The Contractor shall verify that the base meets the standard described herein each time a California Fan Palm is pruned. (7) The specifications for the pruning of Windmill Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Windmill Palm (Trachycarpus forlunei): Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be cut close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. City of Santa Ana Street Tree Maintenance RFP 25B-81 Page 30 (8) The specifications for the pruning of Pindo Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Pindo Palm (Butia capitata): Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be cut close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. (9) The specifications for the pruning of Mediterranean Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Mediterranean Palm (Chamaerops humilis): Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be cut close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. (10) The specifications for the pruning of Guadalupe Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Guadalupe Palm (Brahea edulis): Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be cut close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. (11) The specifications for the pruning of Palmetto Palm trees are as follows: Maintenance of the ornamental ball located at the base of the palm canopy, directly below the live fronds, shall be as described by species as follows: 2. Cabbage Palm (Saba) palmetto): Live, healthy fronds, initiating at an angle of 90 degrees or greater from the horizontal plane, shall not be removed. Fronds removed should be cut close to the petiole base, taking into consideration the role of petiole bases in the formation and maintenance of the ornamental ball at the base of the canopy, as applicable by species. C. TREE REMOVAL Tree removal consists of the removal of the entirety of a hardwood tree or palm tree and the removal of its root system. (1) The Contractor shall comply with all general specifications standards described herein. City of Santa Ana Street Tree Maintenance RFP 25B -82 Page 31 (2) The diameter price given by the Contractor for tree removals shall be inclusive of all staff, materials and equipment necessary to remove trees as described herein. (3) All diameter measurements for tree and stump removals shall be at diameter at trunk flare. (4) All diameter measurements for tree only removals shall be at diameter at breast height. (5) As stated previously herein, the Contractor shall identify the location of all utilities and private property landscape irrigation components prior to the removal of a tree and its root system. The Contractor shall notify the City Arborist or designated representative, in writing, of any condition that prevents the removal of a tree and /or the grinding of its root system. The Contractor shall take all responsibility for any damage that occurs once the process of removing a tree and /or associated root grinding begins. (6) The Contractor shall comply with wildlife protection standards described herein whenever removing a tree. (7) The Contractor shall not remove any tree without first confirming that the tree being considered is indeed the tree to be removed. Any confusion should be resolved by contacting the City Arborist for assistance. (8) During a tree removal, the Contractor shall maintain control of the tree and its parts at all times, which shall include the selection and use of proper techniques and equipment. At no time shall branches, limbs or tree trunks be allowed to freefall and create damage of any type. Loss of control incidents shall be penalized. (9) While loading and handling debris, the Contractor shall maintain control at all times so as not to result in damage to the public rights or way or private property. In addition, the Contractor shall not drop logs or trunks so as to create undue noise or impact shock related damages to public and /or private property. (10) Stumps, including the root flare shall be ground to a depth of no less than eighteen (18) inches. Surface roots shall be traced and ground to a depth of no less than eight (8) inches. Debris generated by stump grinding and root removal shall be removed from the site and replaced with native soil. Chips and stump grindings shall not be used as a backfill material. (11) The Contractor shall be responsible for the repair of any private property irrigation system components damaged during a tree removal or stump grinding. Repairs shall be made using components matching those that were damaged. D. TREE PLANTING & YOUNG TREE CARE (1) Tree Planting Tree planting consists of the installation of nursery stock container or palm trees supplied by the Contractor. 2. The Contractor shall comply with all general specifications standards described herein. City of Santa Ana Street Tree Maintenance RFP 25B_ 83 Page 32 3. As stated previously herein, the Contractor shall identify the location of all utilities and private property landscape irrigation components prior to the planting of any tree. The Contractor shall assume full responsibility for any damage that occurs during the planting of any tree. 4. The Contractor shall supply quality nursery stock which is fully rooted and representative of recognized standards for size and quality of the material being planted. 5. Brown trunk height (BTH) for palm trees shall be measured from the top of root ball to the lowest green frond attached to the trunk at an angle of ninety (90) degrees. 6. Planting stock shall be well watered prior to shipping and covered for the duration of transport. Trees that are delivered uncovered, with a dry or fractured root ball or with broken scaffold limbs will be rejected. Root bound material will be rejected. Palms that are delivered uncovered, with a dry root ball or with a soilless root ball will be rejected. 7. The Contractor shall not begin excavation for the planting of a tree without first confirming that the planting site being considered is indeed the site intended for the planting of a tree. Any confusion should be resolved by contacting the City Arborist for assistance. In excavating planting pits, the Contractor shall not excavate deeper than the depth of the root ball of the tree being installed. The bottom of the planting pit shall be undisturbed so that the planted tree will not settle below top of root ball grade standards defined herein. As the width of the parkway allows, the Contractor shall excavate the planting pit to be two (2) times the width of the root ball of the nursery stock being planted. 8. All nursery containers and box sides shall be removed from tree root balls prior to planting. The Contractor shall not install trees with box bottoms left on. All container debris (e.g. strapping, box fragments, and nails) shall be removed from the planting pit prior to backfilling. 9. The Contractor shall install the tree or palm so that the top of root ball is at grade with top of curb so that the trunk flare is completely exposed. In the event that there is no curb (i.e. park site), the Contractor shall install the tree or palm so that the top of root ball is two (2) inches above surrounding finish grade. The Contractor shall not resort to cutting or trimming the root ball as a means of meeting grade standards. 10. The Contractor shall backfill hardwood tree plantings with excavated native soil. 11. The Contractor shall backfill transplanted palm plantings with one hundred (100) percent washed mortar (plaster) sand. 12. While backfilling, the Contractor shall cease backfilling when the planting pit is one half (1/2) full and apply water to remove air pockets from the backfill. Once the water has drained, the Contractor shall resume backfilling the planting pit. A watering basin shall be constructed in a uniform circle and shall extend from the center of the tree trunk to six (6) inches beyond the edge of the root ball. The top of the watering basin shall be graded and maintained uniformly with the upper edge of the City of Santa Ana Street Tree Maintenance RFP 25B_84 Page 33 basin maintained at a grade of four (4) inches above the root flare of the tree. 13. The Contractor shall be responsible for the stability of planted trees. The nursery stake stall be removed from the trunk of the tree (as applicable) and the tree shall be double staked using two (2), two (2) inch lodge pole stakes of a length sufficient to be installed beyond the depth of the planting stock root ball and to extend to the upper branches of the installed tree's crown. The stakes shall be installed an equal distance from the trunk of the tree and shall be installed perpendicular to the street or sidewalk and shall be installed so that one stake is orientated to be one hundred eighty (180) degrees opposite the other. The root ball shall not be damaged by the installation of stakes. The trunk of the tree shall be attached to the stakes using City approved tree ties installed as per manufacturer's specifications. (2) New Tree Care New Tree Care consists of the irrigation of young trees which have been installed by the Contractor and the cultivation of new canopy coverage. 1. The Contractor shall comply with all general specifications standards described herein. 2. As stated previously herein, the Contractor shall identify the location of all utilities and private property landscape irrigation components prior to the planting of any tree. The Contractor shall take all responsibility for any damage that occurs during the planting of any tree. 3. The Contractor shall not use hoses, equipment or water from private properties when watering parkway trees. 4. While performing tree watering, the Contractor shall maintain the tree watering basin to include the removal of weeds and debris and the maintenance of the watering basin to size and grade standards defined herein. 5. Trees shall be watered in such a manner that does not result in erosion of the tree watering basin, splashing of parked vehicles or damage to any of the tree's surroundings. Haphazard riggings and /or watering out of the window from the cab of watering equipment will not be tolerated. 6. The Contractor shall maintain a daily log of trees watered. The log shall list the tree watered by site. A printed copy of the log, which shall be maintained in digital format, must accompany invoicing for tree watering services by the Contractor. E. ROOT PRUNING SPECIFICATIONS (1) In an effort to minimize future damage to public sidewalks and curbs and gutters, the City is initiating a root pruning and root barrier installation program. The Contractor will be provided a listing of trees to be root pruned. The list shall include the location of the tree, tree species, lineal feet to be root pruned and area to be pruned such as sidewalk or curb and gutter. City of Santa Ana Street Tree Maintenance RFP 25B -85 Page 34 (2) Roots shall be pruned adjacent to the edge of the sidewalk, curb and gutter or other improvements as indicated. Root pruning cuts adjacent to the sidewalk shall be up to four (4) inches wide /twelve (12) inches deep, and a minimum of twelve (12) feet in each direction from the centerline of the tree as measured from the top of the sidewalk or other improvements. Root pruning cuts adjacent to the curb shall be four (4) inches wide, eighteen (18) inches deep, and a minimum of eight (8) feet in each direction from the centerline of the tree as measured from the top of the curb or other improvements. (3) Root pruning equipment shall be specifically designed for this purpose with cutting teeth sharpened adequately to sever roots in a clean manner and equipped with padded tracks or rubber tires to prevent scraping or marking the sidewalk. (4) After the pruning cut has been completed, the Contractor shall install the appropriate amount of root pruning barrier by Deep Root Corporation, or an approved equal. All cuts shall be backfilled immediately upon completion of root pruning and barrier installation at each location. Backfill material shall consist of soil and /or mulch from root pruning and shall be free of rocks and other debris. All debris generated by these operations shall be immediately removed from the site and properly disposed of by the Contractor. (5) The Contractor shall repair or replace all utility service connections or sprinkler systems within the right- of -way that are damaged or removed as a result of the root pruning operation. Repairs shall be implemented immediately and completed by the end of the same working day. Repairs and replacements shall be at least equal quality and configuration to existing improvements and shall match them in finish and dimension. (6) The Contractor shall submit a lineal foot cost for the root pruning and root barrier installation. The cost of providing all labor, tools, equipment and materials necessary for performing the specified work will be included in the Proposal price and no additional compensation will be allowed. F. CONSULTANT ARBORIST The contractor will provide the service of a consultant arborist. When requested , the consultant arborist will be performing tree health assessment which should include 360 degree, ground -based visual inspections of the tree crown, trunk, trunk flare, above ground roots and branch and stem defects, drilling evaluation of target risk increment, boring, probing, , sounding, sub - surface root and soil assessment and site conditions around the tree in relation to targets. City of Santa Ana Street Tree Maintenance RFP 25B -86 Page 35 This Page Left Blank Intentionally City of Santa Ana Street Tree Maintenance RFP 25B_ 87 Page 36 EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES w i y V )AN i A ANA i mr-r- orrnir-o Botanical Name Common Name Total Platanus acerifolia LONDON PLANE 6,516 Lophosternon confertus BRISBANE BOX 5,497 QUEEN PALM 5,351 Jacaranda mimosifolia JACARANDA 4,218 Quercus flex HOLLY OAK 3,510 Lacierstroemia indica CRAPE MYRTLE 2,966 Pinus canariensis CANARY ISLAND PINE 2,048 Cinnamomum caLnphora CAMPHOR TREE 1,901 Fraxinus velutina ARIZONA ASH 1,646 Liauidambar stvraciflua AMERICAN SWEETGUM 1,355 Eymi callervana ORNAMENTAL PEAR 1,293 Quercus aqrifolia COAST LIVE OAK 1,205 paniopsis anacardigdes Cu CARROTWOOD 1,166 mggaq&smadiftora SOUTHERN MAGNOLIA 1,132 Geliera parviflora AUSTRALIAN WILLOW 801 Tabebuia avellanedae LAVENDER TRUMPET TREE 632 LLi2dendron � TULIP TREE 534 Schinus terebinthifolius BRAZILIAN PEPPER 527 Ulmusparvifolia CHINESE ELM 520 16 �hin tonia �robu,,&ta MEXICAN FAN PALM 476 CHANTICLEER PEAR 442 EgLis kakakamti EVERGREEN PEAR 394 Tijuana tipy TIPU 356 Platanus racemosa CALIFORNIA SYCAMORE 312 Koelreuteria bininnata CHINESE FLAME TREE 275 f 402dendrum capense CAPE CHESTNUT 258 Cedrus deodara DEODAR CEDAR 251 Platanus mexicana 'Alamo' ALAMO MEXICAN SYCAMORE 200 Eucalyptus citriodora LEMON-SCENTED GUM 194 Eraxinus an ASH 192 ALChontophrenix cunninghamiana KING PALM 165 Laaerstroemia indica 'White' WHITE CRAPE MYRTLE 132 Rgdqggrpus pracilior FERN PINE 129 Liaustrum lucidum GLOSSY PRIVET 128 Ficus microcarna 'Nitida' INDIAN LAUREL FIG 127 Egus callervana 'Redspire' REDSPIRE PEAR 123 Ceratonia siliqua CAROB 121 Casuarina cunnin �hamianpe RIVER SHE-OAK 109 Phoenix dadytifera DATE PALM 108 Callistemon citrinus LEMON BOTTLEBRUSH 105 City of Santa Ana Street Tree Maintenance RFP 25B-88 Page 37 Schinus mole CALIFORNIA PEPPER 100 Cupressus sempervi . rens ITALIAN CYPRESS 99 Rhus lancea AFRICAN SUMAC 99 Eriobotrva deflexa BRONZE LOQUAT 98 Koelreuteria Daniculata GOLDENRAIN TREE 98 Brahea edulis GUADALUPE PALM 97 Phoenix loureirii LOUREIROS DATE PALM 95 ELdocar us macrophyllus YEW PINE 92 Platanus sap. SYCAMORE 90 BLaqVIZhiton LgWlneus BOTTLE TREE 88 Eucalyptus nolvanthemos SILVER DOLLAR GUM 86 Platanus x aceLifblia 'BLo oocP BLOODGOOD PLANE 85 Alnus rhombifolia WHITE ALDER 83 Platanus mexicana MEXICAN SYCAMORE 78 Tabebuia impettgi nosa PINK TRUMPET TREE 77 Washinatonia filifera CALIFORNIA FAN PALM 74 Trachy,ca[pus fortunei WINDMILL PALM 71 Pinus eldarica AFGHAN PINE 69 Metrosideras excelsus NEW ZEALAND CHRISTMAS TREE 65 Ginkgo biloba MAIDENHAIR TREE 60 Fraxinus uhdei SHAMEL ASH 59 Hymenosl2orum flavum SWEETSHADE 59 Pinus halepensis ALEPPO PINE 55 Pyrus calleryana 'Aristocrat' ARISTOCRAT PEAR 53 Prunus cerasifera PURPLE-LEAF PLUM 51 Calocedrus decurrens INCENSE CEDAR 50 Chionanthus retusus CHINESE FRINGE TREE 47 Quercus sl2p. OAK 47 Pittosporum undulatum VICTORIAN BOX 46 U1177us pumila SIBERIAN ELM 46 Phoenix canariensis CANARY ISLAND DATE PALM 44 Bauhiniavariegata PURPLE ORCHID TREE 43 Okg- europaea OLIVE 42 Eucalyptus spp, EUCALYPTUS 40 Other tree OTHER TREE 33 Pyrus beLyfifolia DANCER PEAR 33 Eucalyptus sideroxvion RED IRONBARK 32 Fraxinus uhdei 'Tomlinson' TOMLINSON ASH 32 Platanus x acerifolia 'Columbia' COLUMBIA PLANE 32 Robinia Dseudoacacl I a BLACK LOCUST 27 C" a h1linomensis PECAN 26 Eucalyptus globulus BLUE GUM 26 Ficus gpp. FIG 26 Fraxinus velutina 'Modesto' MODESTO ASH 26 Calfistemon viminalis WEEPING BOTTLEBRUSH 25 PodocafflLls henkeh I / LONG-LEAFED YELLOWWOOD 25 City of Santa Ana Street Tree Maintenance RFP 25B-89 Page 38 Gleditsia triacm7thos HONEY LOCUST 23 Liguidambar styracifltia 'Rotundiloba' ROUND-LEAFED SWEETGUM 22 Persea americans AVOCADO 22 ELLUs pines ITALIAN STONE PINE 22 Pistacia chinensis CHINESE PISTACHE 22 Acacia Acacia melanoxvlon BLACK ACACIA 19 Callistemon sap. BOTTLEBRUSH 19 WEEPING FIG 19 Robinta sap. LOCUST 19 safix sp-pL WILLOW 18 Quercus suber CORK OAK 17 Ei2us spp. PINE 16 Ficus rubiginosa RUSTY LEAF FIG 14 �otra japonica AErLqb EDIBLE LOQUAT — 13 Nerium oleander OLEANDER 13 Er t�hrtnas y CORAL TREE 12 Sepiurn sebiferum CHINESE TALLOW TREE 12 Tabebuia chrysotrigha GOLDEN TRUMPET TREE 12 AlbiziaJulibrissin SILK TREE 11 Catal ka--Sp-p—. CATALPA 11 Chorista s eciosa SILK-FLOSS TREE 11 TORREY PINE 11 &qfflLq flexuosa PEPPERMINT TREE 10 Prunus caroliniana CAROLINA LAUREL CHERRY 10 Ulmus-parvifoha 'Drake' DRAKE ELM 10 Eucalyptus ficifolia RED FLOWERING GUM 9 Morus alba WHITE MULBERRY 8 RKYLcaller�ana 'Sierra Blanca' SIERRA BLANCA PEAR 8 Ma SAMUEL SOMMER MAGNOLIA 7 Palm spp. PALM 7 Wod y etla bifurcate — FOXTAIL PALM 7 Bauhinia sW ORCHID TREE 6 Ensete ventricosum ABYSSINIAN BANANA 6 Heteromeles arbutifolia TOYON 6 LLQUStrUm spy. PRIVET 6 Araticaria columnaris STAR PINE 5 Brahea armata MEXICAN BLUE PALM 5 Chamaerops humifis MEDITERRANEAN FAN PALM 5 Eucalyptus cameldulensis RED GUM 5 Juniperus chinensis CHINESE JUNIPER 5 Einus thunberMna JAPANESE BLACK PINE 5 ELLO orum rhombifolium QUEENSLAND PITTOSPORUM 5 -Quercus virginiana SOUTHERN LIVE OAK 5 SKzKqium paniculatum BRUSH CHERRY 5 Butia caoitata PINDO PALM 4 Fraxinus sop. ASH 4 City of Santa Ana Street Tree Maintenance RFP 25B-90 Page 39 MYOPORUM MADEIRA BAY FIG PALMETTO BRUSH CHERRY SPANISH DAGGER ACACIA SILVER MAPLE MAPLE HONG KONG ORCHID TREE NEVADA CYPRESS CYPRESS WEEPING INDIAN LAUREL FIG WILSON HOLLY CAJEPUT TREE PITTOSPORUM CAPE PITTOSPORUM PEACH POMEGRANATE IDAHO LOCUST CABBAGE PALM COAST REDWOOD AMERICAN ELM BUNYA -BUNYA PAPER MULBERRY CROWN OF GOLD TREE CHESTNUT FALSE CYPRESS LEMON GREEN GEM INDIAN LAUREL FIG KUMQUAT WALNUT JUNIPER RUSSET MAGNOLIA MAGNOLIA FRASERS PHOTINIA MOCK ORANGE FLOWERING PEAR RED OAK INDIAN HAWTHORNE YUCCA MONKEY - PUZZLE TREE NORFOLK ISLAND PINE AUSTRALIAN FLAME TREE BIRD OF PARADISE BUSH TRINIDAD FLAME BUSH City of Santa Ana Street Tree Maintenance RFP 25B_91 Page 40 4 4 4 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 City of Santa Ana Street Tree Maintenance RIFP 25B-92 Page 41 INCENSE CEDAR 1 Casimiroa edulis WHITE SAPOTE 1 Cassia legtoph Ila y _ GOLD MEDALLION TREE I Cordyline australis DRACAENA 1 Cupr LEYLAND CYPRESS I Cytisus carLariensts CANARY ISLAND BROOM I pmis decaryi TRIANGLE PALM I fqgqh2Ws cinerea ASH GUM I Eucalyptus robLLsta SWAMP VIAHOGONY 1 Ficus carica EDIBLE FIG 1 E MARSHALL ASH 1 Lqms-troemia indica 'Pink' PINK CRAPE MYRTLE 1 Laurus nobifis SWEET BAY 1 k9mogaLgig—U0 WHITE POPINAC 1 LLqustrum�anonicum JAPANESE PRIVET 1 Macadamia tetraphylla ROUGH-SHELL MACADAMIA 1 bLanolia arandiflora 'Saint Marv' SAINT MARY MAGNOLIA 1 Malus floribunda CRABAPPLE I Melia azedarach CHINABERRY 1 MQLasec�uoia glyptostroboides DAWN REDWOOD 1 Pinus radiata MONTEREY PINE 1 Podocargus nagi PODOCARPUS MAGI 1 Papulus fremonty FREMONT COTTONWOOD 1 Emdys nidra 9talica' LOMBARDY POPLAR 1 Prunus 'Mt Fu ii' L MT FUJI CHERRY 1 Prunus amyadalus ALMOND 1 Prunus armeniaca APRICOT 1 Schinus aolygamus PERUVIAN PEPPER 1 ,SLtenocarpL�s sinuatus FIREWHEEL TREE 1 PINK TRUMPET TREE 1 Zelkova serrata SAWTOOTH ZELKOVA 1 Total: 50,799 City of Santa Ana Street Tree Maintenance RIFP 25B-92 Page 41 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES PLANTING STANDARD I. TREE SPACING 35' MIN. 70 SW MAX 1I- I I 2. PLANT 50' MN. FROM OCR ON THE APPROACH TO AN INTERSECTION AND 15' FROM THE BOB ON YARLABLE THE EMT SIDE. I II 3 PLANT 10' MIN. FROM EDGE OF DRIVE APPROACH. COWACTED SdL MX 4. PLANT 10' MIN. FROM UTILITY k SEWER LINES. 5. PLANT 20' MIN. FROM STREET LIGHT 42' STANDARDS AND POWER POLES ROOT BARRER. REFLECTING RIBS 6. PLANT 10' MIN. FROM FIRE HYDRANTS. 2 - (INCH THE[ TIE EOUIV) 7. TREE TO BE CENTERED IN 3' X S TREE WELL. (OR IXA X B' MN. L (OR EOUIV) TREE GUARD — \ VARIABLE Illi SDEWAUI KKEEEEPPXMULCH AWAY M TRUNK u.�. 3' X S TREE WELL \ 2 5 TAKE$ PLACED ULTSIDE ROOIBALL >;, CURB k GUTTER' •_ 1I- I I =:- -� YARLABLE uIlDISTURBEO SOl I II COWACTED SdL MX 12'X3' POLYETHELENE PLASTIC ROOT BARRER. REFLECTING RIBS ON INSIDE ALONG CURB k — P BACNFRL SOL ALl1WED FERTILIZER TABLE7S IA TOTAL) _ MIN. 24' BOX TREE =I I I I I u.�. SOE MOUND BENEATH TREE — 5 TAKE$ PLACED ULTSIDE ROOIBALL EXCAVATED 500. FLARC } X ROTLL IN CpIPACTEO SOIL NOT TO SCALE 2 X R N M5 ALL ER OVED' DATE (�G-z'` CITY OF SANTA ANA 0 0 PUBLIC WORKS AGENCY "2'w" STREET TREE IN PARKWAY PLANTING DETAIL STO- PLAN NUMHER -' "�- 91 AN INRE s NRw7 E.A- ND QRINWFTN55PA iN City of Santa Ana Street Tree Maintenance RFP 25B -93 Page 42 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES YEAR 1 ESTIMATED ANNUAL TRIM CYCLE 2015 -2016 Fiscal Year Species Grid Prune Light Prune Large Scale Quantity Annual Trim Cycle Estimated Next Trim 15/16 African Sumac 100 100 1 16/17 15/16 Brisbane Box 2373 3176 5549 4 19/20 15/16 Bronze Loquats 46 52 98 4 19/20 15/16 Camphor 1898 2 1900 5 20/21 15/16 Canary Island Pine (Winter Only) 1917 131 2048 2 17/18 15/16 Carrotivood 899 268 1167 2 17/18 15/16 Chinese Flame 169 106 275 2 17/18 15/16 Chinese Fringe 43 4 47 2 17/18 15/16 Chinese Pistache 4 18 22 2 17/18 15/16 Elm Chinese 483 37 520 3 18/19 15/16 Elm Siberian 41 6 47 3 18/19 Eucalyptus species combined 319 37 38 394 2 17/18 Golden Rain tree 69 29 98 2 17/18 r15/16 Magnolias species combined 737 406 1143 3 18/19 Olive 38 4 42 3 18/19 Orchid tree (Only in winter) 50 2 52 2 17/18 15/16 Peppermint Tree 5 5 1 10 1 16/17 15/16 Trumpet Tree Species 709 13 1 722 4 19120 15/16 Tipu 354 2 356 1 16/17 15/16 Yew pine 92 92 5 20/21 Total Queen Palm: 5,361 Total Hardwood Trees: 14,682 Grid Prune: 10,254 Light Prune: 4,390 Large Scale Prune: 38 City of Santa Ana Street Tree Maintenance RFP 25B -94 Page 43 YEAR 2 ESTIMATED ANNUAL TRIM CYCLE 2016 -2017 Fiscal Year Species Grid Prune Light Prune Large ne Prime Quantity Annual CyY CCycleNext Estimated Trim 16/17 African Sumac 100 100 1 17/18 16/17 Australian Willow 605 194 799 3 19/20 16/17 Bottle Brush, All Lemon, Weeping 107 43 150 3 19/20 16/17 Bottle Tree 75 13 1 88 1 3 19/20 16/17 Cape Chestnut 76 182 258 5 21/22 16/171 Carob 120 1 121 3 19/20 16/17 Catalpa 11 11 4 20/21 16/17 Cherry Brush 8 1 9 4 20/21 16/17 Fern Pine 108 21 129 3 19/20 16/17 Ficus Benia, Nitida, Rubininosa 101 4 1 88 193 1 2 18/19 16/17 Jacarandas 2797 1416 7 4220 2 18/19 16/17 Liquidambar 963 410 1373 2 18/19 16/17 Locust (Black, Honey) 44 30 74 2 18/19 16/17 Mulberry 9 1 10 2 18/19 16/17 Pear species combined 1900 448 2348 3 19/20 16/17 Pecan 18 8 26 2 18/19 16/17 Pepper Brazilian, California 567 60 627 2 18/19 16/17 Peppermint Tree 5 5 10 1 17/18 16/17 Pittosporum Mock Orange 2 2 3 19/20 16/17 Pittosporum Queensland 5 5 3 19/20 16/17 Privet Glossy 62 66 128 3 19/20 16/17 Sweetshade 58 13 58 3 19/20 16/17 Tipu 354 1 2 35 1 1 17/18 16/17 Tulips 534 154 380 1 4 20/21 16/17 White Alder (Raise Only) 83 83 1 4 20/21 Total Palms: 6,261 Queen Palms: 5,361 Canary Island Date Palm: 44 Date Palm: 203 Other Palms: 903 Total Hardwood Trees: 11,879 Grid Prune: 8,712 Light Prune: 3,072 Large Scale Prune: 95 City of Santa Ana Street Tree Maintenance RFP 25B_95 Page 44 YEAR 3 ESTIMATED ANNUAL TRIM CYCLE 2017 -2018 Fiscal F,c, Specks Grid Prune Licht Prune Large Scale Prune Quantity Annual Trim Cycle Estimated Next Trim 17/18 African Sumac 100 100 1 17/18 Ash Tom. Ariz, Sham, Ray 1519 430 1949 3 20/21 17/18 Avocado 12 10 22 3 20/21 17/18 Canary Island Pine (Winter Only) 1917 131 2048 2 e. t' 19/20 17/18 Carrotwood 899 268 1167 2 19/20 17/18 Chinese Flame 169 1 106 1 275 2 j 19/20 17/18 Chinese Fringe 43 4 47 2 I' 19/20 17/18 Chinese Pistache 4 18 22 2 19/20 17/18 Chinese Tallow 12 12 3 20/21 17/18 Crape Myrtle 2090 1010 3100 5 22/23 17/18 Deodar Cedar 181 70 251 4 21/22 17/18 Eucalyptus species combined 319 1 37 38 394 2 19/20 17/18 Firewheel tree 1 1 4 21/22 17/1.8 - Golden Bain tree 69 29 98 2 19/20 17/18 New Zealand Xmas 65 65 5 22/23 17/18 Oak 3758 1137 4895 4 21/22 17/18 Ouve 38 4 1 42 2 19/20 17/18 Orchid tree (Only in winter) 50 1 2 52 2 19/20 17/18 Peppermint Tree 5 5 10 1 1849 17/18 Pine Aleppo (Only in winter) 55 55 4 21/22 17/18 Pine Torrey (Only in winter) 11 11 4 21/22 17/18 She Oak 58 51 1 109 3 20/21 17/18 Silk Floss Tree 3 3 3 20/21 17/18 Tipu 354 1 2 356 1 Total Queen Palms: 5,361 Total Hardwood Trees: 15,084 Grid Prune: 11,644 Light Prune: 3,402 Large Scale Prune: 38 City of Santa Ana Street Tree Maintenance RFP 25B -96 Page 45 YEAR 4 ESTIMATED ANNUAL TRIM CYCLE 2018 -2019 Fiscal Year Species Grid Prune Light Prune Large Scale Panne Quantity Annual Trim Cycle Estimated Next ,T1 18/19 African Sumac 100 100 1 18/19 Bunya Bunya(Depends on cones) 2 2 5 23/24 18/19 Elm Chinese 483 37 520 3 21/22 18/19 Elm Siberian 41 6 47 3 21/22 18/19 Ficus Ren %a. Nitida, Rubi¢inosa 101 4 88 193 2 20/21 18/19 Jacarandas 2797 1416 7 4220 2 20/21 18/19 Liquidambar 963 410 1373 2 20/21 18/19 Locust (Black, Honey) 44 30 74 2 20/21 I8 / London Plane (Sycamore Species) 6341 845 7186 4 22/23 18/19 Magnolias species combined 737 406 1 1143 1 3 21/22 1.8/19 Mulberry 9 1 10 2 20/21 18/19 Olive 38 4 42 3 21/22 18/19 Pecan 18 8 26 2 20/21 18/19 Pepper Brazilian, California 567 60 627 2 20/21 18/19 Peppermint Tree 5 5 10 1 19/20 18/19 Redwoods (Coast & Sierra) 4 1 4 1 5 23/24 184 Tipu 1 354 2 1 356 1 1 'L 19/20 Total Palms: 6,261 Queen Palms: 5,361 Canary Island Date Palm: 44 Date Palm: 203 Other Palms: 903 Total Hardwood Trees: 15,933 Grid Prune: 12,600 Light Prune: 3,238 Large Scale Prune: 95 City of Santa Ana Street Tree Maintenance RFP 25B -97 Page 46 EXHIBIT E CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES MEDIAN TREE SPECIES Canary Island Pine 383 Tipu 351 London Plane 264 Camphor Tree 250 American Sweetgum 247 Queen Palm 219 Crape Myrtle 190 Eucalyptus 154 Date Palm 144 Pear Species 94 Sycamore Species 31 Windmill Palm 33 Purple Orchid Tree 26 Victorian Box or Brisbane Box 22 Olive 18 Southern Magnolia 15 Italian Stone Pine 14 Afghan Pine 13 Jacaranda 12 Brazilian Pepper 12 Silk -Floss Tree 9 Chinese Flame 8 Australian Willow 8 Aleppo Pine 6 Locust Species 5 Sweetshade 4 Yew Pine 4 Fern Pine 3 California Fan Palm 2 Pindo Palm 2 Silk Tree 2 Monkey Puzzle Tree 1 Star Pine 1 Bunya - Bunya 1 Canary Island Date Palm 1 Yucca 1 Hong Kong Orchid Tree 1 Carrotwood 1 Queensland Pittosporum 1 2553 ** Majority of median trees are trimmed on Saturday. City of Santa Ana Street Tree Maintenance RFP 25B -98 Page 47 EXHIBIT F CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES PROPOSER'S CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on a unit cost for services described in Exhibit A. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Bid proposal fee will be based on Pruning Section Grand Total Price. PRUNING SECTION }.,, AWA N EStlYta � X Description Unit F Uf�IR�2JE- 4nrttilt � � ,�yfdl�a° Light Prune Each $ 4,390 Year 1) $ a Grid Prune Each $ 10,254 (Year 1) $ b Annual Queen Palm Prune Each $ s,3s1 Year 1 $ c Bi- Annual Date Palm Prune Each $ 203(Year2) $ d Bi- Annual Canary Island Palm Prune Each I $ 1 44 (Year 2) $ e 31-Annual All Other Palm Prune Each 1 $ 903 (Year 2 ) $ f GRAND TOTAL PRICE — PRUNING SECTION ONLY (a +b +c +d +e +f) $ City of Santa Ana Street Tree Maintenance RFP 25B_99 Page 48 REM 0VALS ' Description Unit UNIT PRICE Palm Skinning Per Foot $ Tree & Stump Removal Diameter Standard Height Per Inch $ Tree Only Removal Diameter Standard Height Per Inch $ Stump Only Removal Diameter Standard Height I Per Inch $ INSPECTIONS Inspection Report Including Risk Assessment Per Tree $ Consultant Arborist Inspection Level 1, 2 or 3 Per Hour $ PLANTING - DESIGNATED SPECIES Plant 15 Gallon with root barrier Each $ Plant 24 inch Box with root barrier Each $ Plant 36 inch Box with root barrier Each $ Plant 48 inch Box with root barrier Each $ Plant 60 inch Box with root barrier Each I $ PLANTING - SPECIAL VARIETY TREES' Plant 15 Gallon with root barrier Each $ Plant 24 inch Box with root barrier Each $ Plant 36 inch Box with root barrier Each $ Plant 48 inch Box with root barrier Each $ Plant 60 inch Box with root barrier Each $ SPECIALTY SERVICES Service Request Prune Each $ Large Scale Prune Each $ Root Pruning with 12" barrier Foot $ Root Pruning with 18" barrier Foot $ Watering of youn trees, water truck & operator Da $ CREW RENTALS Crew Rental 3 men Minimum 3 Hours Per Hour $ Emergency Crew Rental 3 men Minimum 3 hours Per Hour $ City of Santa Ana Street Tree Maintenance RFP 25B -100 Page 49 TECHNICAL GPS Tree Inventory of Existing Trees (Approx. 60,000 trees ) Lump Sum $ Global Positioning System GPS Tree Inventory Cost ** Per Tree Site $ ** GPS Tree Inventory cost only applies to new trees planted after completion of initial Tree inventory. Cooperative Purchasing It is intended that any other public agency (e.g., city, county, school district, public authority, public agency, municipality, and other political subdivision or public corporation) shall have the option to participate in any award made as a result of this solicitation at the same prices. The City of Santa Ana shall incur no financial responsibility in connection with any purchase by other public agency. The public agency shall accept sole responsibility for placing orders and making payments to the vendor. Labor Classification The work performed on this contract is routine, recurring, and usual. The work includes watering, trimming, pruning, planting, removal and replacement of trees and plants, and servicing of irrigation. The rates included in the Cost Proposal are based on prevailing wage determination "Landscape Maintenance Laborer ". LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS BUSINESS ADDRESS PRINTED NAME OF AUTHORIZED AGENT SIGNATURE OF AUTHORIZED AGENT FEDERAL ID NUMBER TITLE DATE E -MAIL ADDRESS CONTRACTOR LICENSE NUMBER THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP 258 -101 Page 10 EXHIBIT G CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES RELEVANT WORK HISTORY List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: Address: Contract Amount: Description of supplies, equipment, or services provided: Contact Individual: Phone Number: Facsimile Number: Year: Reference Customer Name: Contact Individual: Address: Phone Number: Facsimile Number: Contract Amount: Year: Description of supplies, equipment, or services provided: Reference Customer Name: Contact Individual: Address: Phone Number: Facsimile Number: Contract Amount: Year: Description of supplies, equipment, or services provided: City of Santa Ana Street Tree Maintenance RFP 25B 02 Page 51 Reference Customer Name: Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Name: Address: Contract Amount: Description of supplies, equipment, or services provided: Contact Individual: Phone Number: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP 258 -103 Page 52 EXHIBIT H CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Signed: Printed Name: Title: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP 258 -104 Page 53 EXHIBIT I CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: The contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. The contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The contractor shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further government contracts or federally assisted construction /services contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. The contractor shall include the portion of the sentence immediately preceding paragraph 1 and the provisions of paragraphs 1 through 7 in every subcontract or purchase order unless City of Santa Ana Street Tree Maintenance RFP 258 -105 Page 54 exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation by a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended, no discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor violating this section is subject to all the penalties imposed for a violation of the chapter. Signed: Printed THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP 258 -106 Page 55 EXHIBIT J CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES RESPONSIBLE PROPOSER — SUPPLEMENTAL QUESTIONNAIRE How many years has your organization been in business in California as a contractor under your present business name and license number? If you performed same business under a different business name with same ownership and operation management and changed name due to, but not limited to, bankruptcy, loss, or license, please complete an additional and separate questionnaire. 2. What is your firm's average gross revenue for the last three years? Is your firm currently the debtor in a bankruptcy case? ❑ Yes ❑ No If "yes," indicate the case number, bankruptcy court, and the date on which the petition was filed. Case Number Bankruptcy Court Date Filed Was your firm in bankruptcy any time during the last five years? (This question refers only to a bankruptcy action that was not described in answer to Question 2, above.) ❑ Yes ❑ No If "yes," indicate the case number, bankruptcy court, and the date on which the petition was filed. Case Number Bankruptcy Court Date Filed 5. Has any California State License Board license held by your firm or its responsible managing employee or responsible managing officer been suspended within the last five years? ❑ Yes ❑ No 6. At any time in the last five years, has your firm been assessed and paid liquidated damages after completion of a project, under a services contract with either a public or private owner? ❑ Yes ❑ No Has your firm ever defaulted on a contract? ❑ Yes ❑ No If "yes," explain on a separate page. City of Santa Ana Street Tree Maintenance RFP 258-1 07 Page 11 In the last five years has your firm, or any firm with which any of your company's owners, officers or partners was associated, been debarred, disqualified, removed, or otherwise prevented from bidding on, or completing, any government agency project for any reason? ❑ Yes ❑ No If "yes," explain on a separate page. State the name of the organization debarred, the year of the event, the owner of the project, and the basis for the action. In the past five years, has any claim against your firm concerning your firm's work on a project, been filed in court or arbitration? ❑ Yes ❑ No If "yes," on a separate page identify the claim(s) by providing the project name, date of the claim, name of the claimant, the name of the entity the claim was filed against, a brief description of the nature of the claim, the court and case number, and a brief description of the status of the claim (pending or, if resolved, a brief description of the resolution.) 10. In the past five years, has your firm made any claim against a project owner concerning work on a project or payment for a contract, and filed that claim in court or arbitration? ❑ Yes ❑ No If "yes," on a separate page identify the claim(s) by providing the project name, date of the claim, name of the claimant, the name of the entity the claim was filed against, a brief description of the nature of the claim, the court and case number, and a brief description of the status of the claim (pending or, if resolved, a brief description of the resolution.) 11. At any time during the past five years, has any surety company made any payments on your firm's behalf as a result of a default, to satisfy any claims made against a performance or payment bond issued on your firm's behalf in connection with a project, either public or private? ❑ Yes ❑ No 12. In the last five years, has any insurance carrier, for any form of insurance, refused to renew the insurance policy for your firm? ❑ Yes ❑ No 13. Has your firm or any of its owners, officers, or partners ever been liable in a civil suit, or found guilty in a criminal action, for making any false claim or material misrepresentation to any public agency or entity? ❑ Yes ❑ No 14. Has your firm or any of its owners, officers or partners ever been convicted of a federal or state crime of fraud, theft, or any other act of dishonesty? ❑ Yes ❑ No If "yes," identify on a separate page, the person or persons convicted, the court case and number, the crimes and the year convicted. 15. If your firm was required to pay a premium of more than one percent for a performance and payment bond on any project(s) on which your firm worked at any time during the last City of Santa Ana Street Tree Maintenance RFP 25B -1 08 Page 57 three years, state the percentage that your firm was required to pay. You may provide an explanation for a percentage rate higher than one percent, if you wish to do so. 16. During the last five years, has your firm ever been denied bond credit by a surety company, or has there ever been a period of time when your firm had no surety bond in place during a project when one was required? ❑ Yes ❑ No 17. Has Cal -OSHA cited and assessed penalties against the contractor or its associates for any "serious," "willful' or 'repeat' violations of its safety or health regulations in the past five years? ❑ Yes ❑ No (Note: If you have filed an appeal of a citation, and the Occupational Safety and Health Appeals Board has not yet ruled on your appeal, you need not include information about it.) If "yes," on a separate page describe the citations, the party against whom the citation was made, date of citation, nature of the violation, project on which the citation was issued, owner of the project, and the amount of penalty paid, if any. State the case number and the date of any OSHAB decision. 18. Has the Federal Occupational Safety and Health Administration cited and assessed penalties against the contractor or its associates in the past five years? ❑ Yes ❑ No (Note: If an appeal of the citation has been filed and the Appeals Board has not yet ruled, or there is a court appeal pending, you need not include information about the citation.) If "yes," on a separate page describe the citation, the party against whom the citation was made, date of citation, nature of the violation, project on which the citation was issued, owner of project, and the amount of penalty paid, if any. State the case number and date of any decision. 19. During the last five years, has there been more than one occasion in which the General contractor or its associates have been penalized or required to pay back wages for failure to comply with the federal Davis -Bacon prevailing wage requirements? ❑ Yes ❑ No If "yes," on a separate page, describe the violator, nature of each violation, name of the project, date of its completion, the public agency for which it was constructed, the number of employees who were initially underpaid and the amount of back wages and penalties that were assessed. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP 258 -109 Page 58 EXHIBIT K CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES NONCOLLUSION AFFIDAVIT NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of California, County of Subscribed and sworn to (or affirmed) before me on this day of 20_, by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP 258 -110 Page 59 EXHIBIT L CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective as a part of Policy # Issued to Countersigned by Named Insured Authorized Representative SAMPLE ONLY City of Santa Ana Street Tree Maintenance RFP 258 -111 Page 60 this endorsement form EXHIBIT M CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES SAMPLE AGREEMENT THIS AGREEMENT, made and entered into this X day of XXX, XXXX by and between X (hereinafter "Contractor "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS 1. The City desires to retain a Contractor having special skill and knowledge in the field of Street Tree Maintenance Services. 2. Contractor represents that Contractor is able and willing to provide such services to the City and is licensed by the State of California to provide Street Tree Maintenance Services. 3. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional Tree Maintenance firm. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: DEFINITIONS (if any) II. TERMS AND CONDITIONS A. TERM The term of this contract shall commence the date of City Council award and approval of all insurance and bonds, and terminate MONTH, DAY, YEAR, unless earlier terminated as set forth in Section H, below. City is hereby granted an option to renew for up to 2 (two) additional 2 (two) - year periods on the terms and conditions set forth herein. Said options shall be exercised in writing at least thirty (30) days prior to the end of the initial term or any extension thereof. B. CONTINUED FUNDING In the event funding is not allocated for parking control enforcement services during the annual budget approval process, the City shall notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period, and contract shall terminate on the last day of current fiscal period without penalty or expense to the City City of Santa Ana Street Tree Maintenance RFP 258 -112 Page 61 C. COMPENSATION City agrees to pay and contractor agrees to accept as total payment for its services, the rates and charges set forth in contractor's proposal, attached hereto and incorporated by reference. The amount to be expended for services shall not exceed (dollar amount) ($ ) annually during the term of this agreement. 2. Invoices a. The contractor shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this contract shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Contractor's invoice number ii. Beginning and ending dates for services iii. City project number and /or name (if applicable) iv. Work site address /location (if applicable) V. Unit cost, subtotals and total for invoice 3. Payment by City shall be made within sixty (60) days following receipt of proper invoice, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance of a professional parking control enforcement services. 4. Extra Work No new work of any kind shall be considered an extra unless a separate estimate is given for said work and the estimate is approved by the City in writing before the work is commenced. The contractor will be required to provide detailed information of such extra work. Documentation of contract compliance may be required on some occasions. Work performed prior to obtaining written approval of the City shall not be included within the Scope of Work and may not be paid. D. INDEPENDENT CONTRACTOR Contractor shall during the entire term of this contract, be construed to be an independent contractor and not an employee of the City. This contract is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the manner in which contractor performs the services required by this contract. However, the services to be provided by contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's Social Security taxes, unemployment insurance, and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. City of Santa Ana Street Tree Maintenance RFP 258 -113 Page 62 E. INSURANCE Prior to undertaking performance of work under this contract, contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting there from and damage to property, resulting from any act or occurrence arising out of contractor's operations in the performance of this agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of One Million Dollars ($1,000,000) per occurrence, Two Million Dollars ($2,000,000) in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. A sample additional insured endorsement is attached hereto as Exhibit H. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than One Million Dollars ($1,000,000) per occurrence. Such insurance shall include coverage for owned, hired and nonowned automobiles. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, contractor is required to be insured against liability for Workers' Compensation or to undertake self- insurance. Prior to commencing the performance of the work under this contract, contractor agrees to obtain and maintain any employer's liability insurance with limits not less than One Million Dollars ($1,000,000) per accident. 4. If contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than One Million Dollars ($1,000,000) per claim. 5. The following requirements apply to the insurance to be provided by contractor pursuant to this section: Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this agreement. b. Certificates of insurance shall be furnished to the City upon execution of this contract and shall be approved in form by the City Attorney. City of Santa Ana Street Tree Maintenance RFP 258 -114 Page 63 C. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. If contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this contract. Such termination shall not affect contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. HOLD HARMLESS/ INDEMNIFICATION To the fullest extent permitted by law, contractor shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties') from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims'), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this contract (including, without limitation, defects in workmanship and /or materials) or contractor's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of contractor, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of this contract. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the contractor. G. NOTICE Any notice, tender, demand, delivery or other communication pursuant to this agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, sent by telefacsimile communication, or via e -mail to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) Santa Ana, CA 92701 Fax 714 - 647 -6956 City of Santa Ana Street Tree Maintenance RFP 258 -115 Page 64 With courtesy copy to: Public Works Agency — Maintenance Services Division Danell Mercado, Projects Manager 220 S Daisy Santa Ana, CA 92703 To Contractor: H. TERMINATION The City reserves the right to terminate the contract as follows: In the event contractor fails or refuses to timely perform any of the provisions of this agreement in the manner required, or if contractor violates any provision of this agreement, contractor shall be deemed in default. City shall provide written notice of such default to contractor's project manager. Contractor shall cure said default within a period of two (2) working days. If such cure is not completed in a timely manner, City may assess liquidated damages or terminate the agreement forthwith by giving written notice to contractor's project manager. City may, in addition to the other remedies provided in this agreement or authorized by law, terminate this agreement by giving written notice of termination. Contractor shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during contractor's default. In the event of such termination for cause, City shall pay contractor that portion of compensation specified in the agreement that is earned and unpaid prior to the effective date of termination. Contractor shall not be entitled to any compensation for lost profits it terminated for cause. 2. This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the contractor either personally or by mail. Upon termination, City shall pay to contractor that portion of compensation specified in the agreement that is earned and unpaid prior to the effective date of termination. 3. In addition to, or in lieu of, remedies provided in this agreement or pursuant to law, City shall have the right to withhold all or a portion of contractor's compensation for contract services if, in the judgment of the projects manager or designee, the level of service falls below appropriate standards and /or contractor fails to satisfactorily perform contract services. City shall have the right to retain funds withheld until the projects manager or designee determines that contract services are performed as well and as frequently as required by this agreement. City of Santa Ana Street Tree Maintenance RFP 258 -116 Page 65 CONTRACTOR OPTION FOR TERMINATION The contractor may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require one - hundred eighty (180) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, contractor shall give the City thirty (30) working days to cure the alleged breach. J. LIQUIDATED DAMAGES If the City determines that the contractor breaches its promise to provide services in compliance with the Terms and Conditions of applicable laws and regulations, and the specifications set forth above, it would be impracticable and extremely difficult to determine the damage to City arising from such breach. Therefore, in the event of contractor's breach, contractor shall pay to City the sum of $XXXper hour / per occurrence (see narrative) for such breach, in addition to any cost, fines, etc. levied against the City. K. EMPLOYMENT OPPORTUNITIES FOR SANTA ANA RESIDENTS Contractor shall solicit and advertise employment opportunities to Santa Ana residents. The City shall inform the contractor of areas to publicize recruitment opportunities, such as work centers and community centers. Such effort and procedure will be provided to the City for review. L. COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS Contractor shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. 2. Contractor warrants that the performance of services under this contract shall be compliant with the current requirements of the (particular relevant statutes and /or regulations) and as it may be amended or updated throughout the term of this contract. N. ASSIGNMENT Inasmuch as this contract is intended to secure the specialized services of contractor, contractor may not assign, transfer, delegate or subcontract any interest herein without the prior written consent of City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. City of Santa Ana Street Tree Maintenance RFP 258 -117 Page 66 O. JURISDICTION — VENUE This contract has been executed and delivered in the State of California and the validity, interpretation, performance and enforcement of any of the clauses of this contract shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this contract. P. FINES The contractor shall be liable for all violation fines levied against the City by federal, state, or local agencies with regulatory authority related to contractor provided services. Q. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA CARVAHALO City Attorney By: XXXX Assistant City Attorney RECOMMENDED FOR APPROVAL: CITY OF SANTA ANA DAVID CAVAZOS City Manager CONTRACTOR Fred Mousavipour Executive Director Public Works Agency Tax ID# City of Santa Ana Street Tree Maintenance RFP 258 -118 Page 67 EXHIBIT N CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES TREE ORDINANCE NO. NS -2414 205 r+ ORDINANCE NO, NS -2414 AN ORDINANCE OF THE CITY OF SANTA ANA BSTABLISHINQ AND PROVIDING FOR THE REGULATION OF THE PLANTING, MAINTENANCE, AND REMOVAL OF PUBLIC TREES THE CITY COUNCIL OF THE CITY OF SANTA ANA HEREBY ORDAINS AS FOLLOWS: SECTION 1, Findings. The City Council of Cho City of Santa Ann (cite "City`} finds, determines and declares: A. 'file City recognizes trees as a valuable asset providing ahealthier and more aesthetic environment to our neighborhoods and business community.. B. The City recognizes trees as economically beneficial in attracting now businesses, residents and visitors. C. Healthy trees of the riglet size and species, growing in the appropriate spaeas enhance the value and marketability of property and promote stability of desirable neighborhoods. D. The City recognizes the historical significance of its urban forest and the importance of preserving w forest with proper maintenance, removal and planting of trees, SECT €ON 2,. Article VII, untitled True Regulations, is hereby added to Chapter 33 of the City's Municipal Code as follows: ARTICLE VII Sectionse: 33.181 Purpose, 33 482 Doftnitiona. 33.133 Creation and Establishment of the Environmental and Transportation Advisory Committeo 33 -184 Duties and Responsibilities of the Environmental and Transportation Advisory Committee 33.185 Street Tree Species to be Planted. 33.186 Street Tree Planting Standards, 33 -187 Public Tree Care. 33.188 Sito Plan Approval, 33 -189 Public Tree Priming, 33.190 Tree Topping. Ovd. No. NS -2414 Page I of 7 City of Santa Ana Street Tree Maintenance RFP 258 -119 Page 68 296 33 -191 Damaging Tracs. 33.191 Dumping Harmful Substances on Trees. 33 -193 Building Materials NearTrecs, Shrubs. 33 -194 Appcals. Section 33 -191 Purpose. The purpose of this ordinance is to establish policies, regulations and standards necessary to castle that the City will continue to realize the benefits provided by its urbma forest. Section 33-192 Definitions, Untess the particular provisions or the context otherwise requiru.s, the definitions contained in this section shall govern the construction, meaning and application of words and phrases used m this ardrae. (a) Median Trees means trees located in the pleated strip in the center of a divided highway. (b) Parkway means the same as defined in section 36 -8 of this Code. (c) Person means the same as defined in section 1 -2 of this Code. (d) Public Trees means any and all trees owned by the City anal includes, but is not limited to, Median Trees and Street Trees. (n) Street Trees means trees located it the public right of- way. _r (1) Topping means the sevewe cutting back of limbs to stubs larger than three inches in diameter within the tr'ee's crown to such a degree so as to remove the normal canopy and disfigure the tree. Section 33 -183. Creation and Establishment of the Environmental and Transportation Advisory Committee. (a) Gn December 2, 1991, the City Council created and established under City Council Resolution No. 91412 the Environmental and Transportation Advisory Committee (ETAC) for the City of Santa Ana which consists of nine members, citizens, residents and business represemativcs of this City, who acre appointed by the Mayor and City Council, (b) The rules governing membership, and the meetings and procedures of E'rAC, as established by City Council resolutions 73 -149 and SS -72 shall remain wrohanged. Section 33 -184. Duties and Responsibilities of the Envirmtmemad and Transportation Advisory Committee. (a) The duties of tide ETAC shall consist of acting in all advisory capacity to the City Council in tine study, review, and recommendations with regard to the wranval, planting, replanting or disposition a6 Public Trees along City streets. ETAC shall review and make recommendations regarding requests for Public Tree removal by individual property owners, neighborhood associations, ordcvelopors. Ord. Nc. N94414 Page 2 of 7 City of Santa Ana Street Tree Maintenance RFP 25B 20 Page 69 297 (b) ETAC will assist in the dissemination of news and information regarding the r protection, maintenance, removal and planting of Public Trees an public property to the City Council and citizens of alto City of Santa. Ana. (c) ETAC, when requested by the City Council, shall consider, investigate, make finding, report and recommend upon any special matter of question coming within the scope of the urban forest. Section 33 -185 Strcot Tree Species to be Planted. The following list constitutes the official Street Tree Species for the City of Santa A other than those inoluded in this list in ay be planted as Street Trees with consent from the Environmental and Transportation Advisory Committee, Ord, No. NS -2414 page s oar City of Santa Ana Street Tree Maintenance RFP 258 -121 Page 11 COMMON NAME BOTANICALNAME CATEGORY] Queen Palm Arecaslrum. (2 54 - 4 FOOT Crape Myrtle rotnanzofftanum PARKWAYS) Lagerstroentia iodica CATEGORY If Australian Willow Geijera parviflora (4 —5 FOOT PARKWAYS) New Zealand Christmas Metrusiderso excelaus Bradford Pear Pyruscalleryanan CATEGORY 11 Lavender Bloom Tabcbuia ipe (4 -5 FOOT PARKWAYS) CATEGORY Ili Peppermint Tree Agonis flexuosa (5 — 8 FOOT PARKWAYS) Baltic Tree Brachychitonpopulneus Modesto Asti Fraxinus velutina Jacaranda Jacaranda minrosifcha Magnolia - Samuel Magnolia grandiflora Summers Pint>sconariensis Camay Island Pine plateaus acerifolia Sycamore, Landon Platanus racomosa Plane Quercus ilex Sycamore, California Quercus agrifolia Oaks, Holly Ttistania canfeda Oaks, Coastal Live Oak Cassia leptophylla Brisbane Sax Gold Medallion Tree CATEGORY 1.W Camphor Trees amomnm camplima (8 FOOT OR LARGER Tulin Tree LCU'rit den.fron "lrlipi ttra PARKWAYS) Chinese Ehn - us Parvirolia Ord, No. NS -2414 page s oar City of Santa Ana Street Tree Maintenance RFP 258 -121 Page 11 f S,-ECTIpN 9: That Sections 10 -I41, Damaging Trees, 10 -142, Damping harmful substances on trees and 10-143, Building materials near trees, shrubs of the Santa Ana Municipal C ode are hereby repeated. Sit!€ LION 41 That Section 33 -189, Damaging Trees, is hereby added to the Smite Ana Municipal Code as follows: See. 33.189 Damaging trees, No person shall post or affix to any tree or shrub, tree stake or guard, in any street in the city, any bill, poster, placard, picture, announcement, notice, advertisement or sign, or cut, paint, print or mark any of the same upon such tree or shrub, tree stake or guard, or affix or attach in any manner any other thing whatsoever, including any guy who or rope, to any such tree or shrub, tree stake, or guard, except for the purpose of pfOlecting it OF other purpose authorized by this Code. Treo stakes or guards may be placed around trees, shrubs or plants by property owners, provided the some are merely placed near a tree, shrub, or plant, for the purpose of protecting or training such trees, shrubs or plants. SIEC'T €M S: That Section 33 -190, Humping harmfid substances on trees., is herby added to the Santa Ana Municipal Code as follows: See. 33 -190. Dumping har TALI substances on trees. No person shall dump, pour or spill any oil, salt, salt water or other deleterious matter upon any tree or tree space in any street, or maintain upon any sidewalk within ten (10) feet of any such tree or tree space nn any street, any receptacle from whirl, oil or gait water leaks or drips, or pour oil or salt water onto any parking or concrete gutter, so as to injure any tree or any street. E�„f'Ty Y 4, That Section 33.191, Building materials near trees„ shrubs, ishereby added to the Santa Ana Municipal Code as follows: Sec. 33 -191. Building materials hear trees, shrubs. No person shall pile building material, or other material, about any true, plant or shrub in a street in any maimer that will in any way injure such tree, plant or shrub. SECTIION_7:. That Section 1 -181 of the Santa Ana. Municipal Code is hereby amended to reads as follows: 1 -18.2. Public works department authority to issue citations. The director of public works, the administrative services manager, dm enterprise coordinator, the environmental control supervisor, the maintenance services manager and all sanitation inspectors have, the duty to enforce the provisions of sections I6 -1. through 16 -4, 16-30,16-31, 16-13 through 16.37.3,16 -39 and 16.48 of this Code, the director of public works, the maintenance ord. No, NS-2414 Page S of 7 City of Santa Ana Street Tree Maintenance RFP 25B 22 Page 71 MI 300 servioea manager said the tree maintenance supervisor have the duty to enforce the provisions of sections 33 -188, 33 -189 through 33.191 and 1.648 of this Code; and the director o €public works, the water resources manager, the utility inspector and the water meter repairers have the duty to enforce the provisions of sections 39-26,39-33 said 39.146 through 39 -111 ofthis Cade mid the director of public works, the engineering services manager, senior civil m illmoor, associate engineers, assistant engineers and the construction inspectors have the duty to enforce the provisions of Article IV of Chapter 18 of this Code. The above -lsted officers and employees me authorized to arrest persons without a warrant whenever they have reasonable cause to believe that the person to be arrested ties comiitted a violation of said provisions in their presence. in any case in which a person is arrested pursuant to this section and the person arrested does not demand to be taken before a magistrate, said officer or employee making the arrest shall prepare a written notice to appear and release the person on his or her promise to appear as prescribed by Chapter 5 C, Title III, of Part 2 of the Penal Code of the State of California (commencing with Section 853.6). S ,CTtON 8. Soverabihty. The City Council of the City oi'Santa Ana hereby declares that should any section, paragraph, sentence or work of this ordinance or the Code, hereby adopted, be declared for any reason to be invalid, it is the intent of the Council that it would have passed 41 other portions of this ordinance independent of the elimination here from ofany such portion as may be declared. ADOPTED this zothday of , December ,1999 , ATTEST; y+�"a Jan C, fyay Clerk of the Council COITNCILMEMl3ER& puhdo — '. — Lutz --Ry �_- $ist Ave Christy Aye ._._ Franklin Aye McGuigan Aye Moreno Absent: Om. No, xs -at tt Page 6 at APPROVED AS TO FORK Joseph W. Pletcher, City Attorney By, Tam A. Tro n Assi�ity At onxey City of Santa Ana Street Tree Maintenance RFP 258 -123 Page 72 301 ri. T CERTIFICATE OF OPJG[NAIXFY & PUBLICATION i, dANICE C. GAY, Clerk of the Council, do hereby certify the attached Ordinance No.xit4 to lie the wiginal 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 ofSant. Ana. Date ,fd -2f �� �'�i9 �L+>�C.a �_L✓�. (� ark u` f the Council J City of Santa Ana oak No. NS-2414 Paga 7 of7 City of Santa Ana Street Tree Maintenance RFP 258 -124 Page 73 Attachment 1 City of Santa Ana Attachment 1 City of Santa Ana Street Tree Maintenance RFP 258 -125 Page 74 N -4� 0.0 OS to Mies Attachment 2 GRANT ELEM s ELEM �..:� 4wES1vUi AV 111 `1 MV Es ROOSEVELT ELEM /WALKER ELEM - A .n r- T.T 3 Al - CN1RE a 77A.- Ar 0 �� Br911CPbT 1 µtrwn w w _ e N a.; EEVE a id w I I T � VAC'AM 81TC i AEHSPE(4' ❑ IA VPl1DF]I TRVNPfT TRP.P. • 0 CAVD KIRTR6 OAA SPE(9ES a f�`awu � C'RAPI!MIRTLL � PALN BPP.CRB i w.Mr w-nlW wwnanwes�r wi...M...ma� ❑ ODDDAR ('H)AR � PINP. BFPA'IL4 ® IACARANDA ❑ GYCAMORF:BPLCIIES Eastside Neighborhood. Page 1 of 8 City of Santa Ana Street Tree Maintenance RFP 258 -126 Page 75 L - E�p AV it �L ON Madison Park Neighborhood Page 2 of 8 City of Santa Ana Street Tree Maintenance RFP 258-1 27 Page 76 ■ ASHSPLC6'4 . CAERUTWUUO ■ UAR SPyCI® SM: ne�x� •�s�en nun x�en rnme ■ AVSTRA1lA VVI1 W . fRAPEMYRTIE . PALM SPG'65 �, u�ramum . BRI.4MNE 69% ❑ hl.SI6PF.CRR ® SLLVEI(UULL�R OVbI •� •x•a•'�Iw . BRUML61aQU1T ® IAC.VWNDA . SVLAMUKSPEC�e mv+rt•v i r�r��tmn.fnaw.. �an•x�mr�.arnun ■ CMIPNU0.TR}T © NEK'ZCIANO ON Madison Park Neighborhood Page 2 of 8 City of Santa Ana Street Tree Maintenance RFP 258-1 27 Page 76 Strut nee wtvMur EldrWa Pak Nejghhmhood Hats M, mpshare the Rmmrtre Tree Sparestr tAarivn Elfin d MNm %6whad. k!oweva,dvero!mtruws M.vekpnxntupdetes ud emul Bdd�mdihae Bce;ennmry danye Someofutae<andi. _ m re 1 d 2. D., " Tr,. m K MMWDIA 3 rI e d h&MyMdl4 .r t 1 t q 8@ E 1# t 1 Of0 F� �0/ S. Fwuredeeebpnm[phnr m° � ,�} G.'.07 .. ." �. p9 9P 6� All p:,yNS mMNplenMgot tr«s ncillprknysrd/uny+do[.way ;. rryuoesNe %ntingDyvmmtcrCmbsdaWmrtMdceTra Sa- s� I i i i d is {[ a i i x r d$ '� d C tim AgmdmaVlr'b0J -SSAI ILr finel�ecesrypruvW lxzrNUdm LL � ♦ ingmes FAIRBROOKW AUSlRAG.4N WDJAW ® CAMPHOR TREE — -- R Q CAPECIESTNUr CRAPEMI MLE ,— m 6 +'a' a 3 5 r r. a t. q.•.. ,n �• CORRIGMt AV P81i! ® INDIANLAURELFIG ® JACAR4WA (Qj �. g V ((( r Q♦ s, F{ Z Z W Ej � ♦m PALM SPECIES SHBRVBNIN �� n R J - o a ; do 3 em m � � ♦ �" MQAORY LN .� MEAgRYLN t N m m 5 e , I •. y •' a a. Morrison Eldridge Park Neighborhood Page 3 of 8 City of Santa Ana Street Tree Maintenance RFP 25B -128 Page 77 wi Q d i WARNER AV i FLORA ST a_ NUJ. 0 HALL AV o BALL qa n AA CENTPAI. AV �7i Q C ApN.15 9! t ADAMS ST BRISBANE BOX Ij IfANLV A= MANLY AV CMWHORTR ROWIANOA �._ flov ANO4v mpm Yu 11= . CARItOTW000 �0 CH4NOLERgV QO1 HEMLOCK WV SF FRSTRg AV O�� ® ]AO A SAN 0O ENZO AV OAKSPECIES 3` .. snuP chew: the Ranninmlo!irezu(e : mi (s waningan :.,adrveiphhiR.N Hew. 10 SEGEPGiflOM AV ❑ PFAR SPECS er,tice W onlrveusdme6rfem[upMws mtl awal fiebeeM�fiao NeiN-�v nm;e Soneof N »emfilvnsart. 1. r. T—weu ne PATE SPECIES . VACA SIZE i f.nwr mm 5. }LOne Eev[6pnml pOv Ali ptN`� °� FIn4r,BO(trres m v'M1y Vakwyx aWUnQba4vny mP�sv B�ePlming P'ntx CWnrty Li aNaa'[Nz Tree Satm Speaix rtila/AJ.IINW fi�ul 'm.rea Rrymv.Ipnr4eatlmnBtruz ❑ NO tVORK kRSTORY Morning Sunwood Neighborhood Page 4 of 8 City of Santa Ana Street Tree Maintenance RFP 258 -129 Page 78 8 maw � t - It \� r' vtteonu ve r ��:mn -Ary e p � Sr het eJt .:IP � AMERICAN S \4EEPGL31 � (A9PE MYRTIP ® PEARSPEC�S Stret Te Master u.eww Hem HRLi$N'EEOF ❑ ELN SPECffS SOISI "ffQ:W + \L\GNOLLi u9N£ emae.. e, e.��ex'e.s�.a� rca�,..tiebt�a m ECdo7svpMnM ai6W maem� e�m� eT�i S�al6mmvffi¢n CAWHORT ® JACARANDA ® SYCAMORESPE f. ha6J -�nb ), illea W e. w�mm s. tv. aa.l�see wc, xuaav >mzeuneesca� +• +s1+..ayv/.nR ❑ CAPE CIIESMVf 0 O"SPEC ® iN1PTRFE n.�e.w�avw.s - �a.vas�e:ba. ��n./.x5rnnwmam= wm=+ve+m�e�. 0 CARItO WD 0 PALMSPECIES ,t Riverview Neighborhood .�. Page 5 of 8 City of Santa Ana Street Tree Maintenance RFP 25B -130 Page 79 ❑ ASHSPEC 0 ADSTRALIANNVLLOW 0 BRAT,llUNPEPPBR ■ BRISBANEBO% ■ CARROTWOOD ❑ ELMSPECILS JACARANDA Q LAVTNDFRTRIIMPET TREE ■ OAK SPECIES ® PEARSPECTES ■ rrvE srecJEs ■ PALM SPEMT ■ SOUTJBi.RNMAGNOLIA ® SYCAMORESPEC 19 t StreefTrce MexYer 9enG niYe XNaXpprXmtl naMa. 1MrMAvn W M ®wmY T<e 5p<rci geetl IMe tla<Apnm�mdrtsatl of <�ierv0ema+marLm¢ Sm<o(he<�em�ae L PsMaxtrs L Yagaatim a. ieneg6 A PrCgaW L pdxgn4p� W< M pmyo Mneplzm {olmsnugp��M mdArnpre[vry rt. PmmA [<gama�w iinert<m.m¢tA<Tm Srtvn xma1N.N .11lA 6rfoi qmn gnvtlparnaAnmgem Santa Anita Neighborhood Page 6 of 8 City of Santa Ana Street Tree Maintenance RFP 25B -131 ❑ NO WORK HISTORY Page 80 \I/ x n a w. o° m o _ 17TH ST CIVIC CENTER DR -- - 0 AMP.RICANSW .: GUM �... I A - -, OC DEPT. OF 0 ASFISPPC EDUCATION y _ CAROO ® PRARSPECFES CARRommn Fee[ L'ee mxete. was � ,nepa�_�ll \!xi e- ry- eiftligol= hs➢YI52sE: a. u4unem a. w.W.um +. F.m.e.rmaw Mu macpm.:,:. mb.u..orm.mr e. n: am.ay. m } CIVIC CENTER DR -- - 0 AMP.RICANSW .: GUM OAKsprxim 0 ASFISPPC PAILISpulm CAROO ® PRARSPECFES CARRommn P ..Smm. CRAPEMWR -- SOOR�MAONOIIA _ WILSON 1 ELEM w -.. INGTON AV 77, S J I a .» a m p mm ._. .. _ _ Fee[ L'ee mxete. was � ,nepa�_�ll \!xi e- ry- eiftligol= hs➢YI52sE: a. u4unem a. w.W.um +. F.m.e.rmaw Mu macpm.:,:. mb.u..orm.mr e. n: am.ay. m } Washington Square Neighborhood Page 7 of 8 City of Santa Ana Street Tree Maintenance RFP 25B -132 Page 81 ED SYCAMORESPECRPS ® TWIPTRPB VACAWSPI ❑ NO\VORKmsioln m nC. c CIVIC CENTER DR -- - 0 AMP.RICANSW .: GUM OAKsprxim 0 ASFISPPC PAILISpulm CAROO ® PRARSPECFES CARRommn P ..Smm. CRAPEMWR SOOR�MAONOIIA Washington Square Neighborhood Page 7 of 8 City of Santa Ana Street Tree Maintenance RFP 25B -132 Page 81 ED SYCAMORESPECRPS ® TWIPTRPB VACAWSPI ❑ NO\VORKmsioln m nC. c NC FADDEN AV Sic m � " . w C QK _ �a mm x.. w 0 1— Qi m w RUSSELL AV h <� a m V WLLSwREAV F�'7 m + ANNESw � GmNC-ER Av Street Tree Nexle. Wilxh've Soua.e Xe oM1bor M1oetl vwtes: Ri. rty Lm de P.�mmew Trte Epaiz tv 1vY]ve gyae lMm. �. a. m.m�. aaamm"wu.« ma mma a<ie [mtiCwalk Remmy Wmft �eo[bex��umise � a.X.eaxe i. 6mytliMnm ]. Trmxe9b a. w.mi.we ]. tmmeexa.] ®W. w e�i[[.aertWmmv.te<mm anraL•m mew.ap..w, .r geanN FlmmB ppaam"wPCesmem ®ur6e 11e� 5uovn Sqx .,e,mna.N�anawmmyme svmwre..m�ma:�ama J> ��+[ _. __......__ - EDINGERAV -' - 0 ASH SPECIES ® CA OJ PEPPER ® CAROB CARROT VWD CRAPE mlmT Q DEODAR CEDAR Wilshire Square Neighborhood Page 8 of 8 City of Santa Ana Street Tree Maintenance RFP 25B -133 ® JACARANDA ® SYCAmomsPEC@S OA SmE QOEENPAI VACAW SITE Page 82 Fl RUSSELL AV h <� a m V WLLSwREAV F�'7 m + ANNESw � GmNC-ER Av Street Tree Nexle. Wilxh've Soua.e Xe oM1bor M1oetl vwtes: Ri. rty Lm de P.�mmew Trte Epaiz tv 1vY]ve gyae lMm. �. a. m.m�. aaamm"wu.« ma mma a<ie [mtiCwalk Remmy Wmft �eo[bex��umise � a.X.eaxe i. 6mytliMnm ]. Trmxe9b a. w.mi.we ]. tmmeexa.] ®W. w e�i[[.aertWmmv.te<mm anraL•m mew.ap..w, .r geanN FlmmB ppaam"wPCesmem ®ur6e 11e� 5uovn Sqx .,e,mna.N�anawmmyme svmwre..m�ma:�ama J> ��+[ _. __......__ - EDINGERAV -' - 0 ASH SPECIES ® CA OJ PEPPER ® CAROB CARROT VWD CRAPE mlmT Q DEODAR CEDAR Wilshire Square Neighborhood Page 8 of 8 City of Santa Ana Street Tree Maintenance RFP 25B -133 ® JACARANDA ® SYCAmomsPEC@S OA SmE QOEENPAI VACAW SITE Page 82 Tree Dept. Sections with Street Sweeping Routes -Leaf Season Use Nonh Quads tef McFadden Attachment 3 Monday AM Route — Tuesday AM Route — Wednesday AM Route Thursday AM Route Fnday, AM Rowe Monday PM Route Tuesday PM Route Wednesday PM Route Thursday PM Rowe am Friday PM Rowe Page 1 of 4 City of Santa Ana Street Tree Maintenance RFP 25B -134 Page 83 Tree Dept. Sections with Street Sweeping Routes -Leaf Season .+os Nwpry.N RwN r..�ry�Aav ® FrbnYAM RaM MY YonEryGM Pyup T�y Ra I��IrxWry VN Rpp M® FMaYPN ROVY Page 2 of 4 City of Santa Ana Street Tree Maintenance RFP 25B -135 Page 84 Tree Dept. Sections with Street Sweeping Routes -Leaf Season M.W, AM Raute Tuesday AM Rode Wednesday AM Route Thursday AM RwW ® Fdday AM Roble e� wm.y PM Route -- Wedmsday PM Rouse — Thursday PMRWW ® Fnday RM RoWe H1 Use East - Ouadsfa B1 Bnsto Page 3 of 4 City of Santa Ana Street Tree Maintenance RFP 25B -136 Page 85 Tree Dept. Sections with Street Sweeping Routes -Leaf Season Page 4 of 4 City of Santa Ana Street Tree Maintenance RFP 258 -137 Page 86 m Men a E1 r Monday AM Route ® Tuesday AM Route — Wednesday AM Route Thursday AM Route — Foday AM Route Monday PM Route r Tuesday PM Route — Wednesday PM Rohe Thursday PM Route — Fnday PM Routs 25B -138 Tree Care Professionals Serving Communities Who Care /!bout Trees April 29, 2015 City of Santa Ana Attn: Public Works Agency, Ross Annex, Third Floor 20 Civic Center Plaza Santa Ana, CA 92701 RE: RFP No, 15 -016: Street Tree Maintenance Services Due: Friday, May 1, 2015 at 4 :OOPM To whom it may concern; www. WCAINC.com Thank you for allowing West Coast Arborists, Inc. (WCA) with the opportunity to submit a proposal for tree maintenance services for the City of Santa Ana. WCA is a family -owned and operated company employing over 750 full -time employees providing various tasks to achieve one goal: serving communities who care about trees and landscape. We have reviewed, understand, and agree to the terms and conditions described in this RFP. We also hereby acknowledge that we meet the minimum requirements and responded to each of these requirements to the best of our ability with no exceptions. WCA's corporate values include listening to customers and employees that will help to improve services offered. By establishing clear goals and expectations for the organization, supporting its diverse teams, and exchanging frequent feedback from customers and employees. WCA's top management team has created a culture where employees become accountable for actions and results. WCA has a 43 -year track record of working for more than 220 California, Arizona and Nevada municipalities and other various agencies. Our company has been in business since 1972 and is licensed by the California State Contractors License Boards under license #366764. We have held this license in good standing since 1976. The license specializes in Class C61 (Tree Service) as well as Class C27 (Landscaping). We currently employ over 45 Certified Arborists and over 100 Certified Tree workers, as recognized by the Western Chapter of the International Society of Arboriculture. WCA is also registered with the Department of Industrial Relations (DIR) for Public Works projects, our registration number is 1000000956. Should we be awarded this project, we shall use full -time, in -house employees; no subcontractors will be used. Our employees operate from one of our seven California offices: Anaheim (Corporate HQ), Ventura, San Diego, Riverside, Fresno, San Jose and Stockton. For questions related to this proposal and who has the authority to negotiate, please contact Victor Gonzalez, V.P. Marketing, at (714) 991 -1900 or at vQonzaiezfa wcamc.com. Randy Thompson, Area Manager, will be assigned to this project should WCA be awarded this contract. He can be reached at (714) 920 -1273 or rthompsontawcainc.com. Sincere Patrick Preside Exhibit 3 CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on a unit cost for services described in Exhibit A. Fee must be inclusive of all casts, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Bid proposal fee will be based on Pruning Section Grand Total Price. PRUNING SECTION A B C Description Unit UNIT PRICE Estimated Annual Units' A x B = C TOTAL PRICE Li ht Prune Each $ 8900 a 3s6 veer a $ 171,210.00 Grid Prune Each $ 68.00 10,254 ear 9 $ 646,002.00 b Annual Queen Palm Prune Each $ 29.00 5,361 ear 7 $ 155,469.00 BI- Annual Date Palm Prune Each $ 95.00 203 YearZ $ 19,285.00 d BI-Annual Canary Island Palm Prune Each $ 150.00 as Yearz $ 6,600.00 a Bi- Annual All Other Palm Prune Each $ 53.00 ao3 year 2 $ 47 859.00 t GRAND TOTAL PRICE — PRUNING SECTION ONLY (a +b +c+d +e +t} $.1,046,425.00 City of Santa Ana Street Tree Maintenance RFP Page 48 25B -140 REMOVALS Description Unit UNIT PRICE Palm Skinning Per Foot s 15-00 Tree &, Stum Removal Diameter Standard Height Per Inch s 27.00 Tree Only Removal Diameter Standard Height Per Inch $ 19-00 Stump Only Removal Diameter Standard Height Per Inch $ 8.00 INSPECTIONS _Ins acfion Resort Includin Risk Assessment I Per Tree s 200.00 Consultant Arborist Inspection (Level 1, 2 or 3) Per Hour s 140.00 PLANTING — DESIGNATED SPECIES Plant 15 Gallon with root barrier Each $ 150.00 Plant 24 inch Box with root barrier Each s 300.00 Plant 36 inch Box with root barrier Each 1 960.00 Plant 48 inch Box with root barrier Each s 2,400.00 Plant 60 inch Box with root barrier Each s 4,200.00 PLANTING - SPECIAL VARIETY TREES * Plant 15 Gallon with root barrier Each $ Plant 24 inch Box with root barrier Each _175.00 $ 350-00 Plant 36 inch Box with root barrier Each $ Plant 48 inch Box with root barrier Each s 2Az550-00 Plant 60 inch Box with root barrier Each s 4 �800.00 SPECIALTY SERVICES Service Request Prune Each s 200,00 Large Scale Prune Each $ 500-00 Root Foot $ 19-00 Root Pruning with 18" barrier Foot s 24.00 Waterinjq_q!_young trees, water truck & operator Day s 500.00 CREW RENTALS Crew Rental (3 men) (Minimum 3 Hours) Per Hour $ 210.00 y Crew Renta 3 rnen _ _ I Rental Emergency rgenc 1.(Miinimum 3 hours) Per Hour of Santa Ana Street Tree Maintenance RFP Page 49 25B-141 TECHNICAL GPS Tree Inventory of Existing Trees (Approx. 60,000 GPS Tree Inventory cost only applies to new trees planted after completion of initial Tree CooperatLye It is intended that other public school district, public authority, public agency, municipality, andoiherpu|itiudoubdiviaionnrpub|iounqpnnaik>n)sha||havetheupdonb) participate in any award made as a result of this solicitation at the same prices, The City of Santa Ana shall incur no financial responsibility in connection with any purchase by other public agency. The public agency shall accept sole responsibility for placing orders and making payments to the vendor. Labor Classification The work performed on this contract is routine, recurring, and usual. The work includes watering, 1hno/ning, pruning, planting, onrnovm|undnycleoumnrkoffoeeuandpkant$.anda*nioingofiniati The rates included in the Cost Proposal are based un prevailing wage determination "Landscape Maintenance Laborer". -West Coast Arborists, Inc. 1 �80p) 521-3714 �Fax: (714) 991-1027 LEGAL NAME OF COMPANY 1, 1 A / PHONE AND FAX NUMBERS 2200 E. Via Burton, An6heim, CA 92806 ulff 11 � P8b1Ck 4130/16 95-3250682 #366764 FEDERAL ID NUMBER CONTRACTOR LICENSE NUMBER LTHIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP Page 50 ��U���� ��U��Um�� EXHIBIT G CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES RELEVANT WORK HISTORY List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if reouired. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: City of Anaheim Address: 200 S. Anaheim Blvd. Anaheim, CA 92805 Contract Amount: $1,600,000 Description of supplies, equipment, or services provided: WCA provides complete urban forestry me removals, and emergency Reference Customer Name: City of Fullerton Address: 303W. Commonwealth Ave. Fullerton, CA 92832 Contract Amount: 11,170,000 Contact Individual: Rob Gomes Phone Number: (714) 765 -6907 Facsimile Number: (714) 981 -6855 _ Year: Ongoing since 2007 for the City including tree trimming, planting, Contact Individual: Dennis Ouinlivan Phone Number: (714) 738 -6805 Facsimile Number: _14)_738-3100 Year: Ongoing since 1998 Description of supplies, equipment, or services provided: WCA provides citywide tree maintenance services Reference Customer Name: City of Tustin _ Address: 300 Centennial Way Tustin, CA 92780 Contract Amount: $390,000 Description of supplies, equipment, or services provided: Contact Individual: Jason Churchill Phone Number: (714) 573 -3023 Facsimile Number: {714 $32 -0$25 Year: Ongoing since 1993 WCA provides chide tree maintenance services includinq_tree pruning, removals, planting, and emergency response. City of Santa Ana Street Tree Maintenance RFP Page 51 25B -143 Reference Customer Name: City of Huntington Beach Address: P.O. Box 190 Huntington Beach, CA 92648 Contract Amount: $985,000 Description of supplies, equipment, or services provided: Contact Individual: Handy Menzel Phone Number: X714) 596 -4316 Facsimile Number: (714) 375 -5135 Year: Ongoing since 2006 WCA provides citywide tree maintenance services and GIPS tree inventory management Reference Customer Name: City of Laguna Hills Address: 24035 El Toro Road Laguna Hills, CA 92653 Contract Amount: $195,000 Contact Individual: Jan Frainie Phone Number: (949) 707 "2652 Facsimile Number: _�249) 707 °2633 Year: Ongoing since 1997 Description of supplies, equipment, or services provided: WCA provides citywide tree maintenance services including pruning, removals, emergency response, and a GIPS tree inventory management THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP Page 52 25B -144 CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES PROPOSELS STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are tpfbe Incorporated by reference into this agreement and are made specifically as part of this RFP. / � f 1/1 Signed Printed Name: Patrick Mahoney Title: President Date: 4/30115 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP Page 53 25B -145 EXHIBIT I CITY OF The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1. The contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The contractor shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further government contracts or federally assisted construction /services contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The contractor shall include the portion of the sentence immediately preceding paragraph 1 and the provisions of paragraphs 1 through 7 in every subcontract or purchase order unless City of Santa Ana Street Tree Maintenance RFP Page 54 25B -146 exempted by rules, regulations, or orders of the Secretary of Labor Issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation by a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Slats. 1039, and as amended, no discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor violating this section is subject to all the penalties imposed for a violatiownof the chapter. Printed West Coast Arborists, Inc. President THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP Page 55 25B -147 EXHIBIT J CITY OF SAATA AAA How many years has your organization been in business in California as a contractor under your present business name and license number? If you performed same business under a different business name with same ownership and operation management and changed name due to, but not limited to, bankruptcy, loss, or license, please complete an additional and separate questionnaire. 2. What is your firm's average gross revenue for the last three years? $--5-5 000.OQQ___—. 3. Is your firm currently the debtor in a bankruptcy case? Yes ® No If "yes," indicate the case number, bankruptcy court, and the date on which the petition was filed. NONE Case Number Bankruptcy Court Date Filed Was your firm in bankruptcy any time during the last five years? (This question refers only to a bankruptcy action that was not described in answer to Question 2, above.) ❑ Yes E] No If "yes," indicate the case number, bankruptcy court, and the date on which the petition was filed. NONE Case Number Bankruptcy Court Date Filed 5. Has any California State License Board license held by your firm or its responsible managing employee or responsible managing officer been suspended within the last five years? ❑ Yes © No & At any time in the last five years, has your firm been assessed and paid liquidated damages after completion of a project, under a services contract with either a public or private owner? ❑ Yes ® No Has your firm ever defaulted on a contract? ❑ Yes 0 No If "yes;' explain on a separate page. City of Santa Ana Street Tree Maintenance RFP Page 55 25B -148 t3. In the last five years has your firm, or any firm with which any of your company's owners, officers or partners was associated, been debarred, disqualified, removed, or otherwise prevented from bidding on, or completing, any government agency project for any reason? ❑ Yes ® No If "yes," explain on a separate page. State the name of the organization debarred, the year of the event, the owner of the project, and the basis for the action. 9. In the past five years, has any claim against your firm concerning your firm's work on a project, been filed in court or arbitration? ❑ Yes ® No If "yes," on a separate page identify the claim(s) by providing the project name, date of the claim, name of the claimant, the name of the entity the claim was filed against, a brief description of the nature of the claim, the court and case number, and a brief description of the status of the claim (pending or, if resolved, a brief description of the resolution.) 10. In the past five years, has your firm made any claim against a project owner concerning work on a project or payment for a contract, and filed that claim in court or arbitration? ❑ Yes ® No If "yes," on a separate page identify the claim(s) by providing the project name, date of the claim, name of the claimant, the name of the entity the claim was filed against, a brief description of the nature of the claim, the court and case number, and a brief description of the status of the claim (pending or, if resolved, a brief description of the resolution.) 11. At any time during the past five years, has any surety company made any payments on your firm's behalf as a result of a default, to satisfy any claims made against a performance or payment bond issued on your firm's behalf in connection with a project, either public or private? ❑ Yes ® No 12. In the last five years, has any insurance carrier, for any form of insurance, refused to renew the insurance policy for your firm? ❑ Yes M No 13. Has your firm or any of its owners, officers, or partners ever been liable in a civil suit, or found guilty in a criminal action, for making any false claim or material misrepresentation to any public agency or entity? ❑ Yes 0 No 14. Has your firm or any of its owners, officers or partners ever been convicted of a federal or state crime of fraud, theft, or any other act of dishonesty? ❑ Yes ® No If "yes," identify on a separate page, the person or persons convicted, the court case and number, the crimes and the year convicted. 15. If your firm was required to pay a premium of more than one percent for a performance and payment bond on any project(s) on which your firm worked at any time during the last City of Santa Ana Street Tree Maintenance RPP Page 57 25B -149 three years, state the percentage that your firm was required to pay. You may provide an explanation for a percentage rate higher than one percent, if you wish to do so. N/A % 18. During the last five years, has your firm ever been denied bond credit by a surety company, or has there ever been a period of time when your firm had no surety bond in place during a project when one was required? ❑ Yes [N No 17, Has Cal -OSHA cited and assessed penalties against the contractor or its associates for any "serious," "willful' or 'repeat' violations of its safety or health regulations in the past five years? ❑ Yes ® No (Note: If you have flied an appeal of a citation, and the Occupational Safety and Health Appeals Board has not yet ruled on your appeal, you need not include information about it.) If "yes," on a separate page describe the citations, the party against whom the citation was made, date of citation, nature of the violation, project on which the citation was issued, owner of the project, and the amount of penalty paid, if any. State the case number and the date of any OSHAB decision. 18. Has the Federal Occupational Safety and Health Administration cited and assessed penalties against the contractor or its associates in the past five years? ❑ Yes ® No (Note: If an appeal of the citation has been filed and the Appeals Board has not yet ruled, or there is a court appeal pending, you need not include information about the citation.) If "yes," on a separate page describe the citation, the party against whom the citation was made, date of citation, nature of the violation, project on which the citation was issued, owner of project, and the amount of penalty paid, if any. State the case number and date of any decision. 19. During the last five years, has there been more than one occasion in which the General contractor or its associates have been penalized or required to pay back wages for failure to comply with the federal Davis -Bacon prevailing wage requirements? ❑ Yes ❑X No If "yes," on a separate page, describe the violator, nature of each violation, name of the project, date of its completion, the public agency for which it was constructed, the number of employees who were initially underpaid and the amount of back wages and penalties that were assessed. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP Page 58 25B -150 EXHIBIT K CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET TREE MAINTENANCE SERVICES NONCOLLUSION AFFIDAVIT NON- COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part oft e proposal SF ' this proposal on the signature portion thereof shall also constitute sign t re f this noncion affidavit. Proposers are cautioned that making a false certification may bj t a cu ' cri final prosecution. Signed Patrick Mahoney, Presiden# State of California, County of Orange Subscribed and sworn to (or affirmed) before me on this of 20____, by_ , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE City of Santa Ana Street Tree Maintenance RFP Page 59 25B -151 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT CIVIL CODE M11O8 A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State ofCalifornia County nf ORANGE ________�_____ � On__���/1 before me, -- 7—T����--------� ate personally appeared &MDLI& I. 8EN%8l^ 00TAK% PUBLIC Here Insert Name and Title of the Officer PATRICK 6A8002I Namts)ufJigner(s) who proved to me on the basis of satisfactory evidence tobo the (s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the sarne in hia/hevtheir authorized vm ityies\oodthat nthoirainoiu instrument the penoonkd, or the entity upon behalf of which the person(s) acted, executed the instrument. 10, 1. MENZEL Commission # 2105517 IL Notary Public - California Orange County My Comm. Expires Apt 2,2019 i certify under PENALTY 0F PERJURY under the laws uf the State of California that the foregoing paragraph in true and correct. WITNESS my hand and offici Gignntur*__ �Ignetu/to/Nv(oryPub8: Place Notary Seal Above OPTIONAL Though this section is optional, completing this information Can deter alteration of the document or fraudulent reattachment of this form toon unintended document. Description nf Attached Document Title ur Type ofDocunnont: Donunnun|Duta: - Number of PoOou: ______Gigner(») Other Than munneU Above: Cmpoohy(ieu) Claimed by Signer's Name: p&TBIQ[ M&800%Y Corporate Officer ~`Tldo(q): PRESIDENT Partner ^-L|Linoit*d 'Genv:u| Individual Attorney inFact Trustee ! iGuardian orConservator �Other: Signer |oRepresenting: Signer's Name: �Corporate Officer ~~T@e(s): �Partner -- Limited |Gonend lIndividual Attorney inFact rlTmotre 'Guardian o/Conservator Other Signer |aRepresenting: 02014 National Notary Association ^**w.NuUmnu|NoiaryuqJ^1'8V0'US NOTARY (1`80O'87O'0827) Item #5907 ��U���� ��U��U �� REQUEST FOR PROPOSALS FOR STREE TREE MAINTENANCE SERVICES C CITY OF SANTA ANA Public Works Agency Maintenance Services Division Released on April 15, 2015 The referenced document has been modified and will be known as Amendment No. 1. Please sign this Amendment where designated and return the executed copy with submission of your proposal. This amendment is hereby made part of the referenced proposal as through fully set forth therein. Any questions regarding this amendment should be addressed to Danell Mercado, email dmercadoCa7_santa- ana.orr . RFP — Title Paae KEY RFP DATES: Issue Date: Tuesday March 31. 2015 RFP —Page 1 MAILED, DELIVERED BY HAND, OR COURIERED proposals will be accepted as follows City of Santa Ana Public Wod <s Agency, Corporate Yard, Building A 220 S. Daisy Avenue Santa Ana, CA 92703 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Proposals shall be made in writing via e-mail to Danell Mercado at dmercadotd)santa- ana.org. City of Santa Ana -- Street Tree Maintenance Services RFP Amendment No. 1 Page 1 25B -153 The receiving time in the Public Works Agency, Corporate Yard, Building A, 220 S. Daisy, Santa Ana, CA 92705, will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic„ and facsimile proposals will not be accepted. All other provisions of the invitation of this proposal shall • ia.it in their a tirety. Vendors hereby acknowledge receipt and understanding of the abov A e d tent. West Coast Arborists, Inc. 4/30/15 Company Name Signature Date Patrick Mahoney Printed Name of Signer 2200 E. Via Burton, Anaheim, CA 92806 Address President Title City of Santa Ana — Street Tree Maintenance Services RFP Amendment No. 1 Page 2 25B -154 REQUEST FOR PROPOSALS FOR STREE TREE MAINTENANCE SERVICES CITY OF SANTA ANA Public Works Agency Maintenance Services Division Released on April 20, 2015 The referenced document has been modified and will be known as Amendment No. 2. Please sign this Amendment where designated and return the executed copy with submission of your proposal. This amendment is hereby made part of the referenced proposal as through fully set forth therein. Any questions regarding this amendment should be addressed to Danell Mercado, email dmercado@santa- ana.oro. XI. Prevailing Wage Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, at seq., ('Prevailing Wage Laws "), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. Since the Services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates per diem wages in effect at the commencement of this Agreement. Contractor shall make copies of the prevailing rates of per diem wage for each craft, classification or type of worke3r needed to execute the Services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. City of Santa Ana — Street Tree Maintenance Services RFP Amendment No. 2 Page 1 25B -155 RFP — Pane 7 XVII. E -MAIL COMMUNICATIONS AND INTERPRETATIONSICLARIFICATIONS To facilitate the RFP process, proposers are required to monitor the City's Sid and RFP page at www.santa- ana.or /_ g bids -rf s. No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein, including the Scope of Services and Terms and Conditions. Every request for such an interpretation must be made in writing via e-mail to the projects manager (dmercado@santa- ana.orq) no later than Tuesday April 21. 2015 at S:Oq PM. Significant interpretations or clarifications will be made by an addendum to the RFP, which will be posted to the website. Addenda may become part of the agreement documents. Q. CONTRACTORS OFFICE Contractor is required to maintain an office within a sixty (60) minutes response time of the job site and provide the office with phone service during normal working hours. During all other times, a telephone answering service shall be utilized and the answering service shall be capable of contracting the Contractor by cell phone or pager. Contractor shall have a maximum response time of sixty (60) minutes to all emergencies. Contractor will ha n office and a Sea 36- 145. -- Same - Commercial Vehicles. No person shall park and /or leave standing on any street, or portion thereof, in any residential district located within the city any commercial vehicle with a manufacturer's gross vehicle weight rating of ten thousand (10,000) pounds of more for a period of time longer than two (2) hours. Such restriction shall not apply to any commercial vehicle which is making pickups or deliveries of goods, wares, and merchandise from or to any building or structure located on the residential street, or for the purpose of delivering materials to be used in the actual and bona fide repair, alteration, remodeling, or construction of any building or structure upon the residential street for which a building permit has previously been obtained. City of Santa Ana — Street Tree Maintenance Services RFP Amendment No. 2 Page 2 25B -156 RFP — Paae 50 Labor Classification The work performed on this contract is routine, recurring, and usual. The work includes watering, trimming, pruning, planting, removal and replacement of trees and plants, and services of irrigation. The rates included in the Cost Proposal are based on prevailing wage determination "Landscape /Irrigation Laborerf ender'. All other provisions of the invitation of this proposals to l r nalit in th74/30/15 rety. Vendors hereby acknowledge receipt and understanding of the a e n dine . West Coast Arborists, Inc. Company Name Signature Date Patrick Mahoney President Printed Name of Signer Title 2200 E. Via Burton, Anaheim, CA 92806 Address City of Santa Ana -- Street Tree Maintenance Services RFP Amendment No. 2 Page 3 25B -157 CBIC CONTRACTORS BONDING AND INSURANCE COMPANY KNOW ALL MEN BY THESE PRESENTS: That we, _ WEST COAST ARBORISTS, INC. BID BOND California: 23172 Plaza Pointe Drive Suite 185 Laguna }rills, CA 92653 (714) 770 -9733 (800) 274 -CBIC National (714) 770 -9805 FAX Bond No. - CA0054 Premium included in Bid Bond Service Undertaking as Principal, (hereinafter called the "Principal'), and Contractors Bonding and Insurance Company of Seattle, Washington, a corporation duly organized under the laws of the State of Washington, as Surety, (hereinafter called the "Surety "), are held firmly bound unto CITY OF SANTA ANA as Obligee, (hereinafter called the "Obligee "), in the sum of _,,FIVE PERCENT OF THE AMT. BID not toexceed-__ FIVE PERCENT OF THE AMT. BID ($ 5% OF BID AMT. ), for the payment of which sum well and truly to be made, the said Principal and the said Surety, bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. WHEREAS, the Principal has submitted abid for STREET TREE MAINTENANCE SERVICES NOW, THEREFORE, if the Obligee shall accept the bid of the Principal and the Principal shall enter into a contract with the Obligee in accordance with the terms of such bid and give such bond or bonds as may be specified in the bidding or contract documents with good and sufficient surety for the faithful performance of such contract and for the prompt payment of labor and material in the prosecution thereof, or in the event of the failure of the Principal to enter into such contract and give such bond or bonds, if the Principal shall pay to the Obligee the difference not to exceed the penalty hereof between the amount specified in said bid and such larger amount for which the Obligee may in good faith contact with another party to perform the work covered by said bid, then this obligation shall be null and void, otherwise to remain in full force and effect. Signed and seated this 10th ,day of— APRIL A. D. 2015 Witness Witness C325d -100M, &75198717 Printed in cooperation with the Amencan Institute of Architects (AIA) by Contractors Banding and Insurance Company. The language in this dOCWpenl conforms exactly to the language used in NA Document A -310, February 1970 Edition 1140 WEST CO T ARBORISTS, I C. (Seal) Principal Title Surety: Contr tors B ndin rid Insurance Company By G MICHAE STONG Attomey -in -Fact 25B -158 BndL.HB 1.02- CA011993 CALIFORNIA ALL- PURPOSE ACKNOWLEDGMENT CIVIL CODE § 1189 A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of ------ __ ORANGE On _ � 1 before me, AMELIA I. MENZEL • NOTAP.Y PUBT IC , Date Here Insert Name and Title of the Officer personally appeared _ PATRICK MAU0 EY_. _ _—.__ Names) of Signer(s) who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is /are subscribed to the within instrument and acknowledged to me that he /she /they executed the same in his /her /their authorized capacity(ies), and that by his /her /their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. ' AMELIA I. MENZEL Commission # 2105517 i : Notary Public - California z > Orange County My Comm. Ex Tres Apr 2, 2019+ Place Notary Seal Above I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and offic' I sea Signature Signaturp of Nobry Public OPTIONAL Though this section is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document Title or Type of Document: SUn4a Flea Pad r— Date: Number of Pages: _ Signer(s) Other Than Named Above: Capacity(ies) Claimed by Signer(s) Signer's Name: PATRICK_ M_AHONEY Corporate Officer — Title(s): PRESIDENT Partner — Limited General Individual Attorney in Fact Trustee Guardian or Conservator Other: _ „�_ -- Signer ls Representing:. Signer's Name: _ Corporate Officer -- Title(s): Partner — Limited ' General ,' Individual Attorney in Fact Trustee Guardian or Conservator Other: Signer Is Representing: ;dc%s+�C.u' i. 5:/. iS' 4` GG^ W' c% 4�,: G .".e;Ve�)�.'F= 4"'e_t:�ra�.'� -U' ` e4 'z.%4:`(= F`T- f.`u➢u'z= CSe{x -4` tit= q; ESti�" CC4r4c,(: r- Vt�JC4s :L�C.�AV�.v= �¢%Vy= ty�4'r�,e ©2014 National Notary Association • www.NationaiNotary.org - 1- 800 -US NOTARY (1 -800- 876 -6827) Item #5907 25B -159 CALIFORNIA ALL - PURPOSE ACKNOWLEDGMENT CIVIL CODE § 1189 A notary public or oft officer completing this certificate verifies only the identlly of the IndlMual who signed the document to which this cortificate Is attached, and not the truthfulness, accuracy, or validity of that document. 9027TIT&M . RIVERSIDE county of On before av R. NAPPI "NOTARY PUBLIC" Here Insert Name and Title of the Officer personally .peared MICHAEL r «, Albme(s) of .: who proved to me on the basis of satisfactory evidence to be the personWwhose name)6Islam subscribed to the within instrument and admowledged to me that helshskbey executed the same In hlatheatheir authorized capaolty;seir and that b hisAheNBteirsignaturgkran the Instrument the psrsonfs), or the entity upon behalf of which the personacted, executed the instrument. I certify under PENALTY OF PERJURY under the taws of the State of California that the foregoing paragraph is hue and correct. my hand and official seal. tees public Piece Notary Seal Above OPTIONAL Though this section is optional, completing this Information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Desoription of Attached Document Title or Type of Document: Number of Pages: Signer(s) Document Date: Other Than Named Above: Capacitypos) Claimed by Signer(s) Signer's Name: • Corporate Officer — Trd*): • Partner — ❑ Unnited 11 General El Individual 0 Attorney In Fact • Trustee ❑ Guardian or Conservator • Other: __.,. Signer Is Representing: Signer's Name: • Corporate Officer — Title(s): • Partner — ❑ Limited O General • Individual ❑ Attorney in Few • Trustee ❑ Guardian or Conservator • Other. ®_ _ Signer Is Representing: CM14 National Notary Association - www.NatbnWNotmy.org - 1- 800-US NOTARY (1 -800. 878.8827) Bem 118907 25B -160 RUN k an RLI Company 9025 N. Lindbergh Dr, I Pcoria, IL 61615 Phone: (800)645 -24021 Fax: (309)689 -2036 Know All Men by These Presents: . RLI Insurance Company Contractors Bonding and Insurance Company That this Power of Attorney is not valid or in effect unless attached to the bond which it authorizes executed, but may be detached by the approving officer if desired. That this Power of Attorney may be effective and given to either or both of RIJ Insurance Company and Contractors Bonding and Insurance Company, required for the applicable bond. 'first RLI Insurance Company and/or Contractors Bonding and Insurance Company, each Illinois corporations (as applicable), each authorized and licensed to do business in all states and the District of Columbia do hereby make, constitute and appoint: Jemmy Pendergast Rosemary Napri Michael D Stone. iointIv or severally in the City of Riverside , State of California , as Attorney in Fact, with full power and authority hereby conferred upon him /her to sign, execute, acknowledge and deliver for and on its behalf as Surety, in general, any and all bonds, undertakings, and recognizances in an amount not to exceed Ten Million Dollars ( $10.000mo.00 ) for any single obligation. The acknowledgment and execution of such bond by the said Attomey in Fact shall be as binding upon this Company as if such bond had been executed and acknowledged by the regularly elected officers of this Company. RLI Insurance Company and Contractors Bonding and Insurance Company, as applicable, have each further certified that the following is a true and exact copy of the Resolution adopted by the Board of Directors of each such corporation, and now in force, to -wit: "All bonds, policies, undertakings, Powers of Attorney or other obligations of the Corporation shall be executed in the corporate name of the Corporation by the President, Secretary, any Assistant Secretary, Treasurer, or any Vice President, or by such other officers as the Board of Directors may authorize. The President, any Vice President, Secretary, any Assistant Secretary, or the 'Treasurer may appoint Attorneys in Fact or Agents who shall have authority to issue bonds, policies or undertakings in the name of the Corporation. The corporate seal is not necessary for the validity of any bonds, policies, undertakings, Powers of Attorney or other obligations of the Corporation. The signature of any such officer and the corporate seal may be printed by facsimile or other electronic Image." IN WITNESS WHEREOF, RLI Insurance Company and/or Contractors Bonding and Insurance Company, as applicable, have caused these presents to be executed by its respective Vice President with its corporate seal affixed this _21tj day of January, 201 g5. P RLI Insurance Company ",•gNp„IGNA./Y 'y,. ,...NCB Ca .3,-, ..4.'.. , Contractors Banding and Insurance Company Oag%'k " Gevong" :- = ' SEA1, . _^ SEAL, '^ State of Illinois <<<.a v; Roy C. Die Vice President SS I Nnt•• County of Peoria J■ �" CERTIFICATE On this 271h day of January 2015 before me, a Notary Public, personally appeared Roy C. Die , who being by me duly swom, acknowledged that he signed the above Power of Attorney as the aforesaid officer of the RLI Insurance Company and/or Contractors Bonding and Insurance Company, and acknowledged said instrument to be the voluntary act and deed of said corporation. I, the undersigned officer of RLI Insurance Company, and /or Contractors Bonding and Insurance Company, each Illinois corporations, do hereby certify that the attached Power of Attorney is in fill force and effect and is irrevocable; and furthermore, that the Resolution of the Company as set forth in the Power of Attorney, is now in force. In testimony whereof, I have hereunto set my hand and the seal of the RLI Insurance Compa y and/or Conn'a tors Bonding and Insurance Company this !O t%L day of � —, — /W:_d._ __4W -P&1<1 RLI Insurance Company M. Bockleu Notary Public Contractors Bonding and Insurance Company una'rzrc �•�..�.� Bi- "OFFICIAL SEAL" Roy C. Die Vice President ACQUELINE M, aOCKLER OMMISSION WIRE90111019 L� r� ,� .............r 2 ✓ 7Z� 1 A00591 I S 1 11 Ili INI tmi ervices We believe in an Interactive Partnership where municipalities can confidently rely on WCA to assist them with any of their tree care needs. Our goals in urban tree care are to extend the life of all trees, preserve public safety, and produce a reliable source of shade, beauty, and the many benefits that result from healthy trees in parks and City right -of -ways. City Council Public Works Department Street Maintenance Department Parks Commission Risk Management COMMUNITY Cost effectiveness Increased service levels Precise scheduling of work WCISA certified staff State -of- the -art technology WCA is committed to a pro - active policy that reflects our sense of corporate and social responsibility. We have the qualifications, equipment, and corporate capabilities to meet the community's environmental and public safety needs. Our certified teams ensure the community that the work performed will be in accordance with industry standards. Our large fleet of equipment allows us to dedicate specific pieces to the City. Our support staff aids the field team with tailored information and database access which provides communities with a comprehensive urban tree care program. �1 West Coast Arburists understands the challenge that many cities face to reduce the cost of tree maintenance services, while increasing the level of performance. Utilizing our services as a valuable, cost - effective resource, cities are able to provide better services to their community. These contracts cover a range of services from providing emergency response to maintaining the City s entire urban forest. EjL�g d J`JPYI; L a J }Jl WCA provided complete tree maintenance services for the City. After an in depth study of the City's General Services Department, the City reviewed and agreed to seek out cost saving measures while maintaining an expected level of service to the community. While under contract, we pruned approximately 8,000 trees annually and performed other various services including but not limited to removals, planting and emergency urban forestry services. Annual Budget: $1,000,000 Contact: Can Sereno, Parks E Trees Superintendent Address: 592 Superior Ave., Newport Beach, CA 92883 Phone: (949) 844 -3089 Email: jconwayllnewportbeachca.gov �V As part of the tree care service, WCA updates the City's own tree inventory. As part of this x.G rogram, we collect and provide to the City an automated record of the work completed and submit it to the City for updates. Together, we are able to prune trees more efficiently, t while the City is able to maintain accurate work records and monitor predictable tree trimming schedules and guarantee the residents and businesses top quality tree care. +;Annual Budget: $1,170,000 Contact: Dennis Buinlivan, Landscape Maintenance Superintendent Address: 118 S. Basque Ave., Fullerton, CA 92633 Phone: (714) 738 -GS05 Email: dennisici.fullerton.ca.us 'Ditry'11f •TJ 1;J,1Tf] afn1 h",��' }J �rrrLa 2H fl" We provide complete urban forestry management for the more than GUIDE trees, including tree pruning, removals, planting, and emergency services. In an effort to maintain a sustainable urban forest, we also provide inventory updates to the City's own inventory database. We have performed successfully in the City for four years. Annual Budget: $985,000 Contact: Randy Menzel, Tree Supervisor Address: P.O. Box 190, Huntington Beach, CA 92848 Phone: (714) 598 -4318 Email: rmenzeI§surfcity- hb.org 25B -164 3 The City of Anaheim maintains their large tree population of 102,D14 by utilizing the Call Management feature on ArborAccess, our inventory and management system. Since they began utilizing this feature there has been over 13,000 records input into the system. These records are based on resident inquiries. During the 08/09 fiscal year 12,329 call �,,,. =eecords were input alone. 7 " Annual Budget: $1,000,000 Contact: Dan Debassio, Public Works Superintendent ;. Address: 142B East Vermont, Anaheim, CA 92805 ;`Phone: (714) 785 -44BI Email: ddebassioCanaheim.net OEM UPI 40 TivP1111 WCA has operated in the City of Tustin since 1993. The City and WCA has formed a successful corporate partnership. We provide complete urban forestry management for more than 15,000 City -owned trees, including tree pruning, removals, planting, and emergency services. Annual Budget: $390,000 Contact: Jason Churchill, Field Services Manager Address: 300 Centennial Way, Tustin, CA 92780 Phone: (714) 573 -3023 Email: pmadsenitustinca.org 4 J �`J �CT�J9 J� r�TJ�1J`l West Coast Arborists, Inc. (WCA) is a family -owned and operated company employing nearly 650 full -time employees providing various tasks to achieve one goal: serving communities who care about trees. Our employees operate from one of our seven California offices: Anaheim, Ventura, Fresno, San Jose, Stockton, Riverside, and San Diego serving over 200 municipalities. The company is comprised of a top management team, a management committee and a safety committee. Staff members have diverse educational backgrounds including accounting, business administration, engineering and forestry. WCA actively maintains ongoing processes to assure that only qualified and competent staff provides safe and quality tree maintenance services. These skilled employees can only be achieved through both training and work experience. We believe that essential experience should always be obtained through qualified supervision; this includes both basic and extended skills. WCA makes every attempt to ensure that this is undertaken before career advancement, leading a crew, or performing work. �1�r�71; JL's�`�JJI�J WCA prides itself in working to get its employees certified through the International Society of Arboriculture, raising the standard of professional tree care companies. This standard exemplifies our company's commitment to providing customers with competent, knowledgeable certified workers. WCA employs a large number of ISA Certified Arborists and ISA Certified Tree Workers, they are shown on the following page. U' UAJ'JN WCA employees are evaluated through an internal mechanism supervised by the Management Team. Each employee performs his duties according to a criteria -based job description that reflects safety, quality workmanship, productivity, appropriateness of care, problem solving and customer service. A performance appraisal is conducted for each employee upon completion of the probationary period and at least annually thereafter. Each worker is also required to complete a competency assessment and orientation upon hire and annually thereafter in selected areas to assure that ongoing requirements are met and opportunities for improvement are identified. 25B -166 5 f AITT fl, 'E'l� �f, J,11;1'rl9flEy Apia lhmi Professional Registration ISA, Certified Arborist #WE -1172A Mr. Mahoney founded West Coast Arborists, Inc. in 1972. As President and Chief Executive Dfficer, Mr. Mahoney oversees the complete operation of the company. Under his direction the company has grown from 3 employees and 2 trucks to over BOO employees with a 700 plus unit fleet. In December of 2009, the Anaheim Chamber of Commerce honored Patrick as the 'Business Champion of the Year' for 2009. The Business Champion of the Year Award recognizes an individual who uses their professional expertise and talents in activities that promote business and the Anaheim community. Professional Affiliation faander- Southern California Tree Trimmers Jamboree Past PresidentaodHonararyLifotimeMember- Western Chapter ISA Ser1ed1989 -97- ISA Certification Committee AwardafMerit- Western Chapter ISA, 1997 AW3rdof4chieuame17t- ISA, 1998 Society of Commarcial Arborists Municipal Arbarists ASSOaiatian Street Tree Seminar Tree Care lndostryAssociatioo Maintenance SaperiotendentsAssociatian Utility k borists Association California Oak fanndation Professional Registration B.S., Business Administration, ftasyllniuersity, Costa Mesa, CA American Society of Consulting Arborists, Executive ISA, Certified Aphorist #WE -1045A Mrs. Epperson has been with WCA since August 1979, and she has been a director at WCA since 1992. Her experience lies in accounting and administration. She is responsible for administrative and accounting functions on a corporate level. She has been involved in the implementation and management of our computerized accounting, estimating and job costing programs. I T1IUIJr1RJ ,`r fl,' C1 liiJpj - -EI Professional Registration B.S., Business Administration, 11WvsPsityafHoastan, Houston, TX ISA, Certified Aphorist #WE -1171A Mr. Mahoney has been with WCA since IN and has over 35 years experience in the tree care industry. He is responsible for internal operations, management of our fleet including maintenance and repairs, as well as overseeing facilities, supplies and purchasing. Prior to his years as Vice President of Operations for Golden Coast Environmental Services, a computer oriented urban forestry consulting firm in Irvine, CA. With an extensive background in information systems management, he oversees the computer operations of WCA. He has also served as a member of the Board of Directors since 1978. kr� Wv f1r11tM1Pi11flfl Vj:�,'�'P a-,]J-pfritf Professional Registration ISA Certified Aphorist #WE -1043A TCIA, Certified Tree Care Safety Professional, #771 Wildlife Training Institute, Certified Wildlife Protector #581 Mr. Thompson has been with WCA since 1978. He has over 3D years experience in the arboriculture field. He is responsible for estimating, scheduling, contract administration, personnel and daily operation. He is responsible for field operations, customers service, and management of crews throughout Orange County. Through his employment he has gained valuable experience in computer estimating, tree inventory systems, and costing programs which are essential in the efficient operation of tree crews. VLi,r � ul Pn-jiLr°I rialJ ,g r Professional Registration California Urban Forests Council, Certified Urban Forester #103 ISA, Certified Utility Aphorist #WE -642AU Wildlife Training Institute, Certified Wildlife Protector #533 TCIA, Certified Tree Care Safety Professional, #142 Mr. Trotter has been with WCA since August of 1982. Prior to that, he had eight years experience in the tree care industry. After working as a Foreman for eight years, Mr. Trotter was promoted to Field Operations Manager in March of 1990. As Field Operations Manager, he supervises all of the field operations as well as oversees our safety, training, nursery and wood recycling facility. He has been an industry leader in many key projects including United Voices for Healthier Communities Great Clean Air Planting Project, Toolkit for Developing Urban Forest Management Plans and the Western Chapter ISA's annual "Workday" fundraiser. 25B -168 1 " Professional Registration B.A., Entrepreneurial Management minor in Political Science, California Rate L/niversityfullerton, Fullerton, CA ISA, Certified Aphorist #WE -3B12A Employee of the Year, WCA 1995 Ms. DePasquale has been with WCA since November of 1993. Before that time, she worked as a consultant for WCA and was a Senior Account Executive for a finance company for five years. Her responsibilities include managing Customer Service, Billing, Administration and Human Resources. Ms. DePasquale has over 20 years computer experience and 17 years in the tree care industry. 1,11PI'0Jprjtti Vf � �'�' Af"a'il'�2f1;, �dljj Professional Registration Microsoft Certified Professional Mr. Crippen has been with WCA since October of 1995. At that time, he had four years experience as a computer programmer for an insurance company. He supports the tree inventory software created by WCA, as well as customizes each software package for each City. In addition, he maintains the inventory databases compiled by the Inventory Specialists. He has over IS years computer programming experience and over 14 years experience in the tree care industry. )PUPW IJID,21 IdUU/ Professional Registration B.S., Engineering Technology — Construction Management, California State University, Long Beach, Long Beach, CA ISA, Certified Aphorist #WE -7175A ATSSA, Certified Traffic Control Designer #00236811 TCIA, Certified Tree Care Safety Professional, #761 Employee of the Year, WCA 9999 Mr. Gonzalez has been with WCA since June of 1999. During the previous two years, he worked as a Public Works Inspector for a private engineering firm serving cities in Orange and Los Angeles Counties. Before that time, he served the City of Bellflower for four years as an Executive Assistant to the Director of Public Services. His responsibilities included contract administration, project management, and customer service. He has over seven years of city government and public works experience and II years in the tree care industry. He is a member of the firm's Management Team that provides strategic leadership and business development. He leads the sales force in developing its customer base and strategic marketing plans. He oversees the procurement of company's annual insurance policy coverage and nearly 200 contracts. I1~�'s f�Jh)i`l Professional Registration 0. S., Ornamental Horticulture, Cal Poly Pomona, Pomona, CA Mr. Brown has been with WCA since November of 2000. Before that time he worked for Davey Resource Group as a Project Manager and for Golden Coast Environmental Services as an Inventory Supervisor. His responsibilities include planning and implementation of street tree inventories, performing quality control on tree inventory data and supervision of tree inventory data collection staff. He also provides technical support for our inventory software program, ArborAccess and performs Geographic Information Systems (GIS) functions. Mr. Brown has over 20 years Of experience in the tree care industry. flfd'IV] "11WErII Professional Registration O.S., Ornamental Horticulture, Ca /Po /y Pomona, Pomona, CA ISA, Certified Arborist #WE -341A Mr. Koch has been with WCA since November of 2000. He has over 25 years experience in the tree care industry. As a Data Collector he has inventoried trees throughout North America including Hawaii. His responsibilities include collecting tree site information for building databases. In addition, he develops master street tree planting programs and recommends species. Mr. Koch is member of the ISA and the Southern California Turfgrass Council. IJI ov r14irl?r° Professional Registration ISA, Certified Utility Arborist #WE- 2O38AU ISA, Certified Tree Worker #579C TCIA, Certified Tree Care Safety Professional #CTSP -137 NCCCO, Certified Crane Operator #051223209 ATSSA, Certified Traffic Control Supervisor #00227843 Mr. Portillo has been with WCA since September of 1993. As the Safety Trainer, he is responsible development, implementation and review of in -house training programs utilized for new hire and existing employees. These programs include administering certification training, crew leader training, commercial license, etc. He is also responsible for the Injury and Illness Prevention Program (IIPP), crew safety audits as well as follows up on safety improvement plans if accidents or incidents occur. Mr. Portillo has over 18 years experience in the tree care industry. 25B -170 0 ]�1jftV rtIN V T�iT' �Jsr €f *10% of time will be devoted to contract V :, iAI l!J:1Jt Tla1J U p I' J }lrrllJW; i1 +IJt1J P Professional Registration California Urhan Forests Council, Certified Urban Forester #103 ISA, Certified Utility Aphorist #WE -642AU Wildlife Training Institute, Certified Wildlife Protector #533 TCIA, Certified Tree Care Safety Professional, #142 J' 0`11JJ l Tir]fl`1WJMJX:l *40% of time will be devoted to contract Professional Registration ISA Certified Aphorist #WE -1043A TCIA, Certified Tree Care Safety Professional, #771 Wildlife Training Institute, Certified Wildlife Protector #581 Mr. Thompson has been with WCA since 1978. He has over 30 years experience in the arboriculture field. He is responsible for estimating, scheduling, contract administration, personnel and daily operation. He is responsible for field operations, customers service, and management of crews throughout Orange County. Through his employment he has gained valuable experience in computer estimating, tree inventory systems, and costing programs which are essential in the efficient operation of tree crews. 11�1 drX111.JI ilh 50,6 of time will he devoted to contract 4�aJ5�' )J.;la1 "71�,Jf', °fit 11J�a f'J`s1`Jl1`S Professional Registration ISA, Certified Arborist, #WE -1592A TCIA, Certified Tree Care Safety Professional, #141 WCISA Certified Treewnrker Climber, #6470 ATSSA, Traffic Control Technician, #228622 As Site Supervisor, Mr. Working is a full -time employee and speaks fluent English. He is responsible for reviewing the day's activities, assisting the Area Manager in scheduling, and insuring proper safety procedures are heing followed. As Supervisor, Mr. Working is to communicate with City officials and other interested parties on a daily basis. Report and resolve malfunctions, damage, or industrial injury. He assists in employee training programs, maintains records, and files daily reports. and receipts. 1511E,!01JlINI-11 t luiJ fl1uv 2j r' A Jj� � 1 d IJrzJ rl`frl, F�f'�TJO ' 'Jllf]'Ss As the CSR (Customer Service Representative), Ms. Devlin is responsible for providing sup- port to the Area Manager, Site Supervisor and crew. The CSR is to act as a liaison between the company and it's clients as well as the general public. The CSR is responsible for re- sponding to Customer Service inquires and facilitating contracting functions, such as: mapping, underground service alert, data entry, field hook preparation, list preparation, public relations, errands, etc. 5B -171 10 ;rfd'p: k'J�li441 iUfE'J r�JlJ�JI�I�J� '`,'�aPIl11�N�'`S Professional Registration ISA Certified Aphorist #WE -7490A ASCA, Consulting Aphorist, #RCA557 OPR, Agricultural Pest Control Advisor, #PCA128017 OPR, Qualified Pest Control Applicator, #UAL135447 ISA, Qualified Tree Risk Assessment qualified Mr. Falco has been with West Coast Arborists since March 2014. His current responsibilities as a Consulting Arborist include preparing Arborist Reports, Tree Appraisals and performing Tree Hazard Evaluations for our clients. In addition, he develops master street tree planting programs and recommends species. Mr. Falco currently has over 10 years experience in the tree care industry. PIMA f 1Wr1ud Old"Wil € / /,lfiE l r'ifliUfl' * denotes amount of time dedicated to contract 25B -172 0 %* 0 %* — \Houvnr 4S aaaa L . - 2 E 1 1 fCARr [MP ,a� U14A` Wtf,14 l`i`J Ir"jfR_R The California Urban Forests Council's Certified Urban Forester program recognizes, encourages, and enhances the education, experience and professional status of urban forestry professionals, while providing agencies, organizations, and companies that utilize their services a benchmark for identifying qualified professionals. The Certified Urban Forester Program grants certification to individuals who meet both educational and professional prerequisites and have compiled with the requirements, including passing a required certification examination. Andrew Trotter, Certified Orhan Forester #103 The Tree Care Industry Association MIA) accredits tree companies, develops safety and education programs, establishes standards of tree care practice and provides management information for arboricultural firms around the world. Our purpose for having Certified Tree Care Safety Professionals (CTSP) is to improve worker safety by empowering and encouraging the development of a culture of safety. Currently, WCA has the greatest number of CTSP's in the state of California and they are listed as follows: J. Nick Alago CTSP -25D J.AlonscGarcia-Lopez CTSP -301 HerminioPadilla CTSP -139 RenePortillo CTSP -137 Robert Thompson CTSP -755 Joseph6atolo CTSP -0 Victor Gonzalez CTSP -761 Michael Point CTSP -302 Frank Guinn CTSP -562 Andrew Trotter CTSP -142 David Cooper CTSP -574 Steve Hunt MP-5H4 J. Manuel Perez CTSP -575 H. Angel Rincon CTSP -763 J. Charles Working CTSP -141 Amie Dahl CTSP -760 Veronica King CTSP -14D Lorenzo Perez CTSP -312 Jimmy Russo CTSP -573 Jason Devlin CTSP -570 Juan Marquez CTSP -143 JasonPinegar CTSP -259 Randy Thompson CTSP -771 J11P RU l t 1,�ATA!=lr'rTTE E '11,1011M,110P The State's Occupational Safety and Health Administration (Cal /OSHA) requires employers of line clearance tree trimmers and aerial lift operators to ensure that their workers have received specific training in accordance with the American National Standard's Institute II33.2 guidelines. We have an extensive training program that aids in the continued development of our GO Utility Line Clearance Tree Workers. A listing of names can be provided upon request. CarLos Ixta will be the Utility Line Clearance Specialist assigned for the City of Santa Ana. PI Am r' IVf, r�Ft,�% Jrt�'i f",! P �iJ�'Jf!-�1�r- fi1'irYrlIri`I California Agriculture Production Consultants Association (CAPCA) and the Oepartment of Pesticide Regulation (OPR) offer licensing programs to promote and educate the applicator, thereby fostering the highest quality pest management standards while recognizing our responsibility to the public, our employees, and the environment. Jason Devlin, #PCA -SO -000170 Erick Serrano. #OACII4840 Tim Crathers, #O0231E7 ltfuw?itj;�Ij°atffir11= VIRII7n The American Traffic Safety Services Association (ATSSA) provides quality roadway safety education and training. Their progressive and innovative approach to training and education has made them the state - recognized leader in traffic control safety. The following employees hold designated certifications: Romualdo Gaeta, Technician #233729 Herminio Padilla ,Technician #228618 Victor Gonzalez, Designer #236811 Jason Pinegar, Designer #236727 Juan Marquez, Technician #228625 Rene Portillo,Supervisor #227843 J. Charles Working. Technician #228622 5B -173 12 is � f Il;j jij £J elgT� rF l "�l International Society of Arboriculture Arborist Certification provides an educationally challenging program designed to upgrade the knowledge and proficiency levels in the tree care profession. Having an ISA Certified Arborist oversee the project is vital for the quality and craftsmanship of proper urban tree care. Our Arborists accumulate 10 Continuing Education Units (CEOs) annually, which help to ensure that they are keeping up with the latest research and techniques. Below is a list of our ISA Certified Arborists: Jose Abalos WE -8734A J. Abaco Garcia -Lopez WE -8499A Gail Manzanedo WE -3858A Rene Bundle WE- 203SAU J. Nick Alago WE- 4396AU Kelley Gilleran WE -7061A Rebecca Mejia WE -2355A Frank Ouina WE- 1085AU Eugene Barrientos WE- 8701AU Victor Gonzalez WE -7175A Filandro Menjivar WE- 7014AU Jesus Rays WE -3449A Joseph Bartolo WE- 2034AU James Goss WE -1042A Hector Montez WE- 8070AU Adan Reynaga WE -778GA Carlos Bracamontes WE -8557A Felix Hernandez WE -2037A Michael Morris WE -1005A H. Angel Rincon WE -8710A Manuel Briano WE -8791A Jaime Hernandez WE -5297A Juan Ortiz WE -8514A Rene Rosales WE -7941A Wallace Burch WE -0713A Steve Hunt WE -1044A HErminio Padilla WE- 7552AU Erick Serrano WE -6750A David Cooper WE -0497A Brian Kock WE -0341A Marco Padilla WE -8621A Randy Thompson WE -1043A Leonel Cortez WE -BG25A Elsuterio Lira WE -19DBA Michael Palat WE- 6541I Robert Thompson WE- 0915AU Jose Cortez- Torres WE- 853DAU Austin Lopez WE -SSOGA Gerardo Perez WE -9131A Andrew Trotter WE- OB42AU Jason Devlin WE -7028A Ignacio Lopez WE- 7329AU Jose Perez WE -O818A Jefferey Williams WE-11100A Deborah DePasquale WE -3812A Jorge Magana WE -3460A Lorenzo Perez WE -7443A J. Charles Working WE -1592A AI Epperson WE- 0713AU Patrick Mahoney WE -1172A Jason Pinegar WE- 2039AU Sara Young WE -GS73A Rose Epperson WE -1045A Richard Mahoney WE -1171A William Ponce WE -0461A U denotes z1al ty specialist desigassaan 'J'S ; O ?3" 11 sC iii r T�f'1 j�"D I 1Jf� � *Mdanates mumcpaldesignatim, The purpose of the ISA Tree Worker Certification is to establish a meaningful standard of skill and work quality, to establish and measure a level of training and knowledge, and to promote safe work practices. In an effort to provide the best possible urban tree care, WCA hires, trains and assigns Certified Tree Workers for our projects. This insures that a minimum level of training and knowledge for arboriculture has been obtained and that safe work practices and overall safety will he performed. We ensure continuing education and training for those Tree Workers who may wish to gain knowledge in arboriculture or who may want to become Certified Arborists. Below is a list of our Western Chapter ISA Certified Tree Workers: Jose Abalos 1472E Camerino Carona) 1297E Jose Jimenez 1976E Josafat Montoya 1788E Jose Aguayo 1959E Jose Coronet 9851C Samuel Jimenez 2033C Michael Morris 0249C Delflno Aguilar Morelos 1946E Lawel Cortez ABBE Francisco Jimenez 9375E Rene Nunez 1141C Nelson Aguirre 1468E Jose Cortez-Torres 1778E Jorge Jimenez 099UC Gerardo Grduno 1961E Ariel Alonso 9489E Pedro Cuevas 1991E Oemetrio Lira 1894E Joel Ortiz 9993E Jose Alvarez 1497E Nieves Be Paz 968E Corterio Lira 0420C Juan Ortiz 1505C Mateo Arvizu 2014E Jorge Buenas 1092E Alfredo Lopez 0925E Demetric oseguera 1098E Miguel Avoids 189GC J. Retools Escamilla 1268E Armando Lopez 1255E Marco Padilla 1603E Salvador Avatar 1278E Faustino Espinoza 1510C Austin Lopez 1898E Aurelio Paz- Guzman 1191E Eduardo Avila 0420E Romuoldo Gaeta 0368E Francisco Lopez 0002C Juan Pena Arias 0371C Manuel Barragan 1461C Gabriel Gamins 1051C Juan Lopez 1431C Celestine Perez 1120E Martin Herrera 036E Felix Garcia 1003C Sergio Lopez- Rivera 1103E Gerardo Perez 1948E Eugene Barrientos 1712C J. Socorro Garcia 1990E Isaias Macias 1965E Jose Juan Perez 1993E Juan Becerra 0637C Pedro Garcia 1921E Miguel Macias 1024C Jose Manuel Perez 0352C Manuel Briam 1606E Ramon Gomez 1904E Jose Mantilla 1299E Lorenzo Perez 7081C Wallace Burch 0329C Ventura Gomez 1190E Juan Marquez 0439E Jose Camino 1663E g Luis Perez 1996E Manuel Candelario 0577E Antonio do Gutierrez 0971E Eduardo Martinez 1087E Rene Francisco Ramirez 0579E Eligio Cardoso 1070E Raymundo Gutierrez 1074E Joel Martinez 1447E Francisco Ramirez 1009E Agustin Carrillo 1697E Equals Guzman II16C Hugo Mendoza- Dorantes 1056C Carlos Ramos 2013C Ranulfo Castanedo 1923E Felix Hernandez 0424E Pllandm Menjivar 10751 Gonzalo Ranchero 0495C Antonio Castellanos 0491E Pedro Hernandez 1503C Santo Menjivar 1007C Adan Reynaga 0435C Humberto Chavarror 1490E Steve Hunt 0425E Hector Mantes 1296E Marcos Richard- Martiniaz I661C Carlos Ixta 1052C Jesus Mantes 05133E H. Angel Rincon 0614E 25B -174 Daniel Rivas 1609E Joel Rivera 1296E Adam Rodrigues 6493E Jose Rodriguez 0504C Andres Raman 1067C Race Rosales 1259E Isaias Sanchez 1073C Salustio Sanchez 15DEE Enrique Sandoval 1272C Emigrio Serrano -Perez 1856E Salomon Silva 0858C Armando Sato 1994E Raul Tapia 1950E Juan Tellez I656C Robert Thompson III Julio Vazquez 2832E Jose Vega 1164E Marco Vergare 1465E Francisco Villanueva 1552E Ceserio Wanceslao IOIIC Jeffery Willams 0437C J. Charles Working 0647E Jaime Zamora Jr. I919C 13 WI ITillI;= d'�JI Ir !' €jJi`J F1L;�'iJ1 A single violation of the Migratory Bird Treaties Act of 1018 (MBTA,16 O.S.C. 703 -711) carries with it a $1,000 fine or B months in jail. The META makes it unlawful to take, possess, buy, sell, purchase, or barter any migratory bird listed in 50 C.F.R. Part 10, including feathers, or other parts, nests, eggs, or products except as allowed by implementing regulations (50 C.F.R. Part 21). In addition, Sections 3505, 3503.5, and 3800 of the California Department of Fish and Game Code prohibit taking, possessing, or destroying birds, their nests or eggs. Disturbances that cause nest abandonment and /or loss of reproductive effort (a .g. killing or abandonment of eggs or young) may be considered taking and are potentially punishable by fines and /or imprisonment. The Endangered Species Act also protects listed animals; it is unusual to encounter listed species in urban setting. Avoiding violation of the taking provision generally requires that the project- related disturbances of active nests and territories be reduced or eliminated during the nesting cycle. A typical birdnesting cycle can begin in Spring and end in early Summer. WCA will make every attempt to protect all birds (including Migratory Birds), animals, and nests within trees. Listed below are steps to follow: 1'1J'A9r1r�'r; liL�J`jlij I. Before commencing work, a visual inspection of the entire tree will be performed. Crews will check for any sign of birds nesting within the tree and for other wildlife nearby. 2. Should there be any sign of bird nesting or other wildlife within or near a tree, the Foreman will further check to see if it is an active or inactive nest. 3. If the nest is inactive, the crew will prune the tree around the nest location without disturbing its shelter and protection from weather elements and potential predators. The Foreman will notify the Agency's Inspector about the existing nest. 4. If the nest is active, the Foreman will attempt to prune the tree around the nest location without disturbing its shelter and protection from weather elements and potential predators. If this cannot be done, the Foreman will notify his Area Manager, Customer Service Representative and the Agency's Inspector. A request for further direction will he made to the Inspector. s1]t7 i rI ,tjT1J Al J'l?r I. If you find a young bird that has been displaced from its nest and appears to be healthy, carefully place the bird back in its nest. 2. If the entire nest has fallen, try to place it hack where it came from. If you cannot reach the nest, leave the bird where you found it so that its mother can take care of it. If the bird is in an unsafe location (on the street or sidewalk) place it in a safer location, close enough so that its mother can still find it. 3. If you find a bird that is need of assistance, place it in a clean cardboard box lined with either a clean towel or paper towels. Be sure to place air holes in the box before you place the bird inside. 4. Do not attempt to feed the bird and do not force it to drink. 5. Cantact your Customer Service Representative who will in turn contact the nearest wildlife rehabilitation David Cooper CWP 538 Rene Portillo CWP 5137 Randy Thompson CWP 581 Michael Polat CWP 575 Jimmy Russo CWP 579 Andrew Trotter CWP 533 14 21111J'1II AIE1 ,JfrtJ�18~;Jr i1JV, /ITVLE BENEFITS • Ease of Use • Database View • Tree Detail Form • Searching Database • Track Order Management • Map View • Compatible with City GIS program s ®A <1N N L San Diego fi.a Y emw+M m o Q • � � ARBORACCESS ONLINE ArborAccess Online is an Internet driven program that was developed by tree care professionals at West Coast Aphorists and was based on the tree maintenance needs of our customers. The user - friendly program allows customers to store, retrieve, update, delete and add tree records and work histories. The information contained in ArborAccess Online is live data that can also be linked directly to a GIS program, such as AroView, for goo- coding purposes and can assist your agency in meeting GAS034 requirements. The information management possibilities for data integration are endless for urban forestry management programs that use similar management methods and resources. COMPUTER SOFTWARE SPECIFICATIONS The software program organizes your tree inventory and provides an interface that is easy to use and understand. By utilizing ArborAccess Online and incorporating tree maintenance, the tree inventory is automatically updated with each billing cycle. This process eliminates the hassle of dual inputting by the City and WCA. There are several features that can be generated to assist you with ordering and tracking work, resident requests, maintenance scheduling, and budget projections. In addition, ArborAccess Online provides an unlimited resource of information on your City's urban forest. SOFTWARE TRAINING Our IT Department is based out of our corporate office in Anaheim, CA. Local satellite offices are located through- out the state of California in: Stockton, San Jose, Fresno, Ventura, Riverside, and San Diego. Each office has the ability to provide software training to customers. We are available to provide training sessions on -site at the customer's discretion. On -site training is proven to be effective as it provides a guided hands -on experience. We also offer periodic customer workshops for larger groups who can also earn International Society of Arboriculture continuing education credits (CEU's) for Certified Arborists and Tree Workers. Additionally, unlimited telephone and or email technical support is available to answer questions and aid City staff in the use of the software system. The success of any urban forest program depends on the proper management of information. Software training and support is included in the cost associated with the inventory data collection. BILLING West Coast Arborists has a state -of- the -art invoicing system that is updated on a daily basis. Progress billings will be submitted to the City on a bi- weekly basis, unless otherwise requested. Invoices will reflect an amount complete for the billing period, along with a year -to -date total for that job. Each billing will include a listing of completed work by address, tree species, work performed and appropriate data acceptable to the City. This information will be supplied in hardoopy and immediately accessible on ArborAccess Online. Job balances reflecting the percent of completion for each job can be viewed on ArborAccess Online. 25B -176 15 LIST TRACKING SYSTEM The List Tracking Report is a useful tool in the management of incoming work. This report allows us to track specific jobs as they are ordered by the City. Proper use of this system enables the City and WCA to track the completion of work that is ordered. Also, projected work schedules and trim cycles may be calculated on real time by reviewing how long the project took in the past. List Management Au l6 z.a a s. show roao and 3fi0n panorama Milk � LSIN Wo,k TW Nw � G ne42, C..'e T ._ ISM ComP1He T T YI ! Unknown Y q lv. INCA Work History Vi YI J Gntl kxGx \YCA inm 'NCA cnRrlcn:[k 9/93 3011 9)2!x011 16437 .11g 4QSIYYCN1LiLY113i 1' /CA Removal N(A my °m 9/x12011 1fy116 /2007 Date Palm Pruning $125,00 p) I OCT 9R TRM L193 W 1332 VICATrim NU m kam 9/2/2011 8307 10131/2005 Prune - Crew Hourly iAQ9EMOL4.L1SStYLtAS w<A Re nnval v ✓co. m ken n /v2ou $125.00 St41 za 6�J i1 WCP inm WCA nn,aumh q /8/2011 Nq /Rpl.l 3G2 Removal Wc< miiem 8 /3 /2tli3 9 /y2Ct1 1 1 vTEP mmM AILETWlt32 SVCA Removal WG1 mirtem e/ ;/3211 9Yl /2011 J 5- nCAimm WGA mkam tlil /1011 9 /) /2�I1 it '�] WCA Ren oval WGM mikem T /1.1'1031 e/1 /2011 Wlvll 133 11 WV+Remaval Slt1R031 Fl /1 /Rglt PR9 /20'13 l3 SAMPLE MANAGEMENT TOOLS: DETAILED TREE SITE CHARACTERISTICS The state -of- the -art technology provides a valuable tool to urban forestry professionals by displaying tree site specifics along with a representative photograph of the species type and a recommended maintenance field. ArborAccess' built -in quality control features assist in data accuracy. As maintenance is performed, the work history is automatically updated via downloads that accompany bi- weekly invoices. This process assists the City in elimination of dual- inputting and helps keep the tree inventory current. view more details show roao and 3fi0n panorama Milk Stredt 705 FOOTHILL. RD /N Species:. Phoenix carraliensise CANARY ISLAND DATE. PALM D @H /Height. 31 +/45 -80 Parkway Size: Unknown INCA Work History [late Work Type Amount Yob* Species (if removed) 12/1/2010 Prune - Crew Hourly 16437 7/211/2020 Gate Palm Pruning $.125.00 16437 8/4/2009 Gate Palm Pruning $225.00 14t61 7/29/2003 Gate Palm Pruning $125.00 12285 1fy116 /2007 Date Palm Pruning $125,00 50808 1119(2006 Gate Palm Pruning $125,00 4523 1216/2005 Gate Palm Pruning $125.00 8307 10131/2005 Prune - Crew Hourly 0307 4,(2212003 Gate Palm Trim $125,00 5057 611412002 Date Palm Trim $125.00 St41 ACCURATE MAINTENANCE RECORDS Accurate maintenance records for each location can assist the City with liability claims. Providing a detailed history of the maintenance performed at each location can display the effort the City puts forth in maintaining its urban forest. By linking the tree maintenance to the tree inventory it eliminates the task of having to go through the data entry process because the records are updated concurrently with each billing cycle. In order to maintain accurate maintenance records, it is imperative that work requests are pulled from the system prior to the work being performed, otherwise inventory accuracy is not guaranteed. P. ACCURATE MAINTENANCE RECORDS Accurate maintenance records for each location can assist the City with liability claims. Providing a detailed history of the maintenance performed at each location can display the effort the City puts forth in maintaining its urban forest. By linking the tree maintenance to the tree inventory it eliminates the task of having to go through the data entry process because the records are updated concurrently with each billing cycle. In order to maintain accurate maintenance records, it is imperative that work requests are pulled from the system prior to the work being performed, otherwise inventory accuracy is not guaranteed. J.E"rllI" "L f�EARfINr rPflTIS REPORTING FEATURES Several types of reports can be generated within ArborAccess, depending on the type of information needed. Some report samples are: • Inventory • Height Frequency • Work Summary • District Frequency • View Invoices • Species Frequency (shawnbalow) • Job Balance • Work Type by District Frequency • Greenwaste • All Trees at an Address • Work History • Estimated Tree Value • DBH Frequency RAY1rWOOD ASH The Species Frequency Report can assist your agency in identifying the tree population within the urban forest. This type of information is valuable in the event of an insect infestation, deadly disease, or even estimating future maintenance costs. In addition, an analysis can be performed to evaluate the history of the performance of a particular species within your City. Species Fregaeaeacy Frmt lntlu d'e Irrval'tl9 6aCaaical Name Commm� NamxS Total CA ;3.Ic�to °rzu11a GOLD MEDALLION TREE 158 fr,x'trtv5 rrxvcar-ia 'P.svwaco' RAY1rWOOD ASH 141. Afiu. lanced kFRPGAM SUMAC 129 Sararertda mimnslfalia JAACA1 NDA 126 ftuarrotxa araadtiiara ^SOLUHER K MAGNOUA 72 �e= irvemia indca CF -E. M_fRTLE 67 Bauh7nla W kffaoa LIGNG K'GHG QRCHID TREE 63 LonF+asfemcn rvrifxuters DR19 XI =, -QX 69 Cu�an�oRS1s ana�ardinrdes G RROTWOGD 43 V *fashina[cnra roDasta MEMCAN FAN PALM 41 i Tap 106paaies Y0.554fi i8.624h M C'aaalu 4p[ophyla 13.03 F.A— m,ycarpa'Rayxoad' 11.62 fl 0.34Rfi fl 3.U34b ' Rhpe lancaa 10.55 Jacaranda mhTi-ikli3 10.39 5.944x¢ Magn0lla gnntlll ora 5.94 L g rtraem,a ntlaa 5.52 5.52% � B i,nla blaWena s.t9 5.fl9Wo ZR Lpphmam9n confertua 4a3 � ' - 25.64% 4 7 opsia anacaNlatdas 3.96 _... gg(� 39% � WasMng[onia robusn 3.38 OAer 25.64 25B -178 111M13rJTJ JAL' rl"tr fl As a full- service tree maintenance company WCA is qualified and prepared to provide the most effective and efficient means of tree care services. All work performed will adhere to industry ISA and ANSI standards. Descriptions of some of the most common services are provided below. The results of a pro - active tree maintenance strategy are long term reduced costs, increased public safety, content residents, and an increased value of an essential City asset. Prior to commencement of work, WCA will post door hangers informing residents of the work that is to be performed. These notices will be delivered within the time specified by the City. Objectives of Tree Pruning: Reduce the risk of failure Provide clearance Reduce wind resistance Maintain health Influence flower or fruit production Improve a view Improve aesthetics Check for safety issues N1J JrRA-;JJr"ir t' =fl1J PPATJFT11H4N1] We can assist the City with updating or establishing grids for a long -term pruning program. Maintenance should be performed throughout the entire fiscal year on a consistent basis. Regardless of the amount of a community's tree management budget, systematic tree maintenance reduces costs in the long term. Improved Public Relations: Citizens can be informed in advance when their trees are scheduled for service. This is a pro - active approach to manage the community's urban forest. Equal Service: Every citizen receives service whether requested or not. Maintenance is not dependent on a formal request or individual. This helps reduce the need for "emergency" or ' =service request" pruning, and can prevent liability problems (such as dead or weak branches). 5B -179 Is Preventive Maintenance: All city trees receive routine maintenance: problems are corrected before they reach crisis levels. Improved Health: Grid /area pruning improves the health of the tree population through routinely pruning weakened or pest infested branches and developing sound and vigorously growing crowns. Maintain a Capital Asset: The urban forest is one of the Cities most valuable and overlooked capital assets. By investing in the systematic maintenance concept the City is maintaining its overall and real financial value to the community. Reduced Liability: Due to the efficiency of grid trimming, all trees are serviced in a timely manner reducing liability exposure. Efficient Record Keeping: The Foreman is able to update tree characteristic information on trees that our crew maintains in the City over the trim cycle period. Records are maintained for current status and retuned to the City for their files. r'LU,A-211 `lIr? f PRJ PI-F] In addition to providing complete pruning operations, our highly trained staff will also perform clearance pruning services, which consist of removing branches to provide a fourteen (14) foot clearance from the top of the curb when practical, or as specified by the City. This operation also involves clearing limbs or branches away from wires, lights, building, and /or traffic signal devices. Also, we will remove all trunk sprouts and suckers and clear limbs to provide for pedestrian travel. All work will be performed in accordance with ISA Best Management Practices, ANSI A3GD Standards and City specifications. An on -going trimming program provides safety when it comes to tree and utility lines. Trees that interfere, or have the probability of interfering, with utility lines will be trimmed in a manner to achieve the required clearances as specified by the City and in accordance with the California Public Utilities Commission. In addition to abiding by the clearance specifications set forth in General Order 95, utility line clearance pruning will be performed to protect the current health and condition of the tree and to maintain its symmetry. Limbs overhanging primary conductors will be removed, and natural pruning techniques that utilize the least number of cuts will be made to direct growth away from the utility lines. We support the City's belief that proper pruning and care during the early stages of the tree's life will save money in the future, and create a safer, more beautiful, healthy, easy -to- maintain tree. We believe that tree care that is performed early will affect its shape, strength and life span. Our specialized Small Tree Care Team consists of certified personnel trained to perform the following: 25B -180 10 • Selective structural pruning • Removal of dead, interfering, split and /or broken limbs • Pre - conditioning the water retention basin built around the tree • Staking or re- staking • Adjusting tree ties • Adjusting trunk protectors • Weed abatement • Tree watering Each tree is inspected to determine specific needs and maintenance activities are then performed accordingly. 'I'll J U."I l`Jllli`lr' Palm tree skinning consists of the removal of dead frond bases (only), at the point they make contact with the trunk without damage to the live trunk tissue. Removals will be completed per monthly lists compiled and submitted by the City or on an "as needed" basis after the City has properly marked the tree. With a minimum of 48 hours advanced notice, WCA will inform Underground Service Alert (USA) of the location of work for the purpose of identifying any and all utility lines. The removal process consists of lowering limbs delicately onto the ground to prevent any hardscape damage. Immediately following the removal, the stump will be ground down in accordance with ANSI Z133 Standards. Bald" �;JM ilr' We strongly recommend against any root pruning, however, should you want to proceed, we recommend that it he done no closer than 3 times the diameter of the trunk. Roots will be pruned to a depth of approximately 12 inches by cleanly slicing through the roots, so as not to tear or vibrate the root causing damage to the tree. The excavated area will be backfilled with native soil and debris will be hauled away. We can replace trees that have been removed and plant new trees in accordance with City specifications. Trees will be planted by lists compiled and submitted monthly or on an "as- needed" basis. We are prepared financially and logistically to acquire and purchase selected tree species for tree planting in the City. WCA maintains a nursery with various tree species readily available for planting. We have the capability to send notices via US Mail informing residents of the work that is to be performed if requested by the City. These notices can include a photo of the new tree that is to be planted or the residents may view the species at www.WEAINE.com after the City has properly marked the tree. At a minimum of 48 hours in advance we will inform Underground Service Alert (USA) of the location of work for the purpose of identifying any and all utility lines. Once the City approves the trees to be planted, we will plant in accordance with ISA Standards, ANSI A3OO Standards and City specifications. A well- trained planting team will perform the soil preparation and installation of the tree. 5B -181 20 fffr "t IM TrRIT'J'V' Tree watering will be performed by a full -time, WCA team member on various routes, when requested by the City. This team will also be responsible for reporting special care needs to the Small Tree Care Team. This could include reporting weeds, soil that has settled, and /or staking and tying needs. An Area Manager on call 24 hours a day, 7 days a week, including holidays. The toll free number is S66 -LIMB -DOWN (BOG -54- 2369). This number will be provided to the City, Police Department and Fire Department. We will be prepared for emergency calls on a 7 -day, 24- hour basis. Our emergency response team will do what is necessary to render the hazardous tree or tree - related condition safe until the following workday. L'fir'V'I lE�t`fiIlil There are many services that we provide to agencies that don't necessarily involve tree maintenance. Because of our commitment to customer satisfaction and our vast amount of resources, which includes specialty equipment, and qualified personnel, WCA responds to various miscellaneous requests. Some examples of these services are flag hanging, holiday light installation, changing ballpark lights, and miscellaneous use of our aerial towers and cranes. These types of services are performed on a crew rental basis, which consists of any number of men with necessary equipment. Special tree trimming projects, such as crown reduction or crown restoration are also performed under an hourly crew rental. Holiday lighting project in the City of Mission Viejo Should the City encounter projects that may require specialty equipment, we have the ability to dispatch one of our Hi- Ranger aerial towers with a reach of 95 feet and /or one of our high - capacity cranes with a reach of more than IOO feet. We also have a number of roll -off boxes, trucks and loaders for special projects requiring hauling of debris. W fig WT 2f 11f Due to the large amount of information we process, we have a full -time Data Entry department that is capable of taking on extra projects. Projects of this nature include inputting of work history performed by City crews or conversion of data to assimilate into ArborAccess. The need for special reporting is increasing. We have a full -time Consulting Arborist an staff that can prepare detailed arborist reports, tree evaluations and site inspections based on your specific needs. Reporting can be generated on as little as one tree to an entire urban forest population and is handled on a case -hy -case basis. 25B -182 21 Through our ability to dedicate specific pieces of equipment for this project, we believe it will lead to a successful pro- gram. In addition to aerial lift devices, dump trucks, flathed trucks and roll off containers, we will also have over 700 additional pieces of equipment for use throughout the project such as cranes, loaders, and special aerial lift devices for higher elevated trees. Specific vehicles and equipment that could be dedicated to the City of Santa Ana are listed below: Year /Make Type License # VIN '- Serial 9 1995 FORD F7O0 CHIPPER TRUCK SN155DO IF ONF7OJ2SVAO12D7 - 1998 FORD F7O0 CHIPPER TRUCK 5817612 IFDNF7DJ4WVA21558 - 1996 FORD F7OD CHIPPER TRUCK 5JE1759 IFDNF70JIVVA15053 - 1999 GMC 06500 CHIPPER TRUCK 5221160 IGDJGH1O2XJ503757 - 1999 GMC C050O CHIPPER TRUCK 5Z2II62 IGDJOHIDGXJ503471 - 199BFORD F7DO CHIPPER TRUCK EV3D971 IFDNF7OB4WVA09343 - 2005 DODGE RAM 15O0 SLT PICKUP 7044207 D711AISNX5J582463 - 2005 DODGE RAM 1500 SLT PICKUP 7P56392 D7HAI5N55J51OOB6 2001 GMC E650O CHIPPER TRUCK ON4491O IGDJ7HIEOW5D5150 2005 VERMEER SEBD2 STUMP GRINDER SE556133 IVR2151JGGID00145 2001 GMC C65OO STAKEBED GN44089 IGDJ7HIE3j1507975 2002 GMC C85O0 W /HI- RANGER 5FC -60 OU44382 IGD01- VES23O375 202D318774 2002 GMC C85O0 W /HI- RANGER 5FC -00 GU44383 IGDJ7HIEX2J51OSO9 2020319132 2006 VERMEER BCIEOOXL BRUSH CHIPPER SE577D97 IVRYI31Z891DDI334 - 2008CHEVROLET 25O0 UTILITY SERVICE TRUCK SN89773 IGBHC24K48EID2325 - 2008 GMC C75DO CHIPPER TRUCK ENE7847 GDJ7]IG0408362 - 2DOB DODGE RAM 2500 PICKUP 81145519 3D7KR26O1S5150O99 - 2007 GMC C750O W /HI- RANGER 5FC -BD EL0753O 1GDJ7CIG67F425349 2070733779 1999 FORD F55O STAKEBED EHO53H IFDAF5GS4XEC61472 - 1987INTERNATIONAL E1900W /HI- RANGER I0 -901 HF32567 IHTLKTVROHH5O0827 18111296 2005 DODGE RAM 1500 SLT PICKUP 7825578 ID7HAIBN45J51DO61 21304 DODGE RAM 15O0 SLT PICKUP 7K07O01 ID7HAIGN84JI90029 1999STARLITE SOLAR ARROWBOARD SE46OfO4 ISDA41016XL3585O3 - 1998 FORD F7O0 W /HI- RANGER 5FB -55 5577932 IFDNF70J4WVA38358 1971204677 1999STARLITE SOLARARROWBOARD SE48O150 ISDA41O14XL358845 - 1991CATERPILLAR SID WHEEL LOADER SE59DSOO Z4OYO3487 - 199B FORD F7O0 W /HI- RANGER 5FB -55 OV40749 IFDNF7OJ4WVA14111 59721109 2004GMC ]7500 /]UMBO HI-RANGER XT -55 7176859 I1017O2545O4268 2031023102 1090STARLITE S0LARARR0W8OARD SE489O84 IS941DIDTL358118 12118 2000 DIME 16500 W /HI- RANGER 5FB -55 E5OSSVI IGDJ7HIDIYJ516655 2000313083 2ODO GMC C6500 W /HI- RANGER 5FO -55 6612789 IGDJ7HID5YJ5197U8 2000313079 1995 FORD F70O W /HI- RANGER 5FI -52 8041185 1FDNF7OJ9SVA2SSGB IJB635E,11 1095 FORD F7O0 W /HI- RANGER 5FB -551`61 5696793 IFDNF70J5SVA77048 70519526 1995 FORD F7DO W /HI- RANGER 5F0 -55 5585OHI IFDNF7DJ7SVA77O49 89519638 2ODE GMC 06500 W /HI- RANGER 5FB -55 6612355 IGD7JHIDGYJ516378 200/313005 1994 FORD LBODO W/ JLG 28DO JBT85'CRANE 7890398 IFDZW82EORVA52141 400002851 1999 FORD F45O FLATBED 5X20748 IFDXF4GS7XECIO519 1094 VOLVO ROLL OFF 71137810 4VIKDDRF2RN68168D 2D0OSTARLITE SOLAR ARROWBOARO SE5185HH IS90011YL358257 5B -183 22 Year /Make T-, a License# VIN' Serial# 1994 FORD F700 W /HI- RANGER 5FB -55 4TGSBBU IFONF7DJ3RVA37447 15419026 1997 FORD F70DW /HI- RANGER 5FB -55 5J12090 IFDNF7DJ2VVAID332 ESS20DES 1992 FORD F7D0 W /HI- RANGER GH -65PBI 4PI5714 IFDPF7DJONVA33333 9217957 2011 FORD RANGER XLTSUPERCAS 2.69E +05 IFTKRIEDOBPA49G27 - 2DII VERMEER BEIDOD -49 BRUSH CHIPPER SEG14730 IVRYIIISSBIUI6371 2006 DODGE RAM 1500 PICKUP 8G07715 ID7HAISN57J515367 2007 DODGE RAM I50H PICKUP 8899761 ID7HAISN27J575896 2006 DODGE RAM 1500 PICKUP SYSB998 ID7HAIGN70JI07375 2097 DODGE RAM 1500 PICKUP EK04I62 ID7HAIGN87J575904 2007 VERMEER BC150D BRUSH CHIPPER SE574143 IVR2I61VG710DO379 PE4045H00027 2007 DODGE RAM 2500 PICKUP BL44841 3D7KR26D67G775G45 1904 INTERNATIONAL 4900 W /HI- RANGER 5HP -52PO1 EJ90241 IHTSDAAPORH583797 99318922 2009 VERMEER BEIDLO -49 BRUSH CHIPPER SEGD45B3 VRYIII9X91DI5003 2008 GMC 07500 W /HI- RANGER 5FC -6O ST88058 IGDJ7CIG29F4D7417 2DE0935847 2DIICATERPILLAR DISH WHEEL LOADER SEB30966 EAT000SHKLMD01982 CYM309D3 2007 DODGE RAM 1500 PICKUP ED14262 ID7HA16288J123944 - 2011 VERMEER 801500 BRUSH CHIPPER SE615046 IVR21EIVBEI002886 - 2011 VERMEER SE802 STUMP GRINDER SEE15945 IVR2151JOCIDO1098 - 2011 VERMEER SC802 STUMP GRINDER 615948 IVR2151JOE1001089 - 2012FORD `050 /TECO V6- 651P -IFET2 DE799JI 3FRNFBHPECV246840 72359803 2D13FDRDWT F350 FLATBED 98151J1 IFDRFSG65EED05278 - 2D13VERMEER BCI000 -49 SES18705 IVRY11198DID18943 - 2000 GMC C7500 COMBU /HI- RANGER XT5 41685,11 IGDL7HIDDYJ510455 2000212640 2013 FREIGHTLINER 108 SD ROLL OFF 35291GI IFVHG5BSIDHSZ9987 - 2014VERMEER BEIDOO -49 BRUSH CHIPPER NEW IVRY11193EID21073 - 2009 DODGE RAM 150DELT SVOO133 10016P99J516184 - 2009 DODGE RAM I500ELT EV002BG ID3HSISP99J516167 - 20B9 DODGE RAM 1500SLT 8080451 10311BIGPD9313185 2008 DODGE RAM I50DELT HEMI SP21018 10117AI6238J148704 2015 DODGE RAM15DO PICKUP 7990851 3CGJR5DT7FG539860 2008 DODGE RAM 1500 PICKUP 50789FI ID7HAIG208JI23940 2DOS DODGE RAM 1500 PICKUP BNO9950 ID7HA10258JI23943 2005 SOLAR TECH SOLAR ARROWBOARD SEB02230 4GMIAOD1151520930 2012 CATERPILLAR 908112 SE047749 CATOOOSHHJRD00579 - 2012VERMEER BEI000 -49 SE618534 IVRY11198DID18765 - 2012VERMEER OCIOGO -49 SE62I1G3 IVRYIIIB2DI0188I2 - 2008 DODGE RAM 15DO SLT 8HD1771 ID7HAIGN58JI81049 - 2012VERMEER ECIDOO -49 SE621184 WRYIH9801018815 - 2000 GMC C8500 COMBO W /HI- RANGER XT5 -60 -70 42333JI IGDP7HIEOIJ5OS666 2010316008 2013FOROWT F350 6383311 IFDRF3000CED05275 - 2013 FORD F350 58155JI IFORF3GG7CED22168 2015 FREIGHTLINER 108 SD ROLL OFF S691DUI 3ALHG5CY9FDGTUG53 2015 FREIGHTLINER 108 SO ROLL OFF 8090BUI 3ALHG5CY3FDGTOB50 20DB DODGE RAM 1500 PICKUP 8M07216 ID7HAIGNIBJ238885 2013 VERMEER RCIODO -49 SED41144 IVRY11191DIU2DO34 25B -184 23 IFIEf"N TAKII Should the City elect to award a new contract to WCA, Inc. for tree maintenance services, we are prepared to follow the implementation plan below: Contract Management (within ten days from award of contract) ■ Obtain all required insurance certificates and procure bonds if required. • Obtain any and all Business Licenses and/ or permits. • Execute a Contract for the Management of the Facilities' Urban Forest. • Conduct a Pre -Job meeting with staff prior to commencement of work. • Submit a detailed work schedule with specific dates for approval. Mobilization (on or near July I, 2015) • Mobilized the assigned vehicles, equipment and personnel required for this project. • Prepare crews with knowledge of specifications E standards for this project. Notification Oust prior to starting work, on or near July I, 2015) • Identify the list of addresses required for notification (if necessary). • Prepare and print notices as approved by the City (if necessary). • Distribute notices at required time prior to commencement of work (if necessary). ■ Post official "No Parking" signs on Right -of -Way at a minimum of 24 -4B hours in advance. Tree Inventory (concurrent with tree maintenance, on or near July I, 2015) • Conduct a Pre -Job Meeting exclusive to the tree inventory process. Discuss the basis for evaluating the Urban Forest management requirements and recommendations. • As tree maintenance progresses, we will provide an inventory of the specific work performed. The inventory will be compatible with the inventory software program. • Provide the City with recommendations for tree species, recommended planting locations, recommended removals and recommended tree cycles. Ir'sy11181Prk� n� C�'TfjPTIrl,yk1r<3r Lill /«f�1 '� 3 Commencement of Work • Report each work location to the Inspector daily via text or email. ■ Perform vehicle, equipment and material inspection prior to leaving the facility. • Insure English- speaking Certified personnel at the job site at all time. • Set up traffic Control in accordance with the Work Area Traffic Control Handbook. • Work in accordance with the ISA and the ANSI Standards. • Perform tree removal, tree planting, small tree care and tree watering in accordance with the City's Guide- lines and the ANSI Standards. a Provide all safety measures necessary for public protection. • Avoid work or any other activity on private property unless directed by the City. • Use any means to the best of our ability to protect private property. ■ Maintain excellent public relations with the community. • Meet with Inspector(s) on a daily basis and report the day's activities. • In the event of an emergency, provide immediate response and take action at the City's request in a safe and efficient manner. 5B -185 24 Inspection of Work Performed ■ Insure that the Ouality Control Plan is enforced. ■ Review pruning methods to insure the highest level of pruning standards are being used. ■ Notify damage of property (public and private) to the Inspector immediately. ■ Property damage measures to take place within 48 hours of occurrence. ■ Remove all debris and material for the job site. ■ Inspect final work, including cleanup of worksite(s) each day. ■ Record work completed in data record format for proper inventory update. ■ Maintain the List Tracking System and review with staff. ■ Maintain a clean facility at all time. Inventory Update ■ Submit daily work records to our Information Management team. ■ Update the work completed into the City's own tree inventory program. ■ Provide the City with accurate tree maintenance updates on a bi- monthly basis. ■ Print any reports relative to the tree inventory to accommodate the City's needs. ■ Provide the City with Annual Tree Care Reports that summarizes the work performed for the previous fiscal year. Proposed Schedule of Work Work will begin with ten (10) working days of a Notice to Proceed from the City and each work task will be com- pleted within 30 calendar days depending on amount of work. The work hours shall be from 7:00 a.m. to 5:00 p.m. and we will begin at the preferred location of the City, Per the specifications we will notify the City in writinq of any changes to the above project schedule. As with all projects we will strive to make this project successful for the residents and the City while minimizing the incon- venience. We do encourage your input and suggestions to help achieve this goal. 25B -186 25 PffrVi 1'11ETM d West Coast Arborists includes with its comprehensive tree maintenance program a well defined quality control plan that incorporates certified personnel assigned to this project, safety, pruning specifications and guidelines, equipment, hours of operation, public relations, traffic control, work descriptions and communication systems. We believe in following this plan to help ensure the quality of work and the level of service expected. �T rA8ir'I( 41-rhk The Project Area Manager for this contract will be Randy Thompson, he holds ISA Certified Arborist number WE- I043A. Mr. Thompson will provide exclusive field supervision and crew management to the City for the length of the contract. They will be the central point of contact with the City and will work cooperatively with City staff, local residents and business owners. Our Project Area Managers have successfully worked with several cities and established a familiarity with the community and logistics of each City respectively. Daily Supervision Daily supervision will consist of, but is not limited to: • Report to the City Inspector with location of crew and maintain an open line of communication • Supervise crew personnel to insure proper pruning standards are followed in a safe manner • Traffic control setup and maintenance of coned area • Insure City streets are left free of any debris at end of each work day • Maintain record of work completed each day • Maintain good public relations at all times • Immediate notification to City Inspector upon damage of personal property including a plan for corrective measures to take place within 413 hours Weekly Supervision Weekly supervision will consist of, but is not limited to: • Weekly inspection of work completed • Meeting with the City to review work schedule and progress • Insure standards of pruning are performed in accordance with specifications provided by the City • Maintain open communication with. City Inspector and field crew .a v a: 25B -187 26 R Olt" I )JI]TRAIK . WCA is a professional organization and employs only the highest standard of tree care professionals . All employees will comply with any applicable laws of the State, County, City and /or political subdivision of such state without limitations while under contract . WCA does not discriminate against employees or applicants because of race, color, religion, sex, pregnancy, national origin, ancestry, age, marital status, or physical handicap . Equal opportunity will be extended to all persons in all aspects of the employer - employee relationship, including but not limited to hiring, transfer, promotion, training, compensation, layoff, recall or termination . Employment decisions comply with all applicable laws prohibiting discrimination and comply with Title VII of the Civil Rights Act of 1992 and all federal, state and municipal laws pertaining thereto . Any employee who is found to be incompetent, troublesome, disorderly or otherwise objectionable, or who fails or refuse to perform work properly and acceptable, will immediately be removed from working on this project 1 10111 =� Jr h'lJr 1,`1D J �i 1 r1'11Ji`l All regular tree care will be performed between the hours of 7:00 a.m. and 5:00 p.m., Monday through Friday. In accordance with the City's specifications, we are prepared to perform work during the weekend and evenings. With our large number of employees, we are able to create special weekend teams and night teams that are accustomed to performing during those shifts. Oftentimes these special shifts help to alleviate traffic and pedestrian congestion that may otherwise occur during normal business hours. Er,EeUJI jPl'l Jr h19RIX The project shall conform to the City's schedule of performance. We recommend equal distribution of work throughout the course of the fiscal year. West Coast Arborists, Inc. will notify the City of any changes in the start date of each tree maintenance operation at least 24 hours in advance, weather permitting. Our company tracks lists according to work type and prioritizes accordingly. West Coast Arborists, Inc. will provide door hangers that explain the tree maintenance process (acceptable to the City) and distribute the notifications to citizens prior to the start of pruning operations in said area. Work shall be conducted in a cooperative manner as to cause the least amount of possible interference with or annoyance to others. Service request pruning is done on an "as needed" basis and is performed to rectify and immediate problem, a full trim will be completed during the grid pruning cycle. The Area Manager is responsible for scheduling the work, a detailed workflow process is shown on the following page, outlining how work is processed and scheduled 25B -188 27 When work is ordered from WCA we follow standard procedures for each. Shown below are flowcharts for pruning, removals and planting: GRID PRUNING FLOWCHART REMOVAL FLOWCHART Customer marks trees for USA R notifies resident Area Manager schedules work a informs the City S gives work order to Foreman PLANTING FLOWCHART Work request received from Customer Crew performs work CSR creates work order —► B contacts USA 48 hours —► in advance of work Foreman completes ► work order $ inventory —' E turns in Work order is given to the Area Manager CSR closes work order 6 Billing Dept. prepares invoice CSR prepares work CSR gives work Work request received --I- order to Area Manager Work order is given from Customer order E orders tree from to schedule work 9 to Foreman Nursery Manager inform the City Crew performs work 6 hangs tree care door hanger Foreman completes the --o-work order B inventory E—► turns in CSR dates off S closes --* Billing Dept, processes work order E prepares invoice Prior to commencement of grid pruning, WCA will prepare a sample door hanger notice and present it to City staff for approval. Upon approval, we will have the pruning door hangers printed and post them within twenty - four (24) hours prior to the commencement of work, or as directed by the City. Tree planting door hangers will be hung after the tree has been planted. When requiring a response pertaining to tree planting, we will send a letter along with a return postcard to the resident and respectfully request their input. The City should notify WCA if they would like a mailer sent. We will print all notices (and photos for tree planting operations) and distribute them to the residents utilizing a mail addressing software program. Each notice will be sent utilizing City letterhead and envelopes. For special projects and /or routine maintenance, we can also submit a press release to the community newspaper for a more comprehensive outreach. We understand the City may modify the procedure to which to notify residents. st WCA uses a technologically modern and reliable communications system • NEXTELO Digital Radio /8lackberryE email and Internet issued to Area Managers and management team • NEXTELE Digital Radio issued to Foremen for maintaining communication with the City and WCA office • Unlimited access to voicemail message boxes that immediately page the NEXTELE Digital Phone Systems Another recent achievement that affects job performance and efficiency includes WCA's introduction of Sprint's HTC EVD View 40 Tablet" that will be used by all of Management and the Field Foremen for the purpose of inputting data such as tree inventory, daily work records, timesheets, photos, and billing information. It will also be used as a navigational device and a communication device. This alleviates the need to handwrite all data, reduces time required to deliver data to the corporate or regional offices, and improves customer service and response time. ti 0 A U TREE MAINTENANCE NOTICE The City has awarded the pruning of parkway trees to Wes, Coast Arborlsts, Inc., a private ,z can tmnor. WCA will be pruning trees In front of your property within the next couple of days. b0 Between the hours of 7:00 am and 5,00 pm there will be No Parking signs pasted due to the P danger of falling limbs, please do not park on the street until after the trees have been pruned and the area cleaned. Additionally, due to the tl hazard of falling limbs, we ask that you clear oyour front yard of cars, furniture and other val. uncles during the pruning operation. The tree operations are being performed by skilled pruning crews cer,illad by the International So- ciety of Arboriculture, under City supervision, and It part of the City's continuing program to provide the best possible service to Its residents. Uyour cooperation In this effort is very much op. preclated. If you have any questions, please contact your local WCA office. ,I "a 25B -190 20 WCA will procure a City Business License and any "no -fee" permits prior to commencement of work. permits (i.e., encroachment, traffic control, etc.) requiring fees will be charged back to the agency. All work will be performed in the public right -of -way. Employees will not utilize private property for eating, coffee breaks or any other reason or use water or electricity from such property without prior written permission of owner. C" ' AiW"ID, i rF.�; l� �� �1 NVUT S WCA will give right to operate within the project area to the City workers and contractors, utility companies, street sweepers, and others as needed in a cooperative effort to minimize interference in daily operations. r TM i''T S:l'1 r l lilJ,`J? w=�9a1`l,'lr Work site will be left free of debris at the and of each workday. We will not discharge smoke, dust, or any other air contaminants in quantities that violate the regulations of any legally constituted authority. �,`V` Insrv"'PIA 1`dF. fllki? JE 1aJ�VT"IdI IIYT,sf,VJPET �IN WCA will provide all safety measures necessary to protect the public and worker within the work area. We will maintain good public relations at all times. The work will be conducted in a manner which will cause the least possible interference or annoyance to the public. WCA will comply with any and all local sound control and noise level rules, regulations, and ordinances which apply to any work performed in the City. All work will cease by 5:00 pm or as directed by the City. Emergency services will be excluded from these time restraints. iPTAP `P"I r, ,f' f ,,llrtij�lUj1 Traffic control procedures will be set -up in accordance with the Work Area Traffic Control Handbook (W.A.T.C.H.) and State of California Manual of Traffic Controls as well as the City Traffic and Safety Operating Rules. WCA will make adequate provisions to insure the normal flow of traffic over the public streets and park roads. Every effort will be made to keep commercial driveways and passageways open to the public during business hours. High visibility arrowboard(s) will be used when needed. Prior to use, the City will approve traffic safety equipment and devices. Pedestrian and vehicular traffic shall be allowed to pass through the work areas only under conditions of safety and with as little inconvenience and delay as possible. Unless the work area is totally barricaded or otherwise kept safe, at least one worker will serve to coordinate safe operations on the ground at all times when work operations are in progress. 5B -191 3o ISl� JIflilJ`i c Tlfrrl lJ�l'31r`J1' As we work with or near the public, WCA is mindful that we will most likely be the first person the public contacts. We have seven (7) full -time Customer Service Representatives throughout our operation. Each is trained in the best approach in addressing concerned residents. When speaking with a resident it is important not to disrupt them, be honest, respectful and calm. Always smile and keep the tone of your voice level. Empathizing with the residents (placing yourself in their shoes) helps to resolve the matter more quickly. Should there be any property damage, we adhere to specific procedures to resolve the problem. The Foreman on the job site will notify the resident and the Inspector immediately. West Coast Arbarists' Claims Coordinator Complaints and Damage Resolution If the resident is not at home, then we will leave a WCA card with instructions to call our Claims Coordinator in our corporate office. The ultimate goal at each work site is to leave the property in the same condition as before we entered it. West Coast Arborists, Inc. will notify the City Representative immediately upon damage of personal property including plans for corrective measures to take place within 48 hours. All WCA vehicles are equipped with an Accident Kit should anything happen during the work day. Each kit has an Incident Report, an Accident Report, an Injury Report, a camera, First Aid instructions and protocol for contacting the corporate office. A computerized log of all incidents is maintained to include the date, time of occurrence, location, problem and action to be taken pursuant thereto or reasoning for non - action. West Coast Arborists' Accident Kit that is in each company vehicle ;vI;. OM Any activities found by the City to be unacceptable will be rectified immediately. All other complaints will be abated or resolved within twenty -four (24) hours of the occurrence. We have teams specifically assigned for handling damage to properties, both private and public. Through our communication system, we have the ability to dispatch either of these teams and have them respond immediately to the site for proper repair. We pride ourselves on professional workmanship to avoid these types of incidents, however, should one occur, we take all appropriate measures to resolve the matter in a timely and efficient manner. 25B -192 31 J�J`JJ`Jt4 X11f 1l'J101 , West Coast Arborists, Inc. will perform all tree maintenance in accordance with the Standards adopted by the American National Standard for Tree Care Operations (ANSI ASOO) and the Best Management Practices, a supplement from the International Society of Arboriculture Pruning Standards. Final pruning cut will be made without leaving stubs. Cuts will be made in a manner to promote fast callous growth. Representative WCA crows In action at our state's Capital building photographs depicting "before and after' trimming are included in this proposal. West Coast Arborists, Inc. will clean all job sites when work is completed, including the raking of leaves, twigs, etc. from the lawn and parkway and the sweeping of streets. All resulting debris will be removed from the work site daily and properly disposed of at the end of each work day. Benefits of proper tree pruning include reduced risk of branch and stem breakage, better clearance for vehicles and pedestrians, improved health and appearance, enhanced view, increased flowering. When improperly performed, pruning can harm the tree's health, stability, and appearance. Several consequences occur when pruning is not performed at all. These consequences include development of low limbs; weak, co- dominant stems; defects such as included bark; and accumulation of dead branches. Formation of co- dominant stems and defects such as included bark can lead to increased risk of breakage. No tree should be pruned without first establishing clearly defined objectives. Seven main objectives are described, along with pruning types that help meet those objectives. These objectives serve as examples and can be expanded or shortened to meet site conditions and customer expectations. Even with proper pruning cuts, if the wrong branches -or too many branches -are removed, nothing of merit has been accomplished. Objectives of pruning: Reduce risk of failure i • Provide clearance I Reduce shade and wind resistance ON L;� . Maintain health • Influence flower or fruit production Improve a view • Improve aesthetics ROM Mapagoment Prattims Nine pruning types are used in arboriculture to achieve the 7 objective of the tree's owner or manager. Pruning types include structural, cleaning, thinning, raising, reducing, restoring, and �s '1 pollarding. Pruning palms and conifers and pruning for utility line clearance are other types of pruning. 25B -193 32 I t �y�.� 'i' � I r) f r a %l Old jJLa A��LD ,d �1 �1t.L J�oT' a J �J) The management of solid waste has become a major issue in California and throughout the country. Not only are we producing an increasing amount of solid waste each year, but we are running out of places to put it. Because of the concern about water and air pollution associated with landfills, the opportunities to develop additional disposal capacity are limited. To address these issues, the Governor of California signed into law on September 20, 1080, Assembly Bill 939 (AB 939). The law fundamentally restructured the state's approach to solid waste management. AB 939 established an integrated waste management hierarchy in the following order of importance: • Source reduction • Recycling and composting • Environmentally safe transformation and land disposal of solid wastes AB 939 requires that each California county and incorporated city prepare a Source Reduction and Recycling Elements (SRRE) report which shows how they will meet solid waste diversion goals of 50 percent by the year 2000 and beyond. West Coast Arborists, Inc., offers a multitude of waste diversion opportunities to cities including mulch, compost, firewood and logs to lumber. In an effort to provide cities with valued information pursuant to AB 939 requirements, we provide immediate reporting capabilities through ArborAccess at no additional cost. City/ of Irvine Frain 111/2010 to 12/1 /2010 Green Waste Recycling Report Job # All Weig in in Dale Job # Truck Recycling Site Material To To 01104110 14728 D91 WCA IRVINE CHIP 4.00 01105/10 14728 D91 WCA IRVINE CHIP 4.00 D1/D61.10 14728 D91 WCA IRVINE CHIP 4.00 01/07110 14728 D91 WCA IRVINE CHIP 4.00 OI /08(10 54728 D91 WCA IRVINE CHIP 4.00 01/111'10 14728 D91 WCA IRVINE CHIP 4.00 01/11110 15585 R28 WCA IRVINE LOGS 4.00 01/12/10 15585 R28 WCA IRVINE LOGS 6.00 01/12/20 15585 R28 WCA IRVINE LOGS 7. DO 01113/10 14728 D91 WCA IRVINE CHIP 4.44 01 /13/10 155B5 R28 WCA IRVINE LOGS 7. DO 01113110 15585 R27 WCA IRVINE LOGS 12. D4 01114/14 13295 D123 WCA PLACENTIA YARD STUMP GRIND DEBRIS 2.00 01/14/14 14728 D91 WCA IRVINE CHIP 4.00 01 {15(10 13295 D123 WCA IRVINE STUMP GRIND DEBRIS 2.00 01/15110 14728 D91 WCA IRVINE CHIP 4.00 011.19110 14729 D91 WCA IRVINE CHIP 4.00 0112.0110 13295 D123 WCA IRVINE STUMP GRIND 2.00 DEBRIS 25B -194 33 lktrM.'A r'E11JIVafJlPAIrj WCA's commitment to be a socially responsible corporate partner to our customers and communities is exemplified in our Recycling Program. With the steadily - increasing concern for the ecological health of our communities, WCA has embarked on a landfill diversion process where all material is taken to recycling facilities where it is used in the production of soil amendments. We are committed to taking all recyclable materials removed from the trees trimmed for the duration of this project to a recycling center for processing. Verification of amounts recycled will be obtained and reported by WCA via ArborAccess for the purpose of meeting the goals of the State for reducing landfill usage. RECYCLED PRODUCTS: ILwl COMPOST FIREWOOD Mulch is made from coarse ground branches and leaves. It should be spread on the ground at a rate of six to twelve inches for best effect. Fresh mulch will deplete nitrogen from the surface of the soil which will reduce unwanted weeds. Once the mulch has decayed, it returns nitrogen which helps build the quality of soil for plants. A large amount of tree debris is processed by WCA and used in large scale mulching projects for establishing native plants in open space areas. Compost is made from fine ground branches, leaves or other organic material. When mixed with oxygen and water, the organic material will decay or "compost" A finished compost is excellent for turning into the top layer of soil and will add nitrogen and increase the water holding capacity of soil. You can make compost at home in a pile in your yard or in a bin that you make or purchase. Large scale composting is done at regional recycling facilities. LOGS TO LUMBER Firewood is traditionally the most common use of large branches and logs. Firewood is used to heat homes during winter months. WCA takes logs to a yard in Irvine . Currently WCA is looking for new and better ideas for the use of tree logs. An old idea with a new approach is converting city trees into usable lumber. WCA worked on a twelve month trial program with the California Department of Forestry and Fire Protection to create an environmentally sound and socially responsible alternative to importing lumber from other areas, reducing our demand on trees from natural forests. WCA has demonstrated its wood, hand - crafting ability by offering sturdy and beautiful wooden benches for city use, exemplifying our commitment to the environment. 34 ,'l :lr(�?lt� J JiIJJIlliJ1 Certificate of Insurance THIS CERTIFICATE 151SW D AS A 3fATIER OP ITTOIN4APION ONLY AND COMERS NO RIGHTS UPON YOU THE CERTERCAF]i HOTDFA THIS CrRHFT ATE ]S hD'C AN INSURANCE POLICY AND DOES 301 AMBND, EX'BsND, OR ALILR'I Ei COVERAOB AFFURDED BY IRE 1OLICIES LIM ED BELOW. POLICY LAdl'1'9 AIiL NO LESS'[HAN'1'HOIIH LISYHD ALTTIOUGH MUCILS MAY INCLUDBADDITICNAL SUBI IMI'IYLMIII s G1 LISTED BELOW. This is to Certify that I (NEST COAST ARBORISTS, INC 2200 EAST VIA BURTON NpMEANU 7 AA'u{..ln ANAHEIM CA 92806 A71nRES8 ld .dYl l 1 UL' IlVSURE S cs, at coo IFew aaro of ddx een;Ltoam, hesuroa by and eomea,t� uteler me ymmyresl listed below- 'me;as�w,Le aernr<ma h� me r tea pwcy[;e.) B sobiom ie sn moo- te,,.,,, a :el „aioee,,,a o,�na.;ors ma le oor comma by aar ronu;remuq twm or eunatriou ofmq m,,,rcea or on�e a000mow whh ro.vom to,ado6 ms cmm�etemov no mxt,w. 7 use cedifi ate e,sstioa date In enuttluous or exmSdetl term, you will be na;red if wvmnBe Is us metaled or reducea behle the eethfieate oxplmtlnn acre NOT IC E OF OANCELLATI OM (NOT APPLICABLE TINLESS A NUMBER OF DAYS IS ENTERED BRI OW.) Litror't Mutnnl BEFORE 'IHI, STATED =11RATION DATE THE COW'ANY WILL NOT CANCEL OR REDUCE TET, Y INSURANCE, AFFORDED LM- ER THH ABOVE POLICIES UNTIL A I LEAST 30 DAYS NOTICE las.,nee Group OP SUCH CANCELLATION HAS BEEN MAILED TO Evidence Only EXP OA1'E GC_oLUrzsJ TYPE OF POLICY El cow NIumis [j ExreFlnED POLICY NUMBER LIMIT OF LIABILITY 3 Anaheim CA 92806 m POLICY TEEA9 Los Angeles 10603 AUTHORIZED REPRESENTATIVE WORKERS COMPENSATION STATUTORY 7!1/2015 WA7 -66D- 039499 -074 CO N'ERACE.:%1MRDIDUHDERWC LAW OFTnE FCI,10N'EVG s 1A'rP.S: GANVAZ EMPLOILISLIAMILITY Bodly lAmy by A,elem �1 000.000 Boldly ]Shay By Dis,so 213- 624 -1171 6/25/2014 LOFFICE PHONE DA HE ISSUED This certificate is executed by LINER V MUTUAL INSURANCF GROUP as respects such inanran S, as is a@orded by those Companies NM 772 07 -10 $1,000,000 f dly hgury By Di,e,,F 11, 1 ae s LDI 001 265896 02 11 $1.()00.000 COMMERCIAL GENERAL LIABILITY 7/112015 T132- 661- 039499 - 014 Ocitu1 ASSresate $2,000,000 Ikoducd! ComPIc0.M Cry rutionn AnhrµB,eW $2.099.999 CCCIARENch U Q1.AIYIS M.4DP. P.ach Oocurtencc 099,000 �$1 Psreavul.n. AdIt"wing ble, $1,009,609 1'a' Puxon / O,gunimlan AE770 5X'P FIRE DAMAGES $100,000 MEDICAL PAYMENTS $5,000 AUTOMOBILE LIABILITY 7/1/2015 AS7- 661 - 039499 -034 Euh i Dslasle Lhttit P. ('mbinea $2,000 ODD .I. B MA ,l D, Cl dOWNED EsohFerson ..__....� .�._._.. Gash Awldeet or Oceortenoe NCP6OWNFD Ll HESED F.1, A;s,U.t wO,,l,denoe OTHER 7/1/2014- 7A/2015 TH7- 661- 039499 -044 $5,000,000 PER OCCURRENCE/AGGREGATE Umbrella Excess Liability ADDITIONAL CONMUDI'TS 7 use cedifi ate e,sstioa date In enuttluous or exmSdetl term, you will be na;red if wvmnBe Is us metaled or reducea behle the eethfieate oxplmtlnn acre NOT IC E OF OANCELLATI OM (NOT APPLICABLE TINLESS A NUMBER OF DAYS IS ENTERED BRI OW.) Litror't Mutnnl BEFORE 'IHI, STATED =11RATION DATE THE COW'ANY WILL NOT CANCEL OR REDUCE TET, Y INSURANCE, AFFORDED LM- ER THH ABOVE POLICIES UNTIL A I LEAST 30 DAYS NOTICE las.,nee Group OP SUCH CANCELLATION HAS BEEN MAILED TO Evidence Only GC_oLUrzsJ 2200 E Via Burton Elaine Ulan 3 Anaheim CA 92806 Los Angeles 10603 AUTHORIZED REPRESENTATIVE — 818 W 7th Street, Suite 850 0564406 �- Has Angelea CA 90017 213- 624 -1171 6/25/2014 LOFFICE PHONE DA HE ISSUED This certificate is executed by LINER V MUTUAL INSURANCF GROUP as respects such inanran S, as is a@orded by those Companies NM 772 07 -10 came a etmn wme Ln I'll rum,ora6.11 —m 1/snow 1:11, 11 11 ,srui 11, 1 ae s LDI 001 265896 02 11 VJir N11,`JJ,i]” l R,.. 1000 856 25B -196 35 rfrl1lrfslr3`�lf I PMAIITf r'PI JJrr "f J' 1,ALU ':Jr1.11(11`M J `,kd 'r, 111'11r 'PMR] WCA is proud to say that we have never failed to complete any work awarded to us and have never been debarred from bidding any public work or improvement by any state, county, or local government agency. Also, we have never been assessed liquidated damages. rJ�`lift�1�`r'tlJf�er d 1rJ'r1�lr;r State California °nom `' 4 w'♦ ACTIVE ii ensY Nombwr V 6 6 R 64 HU<,,,�;,,&f* WEST COAST ARBORISTS INC �:lassi hcaaon(s: C61 /D49 C27 Fapiralton o-rp 12/3112016 www.cslb.ca.gov 5B -197 7 T 4 36 25B -198 CITY OF SANTA ANA Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on a unit cost for services described in Exhibit A. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Bid proposal fee will be based on Pruning Section Grand Total Price, PRUNING SECTION Description Unit Light Prune Each $ 37.()0 4,ssu par il $162,430.00 a Grid Prune Each $ 63.00 10,zs4(Y_ear1L.,,$ 646,002.00 Annual Queen Paim Prune Each $ 29.00 5,361 Year t) $ 155,469.00 e BI- Annual Date Palm Prune Each s 95.00 2o3 ear2 ) $ 19,2$5A0 u Bi- Annual Canary Island Palm Prune Each $ 95.00 4a $ 4,160.00 ear2 a 131-Annual All Other Palm Prune Each $ 50.00 sa3(Year2 $45150,00 e GRAND TOTAL PRICE — PRUNING SECTION ONLY (a +(, +c +d +a +f) $ 1,032,516.00 City of Santa Ana Street Tree Maintenance RFP Page 4$ Exhi26B_199 REMOVALS . __Desrniption Unit UNIT PRICE Palm Skinning _ Per Foot s 15.00 Tree & Stump Removal Diameter Standard Height Per Inch 27.00 _ Tree Oniy Removal Diameter Standard Height Per Inch 19.00 Stump Only Removal Diameter Standard Hight Per lnch $ 8.00 INSPECTIONS: CREW RENTALS Inspection Report Including Risk Assessment) Per Tree 200.00 Consultant Arborist Inspection level 1, 2 or Per Hour s 140.00 PLANTING,. DESIGN ATED'PECiE"`,� Plant 15 Gallon with root barrier Each $ 150.00 Plant 24 inch Box with root barrier Each $ 300.00 Plant 36 inch Box with root barrier Each s 960.00 Plant 48 inch Box with root barrier Each 2,400.00 Plant 60 inch Box with root barrier Each s 4,200.00 PLANTING" SPECIAL "VARIETY =TREES *'s Plant 15 Gallon with root barrier Each $ 175.00 Plant 24 inch Box with root barrier Each $ 350100 Plant 36 Inch Box with root barrier Each $ 1 05000 Plant 48 inch Box with root barrier Each $ 2 550.00 Plant 60 inch Box with root barrier Each $ 4 800.00 SPECIALTY SERVICES> Service Re uest Prune Each $ 200.00 I_are Scale Prune Each s 400.00 Root Prunin with 12" barrier Foot $ 19100 Root Pruning with 18" barrier Foot $ 24.00 Waterinq of Young trees, water truck & operator Day s 500.00 CREW RENTALS Crew Rental (3 men) (Minimum 1� 1 Per Hour $ 210.00 Emer eac hours Per Hour $ 210.00 City of Santa Ana Street Tree Maintenance RFP Page 49 25B -200 TECHNICAL GPS Tree Inventory of Existing Trees (Approx. 60,000 trees Lump Sum F$$ 0,000.00 Per Trea Site .00 ** GPS Tree Inventory cost only applies to new trees planted after completion of initial Tree inventory. Co-operative Purchaging It is intended that any other public agency (e.g., city, county, school district, public authority, public agency, municipality, and other political subdivision or public corporation) shall have the option to participate in any award made as a result of this solicitation at the same prices. The City of Santa Ana shall incur no financial responsibility in connection with any purchase by other public agency. The public agency shall accept sole responsibility for placing orders and making payments to the vendor. Labor CIgssification The work performed on this contract is routine, recurring, and usual. The work includes watering, trimming, pruning, planting, removal and replacement of trees and plants, and servicing of irrigation. The rates included in the Cost Proposal are based on prevailing wage determination "Landscape Maintenance Laborer ". West Coast Arborists, Inc. (800) 521 -3714 / Fax: (714) 991 -1027 AND FAX 2200 E. Via Burton, Anaheim, CA 92806 BUSINESS ADDRESS ____._____. THIS •• _COMPLETED AND INCLUDED WITH THEPko--P6s,8 PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana Street Tree Maintenance RFP Page 50 25B -201 25B -202 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: SANTA ANA/GARDEN GROVE STREETCAR MOU (NON- GENERAL FUND) (STRATEGIC PLAN NOS, 3,2C; 3,4131; 6, 1G) CITY MANAGER 0 RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1a' Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager to execute a Memorandum of Understanding between the Orange County Transportation Authority and the City of Santa Ana, subject to non - substantive changes approved by the City Manager and the City Attorney, that defines the understanding of the general terms, conditions, and funding responsibilities for the design, right -of -way acquisition, construction, and operations and maintenance of the Santa Ana /Garden Grove Streetcar Project. DISCUSSION The Orange County Transportation Authority (OCTA) Go Local Program was initiated in 2006 as a process to provide transportation options which are conceived at the local level. That program was a partnership between OCTA and local agencies, and the process was anticipated to foster local transit connectivity and extend the reach of Metrolink. In addition, the process was a competitive one between local agencies to help identify the best projects for funding consideration. The Santa Ana /Garden Grove Streetcar Project was one of two fixed rail projects selected to proceed to a Feasibility Study, which was completed in 2007. In fall 2009, OCTA and the City authorized development of an alternatives analysis and a draft environmental impact report (DEIR). Analysis continued through early 2014 with DEIR release for public comment on May 23, 2014. After a 45 -day review, the public comment period ended on July 7, 2014. The following milestones have been completed in the last year since the close of the public comment period: 25C -1 Santa Ana /Garden Grove Streetcar MOU July 7, 2015 Page 2 Action Approving Agency Date Approval / Adoption of Locally Preferred Alternative (LPA) Santa Ana 08/05/14 Approval of OCTA serving as the lead agency for project OCTA 08/11/14 development, implementation, operations and maintenance Approval of the completion of project milestones OCTA 09/22/14 (alternatives analysis, draft environmental document and approval /adoption by Santa Ana City Council of the LPA) Certification of California Environmental Quality Act Santa Ana 01/20/15 (CEQA) portion of Revised Environmental Assessment/Final Environmental Impact Report (REA/FEIR) and approval of the project Adoption of LPA Garden Grove 02/10/15 Submittal of Finding of No Significant Impact ( FONSI) to OCTA 02/18115 Federal Transit Administration (FTA) Approval of Project Management Consultant for Santa OCTA 02/23/15 Ana /Garden Grove Streetcar Issuance of FONSI FTA 03/10/15 Approval to enter Santa Ana /Garden Grove Streetcar in OCTA 05/05/15 FTA New Starts Program Select Design Consultant for Santa Ana/Garden Grove OCTA Anticipated Streetcar Fall 2015 Following completion of the environmental document, lead agency responsibilities for the project have transitioned to OCTA. A copy of the latest OCTA fact sheet for the project is attached as Exhibit 1. Staff is currently working with OCTA to review and finalize a Memorandum of Understanding (MOU), attached as Exhibit 2, which provides details of high -level project roles and responsibilities by both agencies moving forward. The draft MOU covers a wide range of project delivery aspects. As is standard practice in large, complex, and multijurisdictional rail projects, this MOU will serve as the basis for development of subsequent agreements detailing more specific roles and responsibilities ahead of major project development phases, including design, 25C -2 Santa Ana /Garden Grove Streetcar MOU July 7, 2015 Page 3 construction, testing, operations, and maintenance. Each follow -up agreement will contain a Work Plan covering a corresponding project development phase. Some of the key highlights of the MOU terms are as follows: General • OCTA shall be responsible for the design and construction of the project and the operations, maintenance, and ownership of the Streetcar System once operational. • More detailed agreements shall be developed to specifically address design and construction, public way use, and operations and maintenance. • OCTA shall be responsible for project procurements. City shall have one representative on the selection /evaluation committee for design services, construction management, and outreach procurements. • OCTA Executive Director and the City Public Works Executive Director shall participate on a senior -level technical steering committee focused on budget, schedule, quality, and compliance with the terms and conditions of this MOU to ensure successful delivery of the project. • OCTA shall be responsible for all right -of -way (ROW) acquisition activities with City assistance with eminent domain proceedings if needed and requested by OCTA. • Both OCTA and the City shall develop and participate in a public outreach program for the project. • Establish the framework for the implementation of a comprehensive public way use agreement. The public way use agreement is intended to be in place prior to construction. • Establish the framework for the implementation of a comprehensive operations and maintenance agreement. The operations and maintenance agreement is intended to be in place prior to revenue service. Financial • OCTA is responsible for securing and administering project funding. • The City is responsible for all betterment costs requested by the City. • OCTA shall reimburse the City, on a time - and - material basis, for administrative, design, and construction support. The specifics of reimbursements shall be detailed in subsequent design and construction cooperative agreements. • OCTA shall reimburse the City for any ROW support associated with eminent domain proceedings on a time - and - materials basis. ROW support shall be requested and approved on a case -by -case basis and must be authorized by OCTA in advance. • OCTA shall reimburse the City for other costs incurred, on a time - and - materials basis, on a case -by -case basis, and when authorized by OCTA for City support on any hazardous waste issues or needed environmental clearance updates. 25C -3 Santa Ana /Garden Grove Streetcar MOU July 7, 2015 Page 4 • During operations, the City shall compensate OCTA 10 percent of operating costs less any fare box revenue the OCTA collects. These MOU terms highlight Santa Ana's desire to ensure the project is implemented with the original intent of the REA/FEIR adopted by the City Council. Additionally, the MOU serves to ensure that Santa Ana is compensated for staff and consultant time in support of the project. The draft MOU has been reviewed by staff from both OCTA and the City. It has also received legal review by both agencies. Following adoption of the MOU by City Council, it will then be presented to the OCTA Transit Committee on July 9 with the OCTA Board to review and consider adoption on July 27. STRATEGIC PLAN ALIGNMENT Approval of this item supports Goal #3 Economic Development, Objective #2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans /projects including the Fixed Guideway Project, Santa Ana Regional Transportation Center Master Plan, Complete Streets, and General Plan Circulation Element update). Approval of this item supports Goal #3 Economic Development, Objective #4 (continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining, and entertainment destination), Strategy B (create a comprehensive program to manage parking that includes innovative strategies to provide parking, create revenue, and enhance accessibility in the downtown). Approval of this item also supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 25C -4 Santa Ana /Garden Grove Streetcar MQU July i, 2015 Page 5 There is no fiscal impact associated with this action. E*ecutive Director Public Works Agency FM /EWG /jg Exhibits: 1. QCTA Santa Ana /Garden Grove Streetcar Fact Sheet 2. Santa Ana /QCTA Santa Ana /Garden Grove Streetcar MQU 25C -5 25C -6 PROJECT UPDATE AND DESCRIPTION In cooperation with the cities of Santa Ana and Garden Grove, OCTA will build a streetcar system between the bustling Santa Ana Regional Transportation Center and a new multimodal hub at Harbor Boulevard/Westminster Avenue in Garden Grove. Earlier this year, the Orange County Transportation Authority (OCTA) became the lead agency for project development, engineering, construction, operations, and maintenance of the OC Streetcar Project. The 4.15 mile locally preferred alternative will provide convenient "last mile" transit connectivity between the Santa Ana Regional Transportation Center (SARTC), which provides regional rail, OCTA bus, and intercity and international bus service, through Santa Ana's central business district and Civic Center, and northwest on the disused former path of the old Pacific Electric streetcar over the Santa Ana river to Garden Grove, where it meets OCTA's busiest bus line on Harbor Boulevard. It will also serve as a circulator for visitors, employees and residents within the service area and support economic development and job creation. While the project is significantly funded through Measure M, Orange County's half -cent sales tax for transportation improvements, OCTA is also pursuing other funding including Federal Transit Administration New Starts. ABOUT THE PROJECT AREA Located in the center of Orange County, California, Santa Ana is the county seat and the fifth most densely populated city in the United States with a population of 300,000 or more. The streetcar will serve the historic downtown of this thriving, energetic city which includes government offices, federal, state and local courthouses, unique restaurants and shops, an artists'village, several colleges, and a variety of community enrichment organizations. The selected alignment will travel along Santa Ana Boulevard and 4th Street. On the way to Garden Grove's busy International West tourist corridor along Harbor Boulevard, the streetcar will connect directly with 18 OCTA bus routes, including the seven busiest routes in the county. May - July 2014 1 Public circulation of EA/DEIR January 2015 El certification and LPA adoption March 2015 Completion of federal environmental clearance May 2015 FTA acceptance into New Starts Project Development May 2015 Design RFP release Summer 2015 Design award Fall 2017 Construction Fall 2019 Operations EXHIBIT 1 , Paolo., Tana, cameo... & Station 1 �9`+� w.wixorovsr 1 woa M 46 1 � loo&nl c 1 °¢= tiyu CmC6mFnm 1 • CNk • • ■ 1 � 61XSr center SiN!! 1 cenm.rert 1 n. L -------------------------------------- MILES 0 ■g® Streetcar Route 0 Proposed Stop Santa Ana Regional Transportation Center PRINCIPAL CONTACTS: Kelly Hart Program Manager Capital Programs Orange County Transportation Authority (714) 560 -5725 khart@octa.net Alice T. Rogan Interim Public Outreach Manager Orange County Transportation Authority (714) 560 -5577 arogan @octa.net S i Meh Surfliner to S So. Diego San Diego Study Area E-H-FF LOSSAN Rail Corridor _ Operations and Maintenance Facility - For additional information, please refer to ocstreetcar.net. 40 o' s Metr Sualiner to z Los Los Angelas _ _ - — _ _ _ _ ___ _ — _ ___ 1 4`' ____vm; — college k ___ __q—, __ _ _ S 1 �9`+� w.wixorovsr 1 woa M 46 1 � loo&nl c 1 °¢= tiyu CmC6mFnm 1 • CNk • • ■ 1 � 61XSr center SiN!! 1 cenm.rert 1 n. L -------------------------------------- MILES 0 ■g® Streetcar Route 0 Proposed Stop Santa Ana Regional Transportation Center PRINCIPAL CONTACTS: Kelly Hart Program Manager Capital Programs Orange County Transportation Authority (714) 560 -5725 khart@octa.net Alice T. Rogan Interim Public Outreach Manager Orange County Transportation Authority (714) 560 -5577 arogan @octa.net S i Meh Surfliner to S So. Diego San Diego Study Area E-H-FF LOSSAN Rail Corridor _ Operations and Maintenance Facility - For additional information, please refer to ocstreetcar.net. 40 o' s OCTA MEMORANDUM OF UNDERSTANDING NO. C -5 -3295 MEMORANDUM OF UNDERSTANDING ORANGE COUNTY TRANSPORTATION AUTHORITY AND CITY OF SANTA ANA FOR SANTA ANA/GARDEN GROVE STREETCAR PROJECT This MEMORANDUM OF UNDERSTANDING ( "MOU ") is made this day of 2015 (the "Effective Date "), by and between the Orange County Transportation Authority ( "OCTA "), a public corporation of the State of California and the City of SANTA ANA, a municipal corporation duly organized and existing under the laws of the State of California ( "Santa Ana" or "City'). OCTA and Santa Ana may be collectively referred to as "Parties" and individually as 'Party ". SECTION 1 RECITALS WHEREAS, OCTA, in cooperation with the Federal Transit Administration and the City of Santa Ana, is proposing to design, construct, operate and maintain the Santa Ana /Garden Grove Streetcar. The Santa Ana /Garden Grove Streetcar refers to the Locally Preferred Alternative as identified by the Santa Ana City Council on August 5, 2014 and approved through the certification of the Environmental Impact Report by the Santa Ana City Council on January 20, 2015 ( "Project'). A map of the alignment is included as EXHIBIT A. WHEREAS, this MOU defines the understanding of the general terms, conditions and funding responsibilities between OCTA and the City for the design, right -of -way acquisition, construction and operations and maintenance of the Project. WHEREAS, OCTA anticipates utilizing design- bid -build as the delivery method for the Project. WHEREAS, the Parties intend to enter into a Design Agreement and Construction Agreement to establish the roles, responsibilities and expectations during the design, construction, start up and testing of the Project. WHEREAS the Parties intend to enter into a Public Way Use Agreement to establish the roles, responsibilities and expectations of the Streetcar System operating in the Santa Ana public way. The Federal Transit Administration requires a grantee to have a perpetual right to operate in the public way. WHEREAS the Parties intend to enter into an Operations and Maintenance Agreement to establish the roles, responsibilities and expectations of each Party for the operations and maintenance of the Streetcar System and adjacent streets. WHEREAS, Parties agree to execute a Public Way Use Agreement prior to the commencement of construction activity for the Project and an Operations and Maintenance Agreement prior to entering Revenue Service. EXHIBIT 2 1 25C -9 OCTA MEMORANDUM OF UNDERSTANDING NO. C -5 -3295 WHEREAS, the OCTA Board of Directors approved this MOU on _ day of 2015. WHEREAS, the City Council approved this MOU on day of , 2015. SECTION 2 DEFINITIONS The following terms shall have the following meanings: 1. "Actual Project Cost' means the actual amount of funds expended to design and construct the Project. Estimated at approximately $250 million in Year of Expenditure (YOE)- dollars and to be refined at the time of submittal of Project application to Federal Transit Administration. Actual Project Costs include environmental re- evaluation reviews and approvals, engineering design, right -of- way, utilities, rolling stock, systems, track, stations, support facilities, site work, demolition, site clearance /preparation, construction, construction design support, construction management, professional services and contingencies. Actual Project Costs do not include betterments. 2. "Betterment' means any work that is requested by Santa Ana or a third party that is not required to implement the Project as defined in this MOU, increases Project costs unnecessarily beyond the minimum standard established by OCTA. Betterments must i) not be prohibited by a governing state or federal standard ii) not adversely impact the operation of the Project and iii) not unreasonably delay or interfere with the Project Schedule. 3. "Construction Agreement' means the cooperative agreements between the Parties established to define the roles responsibilities and expectations during the construction, start up and testing of the Project. 4. "Construction Contractor and Construction Manager Contractor" means the firm(s) procured by OCTA to construct the project and the firm(s) to provide construction management services. 5. "Construction Documents" means all work products submitted to OCTA by the Design Consultant for the design of the Project or by the Construction Contractor /Construction Manager for the construction of the Project. 6. "Design Agreement' means the cooperative agreements between the Parties established to define the roles responsibilities and expectations during the design of the Project. 7. "Design Consultant' means the firm(s) procured by OCTA to perform preliminary and /or final design services. 2 25C -10 OCTA MEMORANDUM OF UNDERSTANDING NO. C -5 -3295 8. "Fare Box Revenue" means all revenue generated through passenger fares collected through onboard fare boxes, online ticket sales, or through stop ticket vending machines or any retail outlet. 9. "Maintenance Expenses" includes the costs associated with, but not limited to, long- term maintenance of vehicles /facilities /systems /supporting infrastructure after the system has entered revenue service. 10. "Mitigation Monitoring and Reporting Program" means the program for the implementation of the mitigation measures adopted for the Project as identified by the City of Santa Ana in the Revised Environmental Assessment (REA) /Final Environmental Impact Report (FEIR) approved by the Santa Ana City Council on January 20, 2015. 11. "Operations and Maintenance Agreement' means the cooperative agreement between OCTA and Santa Ana establishing the roles, responsibilities, and expectations with respect to the operations and maintenance of the Streetcar System once the Streetcar System enters Revenue Service. 12. "Operating Expenses" includes the costs associated with, but not limited to, operations of vehicles /facilities /systems /supporting infrastructure, preventative maintenance of vehicles /facilities /systems /supporting infrastructure, ticketing and fare collection, marketing, administrations and support after the system has entered Revenue Service. 13. "Parties" means OCTA and the City of Santa Ana. 14." Project" is defined as the Locally Preferred Alternative identified by the Santa Ana City Council on August 5, 2014 and approved through the certification of the Environmental Impact Report by the Santa Ana City Council on January 20, 2015 and entails the design, construction, start -up and testing of the Project. The Project becomes the "Streetcar System" upon the initiation of revenue service. 15. "Project Assets" mean all assets related to implementation of the Project, including, vehicles, track, roadway pavement encompassing track, bridges, roadway crossings, stations, maintenance facility, systems and supporting infrastructure. 16. "Public Way Use Agreement' means the cooperative agreement between OCTA and Santa Ana for the use of the public rights of way for the portions of the Streetcar System within the public rights of way. 17. "Revenue Service' means the streetcar is operational and providing service to the public as intended. 3 25C -11 OCTA MEMORANDUM OF UNDERSTANDING NO. C -5 -3295 18. "Site Plan Review" is the process by which City agencies review development project submittals and identify the requirements and conditions of approval for a development project. 19. "Start Up and Testing" means the testing of the streetcar infrastructure by operations personnel in preparation for revenue service. 20. "Streetcar System" is the operating streetcar and all streetcar infrastructure including the track, the overhead contact system (wires, poles, conduits, and appurtenances), the traction power system (substations, conduits, controllers, and appurtenances), streetcar signage, stations or stops (lighting, shelters, and all stop features) and utilities supporting the streetcar system from point of service. 21. "Total Project Cost" means the Actual Project Cost plus the cost of Betterments. 22. "Work Plan" is defined as that document which the Parties agree is the scope of non - duplicative work and services performed by City staff to be funded by OCTA. SECTION 3 GENERAL 1. This MOU shall be effective upon approval of both Parties, and shall continue in full force and effect through final acceptance of the Project or June 30, 2020, whichever is later, unless superseded by subsequent agreements which will control in the event of conflicting language. 2. OCTA shall be responsible for the delivery of this Project including the design, right - of -way engineering, right -of -way acquisition and utility relocations, construction, start up, operations, procurements, management, and administration. If necessary, OCTA and the City shall cooperate in implementing eminent domain proceedings as discussed in 6.3.1. Once operational, OCTA is responsible for the ownership, operations, maintenance, insurance and liability of the Streetcar System. 3, The Parties agree to work in partnership during the implementation of the Project. 4. The Parties shall comply with all applicable laws, statues, ordinances and regulations of any governmental authority having jurisdiction over the Project. 5. The Parties shall in good faith negotiate the Design Agreement and Construction Agreement to address the roles, responsibilities, and expectations during the design and construction phase of the Project. Additionally, the Parties shall in good faith negotiate a Public Way Use Agreement and Operations and Maintenance Agreement which shall address OCTA's use of the Santa Ana public way and the Streetcar System operations and maintenance. Each agreement shall expand on the concepts outlined and contemplated in this MOU. 4 25C -12 OCTA MEMORANDUM OF UNDERSTANDING NO. C -5 -3295 6. OCTA is responsible to meet all of the requirements of the Federal Transit Administration associated with the funding received, which is anticipated to be New Starts program funding. 7. Santa Ana shall deliver to OCTA, the completed and approved environmental document for Project, including all supporting engineering and technical drawings and reports. 8. Disputes on the terms of this MOU shall be resolved at the lowest possible level. If a dispute cannot be resolved, it shall be elevated promptly to the next resolution level. The three levels of dispute resolution shall be at both agency's project manager level (lowest), executive director level, and Chief Executive Officer /City Manager level (highest). SECTION 4 PROJECT MANAGEMENT /ADMINISTRATION 1. OCTA shall develop procedures for meetings, project controls, contracts and procurements, quality, safety, invoicing, reporting, and risk assessments. 2. OCTA shall be responsible for all procurement activities required for the Project. Santa Ana will have one (1) representative on the consultant selection /evaluation committee on the following procurements: design services, construction management and outreach. The Santa Ana representative shall be available for the procurement activities as scheduled. 3. OCTA shall conduct a regularly scheduled meeting, weekly or as otherwise agreed to, to provide a forum with the City to discuss all aspects of the Project. 4. OCTA shall establish a senior level committee focused on the successful delivery of the Project. The scope of the committee shall be any and all issues that may impact the Project's budget, schedule, quality, and compliance with the terms and conditions of this MOU and subsequent agreements. The committee should include, at minimum, the City Public Works Director as well as OCTA's Executive Director of Capital Programs. SECTION 5 FINANCIAL 5.1 Funding OCTA is responsible for securing and administering all funding, including federal, state, and local funding, for all phases of the Project. 5 25C -13 OCTA MEMORANDUM OF UNDERSTANDING NO. C -5 -3295 5.2 Project Cost OCTA is responsible for all Project costs which in sum account for the Actual Project Cost. OCTA is not responsible for Betterment costs. OCTA is responsible for the operations and maintenance costs of the Streetcar System excluding the City's operating contribution as defined in Article 5.3.8. 5.3 Santa Ana Costs OCTA shall compensate or reimburse Santa Ana, as the case may be for work described in each of the following cost categories. The Parties agree that a Work Plan will be developed for each of these cost categories in the subsequent Design Agreement and Construction Agreement with the exception of Section 5.3.1 and 5.3.8. Section 5.3.1 defines an interim Work Plan and Section 5.3.8 will be developed in the Operations and Maintenance Agreement 5.3.1 Pre - Design Period Costs During the period between execution of this MOU and the execution of the Design Agreement, the City shall track the time and materials expended in providing Project support. The City will submit a monthly report to OCTA, within two weeks following the month reported, identifying the work performed and the time and material costs expended. The City and OCTA shall address the pre - design period cost reimbursement in the Design Agreement with the understanding that it is the parties' intent to fully reimburse the City for such costs to the extent permitted by law. 5.3.2 Administrative and Design Support OCTA agrees to compensate Santa Ana on a time and materials basis for Administrative and Design Support for the duration of the Project. Administrative and Design Support includes, but is not limited to, Santa Ana administrative staff and design review time spent participating in Project meetings, design reviews, public outreach efforts, and all other costs incurred related to the Project. Administrative and Design Support does not include time and materials related to construction inspection, materials testing, or other costs associated with construction inspection and /or monitoring, eminent domain proceedings support, environmental document updates, hazardous waste restitution, and /or operations and maintenance costs. 5.3.3 Right -of -Way Acquisition OCTA agrees to compensate Santa Ana for Santa Ana staff participation, if any, in site acquisition or eminent domain proceedings necessary to complete the Project. The Parties will include specific acquisition responsibilities, obligations and reimbursement processes in a subsequent agreement as more information becomes available. 6 25C -14 OCTA MEMORANDUM OF UNDERSTANDING NO. C -5 -3295 5.3.4 Construction Support OCTA agrees to compensate Santa Ana on a time and materials basis for Construction Support for the duration of the Project construction. Construction Support includes, but is not limited to, construction oversight, traffic engineering, police services and other related activities. OCTA will provide the necessary construction inspection and testing services for the Project. However, the Parties agree that inspection on water main modifications is required to be performed by the City as steward of the City's potable water supply. The specifics and details of this inspection will be detailed in the Construction Agreement. Construction Support shall also include, on a time and materials basis, permit compliance building inspection and testing related to the Streetcar System Maintenance and Storage Facility site improvements and any other improvements requiring building permits. OCTA and Santa Ana shall cooperate in preparing the scope of work descriptions for these services. The Parties shall develop a Construction Support Work Plan during the development of the Construction Agreement. 5.3.5 Building and Street Work Permit Fees and Development Impact Fees Permit Fees: OCTA, and /or its Contractor(s), shall not be charged for Santa Ana's fixed -cost permit issuance fees for building and street work permits deemed necessary for the Project. OCTA shall pay on a time and materials basis for Planning and Building services including but not limited to, Site Plan Review and grading, landscape, mechanical, plumbing, electrical and building plan review costs associated with the issuance of permits for the Streetcar System Maintenance and Storage Facility site improvements and any other improvements requiring building permits. OCTA and its Contractor(s) shall pay on a time and materials basis for construction oversight costs associated with the issuance of permits for site improvements and improvements in the public right -of -way related to this project. In addition, City costs for such services may be compensated through the various Project agreements as defined in Sections 5.3.2 and 5.3.4 above. Development Impact Fees: OCTA shall pay for City- adopted and third party development impact fees such as water and sewer connections, among others, which are related to site improvements for individual stations, maintenance facilities and other similar structures supporting the Project. 25C -15 OCTA MEMORANDUM OF UNDERSTANDING NO. C -5 -3295 5.3.6 Hazardous Waste Restitution Upon identification of hazardous materials located on Santa Ana owned properties which materials must be removed or remediated before commencement of the Project, Santa Ana shall seek restitution for removal of such hazardous materials and shall reimburse OCTA for Project costs recovered, less Santa Ana's costs incurred in such restitution recovery efforts. 5.3.7 Environmental Updates In the event that OCTA deems it necessary to make significant changes to the Project descriptions as submitted to the Federal Transit Administration or used for purposes of the Environmental Impact Report, OCTA shall notify Santa Ana of the reasons for the changes. Santa Ana shall be responsible for supporting and coordinating with OCTA in completing any additional environmental review required under State or federal law and OCTA shall reimburse Santa Ana for costs incurred to make the necessary amendments to the environmental documents. 5.3.8 Operating Costs Santa Ana shall be responsible for funding 10% of operating costs less Fare Box Revenue for the Streetcar System. This amount shall be paid to OCTA on an annual basis. The invoicing and payment process shall be developed jointly and will be further defined in the Operations and Maintenance Agreement. 5.4 Santa Ana Reimbursements Santa Ana reimbursements shall be addressed in cooperative agreements. The Parties shall identify the methods and information to support a valid invoice for reimbursement. For example, what each invoice shall contain, such as the names, labor pay rates, hours spent, applicable expenses, and a description of work performed and when it was performed. Santa Ana shall follow OCTA's expense reimbursement guidelines which at a minimum must be consistent with federal guidelines and will be detailed in the design and construction agreements. Santa Ana shall invoice OCTA not less than every two months for all requested reimbursements. Legal costs submitted in an invoice associated with condemnation support must include the written authorization to proceed with condemnation provided by OCTA. Final cost accounting on Santa Ana reimbursements shall be conducted jointly during Project closeout. 5.5 Betterments To request a Betterment, the requesting entity must submit a written justification along with a cost estimate for OCTA's approval. If approved, the entity requesting the 8 25C -16 OCTA MEMORANDUM OF UNDERSTANDING NO. C -5 -3295 Betterment shall be responsible for all incremental costs incurred as a result of the Betterment. SECTION 6 DESIGN & CONSTRUCTION This Section is intended to provide general terms and conditions between the Parties for the design and construction phase of the Project. A Design Agreement and Construction Agreement shall in good faith be developed between the Parties to define in more detail the roles, responsibilities, and expectations during the design and construction phase of the Project. Topics to be addressed in detail in the Design Agreement and Construction Agreement shall include, but not limited to, the following: Project Management • Project Administration • Schedule • Reporting • Public • Outreach /Relations • Meetings • Records • Management • Procurements • Project Closeout Design • Design Criteria • Design Coordination • City Utilities • Non -City Utilities • Roadways • Stations /Stops • Landscape /Irrigation • Traffic Signals • Signage /Striping • Traction Power • Track • Street Lighting • Design Reviews 6.1 Design N • Traffic Management • Art in Transit • Maintenance & Storage Facility Construction • Construction Phasing • Construction Access • Street Closures • Traffic Management • Construction Coordination • Public Notification • City Construction Inspection • OCTA Construction Insp. • Construction Acceptance • Permits • Safety • Quality Real Estate • Property Acquisitions • Right of Way Engineering 25C -17 • Legal Descriptions /Plats • Property Surveys • Utility Relocations • Relocation Assistance Program • Property Management • Demolition • Eminent Domain Proceedings Startup & Testing Financial • Funding • Budget • Cost Tracking • Contingencies • City Reimbursements • Betterments General Provisions 6.1.1 Project Configuration The exhibits in the MOU showing the configuration of Project are based on the approved environmental document and may not reflect the final configuration of the facilities. The Parties will work together during design to explore other configuration options that may reduce the impact of Project on adjacent properties, reduce cost and that may enhance operational efficiencies and safety. 6.1.2 Design Criteria OCTA will develop design criteria and standards for the Project that are consistent with City design standards. The Project design criteria shall include the technical requirements and provisions for the Project and include which standards, specifications, and other requirements will be adhered to by OCTA's Consultants and Contractors. Santa Ana shall review and approve design criteria that affects City owned assets. 6.1.3 Design Review Times Santa Ana will be provided a 30 -day review period to review the Construction Documents provided by OCTA for improvements in the public right -of -way. The 30 -day period begins when Santa Ana receives the complete package of Construction Documents at each design stage. Santa Ana will be provided a 60 -day review period to review the Construction Documents provided by OCTA for the Streetcar System Maintenance and Storage Facility site improvements and any other improvements requiring building permits. The 60 -day period begins when Santa Ana receives the complete package of Construction Documents at each design stage. The design of the Project intends to incorporate an on- going, over -the- shoulder review process. 6.1.4 Meetings OCTA shall hold regular technical, design, traffic management, public relations, and various other Project meetings to brief Santa Ana on the status of the Project, to solicit input, and to provide a forum to discuss and resolve project and local agency issues. 6.1.5 Traffic Management Plan OCTA shall prepare a Traffic Management Plan (TMP) for Santa Ana's review and approval that addresses, to the extent appropriate, construction - related impacts to Santa Ana's existing street traffic. The TMP will include normal traffic handling requirements during construction of the Project, including staging, lane closures, detours, signage, Intelligent Transportation Systems (ITS), and signalization and will specify requirements for communicating with the public and local agencies during construction. Santa Ana shall be responsible for the proper implementation of the agreed upon portion of the approved TMP provided by OCTA for work within the jurisdictional 10 25C -18 boundaries of Santa Ana. Any costs associated with this effort shall be paid as defined in Section 5.3 of this agreement. 6.1.6 Art in Transit OCTA agrees to include an Art in Transit program in the Project. The specifics of the Art in Transit program will be detailed in the Design Agreement. 6.1.7 Landscaping OCTA shall meet Santa Ana existing guidelines for landscaping and aesthetics. Design reviews by Santa Ana shall be the City's opportunity to comment on the proposed landscape design. Any requests from Santa Ana exceeding established standards will be deemed a Betterment. 6.1.8 Drainage OCTA shall mitigate any additional surface storm water drainage needs generated from the trackway or other impervious areas added by the Project. The mitigation of additional surface storm water drainage for the Project shall meet the City's National Pollutant Discharge Elimination System (NPDES) permit standards and will be subject to the City's storm water management requirements. Upgrades to existing drainage systems, beyond that needed for the Project, are considered a Betterment. The Parties agree to review the Project drainage criteria during the Design Agreement process taking into consideration environmental documents, design criteria and Project impacts to drainage. 6.1.9 Utilities Santa Ana shall cooperate with OCTA for the relocation, protection, and construction of any City -owned utilities and any utilities that are the subject of franchise agreements approved by Santa Ana. Santa Ana shall review and approve design criteria that affect these City owned assets and all costs associated with their relocation, protection, and construction shall be eligible project expenditures. OCTA shall initiate discussions with each public utility to rearrange or relocate its public utility facilities that may be determined by OCTA and Santa Ana to conflict with the Project. In the event the public utility fails to agree or fails to make the rearrangement or relocation in a timely manner, Santa Ana shall exercise, assign and invoke its rights under any state laws or under any applicable franchise as requested by OCTA to effectuate such rearrangement or relocation to permit OCTA to rearrange or relocate the utility in a timely manner. Santa Ana shall cooperate with OCTA, shall provide assistance to OCTA as needed, and shall join with OCTA as a party in the prosecution or defense of Santa Ana's and OCTA's rights under the laws of the State of California to cause such rearrangements or relocations. OCTA shall underground only those overhead utilities found in conflict with the proposed Project elements. Additional 11 25C -19 undergrounding of overhead utilities, if not in conflict with the Project, shall be considered a Betterment. 6.2 Construction 6,2.1 Hazardous Materials If OCTA encounters hazardous materials or contamination or protected cultural resources within the Project's limits during the said investigation or in the course of construction, OCTA shall notify Santa Ana and responsible control agencies of such discovery. OCTA shall stop work in the affected area until a qualified professional evaluates the nature and significance of the find, and a plan is approved by OCTA for the removal or protection of that material or resource. Cost of remediation shall be included as an eligible project expenditure in accordance with this MOU. 6.2.2 Permits OCTA shall require the Construction Contractor(s) to secure construction permits from Santa Ana for any work done within the jurisdictional boundaries of Santa Ana. Santa Ana agrees to issue permits in a timely manner, no more than 30 days after submittal of permit application. See Section 5.3.5 for permit fees. 6.2.3 Construction Final Acceptance OCTA shall include Santa Ana in the construction walk- through and punch list development /closeout. Final as- builts shall be delivered to Santa Ana in an agreed upon format. 6.2.4 Environmental Monitoring Pursuant to CEQA Guidelines Section 15097(a), Santa Ana delegates Santa Ana's reporting and monitoring responsibilities as set forth in the Mitigation Monitoring and Reporting Program to OCTA, and OCTA accepts the delegation of those reporting and monitoring responsibilities. Santa Ana shall participate in meetings related to the Mitigation Monitoring and Reporting Program as needed and receive regular updates on the progress. OCTA shall provide copies of all environmental reporting and monitoring reports to Santa Ana to ensure compliance is maintained. In accordance with CEQA Guidelines Section 15097(a), Santa Ana ultimately remains responsible for ensuring that the mitigation measures in the Mitigation Monitoring and Reporting Program are implemented. 6.2.5 Construction Staging Areas OCTA shall be responsible for selecting construction staging areas. Santa Ana may identify vacant properties owned by Santa Ana that may be leased by OCTA for Project storage, staging and office space. 6.2.6 Construction Signage 12 25C -20 Construction signage plans shall be developed by OCTA and submitted as part of the Traffic Management Plan, see Section 6.1.5. 6.3 Right of Way 6.3.1 Right of Way Acquisition OCTA shall be responsible for all Right of Way activities. If necessary, OCTA and the City shall cooperate in implementing eminent domain. If upon request by OCTA, the City shall conduct public hearings to hear resolutions of necessity and agrees to exercise its rights under eminent domain, to assign all of its rights, to join OCTA in litigation if necessary. The City's compensation for eminent domain proceedings shall be as defined in Section 5.3.3 above. 6.3.2 Excess Land The disposition of any excess land as a result of property acquisitions is the responsibility and at the discretion of OCTA. Any revenues from the disposition of excess land will be reimbursed to the Project. 6.4 Public Relations The Parties shall jointly develop and participate in a public awareness campaign (PAC) that includes business outreach that advises businesses, residents elected officials, motorists, and media of project status, construction impacts including street detours and all other construction related information. PAC will take into consideration Santa Ana's special event schedules. The City's compensation for public relations shall be as defined in Section 5.3 above. SECTION 7 PUBLIC WAY USE This Section is intended to provide an understanding of general terms and conditions between the Parties for the use of Santa Ana's public way for the Streetcar System. A Public Way Use Agreement shall in good faith be developed between the Parties to define in detail the roles, responsibilities, and expectations regarding OCTA's use of Santa Ana's public way for as long as the Streetcar System is providing service as intended. Topics to be addressed in detail in the Public Way Use Agreement shall include, but not limited to, the following: OCTA Use of Property • Limits of Use • As -Built Records • Future Expansion /Future Work • Term of Use • Reference of O &M Agreement • Termination of Operations • Duty to Restore IN General Provisions Streetcar System Map 25C -21 • Indemnification • Insurance • Issue Resolution 7.1 Authorization to Construct In the event the Public Way Use Agreement is not in place prior to the initiation of construction activities, OCTA is authorized to advance construction activities, contingent upon the Santa Ana's approval of design plans and authorization of construction permits. Santa Ana shall not unreasonably withhold approvals or construction permits if OCTA has met Santa Ana's existing standards and regulations. Unless related to public safety, the City's standards shall be those in place at the beginning of design. SECTION 8 OPERATIONS & MAINTENANCE This Section is intended to provide an understanding of general terms and conditions between the Parties for the operations and maintenance of the Streetcar System within the jurisdiction of Santa Ana. An Operations and Maintenance Agreement shall in good faith be developed between the Parties to define in detail the roles, responsibilities, and expectations regarding the operations and maintenance of the Streetcar System and adjacent Santa Ana facilities for as long as the Streetcar System is providing service as intended. Topics to be addressed in detail in the Operations and Maintenance Agreement shall include, but not limited to, the following: Operations Fare /Revenue Policies • System Operations • Streetcar /Traffic Signal Maintenance Coordination • Protection of Adjacent Facilities • Adjacent City Facilities • Notice and Approvals • City Access to Streetcar Track • OCTA Maintenance Area Responsibilities • Right of Way Permits • City Maintenance Responsibilities • Fire /Life /Safety /Security • Lighting Coordination • Track • Emergency Procedures • OCS • Emergency Drills • Traction Power • Emergency Access • Structures • Fare Collection • Pavement • Special Events • Street Lights • Displays and Attachments • Artwork • Advertising • Storm Drainage • OCTA Operating Costs • Utilities • City Operating Costs • Maintenance Costs • Service Agreements • Service Agreements 14 25C -22 Track Access Permit Procedures • Permit Process • Training • Safety 8.1 Operations General Conditions Streetcar System Map OCTA is responsible for the operations and operational costs for the Streetcar System with the exception of Santa Ana's contribution as specified in Section 5.3.8 unless stated otherwise herein. 8.2 Maintenance OCTA is responsible for all maintenance and maintenance costs for the Streetcar System unless stated otherwise herein. Any work performed by Santa Ana on Santa Ana streets where Streetcar System operates, will be coordinated with OCTA and if feasible will be conducted during non- operational hours of Project. SECTION 9 INDEMNIFICATION A. To the fullest extent permitted by law, the City shall defend (at the City's sole cost and expense with legal counsel reasonably acceptable to OCTA), indemnify, protect, and hold harmless OCTA, its officers, directors, employees, contractors and agents (collectively the "Indemnified Parties "), from and against any and all liabilities, actions, suits, claims, demands, losses, costs, judgments, arbitration awards, settlements, damages, demands, orders, penalties, and expenses including legal costs and attorney fees (collectively "Claims "), including but not limited to Claims arising from injuries to or death of persons (the City's employees included), for damage to property, including property owned by OCTA, or from any violation of any federal, state, or local law or ordinance, alleged to be caused by the negligent acts, omissions or willful misconduct of the City, its officers, directors, employees, contractors or agents in connection with or arising out of the performance of this Agreement. B. To the fullest extent permitted by law, OCTA shall defend (at OCTA's sole cost and expense with legal counsel reasonably acceptable to the City), indemnify, protect, and hold harmless the City, its officers, directors, employees, contractors and agents (collectively the "Indemnified Parties "), from and against any and all 15 25C -23 liabilities, actions, suits, claims, demands, losses, costs, judgments, arbitration awards, settlements, damages, demands, orders, penalties, and expenses including legal costs and attorney fees (collectively "Claims "), including but not limited to Claims arising from injuries to or death of persons (OCTA's employees included), for damage to property, including property owned by the City, or from any violation of any federal, state, or local law or ordinance, alleged to be caused by the negligent acts, omissions or willful misconduct of OCTA, its officers, directors, employees, contractors or agents in connection with or arising out of the performance of this Agreement. C. The indemnification and defense obligations of this Agreement shall survive its expiration or termination. SECTION 10 NOTICES All notices hereunder and communications regarding the interpretation of the terms of this MOU, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, returned receipt requested, postage prepaid and addressed as follows: To City: To OCTA: City of Santa Ana Orange County Transportation Authority 20 Civic Center Plaza 550 South Main Street P.O. Box 1988 P.O. Box 14184 Santa Ana, CA 92701 Orange, CA 92863 -1584 ATTENTION: Fred Mousavipour Executive ATTENTION: Lydia Bilynsky Director, Public Works Contracts Administration and Materials Management Tel: (714) 647 -5654 Tel: (714) 560 — 5568 Email: fmousavipour(a),santa- ana.org Email: Ibilynskva@octa.net Cc: Jason Gabriel, Project Manager Cc: Kelly Hart, Project Manager Tel: (714) 647 -5664 Tel: (714) 560 -5725 Email: laabrielt?a Santa- ana.ora Email: khart@octa.net 16 25C -24 (This section intentionally blank) IN WITNESS WHEREOF, the Parties hereto have caused this Memorandum of Understanding No. C -5 -3295 to be executed on the date first above written. CITY OF SANTA ANA ORANGE COUNTY TRANSPORTATION AUTHORITY By: By: David Cavazos Darrell Johnson City Manager Chief Executive Officer ATTEST: APPROVED AS TO FORM: By: By: Maria D. Huizer James M. Donich City Clerk General Counsel APPROVED AS TO FORM: APPROVAL RECOMMENDED: By By' __ Sonia R. Carvalho Jim Bell, P.E. City Attorney Executive Director, Capital Programs Date: Date: 17 25C -25 a Q U W NOy ILL a I Q F m 2 X ILi 25C -26 4® a -uams 0 U I q 2 Z a T o LL yJ, I * } }T C c c v n a a T � C p � I m 2 N o I D H- Fi-- 1- 1- FFi- FH- Fi-FFI � • O ` � G O O a p '' 0 c m I ap` N != •I �9 44 LAC O T� .oN CtQ On tl n „ 1 y s° tv un.r� 1 ovn S aa� j'�fYlm• a Sr• � WIN o aM 1 � 1 1 1S 59JU BI B 1 ssnimi • 1 i 1 IF '� I i p 1 ss n9aam • 1 1 1 1 ssurro • 1 s 1z 1 1 1 1 1 i 1 • 1 1 R+ 1 1 1 I 1 • I 1 E 1 1 i `oc •. — — — — — — — — — — — — — r _ o�$'c PF C N 6 VM 25C -26 00 N 4® a 0 U I q 2 Z a T o LL yJ, I * } }T C c c v n a a T � C p � I m 2 N o I D 1 I `a p U itp ac � • O ` � G O O a p '' 0 c m I ap` N != •I �9 44 00 N 4 '�1 0 *' CITY COUNCIL MEETING DATE: JULY 7, 2015 ?a t� CONTINUED TO CITY MANA4R s R •, ❑ As Recommended ❑ As Amended ❑ ordinance on 1" Reading ❑ ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For,__ Authorize the City Manager and the Clerk of the Council to execute an agreement with Cole & Associates, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide transportation and traffic planning and engineering services for a Sidewalk/Non- Motorized Connectivity Plan, for a one -year period beginning July 8, 2015, and expiring June 30, 2016, with provision for one, one -year extension exercisable by the City Manager and City Attorney, in a total amount not to exceed $531,594, including the renewal period. The recommended action will provide for field assessment of all sidewalk, wheel chair ramps, and pedestrian path linkages citywide, to determine and rate their condition. The field assessment will determine whether linkages are ADA compliant; provide the cost of installing, repairing, or upgrading the linkage facilities to meet ADA standards; and compile a prioritization list to construct missing links and /or perform repairs. A safe, well- maintained pedestrian network that provides accessibility and mobility for all users is paramount to meet the community mobility needs. The objective of the Sidewalk/Non- Motorized Connectivity (SWC) Plan is to determine an effective way to keep track of deficiencies in the pedestrian infrastructure and identify an effective methodology to track, plan, and prioritize improvements. A key aspect of the study is establishing, with staff and City Council input, a predetermined ranking criteria and selection methodology which will result in prioritizing all current and future efforts to repair linkages. The study will also facilitate re- assessing the non - motorized connectivity infrastructure for future maintenance and improvement. 2501-1 Agreement with Cole for Sidewalk/Non- Motorized Connectivity Plan July 7, 2015 Page 2 In addition to the field review, the SWC Plan will also recommend improvements, develop cost estimates, develop prioritization criteria, prioritize improvements, and identify the method of continued monitoring and its frequency. Timely completion of these project deliverables requires the services of a transportation/traffic planning and engineering professional with expertise and specialized equipment for assessing non-motorized infrastructure. A Request for Proposals (RFP) for transportation/traffic planning and engineering services was released and distributed to qualified firms on March 30, 2015. The City received five proposals. The proposals were reviewed by a committee comprised of Public Works Agency staff. Proposal ratings were based on experience, project understanding, relevant project experience, qualifications, and the ability to meet the schedule. The top three firms were asked to participate in an interview with the review committee. The three firms were evaluated on their presentation, methodology, and schedule. The combined proposal and interview scores are summarized in the following table (out of a total 100 points possible): FIRM SCORE 1. Cole 91 2. Sally Swanson 88 3. KOA 80 Staff recommends that Cole be retained to provide trans portation/traffic planning and engineering services for a total amount not to exceed $531,594. This firm has demonstrated they have the experience and resources needed to provide the required services. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. Individual environmental reviews will be conducted for each recommended improvement at the time of implementation. These types of projects typically qualify for Categorical Exemptions. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #6 (focus projects and programs on improving the health and wellness of all residents), Strategy B (incorporate the improvement of walking and biking lanes as well as the development of a citywide bike master plan into the Circulation Element of the City's General Plan). 25D-2 Agreement with Cole for Sidewalk/Non- Motorized Connectivity Plan July 7, 2015 Page 3 FISCAL. IMPACT Funds for the Non - Motorized Connectivity Citywide Improvements project have been budgeted in in the Liability & Property Insurance Fund (Account No. 08009051 - 62300, Project No. 16 -6852) and identified in the FY 2015/16 Capital Improvement Program. Funds will be expended in FY 2015/16 in the amount of $531,594. i Fro Mousavl our Executive Director Public Works Agency *dward . Executive Director Personnel Services Agency FM /EWG /ZK Exhibits: 1. Agreement APPROVED ASwTO FUNDS AND ACCOUNTS: Executive Director Finance & Management Services Agency 25D -3 25D -4 PROFESSIONAL SERVICES AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 8 "' day of July 2015 by and between Cole & Associates, Inc. a Missouri corporation d.b.a. Cole Design Group in California (hereinafter referred to as " Consultant" or "Cole & Associates ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: TERM This Agreement shall commence on July 8, 2015 for a one (1) year tern with the option for the City to grant up to one one -year renewal options exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. 1 SCOPE OF WORD Consultant agrees to perform during the tern of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated into this Agreement by reference. 3. SCHEDULE OF SERVICES Upon Notice to Proceed issued by the City, Consultant shall complete services and shall perform and deliver there to the City as described and detailed in Exhibit A. Consultant shall meet the work deliverables within the schedule and compensation approved herein. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates, fees, and charges identified in Compensation - Exhibit B, attached hereto and incorporated into this Agreement by reference, in an amount not to exceed $531,594 over the entire life of the Agreement, including any renewal period(s). 5. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of Exhibit 1 Attachment 2 - 1 25D -5 authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer disks (CD)s, USB jump drives or equivalent, which are prepared or caused to be prepared by Consultant under this Agreement ( "Docuunents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non- exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. PAYMENTS & INVOICES a. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed Linder this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and /or Task Order number and /or name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available City will, within 45 days of receiving such statement in a manner that meets the City's requirements, review the statement and subsequently pay the approved charges thereon. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, ajoirnt venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. Attachment 2 - 2 25D -6 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, and $2,000,000, in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. Business automobile 'liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and $2,000,000 annual aggregate shall be maintained. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect by consultant without thirty (30) clays prior written notice to the City, except for 10 clays' notice for non - payment of premium, Attachment 2 - 3 25D -7 f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 9. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall, be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indenmiity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant, 10. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law, Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free anti harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure to comply with such laws, rules or regulations. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, Attachment 2 - 4 25_8 and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement, as further specified in Certifications - Exhibit C, attached hereto and incorporated into this Agreement by reference. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terns of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the authorized representatives of the parties. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, Attachment 2 - 5 25D -9 subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product(s) shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16. DISC12IMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited . by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations, and as further specified in Certifications - Exhibit C, attached hereto and incorporated into this Agreement by reference. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performmance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or anise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies, Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. I9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: Attachment 2 - 6 25D -10 To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa. Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -5635 To Consultant: Mike Vonderheide Cole & Associates 2701 E. Camelback Road, Suite 175 Phoenix, AZ 85016 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 20, MISCELLANEOUS PROVISIONS a. Additional provisions, if any, are identified as Additional Provisions — Exhibit D, attached hereto and incorporated into this Agreement by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. Attachment 2 - 7 25D -11 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year First above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney J $y: J s Sandoval lief Assistant City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT: FRED MOUSAVIPOUR Executive Director Public Works Agency Attachment 2 - 8 Kevin Riggs President & CEO 25D -12 CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SIDEWALK / NON - MOTORIZED CONNECTIVITY PLAN RFP NO. 15-024 �.. T INTRODUCTION The City of Santa Ana (City) is the county seat with a population of 334,227 and a land area of approximately 27 square miles. The city is effectively built out and has an older established pedestrian network. However, detailed assessment /knowledge of the existing state of the pedestrian network is limited. Due to various factors listed below, the City has a high rate of pedestrian activity. • Most densely populated City in Orange County (Ranking 4th Nationally) • 80% of students walk to some local elementary schools. • 52% of Residents are under the age of 30 18% of Households are without a car • 14% of Residents use public transit a Santa Ana has 55 of the top 100 busiest bus stops in Orange County Santa Ana ranks 5th out of the 13 highest population cities in California in injury/fatal pedestrian involved traffic collisions To balance the pedestrian needs and provide the appropriate level of facilities, it is clear that a safe, well maintained pedestrian network that provides accessibility and mobility for all users is paramount to meet the community needs and ADA compliance. To accomplish this goal an assessment and program to manage the pedestrian infrastructure is needed. DESCRIPTION The City is issuing this Request for Proposals (RFP) for the Sidewalks /Non - motorized Connectivity (SWC) that involves looking for an effective way to keep track of deficiencies in the pedestrian infrastructure and identifying an effective methodology to track, plan, and prioritize improvements. The SWC will conduct a field review of the existing citywide pedestrian network, recommend improvements, develop cost estimates, develop prioritization criteria, prioritize improvements, and identify method of continued monitoring and its frequency. PROJECT TASKS The Consultant shall provide all necessary services to perform the following tasks: Task 1: Proiect Preparation and Development: The Consultant shall interface both locally with City staff and other affected agencies as necessary, as well as participate in discussions and presentations with the wider design team at periodic project milestones. In order to ensure a timely progression of the project from inception to Attachment I - I Exhibit A 25D -13 Attachment 1 final deliverable, the following activities should be anticipated once the Notice to Proceed (N TP) is authorized: • Project Kick -off Meeting + Bi- Weekly or Monthly PDT Meetings + Project Schedule Management • Monthly Progress Reports + Monthly Cost Accounting Quality Assurance / Quality Control Of particular importance is the PDT Meetings. The consultant shall prepare, update, and provide staff with a punch list prior to the PDT meetings so that discussion may include an action plan to follow -up on. Task 2: Data collection: Field data collection of the entire pedestrian infrastructure, which runs alongside 422 centerline miles of vehicle roadways (arterial, collectors, locals combined) and traverses across approximately 3,500 intersections (including 300+ signalized intersections). The information collected will include, but not be limited to, existing condition, gaps in the network, type and severity of deficiencies, sidewalk conditions, curb ramps, ADA compliance, drainage problems, surface spalling or cracking, obstructions, etc. Task 3: Indicator Development Develop a quantitative indicator for each sidewalk segment based on deficiency and /or barrier type, frequency of occurrence, severity of deficiency, level of pedestrian activity and demographic use, etc. This indicator will be used to develop a model and policy for use as a planning tool for city staff to prioritize improvements. The model should be on GIS and have the ability to export information into a spreadsheet (see samples in Attachment 4). Task 4: GIS Development: Create GIS elements and populate detailed information for all the features in GIS, based on the data collected, Task 5: GIS Mapping: Map the information collected about the pedestrian infrastructure and the extent to which the pedestrian infrastructure meets ADA requirements. Task 6: Protocol Development; Develop a protocol to track inspection and maintenance of pedestrian infrastructure and keep the database up to date. Task 7: Guidance: Provide guidance on web - based, mobile or desktop review /updater based on experience with system management, Task 8: Plan: Develop Sidewalk /Nan - Motorized Connectivity Plan, identifying and prioritizing the changes that need to be adopted by the City to remove accessibility barriers in the existing pedestrian network. The plan will include cost estimates for each street improvement option for each street segment and /or intersection. Attachment i - 2 2501-14 As part of the final report, included in the data collection, indicator development, and other tasks are detailed cost estimates for each deficiency. Each detailed cost estimate shall be accessible via spread- sheets linked to the mapping being developed as requested herein or available via GIS. Each location shall have sufficient information such as construction quantities and unit costs so that based on a level of priority or location of where improvements are desired, staff may readily compile a bid sheet to advertise sidewalk and non - motorized connectivity improvements for construction bids. Task 9: raining : Train City staff in the use of the newly developed GIS tools, and in maintaining the sidewalk and pedestrian amenities and inventory up to date. The required products, which are to be delivered to the Traffic Engineering section of the City of Santa Ana Public Works Agency, shall be as follows: 1. All data collection information for each street segment/intersection. 2. The draft SWC Report (electronic). 3. The final SWC Report (10 hard copies, one electronic). All written reports, information, data, charts, tables, maps, drawings, etc, shall be in electronic format acceptable to the City of Santa Ana. SCHEDULE This project is a high priority project for the City of Santa Ana Public Works Agency. The proposal shall include a proposed project schedule for the milestones indicated below. The final report and training should be completed within 125 calendar days of notice to proceed issuance. Notice to Proceed: Project Administration (Tasks 1) Complete Field Review (Task 2) Indicator Development & GIS Mapping (Tasks 3 -6) Guidance (Tasks 7) Submit SWC Draft Report (Task 8) Submit SWC Final Report (Task 8) Training (Task 9) Attachment 1 - 3 2501-15 a i`9 r n 4'- I' 4* f a }� s j 25D -16 Y%. d X tll 9 a ±s Pa9: I °a a s �.�i =x a '99 ®ags A x3Sn G za�3% B.P P PV x ^n('i ••.P nAF- P [`."d9PiA�. F �S p A -. SQRy$ p° A4'a� &•J CY�� °� P.A »u� _p a=9FpY `, F.R RAN ap,�H _ F p i I .C° F ".'A nv99e ev9v SGrvy 9 '.A.5TYpNa'. 4 9 "Y tea• =m va... e9 9 3 }� � p2iy 53§ p is a F a a tit �� E Jill] _i� 995J 111 a y 99 °g.9 A x I s s bYS 25D -16 Y%. d X tll I 25D -17 ATTACHMENT 3: NON - COLLUSION AFFIDAVIT - - CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SIDEWALK / NON - MOTORIZED CONNECTIVITY PLAN RFP NO.: 15-024 NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone Interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall alsoo nstitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false certificat oni ay subject the certifier to criminal prosecution. Signed State of Cafffornia County of orange Su ibpd d sworn tc t M I ea*- appeared before me. (or affirmed) before me on this 24 day of April , 20j,5 by proved to me on the basis of satisfactory evidence to be the person(s) who Notary Public Signature — FNOTARY PIU0I AC ��NOTARY SEAL OP MISSOURI,ST. CHARLL "S COUNTY OMMISSION EXPIRES: MAY 2Q, 2017 #13802808 Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Attachment 3 - 1 Exhibit C 25D -18 APPENDIX ATTACHMENT 3: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SIDEWALK/ NON-MOTORIZED CONNECTIVITY PLAN RFP NO.: 15.024 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering Into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. if any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal 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, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities ". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction Imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Signs Title Date April 24, 2015 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Attachment 3 - 2 Exhibit C 2501-19 25D -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: INSURANCE RENEWALS (STRATEGIC PLAN NO. 4, 1) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: :--:9 i ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve the City's continued membership in the Big Independent Cities Excess Pool from July 1, 2015 to July 1, 2016 at an estimated premium cost not to exceed $1,530,000. 2. Approve the City's continued participation in the Public Entity Property Insurance Program from July 1, 2015 to July 1, 2016 at an estimated premium cost not to exceed $320,000. 3. Approve the City's continued participation in the California State Association of Counties — Excess Insurance Authority's Crime Bond Program from July 1, 2015 to July 1, 2016 at an estimated premium cost not to exceed $11,400. 4. Approve the City's continued participation in the California State Association of Counties — Excess Insurance Authority's Pollution Insurance Program from July 1, 2015 to July 1, 2018 for an estimated three -year premium not to exceed $15,000. DISCUSSION The City is a member of Big Independent Cities Excess Pool ( BICEP) Joint Powers Authority which was formed in September 1988. The current cities include Santa Ana, Huntington Beach, San Bernardino, Oxnard, West Covina, and Ventura. The purpose of BICEP is to provide insurance coverage for its members, shielding them from financial debt due to large liability claims, judgments, and settlements. Additionally, participation in a pool provides rate stability and can offer broader coverage. The current excess liability and workers' compensation insurance policies expired on July 1, 2015. The total BICEP insurance premium for the July 1, 2015 to July 1, 2016 period will not exceed $1,530,000; an estimated $1,250,000 of which covers liability claims from $1,000,000 to $27,000,000 per occurrence with a $1,000,000 self insured retention (SIR) which functions like a 29A -1 Insurance Renewals July 7, 2015 Page 2 deductible. An estimated $280,000 purchases statutory excess workers' compensation insurance coverage with a $1,000,000 SIR. The Public Entity Property Insurance Program ( PEPIP) was established in May 1993 with seventeen public agencies including the City of Santa Ana. The purpose of PEPIP is to provide public agencies with group purchasing strength. Since 1993, PEPIP has grown to include over 6,400 members in 45 states, which has allowed the group to purchase property insurance at affordable premiums. The estimated $320,000 premium will provide $1,000,000,000 of coverage for insured City properties. PEPIP will provide the City with $100,000,000 for boiler and machinery damage and $82,500,000 in coverage for flood damage (coverage is in limited to $50,000,000 in Flood Zone A.) Due to the excessive premium cost of earthquake insurance, the City is not seeking this coverage at this time. Staff will continue to monitor the earthquake market. The City joined the California State Association of Counties — Excess Insurance Authority (CSAC -EIA) Crime Bond Program on April 1, 2004. The estimated renewal premium from July 1, 2015 to July 1, 2016 is $11,400. The City joined the California State Association of Counties — Excess Insurance Authority's Pollution Insurance Program in July 2007. The estimated three -year renewal premium from July 1, 2015 to July 1, 2018 is $15,000. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #4 City Financial Stability, Objective 1 (Maintain a stable, efficient and transparent financial environment). FISCAL IMPACT Funds are budgeted in the proposed 2015 -16 Liability & Property Insurance account (account no. 08009051 - 64010) for an estimated premium cost not to exceed $1,596,400 and Workers' Compensation account (account no. 08209054 - 64010) for an estimated premium cost not to exceed $280,000. 114, Yd ML �ffawar a a Executive Direct r Personnel Services ESR:bbm APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 29A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: REQUEST FOR PROPOSALS FOR A CITY WIDE CREDIT RATING {STRATEGIC PLAN NO. 4, 213} CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: FTT1J*T;T*7i5rN1 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 " Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_,_, CONTINUED TO FILE NUMBER Authorize Release for an Assessment and Proposals for a citywide credit rating. DISCUSSION The City continues to be on track in terms of its revenue streams and management of General Fund expenditures. The City is on target to exceed total General Fund revenues projections by approximately $3.9 million or 3 %. This reflects the strong growth in various economic segments such as restaurants /dining and the sale of new automobiles. In addition, Santa Ana continues to experience positive growth in property values and Business License Tax. In terms of expenditures, City Departments continue to implement elements of innovation and efficiency which has allowed them to evaluate their respective operations in order to streamline existing processes through the use of technology resulting in projected lower expenditures of approximately $3.3 million or 2.2 %. The combination of these positive revenue and expenditure trends indicate the City is on target to achieve a projected year -end surplus totaling approximately $10 - $12 million. Given the City's current positive financial position that reflect 20% reserves of approximately $45 million, the city's success in refinancing two bond issuances, a low five percent unemployment rate, and continued overall positive economic growth, the City is seeking an assessment and proposals to attain a citywide credit rating from one of the three credit rating agencies — Moody's, Fitch, or Standard & Poors. The City will seek proposals from the four financial advisory firms approved by the City Council on January 21, 2014, for a two year period. These firms are Public Financial Management Group (PFM), Fieldman Rolapp & Associates, First Southwest, and Urban Futures, (UFI). 2913-1 Request for Proposals for a Citywide Credit Rating July 7, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #4, City Financial Stability, Objective #2 (Provide a reliable five -year financial forecast that ensures financial stability in accordance with the strategic plan), Strategy B (Provide quarterly updates on the City's financial forecast to ensure revenues and expenditures reflect the most up -to -date information and analysis). FISCAL IMPACT There is no fiscal impact associated with this item. 29B -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: ORDINANCE AMENDING CHAPTER 10 OF THE SPECIAL EVENT REIMBURSEMENT AND SPONSORSHIP SECTION TO INCLUDE CO- SPONSORSHIPS {STRATEGIC PLAN NO. 5, 4} CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1a' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt an ordinance amending Chapter 10 of the Santa Ana Municipal Code related to Special event reimbursement and sponsorships to include language that includes co- sponsorships of special events produced by neighborhood associations and other approved entities. DISCUSSION On June 2, 2015, City Council directed staff to amend appropriate ordinances, develop a resolution and implement a policy that supports an annual funding of $10,000 to each Council member to support special events and programs produced by neighborhood associations and other approved entities. Adopting this ordinance amendment supports these efforts and would allow for co- sponsoring of special events through resolutions adopted by City Council. Staff intends to present City Council with the resolution and guidelines on August 4tn STRATEGIC PLAN ALIGNMENT The activities covered by this report support the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). FISCAL IMPACT There is no fiscal impact associated with this action. Exhibit: Ordinance 50A -1 50A -2 ORDINANCE NO. 2015 - AN ORDINANCE OF THE CITY COUNCI L ANA, CALIFORNIA, AMENDING SECTION REGARDING SPECIAL EVENT SPONSORSHIP SRC 7/02115 OF THE CITY OF SANTA 10 -22.13 OF CHAPTER 10 REIMBURSEMENT AND WHEREAS, the City of Santa Ana has a rich history of both private and public special events for its community; and WHEREAS, special events have enormous benefits and costs associated with planning, traffic and safety services; and WHEREAS, the Municipal Code requires reimbursement for City costs associated with special events; and WHEREAS, the.Council desires to offer City assistance and sponsorship of certain special events and thereby offset some of the related expenses NOW THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY ORDAIN AS FOLLOWS; Section 1. Section 10 -22.13 of the Santa Ana Municipal Code is hereby amended to add a new subsection (b) to read as follows: "Sec. 10- 22,13, City costs to be paid by person or organization responsible for special event and sponsorship exemption. (a) A permittee under the provisions of this chapter shall reimburse the city for all city department service charges incurred in connection with or due to the permittee's activities under the permit. These costs shall be established by the city council by resolution from time -to -time. (b) A permittee that is co- sponsoring an event with the city or is selected to receive assistance for a special event pursuant to a special event policy adopted by resolution of the city council, may be wholly or partially exempt from subsection (a) above, as provided for by the adopted policy. Section 2. If any section, subsection, sentence, clause, phase, 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 hereby declares that it would have adopted this Ordinance, and each section, subsection, subdivision, sentence, clause, phrase or portion thereof, irrespective of the fact that any one or more sections, Resolution No. 2015•XXX Page 1 of 3 y () J subsections, subdivisions, sentences, clauses, phrases or portions might subsequently be declared invalid or unconstitutional. Section 3. This Ordinance shall become effective thirty (30) days after its adoption. Section 4. The City Clerk shall certify the adoption of this Ordinance and shall cause the same to be posted as required by law. PASSED, APPROVED, AND ADOPTED this _ day of 2015. ATTEST: City Clerk ADOPTED this 7th day of July, 2015. APPROVE AS TO FORM: Iho, City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: Resolution No, 2015 -XXX Page 2 of 3 Miguel A. Pulido Mayor y 1 1 I CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZ.AR, 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 July 7, 2015. Date: Clerk of the Council City of Santa Ana y 1 Resolution No, 2015 -XXX Page 3 of 3 41A REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: RESOLUTION AND APPROPRIATION ADJUSTMENT ACCEPTING DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL FUNDS {STRATEGIC PLAN NO. 1, 313} 1 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: F.W112004f ❑ As Recommended ❑ As Amended ❑ Ordinance on 1't Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve an appropriation adjustment recognizing $99,500 in Department of Alcoholic Beverage Control Grant funds in the grant revenue account and appropriate same to the grant expenditure account. 2. Adopt a resolution authorizing the City Manager to enter into a one -year agreement with the Department of Alcoholic Beverage Control (ABC), and execute any assurances and /or documents required for said agreement for the purpose of financing the ABC Grant Assistance Program (GAP). 3. Authorize the City Manager and Clerk of the Council to execute the attached one -year agreement with the Department of Alcoholic Beverage Control (ABC) to fund the ABC Grant program, for the period of July 1, 2015 through June 30, 2016, for an amount not exceed $99,500, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Police Department was successful in obtaining a FY 2015 -16 Department of Alcoholic Beverage Control (ABC) Grant Assistance Program (GAP) grant to mitigate alcohol related crime and provide a safer environment in the areas around licensed establishments. The City of Santa Ana has 397 active retail licenses issued by the Department of Alcoholic Beverage Control (ABC). The funds provided by the grant will allow the Santa Ana PD to accomplish the following goals: 1. Reduce the number of alcohol related crimes within the City 2. Identify and successfully prosecute ABC licensed establishments that violate the law 3. Provide a safer environment in the areas around licensed establishments for residents and visitors 4. Reduce the demand on limited resources caused by alcohol related incidents throughout the City 55A -1 Department of Alcoholic Beverage Control Grant July 7, 2015 Page 2 These goals will be attained by working in conjunction with our local ABC office and conducting programs that have proved successful in cities throughout California in deterring alcohol related offenses. These programs will encompass working with ABC licensed establishments to educate them on how to reduce alcohol related crimes at their place of business. The grant will also provide funds for SAPD problem oriented policing officers to hold meetings with neighborhood community groups in order to uncover possible problems related to ABC licensed establishments and discuss enforcement strategies. The services funded by this grant will be completed primarily by the SAPD Special Enforcement Team and will not affect normal patrol functions. The one -year agreement will commence on July 1, 2015 and end June 30, 2016. The $99,500 will be used for officer overtime ($92,500), training ($2,000), and operating materials and supplies ($5,000). STRATEGIC PLAN ALIGNMENT Approval of these items assists the City in meeting Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing and reducing criminal activity and traffic collisions). FISCAL IMPACT The appropriation adjustment will recognize $99,500 in Department of Alcoholic Beverage Control Grant funds in revenue account (no. 12814002 52025), and appropriating same to expenditure account (no. 12814415 - various), for the FY 2015 -16 fiscal year. Exhibit 1: Resolution 2: Agreement APPROVED AS TO FUNDS AND ACCOUNT: Executive Director Finance and Management Services Agency 55A -2 LR 7/8/15 RESOLUTION NO. 2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER, AND THE CHIEF OF POLICE OR HIS DESIGNEE TO OBTAIN CALIFORNIA DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL GRANT FUNDS IN THE AMOUNT OF $99,500 AND TO EXECUTE AN AGREEMENT WITH THE DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL FOR USE OF THOSE FUNDS AND EXECUTE ANY DOCUMENTS OR ASSURANCES NECESSARY FOR OBTAINING THE GRANT FUNDS BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The State of California Department of Alcoholic Beverage Control ( "ABC') has a Grant Assistance Program ( "GAP ") for 2015 -2016. As part of the GAP, local law enforcement agencies can submit enforcement plans and request funding allocations under the GAP to assist with enforcement in priority considerations, including but not limited to, service areas where there is a high crime rate and /or an identifiable alcohol- related problems associated with ABC licensed establishments and for agencies interested in obtaining training on ABC education, prevention and enforcement measures which can be carried out after the grant cycle has been completed. B. The Santa Ana Police Department submitted a grant application for funding to reduce the number of alcohol related crimes within the City of Santa Ana, identify and successfully prosecute ABC licensed establishments that violate the law, provide a safer environment in the areas around licensed establishments for residents and visitors, and reduce the drain on limited resources caused by alcohol related incidents throughout the City. C. The City of Santa Ana has been allocated $99,500 in funds under the ABC Grant Assistance Program for 2015 -2016. Exhibit 1 Resolution No. 2015 -XXX 55A -3 Page 1 of 3 Section 2. The City Council of the City of Santa Ana hereby authorizes the City Manager and Chief of Police or his designee, on terms acceptable to the City Attorney, to execute an Agreement with the ABC for use of the 2015 -2016 GAP funds in an amount not to exceed $99,500 and execute any other documents or assurances that are necessary for obtaining the grant funds. Section 3. The City Council of the City of Santa Ana hereby authorizes and directs the City Manager and /or the Chief of Police or his designee, to prepare invoices to ABC to recoup costs pursuant to the guidelines set forth in the Agreement, grant conditions and terms. Section 4. The City Council of the City of Santa Ana hereby approves an Appropriation Adjustment recognizing the 2015 -2016 Alcoholic Beverage Control Department Grant Assistance Program funds in the amount of $99,500 and appropriates the same in the Alcoholic Beverage Control Department Grant Assistance Program expenditure accounts. Section 5. The City Council of the City of Santa Ana hereby agrees that any liability arising out of the performance of the Agreement for ABC 2015 -2016 GAP funds shall be the responsibility of the grant recipient and the authorizing agency. The City Council recognizes that the State of California and ABC disclaim responsibility for such liability. Section 6. The City Council of the City of Santa Ana hereby agrees that the grant funds under this Agreement shall not be used to supplant expenditures controlled by this body. Section 7. 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 7th day of July, 2015. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Cx U t4 �(9t l i Laura A. Rossini Senior Assistant City Attorney Miguel A. Pulido Mayor 55A -4 Resolution No. 2015 -XXX Page 2 of 3 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 -5 Resolution No, 2015 -XXX Page 3 of 3 'P�PM =LM= ALEQ C(]NCWIMEFlSFRVICES Ado HtlIISMAU[gIf^.-`(.,, Ftlm adtl (3 9�owA ,fl' 4'Ayy=tpp( DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROLS 3927 Lennane Drive, Suite 100 Sacramento, CA 95834 (916) 419 -2500 FAX (9 16) 419 -2599 .- June 9, 2015 Chief Carlos Rojas Santa Ana Police Department 60 Civic Center Plaza Santa Ana, CA 92702 Subject: Grant Contract 15G -LA38 Dear Chief Rojas: Enclosed are three (3) copies of the Standard Agreement STD 213 contract to be entered into between the Department of Alcoholic Beverage Control and the Santa Ana Police Department for the total amount of $99,500. To help expedite processing, please ensure below items are completed before returning documents, 1. Sign and return all three (3) copies to my attention. Each contract must have an original signature. 2, A copy of your Governing Body's Resolution in acceptance of this funding, 3. Include your Federal Taxpayer's Identification Number here and return this document with the signed STD213's. After we receive the. above information from your agency, we will process the contract package for approval. Upon approval, we will execute a fully signed contract for your records. If you have any questions, please feel free to me contact at (916) 419 - 2572, Sincerely, Suzanne Pascual Grant Coordinator Enclosures Cc: Commander Ruben Ibarra, Project Director (enclosure not included) Exhibit 2 55A -7 STATE OF CALIFORNIA ! STAODAF�D AGREEMENT SID 213 (Rev 06(05) AGREEMENT NUMS'u-R 18G•LA38 _ REGISTRATION NUMSER 1. This Agreement Is entered into between the State Agency and the Contractor named below: ............. -- - -- _ STATE ACENCY'S NAME DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL. CONrNACTOR'SNAME �- I City of Santa Ana through the Santa Ana Police Department 2, The term of this July 1, 2015 through June 30, 2016 Agreement Is: 3. The maximum amount $ 99,500 of this Agreement is: 4. The parties agreel to comply with the terms and conditions of the following exhibits which are by this reference made a part of the Agreement, Exhibit A — Scope of Work _ 4 page(a) Exhibit B — Budget Detail and Payment Provisions 3 page(s) Exhibit C* — General Terms and Conditions GTC 610 Check mark one item below as Exhibit D: Exhibit - D Special Terms and Conditions (Attached hereto as part of this agreement) 1 page($) Exhibit - D* Special Terms and Conditions Exhibit E — Additional Provisions page(s) Items shown with an Asterisk O, are hereby incorporated by reference and made part of this agreement as if attached hereto. These documents can be viewed at tyrywdgs . ggvl ofs7Resources ISLgtidardContracthanauaaoas IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CONTRACTOR CONTRACTOR'S NAME (Ifother than an individual, state, . whether a corporation, partnership, atr,.) Citv of Santa Ana throuah the Santa Ana Police Department BY(Authariz aBn treJ '.�, a,ury /yejulun uqi y)wv PRINTED NAME AND TITLE OF PERSON SIGNING Carlos Rojas, Chief ADDRESS 60 Civic Center Plaza Santa Ana, CA 92702 STATE OF CALIFORNIA AGENCY NAME Department of Alcoholic Beverage Control BY (AUthariZed Signature) DATE SIGNED(no nor Hype) PRINT ED NAME AND TITLE OF PERSON SIGNING Ed Jimenez, Assistant Director, Administration ADDRESS 3927 U 4'm A � vt � Laura A, Rossini Senior Assistant City Attorney to CA 95834 y • California Department of General Services Use Only ® Exempt per: SCM 4.04.(A)(3) SCOPE OF WORK Summary: Exhibit A The Santa Ana Police Department (SAPD) serves the City of Santa Ana which has a population of approximately 334,000. The Department serves a densely populated community with a median age of 29,1 years old according to the 2010 Census. This is the youngest median age of any city over 250,000 people in the state. Currently, our agency consists of 299 sworn officers, led by the Chief of Police, Carlos Rojas, and three Deputy Chiefs, nine Commanders, 41 Sergeants, and 245 officers. We also operate our own 512 bed jail, staffed by 93 non -sworn correctional officers, The Department has four bureaus (Administration, Investigations, Field Operations, and, Jail) and the Office of the Chief of Police, The City is divided in four geographical districts (Northeast, Southeast, Southcoast, and Westend). We have a Special Enforcement Team (SET) comprised of 18 officers that focuses on duality of life issues which includes dealing with alcohol related crimes as well as narcotics, gang, and vice offenses. The City of Santa Ana is 27.27 square miles located in an urban setting. According to the 2013 census, our population of 334,000 is approximately 78% Hispanic, 9.2 %o White, 1.5 % Black, 1% American Indian, and 10.5% Asian; approximately 30.7% of our population is under l8 years of age and approximately 53.6% of the population is between 18 and 65 years of age. Santa Ana is the County seat and second most populous city in Orange County. The core of the city is the downtown area, which contains retail stores, restaurants, bars and housing. This is also home to the Santa Ana Civic Center, which is a dense campus of administrative buildings for the city, county of Orange, state, and federal agencies. There are a total of 397 active retail licenses issued in Santa Ana by the California Department of Alcoholic Beverage and Control (ABC). There are 168 off -sale licenses and 229 on -sale licenses issued to establishments in our city by ABC. In order to accomplish our goals and objectives, we are requesting $99,500 in grant funding. The funds provided by the grant will allow the Santa Ana Police Department to accomplish the following goals: 1) Reduce the number of alcohol related crimes within the City of Santa Ana. 2) Identify and successfully prosecute ABC licensed establishments who violate the law. 3) Provide a safer environment in the areas around licensed establishments for residents and visitors. 4) Reduce the drain on limited resources caused by alcohol related incidents throughout the city, These goads will be attained by completing the following objectives: • Conduct at least 20 discretionary undercover enforcement operations at identified ABC licensed establishments to enforce ABC violations and underage drinking. • Conduct at least 5 MINOR DECOY programs at ABC licensed establishments. • Conduct at least 3 roll call trainings to our patrol officers regarding ABC laws and how to enforce them. • Coordinate and conduct 5 IMPACT (Informed Merchants Preventing Alcohol Related Crime Tendencies) operations to educate 'licensees on how to reduce alcohol related crimes in their establishments, s Organize at least five (5) community meetings; hold an ask/answer session regarding possible problems related to ABC licensed establishments. This will be done in conjunction with our regular neighborhood meetings attended by problem oriented policing officers. 55A -9 Exhibit A • Coordinate and conduct 10 "Trap Door" operations. • Conduct 10 "Shoulder Tap" operations at ABC establishments identified as problematic. • Schedule snd coordinate 2 LEADgrograrns throughout the city, • Work alongside ABC agents to enforce alcohol related violations and successfidly prosecute those ABC licensed establishments who operate outside the legal parameters. Problem Statement: Funding of this project will allow the Santa. Ana Police Department to address alcohol related concerns throughout our city. There are 3 97 active retail licenses issued in Santa Ana by the California Department of Alcoholic Beverage and Control (ABC). There are 168 off -sale licenses and 229 on -sale licenses issued to establishments in oiu city by ABC. Several of these locations have become problem establishments and generate multiple calls for service or have been alleged to sell alcohol to minors, We have assisted ABC agents in our city as they enforce the law at several problematic bars. These problem establishments identified by ABC agents, along with any other locations that are discovered to be in violation, will continue to be the focus in the fight to reduce alcohol- related incidents, SAPD Special Enforcement Team (SET) recently participated in the ABC state -wide "Shoulder Tap" operation in cooperation with our local ABC agents. The Santa Ana Police Department regularly receives complaints from concerned citizens, business owners, and others of alcohol related problems such as loitering, public intoxication, assaults, property crimes, driving Linder the influence and alcohol related traffic collisions. Our intent is to use the ABC funding to fight these types of alcohol related crimes which drain our resources and adversely affect our residents. The number of calls for service in which the consumption of alcohol is often a contributing factor is significant. The fellowhig are some calls for service statistics for January 201.4 through December 2014 that demonstrates the problem the City of Santa Ana is facing; • Driving under the influence 1,650 e Drunk in public 1,774 Battery 1,404 • Assault 557 • Domestic Violence 4,905 • Subjects causing a disturbance 6,457 • Loud music 4,956 + Family disturbance 1,873 • Loud party 1,864 Most ABC licensed establishments in our city are responsible and adhere to the law; however, there are some which strain our limited resources clue to excessive calls for service. There are 6 ABC on -sale licensed establishments that generated 237 calls for service daring 2014, which equates to approximately one call for service every 1.5 days, The beginning of 2015 has not shown a decrease in activity as there was a homicide at one of the identified locations. There are also noticeable problems occurring at out ABC off -sale establishments that affect quality of life issues of our residents, There have been and continue to be numerous complaints of minors both buying and getting adults to buy them alcoholic beverages from many of our liquor stores. Due to staffing shortages and limited overtime funds, we are unable to give this problem the attention it deserves. The Grant will be used to enforce laws at ABC licensed establishments and combat alcohol related public violations in an effort to peep our youth safe. 55A -10 Prefect Description: Eyhibit A If successful in obtaining the ABC grant, SAPD would implement the following plan.: Conduct at least S MINOR DECOY programs at ABC licensed establishments, Funding will also be utilized to conduct minor decoy operations at off-sale establishments within our city, These establishments will be identified by SET officers who routinely have contact with community members and can gather intelligence regarding illegal sales of alcohol to minors. The minor decoy operations will be conducted with the assistance of ABC agents and within SAPD policy and procedure as well as ABC guidelines pursuant to the California Code of Regulations, Tittle 4, Division 1, Section 141 (Minor Decoy Requirements). 2. Conduct roll call training to our patrol officers regarding ABC laws and how to enforce their. SET officers, accompanied by ABC agents will present information to SAPD patrol officers during various roll call sessions, The information will instruct officers regarding pertinent ABC laws, and effective report writing to establish and prosecute ABC violations. 3. 9 establishments. After receiving pertinent training, contact and inform ABC licensed establishments of their responsibilities regarding the sale of alcohol. This will build a working relationship with these establishments to better serve the public. related to ABC licensed establishments. This will be done in conjunction with our regular neighborhood meetings attended by problem oriented policing officers. SET officers commonly attend neighborhood meetings throughout the city pertaining to neighborhood watch, gang issues, and school functions. Officers will take the opportunity to speak with residents regarding problematic ABC licensed establishments, accessibility of alcohol to minors, drinking in public and other alcohol related issues. S. Coordinate and conduct 10 "Trap Door" operations. There are various ABC on -sale licensed establislunents in our city. A few of these establishments attract minors who enter the club or bar illegally with false ID's and consume alcohol. SET officers will work directly with employees of these establishments and cite the person trying to use the false ID. b. Conduct 10 "Shoulder Tan" o nations at ABC establishments identified das problematic. In copjruiction with local ABC agents, SAPD SET officers will coordinate undercover operations in an attempt to have a minor solicit adults to buy alcohol beverages for them at ABC licensed establishments. The undercover operation will be within the policy and procedures of SAPD as well as ABC guidelines pursuant to the California Code of Regulations, Title 4, Division 1, Section 141 (Minor Decoy Requirements), 7. Schedule and coordinate 2 LEAD programs throtigheut the city. SET officers will organize and with the assistance of local ABC agents, provide a preventive and educational program pertaining to alcohol responsibility and the law. Our state of the art police facility building has a community room which could hold the attendees of the LEAD program we host. 0 55A -11 SET officers will work hand in hand Exhibit A with ABC to deter alcohol related offenses by conducting operations using proven strategies in order to identify violations and prosecute cases against ABC licensed establishments which continually violate alcohol related laws. During the project period, SAPD will evaluate our progress on a continuous basis and ask for local ABC input so that we attain the desired results. SET officers will maintain all reports and data related to the ABC grant and will share the information with ABC on a continuous basis. Protect Personnel: The services funded by this grant will be completed primarily by the SAPD Special Enforcement Team (SET). SET is a unit staffed by sworn officers who concentrate their efforts an solving community quality of life issues, SET is not subject to radio calls, which allows them to direct efforts toward specific complaints from the community, Officers from this detail regularly attend community meetings and address the public's concerns. SET officers enforce laws pertaining to vice, narcotics, and gangs through a close working relationship with the community. Each officer on the detail has been chosen to be a member of SET based on their expertise, work ethic, and demonstrated high level of professionalism, Many of our officers have experience working in an Lndercover capacity as well as coordinating and supervising enforcement operations. The Santa Ana Police Department recently reorganized adding capability to SET units to handle all vice complaints, including violations involving ABC licensed, businesses. The Santa Ana Police Department has long enjoyed an excellent working relationship with ABC agents. Through our established pwtnership we will accomplish our goals as set forth in this grant. I am certain our combined. efforts will have a positive and long- lasting effect in our city. For each operation under this grant, we will utilize 3- 8 officers primarily from SET and we will be working in uniform as well as in an undercover capacity in 4 -8 hour increments. Utilizing undercover personnel will give us the advantage and we will be able to gather evidence on possible ABC, narcotic, and vice violations. The Santa Ana Police Department wilt work collaboratively with ABC agents to assist in our operations, The following members of the SAPD Special Enforcement Team will be involved with this project: Cm n under Ruben Ibaixa #2174 Police Officer Jorge Arroyo #3038 Police Officer David Garcia #3231 Police Officer Joe Castellanos 93080 Police Officer Nicole Quijas 92958 Police Officer Greg Beaumarchais #3265 Police Officer Gabe Gutierrez #3252 Police Officer Judith Valdez 93243 Police Officer Brandon Sontag #3078 Corporal Gonzalo Garcia #2222 Corporal Jose Mendoza #2934 Corporal Michael Kuplast #1839 Police Officer Chris Shynn #3238 Police Officer Sonia Rojo 43241 Police Officer Sal Lopez #3230 Police Officer Ryan Sbifflett 43264 Police Officer Damian Moreno #3196 Police Officer Duran Greaver #3057 55A -12 BUDGET DETAIL Exhibit B BUDGET CATEGORY AND LINE-ITEM DETAIL COST (Round budget amounts to nearest dollar) A. Personnel Services (Straight Time Salaries, Overtime, and Benefits) - I-- ---- ------- - ---- - - -- - ------------ AA Straight Time N/A A.2 Overtime Corporal: Overtime Rate $80 X 500 hours $40,000 Officer: Overtime Rate $75 X 700 hours $52,500 A.3 Benefits all personnel combined N/A ----------------- TOTAL PERSONNEL SERVICES $92,500 B. Operating_Kjp.enses m _(maxirnu $2,500) . . . . ...... ..... . ...... $2,500 Money for undercover purchases of alcohol and narcotics -------- ----------- - ------ ....... TOTAL OPERATING EXPENSES ------- $2,500 C. $2,500) - .1 (,Kiiach receipts for aifcq'u-.'ip"'mcnt purchases to monthly billing invoice) $2,500 Body Wire with receiver. .... ....... .... TOTAL EQUIPMENT .......... __ .. ... .... $2,500 D. Travel Expense/Registration Fees (maximum $2,000) (Registration fee for July 2015 GAP Conference attendee is $225 each) $450 Travel, per diem, and lodging for the July 2015 ABC GAP confitewe $1,550 ..... . . ... _ ..... TOTAL TRAVEL EXPENSE .... $2000 TOTAL BUDGET DETAIL COST, ALL CATEGORIES $99,500 55A -13 PAYMENT PROVISION Page t of 2 Exhibit B INVOICING AND PAYMENT: Payments of approved reimbursable costs (per Budget Detail attached) shall be in arrears and made via the State Controller's Office. Invoices shall be submitted in duplicate on a monthly basis in a format specified by the State. Failure to submit invoices and reports in the required format shall relieve the State from obligation of payment. Payments will be in arrears, within 30 days of Department acceptance of Contractor performance, pursuant to this agreement or receipt of an undisputed invoice, whichever occurs last. Nothing contained herein shalt prohibit advance payments as authorized by Item 2100- 101 -3036, Budget Act, Statutes of 2015, 2. Revisions to the "Scope of Workc' and the "Budget Detail" maybe requested by a change request letter submitted by the Contractor. If approved by the State, the revised Grant Assistance Scope of Work and/or Budget Detail supersede and replace the previous documents bearing those names. No revision cannot exceed allotted amount as shown on Budget Detail. The total amount of the contract must remaln unchanged. 3. Contractor agrees to refund to the State any amounts claimed for reimbursement and paid to Contractor which are later disallowed by the State after audit or inspection of records maintained by the Contractor. 4. Only the costs displayed in the "Budget Detail" are authorized for reimbursement by the State to Contractor under this agreement. Any other costs incurred by Contractor in the performance of this agreement are the sole responsibility of Contractor. 5. Title shall be reserved to the State for any State - furnished or State - financed property authorized by the State which is not fully consumed in the performance of this agreement. Contractor is responsible for the care, maintenance; repair, and protection of any such property, Inventory records shall be maintained by Contractor and submitted to the State upon request. All such property shall be returned to the State upon the expiration of this contract unless the State otherwise directs. 6. Irtravel is a reimbursable item, the reimbursement for necessary traveling expenses and per diem shall be at rates set in accordance with Department of Personnel Administration rates set for comparable classes of State employees. No travel outside of the State of California shall be authorized. No travel shall be authorized outside of the legal jurisdiction of Contractor without prior authorization by the State. 55A -14 PAYMENT PROVISION Page 2 of 2 Exhibit B Prior authorization by the State in writing is required before Contractor will be reimbursed for any purchase order or subcontract exceeding $2,500 for any articles, supplies, equipment, or services to be purchased by Contractor and claimed for reimbursement, Contractor must justify the necessity for the purchase and the reasonableness of the price or cost by submitting three competitive quotations or justifying the absence of bidding. 8, Prior approval by the State in writing is required for the location, costs, dates, agenda, instructors, instructional materials, and attendees at any reimbursable training seminar, workshop or conference, and over any reimbursable publicity or educational materials to be made available for distribution. Contractor is required to acknowledge the support of the State whenever publicizing the work under the contract in any media. 9. It is understood between the parties that this contract may have been written before ascertaining the availability of appropriation of funds, for the mutual benefit of both parties, in order to avoid program and fiscal delays that would occur if the contracts were executed after that determination was made. 10. BUDGET CONTINGENCY CLAUSE - It is mutually agreed that if the Budget Act of the current year and /or any subsequent years covered tinder this Agreement does not appropriate sufficient hinds for the program, this Agreement shall be of no further force and effect. In this event, the State shall have no liability to pay any funds whatsoever to Contractor or to furnish any other considerations finder this Agreement and Contractor shall not be obligated to perform any provisions of this Agreement. If funding for any fiscal year is reduced or deleted by the Budget Act for purposes of this program, the State shall have the option to either cancel this Agreement with no liability occurring to the State, or offer an agreement amendment to Contractor to reflect the reduced amount. Updated 1/28/15 55A -15 Exhibit D Special'Ferms and Conditions 1.. Dis utes: Any dispute concerning a question of fact arising under this contract which is not disposed of by agreement shall be decided by the Director, Department of Alcoholic Beverage Control, or designee, who shall reduce his decision to writing and mail or otherwise furnish a copy thereof to the Contractor, The decision of the Department shall be final and conclusive unless, within 30 days from the date of receipt, of such copy, the Contractor mails or otherwise furnishes to the State a written appeal addressed to the Director, Department of Alcoholic Beverage Control. The decision of the Director of Alcoholic Beverage Control or his duly authorized representative for the determination of such appeals shall be final and conclusive unless determined by a court of competent jurisdiction to have been fraudulent, capricious, arbitrary, or so grossly erroneous as necessarily to imply bad faith, or not supported by substantial evidence, In connection with any appeal proceeding under this clause, the contractor shall be afforded an opportunity to be heard and to offer evidence in support of its appeal, Pending final decision of a dispute hereunder, Contractor shall proceed diligently with the performance of the contract and in accordance with the decision of the State. 2, Termination Without Cause: Either party may terminate this agreement at any time for any reason upon ten (10) days written notice. No penalty shall accrue to either party because of contract termination, Contract Validity: This contract is valid and enforceable only if adequate funds are appropriated in Item 2100 -101 -3036, Budget Act of 2015, for the purposes of this program. G. Contractor Certifications: By signing this agreement, Contractor certifies compliance with the provisions of CCC 307, Standard Contractor Certification Clauses. This document may be viewed at htW-:ZZ ww,dgs,ca.gov/ols/Resources/StandardContractLaaguagg�.aspx . If the State determines that the grant project is not achieving its goals and objectives on schedule, funding may be reduced by the State to reflect this lower level of project activity Updated 1/29115 55A -16 • 0 'A611111 10 • CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: RESOLUTION ACCEPTING PRINTED MATERIALS PROVIDED THROUGH THE FY2014 HOMELAND SECURITY GRANT PROGRAM (HSGP) {STRATEGIC PLAN NO. 1, 2F} � CITY MANAG2L RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt a resolution authorizing the City Manager and Chief of Police or his designee to obtain 2014 Homeland Security Grant Program (HSGP) financial assistance through the County of Orange, and execute a transfer agreement, documents, and assurances that may be necessary for the HSGP. 2. Authorize the City Manager and Clerk of the Council to execute the attached agreement, with the County of Orange for the period of July 1, 2015 through August 31, 2016, for financial assistance by providing printed materials, for an amount not to exceed $5,400, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Orange County Sheriff's Department Emergency Management Division administers the Homeland Security Grant Program (HSGP) on behalf of all Orange County jurisdictions. The Sheriff's Department has elected to utilize HSGP funds to execute a bulk purchase of printed materials used in Community Emergency Response Team (CERT) programs, which are conducted by Cities throughout the County, including the City of Santa Ana, and to then distribute these printed materials to all participating cities. This bulk purchase allows for more competitive pricing and saves each City from having to execute individual purchase actions. Printed materials include student manuals and guidebooks to be distributed to each person taking a CERT training course. The City will take receipt of approximately 100 -200 each of the student manuals (valued at $20.00 each, or $2,000.00 to $4,000.00) and guidebooks (valued at $7.00 each, or $700.00 to $1,400.00), for a total value of approximately $2,700 to $5,400. The exact amount of materials received will be determined by the Sheriff's Department when they complete the bulk purchase and identify the number of jurisdictions desiring to receive the materials. 55B -1 Homeland Security Grant Program July 7, 2015 Page 2 By participating in this bulk purchase effort, the City will receive these items necessary for our CERT training program at no cost, electing to not participate would require the City to purchase these items on its own at full cost to the City. STRATEGIC PLAN ALIGNMENT Approval of this item assists the City in meeting Goal #1 Community Safety, Objective #2 (Broaden communications, information sharing and community awareness of public safety activities), Strategy F (Partner with emergency assistance and disaster relief organizations to promote community awareness of emergency preparedness), FISCAL IMPACT There is no fiscal impact associated with this action. 55B -2 LR 7/8/15 RESOLUTION NO. 2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER, AND THE CHIEF OF POLICE OR HIS DESIGNEE TO OBTAIN 2014 HOMELAND SECURITY GRANT PROGRAM FINANCIAL ASSISTANCE THROUGH THE COUNTY OF ORANGE, AND EXECUTE A TRANSFER AGREEMENT WITH THE COUNTY, DOCUMENTS, AND ASSURANCES THAT MAY BE NECESSARY FOR THE HSGP 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 Homeland Security Grant Program (HSPG). B. The County of Orange as a subgrantee of the 2014 HSGP funds and will provide financial assistance to local governments for implementation of various Homeland Security and Emergency Management projects including countywide emergency management capabilities. The County of Orange opted to utilize HSPG funds designated for Emergency Management to execute a bulk purchase of printed materials used in Community Emergency Response Team (CERT) programs. The City of Santa Ana conducts CERT programs and will utilize the printed materials for its program. C. The City of Santa Ana would be a subrecipient under the HSPG through the County of Orange. The exact amount of materials received will be determined by the County once they make the purchase of these materials and determine which jurisdictions want the materials but it is anticipated to be $6,000 or less. Section 2. The City Council of the City of Santa Ana hereby authorizes the City Manager and Chief of Police or his designee, on terms acceptable to the City Attorney, to execute a sub - recipient agreement (also called a transfer agreement) with the County of Orange and /or Orange County Sheriff's Department in an amount not to exceed $6,000 for procurement of the CERT materials, Exhibit 1 Resolution No. 2015 -XXX 55B -3 Page 1 of 2 Section 3. This Resolution shall take effect immediately upon its adoption by the City Council and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 7th day of July, 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney 1 r 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 55B -4 Resolution No, 2015 -XXX Page 2 of 2 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 t 24 a 25 26 II fi 27 p 28 1 C1 R of AGREEMENT TO TRANSFER PROPERTY OR FUNDS FOR 2014 HOMELAND SECURITY GRANT PROGRAM PURPOSES THIS AGREEMENT is entered into this e4- _ _ day of 7t„tt e 2015, which date is identified for purposes of reference only, by and between the COUNTY OF ORANGE, apolitical subdivision of the State of Calif0mi a, hereinafter referred to as "COUNTY", and °E SctniU A „ � a (municipal corporation/special district /not -for- proft corporation), hereinafter referred to as "SUBGRANTEE:' WHEREAS, COUNTY, acting through its Sheriff-Coroner Department in its capacity as the lead agency for the Orange County Operational Area, has applied for, received and accepted a g ant from the State of California, acting through its California Office of Emergency Services, to enhance county -wide emergency preparedness, hereinafter referred to as "the grant ", as set forth in the grant documents that are attached hereto as Attachments A (FY 14 CA Supplement to the Federal Program Guidance), B (FY 14 Homeland Security Grant Program Guidance), and C (FY 14 Homeland Security Grant Assurances) and incorporated herein by reference. :I7'WEAS, the terms of the grant require that COUNTY use certain grant funds to pt:u'chase equipment technology or ,services that will be transferred to SUBGRANTEE to be used for grant purposes. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLI OWSs 1. COUNTY shall transfer to SUBGRANTEE the equipment, technology or services as pecified in Attaaluncin .D hereto, which is incorporated herein by reference, If the grant requires 'OUNTY to transfer to SUBGRANTEE equipiazem, technology or services that COUNTY has not yet cgr'tirad, COUNTY shall transfer said equipment' technology or services to SUBGRANTEE as soon after equisition by CO'UNT'S' as is reasonably practicable. 2. If COUNTY transfers grant finds to SUBGRANTEE, SUBGRANTEE shall use said grant Inds only to acquire equipment, technology or services as set forth in Attachment B hereto and/or to ;r£nnn such ether grant funetlans, if any, that Attachments A, B and C; petvtit SUBGRANTEE to expend DA: 97.067 motand security Grant prosram partment of Homeland security Page t of 4 Exhibit 2 55B -5 8 9 10 it 12 13 14 15 16 17 18 19 20 21 22 ! 23 i 24 a 25 u 26 27 28 11b C. EI grant funds. SUBGRANTEE shall provide COUNTY with a budget breakdown signed by the authorized agent, 3• Throughout its useful life, SUBGRANTEE shall use any equipment, technology or services acquired with grant funds only for those purposes permitted under the terms of the grant, and shall make it available for mutual aid response. 4. BUBGRANTEE shall exercise due care to preserve and safeguard equipment acquired with grant funds frnln damage or destruction and shall provide regular maintenance and repairs for said equipment as are necessary, in order to keep said equipment in continually good working order, Such maintenance and servicing shall be the sole responsibility of the SUBGRANTEE, who shall pay for material and labor costs for any maintenance and repair of said equipment throughout the life of said equipment, 5• SUBGRANTEE shall assume all continuation costs of said equipment, tealmologies and /or services to include lrut not be limited to upgrades, licenses and renewals of said equipment, technologies and /or services, 6, if equipment acgtured with grant funds becontes obsolete or unusable, SU13GRANTEE shall notify COUNTY of such condition. SUBGRANTEE shall transfer or dispose of grant- funded equipment only in accordance with the instructions of COUNTY, 7. SUBGRANTEE agrees to indemnify, defend and hold harmless COUNTY and their sleeted and appointed officials, officers, agents and employees frown any and all claims and losses accruing n resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation umishing or supplying work services, materials or supplies in connection with SUBGRANTEE's use of ;rant- fimded equipment, technology ar services and SUBGRANTEE's performance of this Agreement, rchtding Attaclnnonts A, B and C hereto, and from any and all claims and losses accruing or resulting to ay person, firm, or corporation who maybe injured or damaged by SUBGRANTEE in SUBGRANTEE's se of grant funded equipment, technology or services and SUBGRANTEE's performance of this greement, including Attachments A, B and C hereto, 81 By executing this Agreement, SUBGRANTEE agrees to comply with and be fully bound all applicable provisions of Attachments A, B and C hereto, SUBGRANTEE shall notify COUNTY ''DA: 97.067 meland Security Grant pragrnm Partment OfHonaeland Security Page 2 of 55B -6 ua 6 7 a 9 1.0 11 12 13 14 15 16 17 18 19 20 21 23 1 24 1 25 t 26 27 p 28 0 C. 11 13 immediately upon discovery that it has not abided or no longer will abide by any applicable provision Of Attac1unents A, B and C hereto. 9. SUBGRANTPE and COUNTY shall be subject to examination and audit by the State Auditor with respect to this Agreement for a period of three years after final payment hereunder, 10, No alteration or variation of the terms of this Agreement shall be valid unless made 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, 11, SUBGRANTEE may not assign this Agreement in whole or in part without the express written consent of COUNTY. 12. For a period of three years after final payment hereunder or until all claims related to this Agreement are finally settled, whichever is later, SUBGRANTEE shall preserve and maintain 411 documents, papers and records relevantt to the work performed or property or equipment acquired in accordance with this Agreement, including Attachments A, B and C hereto, For the same time period, SUBGRANTEE shalt make said documents, papers and records available to COUNTY and the agency fiam which COUNTY received grant fiends or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or offthe premises of SUBGRANTEE, upon request during usual working hours. 13. SUBGRANrEB shall provide to COUNTY all records and information requested by COUNTY for inohisian in quarterly reports and such other reports or records as COUNTY may be 'equired to provide to the agency from Which COUNTY received grant funds or other persons or agencies. 14. COUNTY may terminate this Agreement and be relieved of the payment to WBGRANTEE if a) SUBGRANTE'F fails to perform any of the covenants contained in this Agreement, n0luding Attachments A, B and C hereto, at the time and in the matter herein provided, or b) COUNTY )scs funding under the grant. In the event of termination, COUNTY may proceed with the work in any tannor deemed proper by COUNTY, 15, SUBGRANTEE and its agents and employees shall act in an independent capacity in the ,rformance of this Agreement, including Attachments A, B and C hereto, and shall not be considered ficers, agents or employees of COUNTY or of the agency from which COUNTY received grant funds, 7DA; 97o67 >meland Security Gram program gip, o'nent of 13omeland Sacurlty Page 3 of 4 55B -7 1 2 3 4 5 6 7 8 9' 10 11 12 13 14 15 16 17 1s 19 20 21 22 23 24 25 26 27 2$ 15. SUBGRANTEE and its agents and employees shall act in an independent capacity in th+ performance of this Agreement, including Attachments A, B and C hereto, and shall not be considerec officers, agents or employees of COUNTY or of the agency from which COUNTY received grant funds, IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange; I State of California, J SATED: APPROVED AS TO CORM: COUNTY COUNSEL By Wendy i ps +— DATED: MIL I , 20l DATES }: hTTEST: 3y_ - - City Clerk _ ' -- SATED: 201_ ,FDA: 97,067 iomcland Security OrtmtPrograrn )apartment of ttomotand Security COUNTY OF ORANGE, a political subdivision of the State of California By Sheriff- Coroner "COUNTY" a Bye By: Page 4 of A 55B -8 WPROVEU AS TO FORM Laura A. Rossini Senior Assistant City Attorney EXHIBIT A 55B -9 Fiscal Year 2014 Homeland Security Grant Program California Supplement to the Federal Funding Opportunity Announcement and Application .Kit May 2014 55B -10 STATE OF CALIFORNIA Edmund G. Brown Jr, Governor EMERGENCY SERVICES Mark S. Ghilarducci, Director Nancy Ward, Chief Deputy Director Brendan A. Murphy, Deputy Director GRANTS MANAGEMENT Gina Buccieri- Harrington, Assistant Director HOMELAND SECURITY AND PROP IB DIVISION Kris Whitty, Chief Alicia Morales, Office Technician HOMELAND SECURITY GRANTS UNIT Ursula Harelson, Unit Supervisor Darren Tsang, Unit Supervisor Joseph Anderson, Program Representative Darlene Aranbula, EHP Coordinator Cameron Bardwell, Program Representative Bill Canepa, Program Representative Justin puke, Program Representative Maybel Garing- Espilla, Program Representative Rachel Magaha, Program Representative GRANTS PROCESSING DIVISION Rose Nguyen, Chief Christopher Sampang, Office Technician IOMELAND SECURITY GRANTS PROCESSING UNIT Huy Tram, Unit Supervisor Edward Allen, Program Analyst Dora Gomez, Program Analyst Gina Joaquin, Program Analyst 55B -11 FOREWORD; DIRECTOR'S MESSAGE ............. SECTION 1— OVERVIEW ......................... ............................... . Federal Funding Opportunity Announcement; Information Bulletins .........,2 Purpose of the California Supplement; Grant Management Memoranda Eligible Subgrantees; Native American Allocations Subgrantee Allocations; NIMS Implementation; Supplanting Public /Private Organizations; Debarred/Suspended Parties Cal OES Contact Information; ILSGU Program Representatives SECTION 2— FEDERAL CHANGES AND INITIATIVES ................... ............................... FYI Program Priorities; 25% Law Enforcement � 5% M &A; Indirect Costs; Organization; Personnel Cap; Equipment Typing/Identification Equipment Maintenance/Sustainment; Construction/Renovation Exercises, Improvement Plans, and After Action Reporting; Emergency Operation Plans Special Needs Population SECTION 3- -STATE CHANGES AND INITIATIVES............ FY14 SHSP Priorities; State Initiative Funding ••• "`• " " "' " " " " " "� "On Behalf Of'; Regional Approach Strategy, Plamring and Metrics Workshop Non- DHS /FEMA Training; Capstone California Federal Funding Accountability and Transparency Act (FFATA) Financial Disclosure Tactical Interoperable Communication Plan (TICP) SECTION 4— REQUIRED STATE APPLICATION COMPONENTS ...................... Financial Management Forms Workbook "• ^ ^ • • • ° • • ^ • • • • ^ • • • 11 Narrative Attachments Grant Assurances Training Operational Areas Only Urban Areas Only State Agencies Only SECTION 5 —THE STATE APPLICATION PROCESS ......... ............................... Application Submittal • •• • •. • • • •....... •.. •....15 Late or Btcomplete Application Application Approval SECTION 6 —POST AWARD REQUIREMENTS.........., Post Award Modifications; Payment Request Process " "' • •'•• • •' • "' `• `• • • °16 Advances mid Interest Earned on Advances; Performance Bond Subgrantee Performance Reports; Failure to Submit Required Reports Monitoring; Suspension/Termimation Closeout ATTACHMENTS A- Allocations B -FY14 HSGP Timeline C- Sample Governing Body Resolution D -State Agency Signature Authority Form E -State Agency Project Narrative Form P -FY14 HSGP Application Checklist G- Investment Justifications/Strategic Goals /Objectives 55B -12 Foreword 12014 Direct --- °r�'s Messa� I am pleased to present you with the FY 2014 Homeland Security Grant Program (HSGP) — Cahfornia Supplement to the Federal Program Funding Opporhmity Announcement. This Program will serve to expand your efforts that continue to make California a national leader in emergency management and homeland security, As a direct result of leveraging effective partnerships, developing our workforce, enhancing our technology, maintaining a culture of continuous improvement and through collaboration with our federal partners at the U.S, Department of Homeland Security and the Federal Emergency Management Agency we are realizing our vision of building towards a safer more resilient California. This year, HSGP changes have been implemented to allow greater flexibility, envelop greater areas of risk, and pinpoint capability gaps, in an effort to improve our ability to protect our state from all hazards and threats. Last year, the California Governor's Office of Emergency Services (Cal OES) was renamed, underwent an organizational structure change, and merged with the Public Safety Communications Office, all of which have enabled us to strengthen our capabilities and sharpen our focus to ensure that we are prepared for when disaster strikes. This year's HSGP has also gone through some changes, as it now encompasses more urban areas for its Urban Areas Security Initiative (UASI), and has shifted away from identifying program- specific priorities and instead directs grantees to prioritize grant funds to increase a jurisdiction's capabilities based on the annual Threat and Hazard Identification and Risk Assessment and capability gaps identified through the annual State Preparedness Report. These changes will help us accomplish our mission ofprotecting lives and property, build capabilities, and support our cormmurilias for a resilient California. The capable and dedicated staff at Cal OES continues to serve as a resource for you as we develop a united and innovative combined effort to serve the public, our communities, and the state of California, I encourage you to contact them for guidance and advice throughout the duration of the grant. MARK S. GHILARDUCCI Director 55B -13 Section 1- Overview 1 201,4 Federal Funding In March 2014, the U.S. Department of Homeland Security (DRS)/Federal Emergency Management Agency (FEMA) issued Opportunity the FY14 Homeland Security Grant Program, Funding Opportunity,4nnouncement Announcement (FOA) available for download at: http://www.femagovly_2014 - homeland, security- hLs gn). grant -nro ratn- Information Bulletins DRS issues Information Bulletins to provide updates, clarification, and new requirements throughout oughout the life of the grant. Information Bulletins may be obtained at: htt ://www.fema eov /¢rants /grant- ro ratns=direetorate- information -bul l etins. Purpose of the California The 2014 California Supplement to the Federal Funding Opportunity fnnouncement and application kit is intended Supplement to complement, rather than replace, the Guidance published by DI-IS. The Supplement will emphasize the diflerences between the FY13 and FY14 Homeland. Security Grant Programs (HSGP), and will include additional California policies and requirements applicable to the FY14 HSGP. Grant Management Cal OES also issues Grant Management Memoranda (GMMs) that provide additional information regarding HSGP funds. GMMs Memoranda can be located at: httM /www.caloes ca. ov /GrantsPtocessin > /Pa es /Grant- Management- Metnos asux. Eligible Subgrantees Eligible applicants, referred to as Subgrantees, differ for each program. Generally, eligible HSGP Subgrantees include: Operational Areas (OA) • Includes Native American Tribes- represented by a single coordinating group Urban Areas Security Initiative (UASI) Jurisdictions State Agencies (SA), Departments, Commissions, Boards, etc. who have or can obtain, appropriate state Department of Finance budget authority for awarded funds Native Federal FYi4 grant guidance strongly encourages Cal OES to provide access to American IISGP funds directly to Native American Tribes in California. To implement this Allocations requirement, a. single coordinating group representing the California tribes will be eligible to receive a share of this fimding on a base plus population basis. To submit an application for fimding, California's 111 tribes shall develop a single coordinating group that represents all or substantially all of the tribes. The single coordinating group shall have until October 1, 2014 to submit to Cal OES its membership, organizational structure and plan for developing coordinated funding priorities among all or substantially all of the California Tribes. 55B -14 Section 1— Overview 1 2014 U.S. Department of Homeland Security, Fiscal Year 2014 Homeland SeCUrIty Funding OPPOrtUnIty Announcement. Page 41. 2 Ibid., page 55. 55B -15 All Subgrantees are encouraged to coordinate with Tribal Governments to ensure that Tribal needs are considered in the Subgrantee applications, I Subgrantee Allocations FYI Homeland Security Grant Program (HSGP) Subgrantee allocations are included in Appendix A, All HSGP - funded work must completed within the subgrantee performance period, NIMS Implementation Prior to allocation of any federal preparedness awards in FY14, grantees must ensure and maintain adoption and implementation of the National Incident Management System (NIMS), Additional information can be found at Fitt : /www fema gov[�c f /emergenev /aims /nuns ert c>ed uuideline t df Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that have been appropriated for the same purpose. Subgrantees will be required to supply documentation certifying that a reduction in non - federal resources occurred for reasons other than the receipt or expected receipt of federal fands.z Public/Private Organizations Subgrantees may contract with any other public or private organizations to perform eligible activities on approved projects. Debarred/ Suspended Subgrantees must not make or permit any award (subgrant or contract) at any tier to any party that is debarred, Parties suspended, or otherwise excluded from, or ineligible for, participation in federal assistance Subgrantees programs. must obtain documentation of eligibility prior to any sub -award of HS GP funds and be prepared to present supporting documentation to monitors /auditors, Cal OES Contact Ali Subgrantee application materials, related questions, comments and Information correspondence should be directed to: California Governor's Office of Emergency Services ATTN: Grants Management, HSGU 3650 Schriever Ave. Mather, CA 95655 Homeland Security Grants Unit (HSGU): (916) 845 -8186; Fax: (916) 636 -3780 U.S. Department of Homeland Security, Fiscal Year 2014 Homeland SeCUrIty Funding OPPOrtUnIty Announcement. Page 41. 2 Ibid., page 55. 55B -15 Section 1— Overview 2014 HSGU Program Joseph Anderson at Los LILT anderson �caloes;e_a,<,o_v or (916) 845 -8426 Representatives Cameron Wardwell at cmeron.bardwell a�caloes ca sov or (916) 845 -8428 Bill Canepa at bill.cauepa �cafoes.ca gov or (916) 845 -8744 Tustin Dnke at,justin.du(te d clloes.ca aov or (9'16) 845 -8296 Maybel Garing- Espilla at maybel,g_aring asnill Dc� oes ca aov or (9'16) 845 -8429 Rachel Magana at rlchel.lrla ana 4caloes C_a eov or (916) 845 -8451 Cal OES representatives may be located on the HSGU regional map at: htt ://www.ea,lema;ca. ov EMS -IiS- HazMat Docu cents HSGI' /IISGU%o20Reeional %20ma2°0203 -5 -14 ndf. 55B -16 Section 2— Federal Changes and Initiatives FY14 Program The purpose of the 2014 HSGP is to prevent terrorism and to prepare the Priorities Nation for the threats and hazards that pose the Of the United States; therefore, all HSGP - funded investments investments have ra terrorism nexus. 3 Subgrantees are expected to consider National areas for improvement identified in the 2013 National Preparedness Repoli:, which include cybersecurity, recovery- focused core capabilities, the integration of individuals with access and functional needs, enhancing the resilience of infrastructure systems, and ma turing the role of public- private partnerships, Using the core capabilities, the FY 2014 HSGP 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 quieldy 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 communities affected by a catastrophic incident. 25% Law As in past years, at least 25% of PY14 HSGP funds must be dedicated to Enforcement Law Enforcement Terrorism prevention - oriented Activities (LETPA). In order to leverage funds for LETPA, activities outlined in the National Prevention Framework; and National Protection Framework are eligible for use of LETPA focused funds. All other terrorism prevention activities proposed for fimding under LETPA must be formally pre - approved by FErMA, s 5% M &A The Management and Administration (M &A) allowance for Subgrantees is set at a maximum of 5% for the FY141iSGP.b ' Ibid., pages 4 -5. ° Ibid., page 5. s Ibid., pages 52 -53. s Ibld, page 9. 55B -17 Section 2— Federal Changes and Initiatives Indirect Costs Subgrantees may use all or part of their M &A allowance for indirect costs. Subgrantees must have an approved indirect cost rate with the cognizant federal agency. A copy of the approved rate is required at the time of application and must be, evaluated to determine if costs are allowable and reasonable. 7 Organization New rules apply to overtime and operational overtime, Allowable costs are limited to federally requested participation in fusion centers, which must be formally pre- approved by FEMA,8 Personnel Cup FY14 HSGP funds have a personnel cap of 5o %.9 Equipment Subgrantees that wish to purchase equipment with FY14 funds are Typing and required to type and identify the capability associated with that equipment. Identification Also, per FEMA policy, the purchase of weapons and weapon accessories is not allowed with HSGP hinds, 10 Special rules apply to pharinaceutieal purchases and medical counter measures. 11 Equipment The use of HSGp funds for maintenance contracts, warranties, repair or Maintenance replacement costs, upgrades, and user fees are allowable ruder all active and and future grant awards, unless otherwise noted. With the exception of Sustainment maintenance plans purchased incidental to the original purchase of the equipment, the period covered by a maintenance agreement or warranty plan must not exceed the period of performance of the specific grant funds used to purchase the plan or warranty, and address the requirements identified in FEMA Information Bulletin (1B) 379. 12 Construction All funded construction projects must comply with the Davis -Bacon and and Renovation related Acts, US Department of Labor rules and other requests for the purpose of Davis -Bacon compliance. Construction projects must be formally approved by FEMA. 13 r Ibid., page 10. a Ibid., pages 50 -51. a Ibid., page 49. 10 Ibid., page 57. u Ibid., page 51. 12 Ibid., page 52. 131bid., pages 5154. 55B -18 Section 2— Federal Changes and Initiatives 12014 Exercises, Improvement Subgrautees must conduct threat and performance -based exercises in accordance with DHS Homeland Security Plans, and After Exercise and Evaluation Program (HSEEP) manuals. Grant Action Reporting recipients must report on all HSGP- assisted scheduled exercises at his: //www dlir dhs �o_v /hsee .For each exercise conducted with HSGP grant funds g tees must submit an After Action Report (AAR) AND Improvement Plan (IY) within 90 days following the completion of the exercise. For more information on this Process please contact the Cal OHS Exercise representative for your region: Inland Region: Duane Valmzuela at duane.valenzaela(n caloes ca aov Coastal Region: Kevin Leisher at lcevin leisherr),caloe Southern Region: Nicic Lowe at nicholas.Lowc)L@ 11oes ca uov State Agencies: Elaine Viray at aineirvv�(ooLa_'goy All Subgrantees will post their exercises to the National Exercise Schedule (NEXS) by creating it in the Design & Development System (DDS) portion of the Homeland Security Exercise and Evaluation Program (HSEEP) Toolkit. Once the exercise is approved by an Exercise Administrative Authority (EAA) in the Cal OES Exercise Division, the exercise is automatically posted to the NEXS and assigned a unique ID number. The unique ID number will be used to establish a standard naming convention for tracking purposes. The standard naming convention will be exercisename_uniqueID#. Example: GGI2TFWorkshop_205- 104 -12 -00 An After Action Report/Improvement Platy (AAR/IP) or Srunmary Report (for Seminars & Workshops) must be completed and submitted to hitps./ ww.lZZs.cdhs 2ovl se with a copy to your Grant Program Manager within 90 days after conduct of an exercise. Please ensure the AARAP or Summary Report document is encrypted (password- protected) and the password is also sent to tt s: / /www Zlis cdhs. ov /hreep via a separate email with a copy to your Grant Program Manager. It is acee table to submit an Exercise Summer Re ort for Seminars and Workshops in lieu of a full AAR/IP, Per Grant Programs Directorate Information Bulletin No. 366, July 7, 2011, Subgrantees must conduct an annual'Training and Exercise Plan Workshop (TEPW) to develop a Multi -Year Training and Exercise Plan (TEP) and update it annually. All TEPs developed at the UASI level should roll -up to one overarching State TEP, which should be submitted to your respective FEMA Regional Exercise Officer (points of contact listed on the HSEEP website) and to bans //ww ._LLY dhs, oi, {t tee within 90 days after conducting the TEPW, 55B -19 Section 2— Federal Changes and Initiatives 12014 Note: No later than September 301h, Subgrantees will email their Training & Exercise Schedules to the jurisdictions supporting Cal OES Exercise Division representative with a copy to the Cal OES Unit Supervisor of the Homeland Security Grants Unit, Emergency Subgrantees' Emergency Operations Plans must comply with rules Operation Plans regarding evaluation matrices and the Comprehensive Preparedness Guide. Subgrantees should refer to TB 388a for additional guidance located at this link: http://wvpw,ferna.gov /library /viewRecor6l.do ?id =6440 regarding this reporting requirement. Subgrantees must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide (CPG) 101 version 2, 0, Developing and Maintaining Emergency Operations Plans. Grantees will use the State Preparedness Report (SPR) to report their compliance with this reporting requirement. 14 Special Needs Populations whose members may have additional access and functional Population needs before, during, and after an incident must be included in planning, response and recovery documents. Subgrantees conducting major planning projects (including, but not limited to: Evacuation, Mass Care and Shelter, Disaster Recovery, etc.) will be required to address access and functional needs, including the needs of children, within their planning documents in order to maintain eligibility for HSGP. is 14 Ibid., page 8. as Ibid., page 42. 55B -20 Section 3 —State Changes and Initiatives 12014 FY14 SHSP While the State Homeland Security Strategy broadly describes goals, Priorities objectives, and implementation steps, the State's priorities for FY14 HSGP are: 1. Interoperable Communications 2. Catastrophic Planning 3, Citizen Preparedness and Participation 4. Medical Surge S. Critical Infrastructure Protection 6. Mass Prophylaxis 7, Training for First Responders 8. Food and Agriculture Safety State Initiative For FY14 HSGP, Cal OES shall retain 20% of the SHSP and 17% of the Funding UASI funding for the state initiatives, "On Behalf Of Cal OES may, in conjunction with local approval authorities, designate funds "on behalf of local entities that choose to decline or fail to utilize their homeland security award in a timely manner. Regional Subgrantees must take a regional approach and consider the needs of Approach local units of government slid applicable volunteer organizations in the projects and activities included in their FY14 HSGP application. Strategy, In the fall of 2014, Cal OES plans to conduct its annual Strategy, Planning and Planning and Metrics Workshop to receive statewide input across all Metrics disciplines. Costs associated with this eligible planning activity should be Workshop included in the Subgrantee application. Non - When seeking approval of non- DHS/FEMA developed courses, course DHS /FEMA materials must be submitted with the approval requests. Conditional Training approvals are no longer offered. For more information on this or other training - related inquiries, contact the Cal OES Training Branch at (916) 845 -8752 or their website at: hap / /www caloes ca goy Trainin anclExercises /Fa es Training asnx Capstone Subgrantees scheduled to participate in Capstone California (CC), California formerly known as Golden Guardian, exercise activities should include the details in their FY14 application. Cal OES program staff will be checking applications from Subgrantees scheduled to participate in CC activities within the FY14 HSGP grant performance period for adequate exercise funding. 55B -21 Section 3- -State Changes and Initiatives 12014 For exercise - related issues and /or questions, please contact Tim Woodward at (916) 845 -8499 ox iames.woodwardCr7ca(oes.ca eov or Steven Goff at (916) 845 -8486 or stevea.g ff&cLgloes.ca.nov. FFATA On November 23, 2010, the United States Department of Homeland Financial Security (US DHS) and the Federal Emergency Management Agency Disclosure (FEMA) issued Information Bulletin #350 to clarify requirements under the new Federal Funding Accountability and Transparency Act ( FFATA). As the State Administrative Agency (SAA), Cal OES is required to report sub -award information for federal awards of $25,000 or more made on or after October 1, 2010 as well as compensation for highly paid individuals. Specifically, the name and total compensation of the five most highly compensated individuals. Please see Grant Management Memoranda (GMM) 2012 -01 for more information. TICP Due to significant legislation impacting public safety communications, Cal OES is reminding all Subgrantees to update their Tactical Interoperable Communications Plan (TICP) and make it available upon request. Updating a TICP is an eligible activity under the FY14 HSGR 10 55B -22 Section 4--- Required State Application Components 12014 Financial 2014 HSGP FMFW can be accessed at: http: / /www caloes ca gov /EMS -HS- Management HazMat /Pa9es/Hometand ents as— Security- Grant- Program -Docum Forms Tnx Workbook The Cal OES Financial Management Forms Workbook (FMFW) includes: Face Sheet - Use the Cover Sheet to apply for grant programs. The application cover sheet must be signed in blue ink. Authorized Body of 5 Sheet - Use the Authorized Body of 5 Sheet to list the Authorized Body of 5, Authorized Agents, and Points of Contact. FFATA Financial Disclosure Sheet- Use the FFATA Financial Disclosure Sheet to list the name and compensation of the top five paid individuals, where applicable. Project: Descriptions - Describe the various details of each Project (letter /name, IJs /Goals and Objectives, brief description, need /status, milestones). A maximutn of 20 projects are allowed. Project Ledger - The project ledger is used in the application process to submit funding information and is used in the post -award phase for submitting Cash Requests, Modifications, and Advances. Equipment Inventory Ledger - Provide detailed information on grant - funded equipment including the Authorized Equipment List (AEL) numbers. All AEL information can be found on the Lessons Learned Information Sharing website at httns: / /www.tlis.dhs.gov . Organization Roster - Provide detailed information oil grant - funded Organizational activities. Training Roster - Provide detailed information on Training activities. Planning Ledger - Provide detailed information on Planning activities with a final product identified. Exercise Roster - Provide detailed information on Exercise activities. Personnel Roster - Provide detailed information on grant - funded Personnel activities. Consultant Roster - Provide detailed information on grant-funded Consultants. Management and Administration Roster - Provide detailed information on grant funded Management and Administration activities. 11 55B -23 Section 4-- Required State Application Components 1 2014 Authorized Agent Sheet — The Authorized Agent Sheet must be submitted with the application, and all Cash Requests, Modifications, or Advances, with appropriate signatures. Narrative Explanation of 25% Law Enforcement — Describe how the Subgrantee will meet Attachments the minimum federal requirement for funding Law Enforcement Terrorism Prevention- oriented Activities. Management and Administration (M &A) Cap — Describe how the Subgrantee will not surpass the federally mandated 5% cap on M &A. Personnel Cap — Describe how the Subgrantee will not surpass the federally mandated 50% personnel cap. Emergency Operations Plan (E OP) — Please describe your EOP and any progress in meeting the requirements identified in the FY 14 FOA. t6 Training with AAR/Exercise Detail — Per the Federal FOA, all training conducted using HSGP funds must be in support of the development or maintenance of an identified team or capability. Additionally, all training should address a performance gap identified through at After Action Report/ Improvement Plan (AARAP) or build a capability that will be evaluated through an exercise. Subgrantees will explain in a narrative the tvpe of training. the capability. exercise, Intelligence Analysts Certificates — Per the FOA, Cal OES must have certificates for completion of training for fusion center analytical personnel. 17 Provide copies of certificates for each intelligence analyst. Equipment Typing Narrative — All equipment procured under this grant must be in support of the development or maintenance of an identified team or capability. Please describe what typed capability the equipment purchased with this grant supports. Grant The Grant Assurances list the requirements to which the Subgrantees will be Assurances held accountable. All applicants will be required to submit a signed, original copy of the FY14 Grant Assurances with their FY14 HSGP application. The required Grant Assurances can be found only in PDF format on the Cal OES website and will be available within 14 days of the federal award. f6 Ibid., page 36. 17 Ibid., page 50, Note; Self-created Grant Assurances will not be accepted. 12 55B -24 Section 4— Required State Application Components 12014 Training Cal OES shall afford Subgrantees the opportunity to develop a "placeholder" for future training conferences when an agenda has not been established at the time Subgrantee applications are due. Please work with your Program Representative and the Training Branch to identify a possible "placeholder" for these types of training activities. CERT programs must be registered and updated. 18 Operational Approval Authority Body— Operational Areas (OA's) must appoint an Anti - Areas Only Terrorism Approval Body (Approval Authority) to have final approval of the OA's application for SHSP funds. Each member of the Approval Authority must provide written agreement with the OA's application for HSGP funds. The Approval Authority shall consist of the following representatives, and additional voting members may be added by a simple majority vote of the following standing members: is Vd., pages 47 -48. • County Public Health Officer or designee responsible for Emergency Medical Services • County Fire Chief or Chief of Fire Authority • Municipal Fire Chief (selected by the Operational Area Fire Chiefs) • County Sheriff • Chief of Police (selected by the Operational Area Police Chiefs) Note: A list of the Approval Authority Body members and their associated contact information, as well as a written agreement from each member, must be submitted with the PY14 HSGP application. Contact your program representative for more information. Governing Body Resolution – The Governing Body Resolution appoints Authorized Agents (identified by the individual's name or by a position title) to act on behalf of the governing body and the applicant by executing any actions necessary for each application and subgrant. All applicants will be required to submit a certified copy of their FY14 Governing Body Resolution with their FY14 HSGP application. A s niple Resolution can be found as Attachment C. Authorized Agent Information Form – For each person or position appointed by the governing body, submit the following information to Cal OES, along with the Resolution, on the applicant's letterhead: • Name • Title • Jurisdiction • Grant Program • Phone & Fax Number(s) • E -Mail Address • Street Address, City & Zip Code 13 55B -25 Section 4— Required State Application Components 12014 Note: Changes can be made to the Authorized Agent if/when necessary. If the Governing Body Resolution identifies the Authorized Agent by name, a new Resolution and corresponding Authorized Agent Information Sheet 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 submitting a new Authorized Agent Information Sheet. Urban Areas Urban Area Working Groups (UAWGs) — Membership in the UAWG must only provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including taw enforcement, fire service, EMS, and emergency management) that comprise the defined Urban Area. Each UASI must include the geographical boundaries and footprint of their UASI designation. The UAWG should also ensure the integration of local emergency management, public health, and health care systems into a coordinated, sustained local capability to respond effectively to a mass casualty incident. 19 State Agencies Project Narrative — In addition to the PMFW Project Descriptions, State only Agencies must complete a State Agency Project Narrative Form (included as Attachment E), 191bid., Page 43. Signature Authority — State Agency applications must be signed by the highest -level person, or their designee. If a designee is signing, the highest -level person must execute and submit a State Agency Signature Authority Form with the Application (included in Attachment D). 14 55B -26 Section S —The State Application Process 12014 Application The completed FMFW V 1.14 must be mailed in hardcopy with original Submittal signatures and also submitted electronically via e -mail to the Cal OES Program Representative. All application documents requiring an original signature will need to be mailed in hardeopy. Signatures must be in blue ink only. IIAND- DELIVERED APPLICATIONS WILL NOT BE ACCEPTED Late or All application materials are due no later than Friday, August 1, 2014 Incomplete (see Timeline in Attachment B). Only applications postmarked by the Application due date will be accepted. Applications lost in transit are the responsibility of the applicant and may not be considered for fimding. Late or incomplete applications will be reviewed and/or denied, and additional information will be requested and/or accepted From Subgrantees, at the sole discretion of Cal OES. Application The Subgrantee will receive written notice of the state's approval of the Approval subgrant application not later than 45 days after the federal grant award. Subgrantee reimbursements will not be made until all required application components have been approved by Cal OES. 15 55B -27 Section 6 —Post Award Requirements 12014 Post Award Post award budget, scope and time modifications must be requested using Modifications the Cal DES Financial Management Forms Workbook V 1. 14, signed by the Subgrantee's Authorized Agent, and submitted to the Subgrantee's Program Representative in the Homeland Security Grants Unit at Cal DES. The Subgrantee may implement the modifications, and incur associated expenses, only after receiving written final approval of the modification from the State, Failure to submit modification requests, and receive written approval prior to expenditure, could result in a reduction or disallowance of that part of the grant. Payment To request advance or reimbursement payment of FYI HSGP fiords, Request Process complete a payment request form using the Cat DES Financial Management Forms Workbook and return it to the appropriate Program Representative in the Homeland Security Grants Unit at Cal DES, Subgrantees who fail to follow the workbook instructions may experience delays in processing. Payments can only be made if the Subgrantee has submitted a completed and approved application. Exercise costs will not be reimbursed until an AAR ic 55B -28 has been posted and access to the AAR has been granted to Cal OES Program Representative Rachel Magana. Rachel can be reached at (916) 845,8451 or rachel.ma ana i.�caloes.ca gay. Advances and DHS allows Subgrantees to request FY14 HSGP funds up to 120 days prior Interest Earned to expenditure /disbursement or on a reimbursement basis. Federal rules on Advances require advances to be deposited in interest - bearing accounts Interest earned should be returned quarterly to Cal DES. In addition to returning interest in accordance with the prescribed federal guidance, Subgrantees must also inform the Grantee's Program Representative in the Homeland Security Grants Unit at Cal DES of any interest returned on program funds. Performance Many subgrantees were unable to procure large equipment items due to Bond vendor delivery scheduled to occur after the federal reporting period had expired, To assist with this issue, DHS allowed subgrantees to obtain a "performance bond" wherein subgrantees procured the item(s) in question, paid the money tip front, and obtained a performance bond to ensure delivery of the item within 90 days of the subgrantees' performance period. Subgrantees must obtain a performance bond for any equipment item over $250,000 or any vehicle, aircraft or watercraft, financed with homeland security dollars. Subgrantees must provide a copy of all performance bonds to their HSGP Program Representative and make additional copies available upon request. ic 55B -28 Section 6— PostAward Requirements 1 2014 Subgrantee Subgrantees must prepare and submit performance reports to the state for the Performance duration of the grant performance period, or until all grant activities are Reports completed and the grant is formally closed by Cal OES. Subgrantees must complete a Biannual Strategy Implementation Report (BSIR) using the DHS /FEMA Grants Reporting Tool (GRT), To obtain access to the online CRT, please log on to their website at www.reportina.odp—Ahs.goy. 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, please contact; Huy Tram at huv.tramrdcaloes ca-gov or (916) 845 -8649 Failure to Periodic reporting is required by the grant. Subgrantees who miss a single Submit reporting deadline may receive a letter addressed to their Board of Required Supervisors informing them of the failure to report. County Operational Reports Areas and Tribal Native Americans who fail to report twice in a row may have subsequent awards reduced by 10% until timely reporting is reestablished. UASIs may have a "hold" placed on any future reimbursements. Monitoring The Cal OES Monitoring Branch is actively conducting monitoring visits, both desk review and on -site, among Subgrantees. These reviews may include, but are not limited to: • Eligibility of expenditures. • Comparing actual Subgrantee activities to those approved in the subgrant application and subsequent modifications, if any. • Ensuring that advances have been disbursed in accordance with applicable guidelines. • Confirming compliance with: • Grant Assurances; • Information provided on performance reports and payment requests; and • Needs and threat assessments and strategies. Many Subgrantees receive "findings" that necessitate a Corrective Action Plan (CAP) on their part. Those Subgrantees who Pail to submit a CAP as required shall have a "hold" placed on any future reimbursements until the "finding" is resolved. Note; It is the responsibility of all Subgrantees to monitor and audit the grant activities of their Subreeipients. This requirement includes, but is not limited to, on. site verification of grant activities, as required. 17 55B -29 Section 6 —Post Award Requirements 1 201 Suspension/ The State may suspend or terminate subgrant funding, in whole or in part, or Termination other measures may be imposed for any of the following reasons; • Failing to submit required reports, • Failing to expend funds in a timely manner consistent with the grant milestones, guidance and assurances. • FaiIing to comply with the requirements or statutory progress toward the goals or objectives of federal or state law. • Failing to make satisfactory progress toward the goals or objectives set forth in the subgrant 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, • False certification in the application or document. • Failing to adequately manage, monitor or direct the grant fimding activities of their Subrecipients, 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. 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 distributed; • 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 fiords, then the State will send the final payment automatically to the Subgrantee. • Did not use all funds received, then the State will issue an Invoice or Grant Modification letter to recover amused fiords. In the 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. Note: Failure to maintain all grant records for the required retention period could result in a reduction of grant funds, and an invoice to return costs associated with the unsupported activities. 0 55B -30 Attachment A- Allocations 1 201 State Homeland Security Program (SHSP) Operational Area Population Base Amount 25% LE SHSP Total Award (25% LE + SHSP ALAMEDA 1,548,681 75,000 415,756 1,247,268 1663,024 ALPINE 1,087 75,000 19,029 57,086 76,115 AMADOR 36,741 75,000 28,169 84,506 112,674 BUTTE 221,485 75,000 75,528 226,584 302,112 CALAVERAS 44,932 75,000 30,268 90,805 121,073 COLUSA 21,674 75,000 24,306 72,918 97,225 CONTRA COSTA 1,074,702 75,000 294,251 882,753 1177,004 DEL NORTE 28,380 75,000 26,025 78,076 104,101 EL DORADO 182,286 75,000 65,479 196,439 261,917 FRESNO 952,166 75,000 262,839 788,516 1,051,355 GLENN 28,349 75,000 26,017 78,052 104,069 HUMBOLDT 135,209 75,000 53,411 160,233 213,644 IMPERIAL 180,061 75,000 64,909 194,726 259,635 INYO 18,573 75,000 23,511 70,534 94,045 KERN 857,882 75,000 238,669 716,007 954,676 KINGS 152,007 75,000 57,717 173,151 230,869 LAKE 64,531 75,000 35,293 105,878 141,170 LASSEN 33,422 75,000 27,318 81,953 109,271 LOS ANGELES 9,958,091 75,000 2,571,517 7,714,552 MADE, 152,711 75,000 57,898 173,693 MARIN 254,007 75,000 83,865 251,595 MARIPOSA 18,026 75,000 23,371 70,113 MENDOCINO 88,291 75,000 41,383 124,150 !AQ908Q,611 MERCED 262478 75,000 86,037 258,110 MODOC 9,522 75,000 21,191 63,573 MONO 14,493 75,000 22,465 67,396 MONTEREY 421,494 75,000 126,800 380,401 507,202 NAPA 138,383 75,000 54,225 162,674 216,899 NEVADA 97,019 1 75,000 43,621 130,863 174,484 ORANGE 3,081,804 1 75,000 808,774 2,426,321 3,235,095 PLACER 357,463 1 75,000 110,386 331,158 441,544 PLUMAS 19,643 75,000 23,786 71,357 95,142 RIVERSIDE 2,255,059 75,000 596,837 1,790,510 2,387347 SACRAMENTO 1,445,806 75,000 389,384 1,168,152 1,557536 SAN BENITO 56,669 75,000 33,277 99,831 133,109 SAN BERNARDINO 2,076,274 75,000 551,005 1,653,015 2 20A 02p SAN DIEGO 3,150,178 75,000 826,302 2,478,905 3,305206 SANFRANCISCO K25,1 11 75,000 230,268 690,804 921072 SAN JOAQUIN 698,414 75,000 197,789 593,368 791,157 SAN LUIS OBISPO 272,177 75,000 88,523 265,569 354,091 SAN MATEO 735,678 75,000 207,342 622,026 829,367 SANTA BARBARA 429,200 75,000 128,776 386,328 515,104 SANTA CLARA 1,842,254 75,022j 491,014 1,473,041 1964,055 55B -31 Attachment A-Allocations 12014 SANTA CRUZ 266,662 75,000 87,109 261,327 SHSP SHASTA 178,601 75,000 64,535 193,604 335,263 SIERRA 3,166 75,000 19,562 58,685 RIVERSIDE AREA SISKIYOU 44,796 75,000 30,234 90,701 M78 SOLANO 418,387 75,000 126,004 378,0£2 Total SONOMA 490,423 75,000 144,470 433,411 STANISLAUS 524,124 75,000 153,110 459,329 SUTTER 95,851 75,000 43,322 129,965 TEHAMA 63,772 75E0 35,098 105,294 140 392 TRINITY 13,443 75,000 22,196 66,588 88,785 TULARE 455,599 75,000 135,543 406,630 542,173 TUOLUMNE 54,360 75,000 32,685 98,056 1 130,741 VENTURA 835,436 75,000 232,915 698,745 931660 YOLb 205,999 75,000 71,558 214,674 286,232 YUBA 73,439 75,000 37,576 112,728 150,305 Total 37,966,471 4,350,000 10,820,246 32,460,737 43L280,982 Tribal Allocation Coordinating Group Population Base Amount 25% LE SHSP Total Award Tribal 362,801 1 75,000 1 111,7541 335,263 1 447,018 Regional Threat Assessment Center (RTAC) Region Total Award SAN FRANCISCO BAY AREA 1,000,000 SACRAMENTO /CENTRAL VALLEY AREA 1,000,000 GREATER LOS ANGELES AREA 1,000,000 SAN DIEGO AREA 1,000,000 Total 4,000,000 Urban Areas Security Initiative (UASI) *A minimum of 25% of UASI funding must be utilized for Law Enforcement purposes Urban Area Federal Allocation to State 83% Allocation to UASI 17% State Initiatives ANAHEIM /SANTA ANA AREA 5,500,000 4,565,000 935,000 BAY AREA 27,400,000 22,742,000 4,658,000 LOS ANGELES/LONG BEACH AREA 67,500,000 56,025,000 11,475,000 RIVERSIDE AREA 1,000,000 830,000 170,000 SACRAMENTO AREA 1,000,000 830,000 170,000 SAN DIEGO AREA 16,874,000 14,005,420 2,868,580 Total 119 274,000 98 997,420 20,276 580 55B -32 Attachment B —FY14 HSGP Timeline 12014 HS Announcement of FYI HSGP March 2014 [FY14 HSGP California Supplement (Including ubgrantee Allocations) Release May 2014 AA Application Due to DHS May 23, 2014 Subgrantee Application Workshops July 2014* bHS Award to Californ a July 26, 2014* Subgrantee Appflcations Due to Cal OES August 1, 2014* Subgrantee Awards (45 days from DHS award) August IQ 2014* Subgrantee Performance Period Begins September 1, 2014* Subgrantee Performance Period Ends May 31, 2016* Fi Final Requests for Reim bursement Due Ju ne 10, 2016* SAA Performance Period Ends August 31, 2016 *Date approximate depending on DHS award date 55B -33 Attachment C— Sample Governing Body Resolution 12014 BE PT RESOLVED BY THE (Governing Body) OF THE THAT (Nance of App icant) 1617 (Name or Title of Authorized Agent) M (Name or Title of Authorized Agent) (Name of Title of Authorized Agent) is hereby authorized to execute for and on behalf of the named applicant, a public entity established under the laws of the State of California, any actions necessary for the propose of obtaining federal financial assistance provided by the federal Department of Homeland Security and sub - granted through the State of California, Passed and approved this Certification I, (Name) Of flee (Title) day of , 20 duly appointed and (Governing Body) do hereby certify that the above is a true and correct copy of a resolution passed and approved by the day of 55B -34 20 (Official Position) (Signature) (Date) AS THE OF THE Attachment D —State Agency Signature Authority Form 12014 (Secretary/Director/President/Chancellor) (Name of the State Organization) I hereby authorize the following individual(s) to execute for and on behalf of the named state organization, any actions necessary for the purpose of obtaining federal financial assistance provided by the federal Department of Homeland Security and sub - granted through the California Governor's Office of Emergency Services. ,OR M Signed and approved this day of 20 (Signature) 55B -35 Attachment E —State Agency Project Narrative Form 12014 Applicant (state organization) NOTE: Cornolete a separate Project Description fbr each nr000sed ro'ect Project Title: Indicate the State Priority Objective Supported by the Project: — Interoperable Communications —.Catastrophic Planning — Medical Surge — Citizen Preparedness and Participation _Mass Prophylaxis _Critical Infrastructure Protection .—..Training for First Responders —Food and Agriculture Safety Provide a detailed description of the proposed project and how it supports the state priorlty indicated. For construction and /or renovation prajects, provide the following additional information: • A description and location of the facility; • A description of the vulnerability assessment and the date the assessment was conducted (the assessment does not have to be submitted with the application); • A description of how the proposed project will address the vulnerabilities identified in the assessment; • A description of the consequences if the project is not funded under HSGP PY14 Please check the appropriate box: ❑ Our agency crurently has spending authority for the requested funds. ❑ Our agency does not currently have spending authority for the requested funds. See below for explanation: 55B -36 Attachment F —FY14 HSGP Application Checklist 12014 Subgrantee: Cal OES Regional Rep: OPERATIONAL/URBAN AREAS — Financial Management Forms Workbook — Face Sheet Authorized Body of 5 Sheet _ FFATA Financial Disclosure Sheet _.. Project Descriptions _, Project Ledger — Equipment Inventory Ledger Organization Roster __._ Training Roster .— Planning Ledger — Exercise Roster — Personnel Roster Consultant Roster — Management and Administration Roster Authorized Agent Sheet — Narrative Attachments: — 25% Law Enforcement — Minimun — 5% M &A Cap ® 50% Personnel Cap Training w /AAR/Exercise Detail — Describe your EOP Intelligence Analysts Certificates — Equipment Typing Approval Authority: Contact Information for each member --. Written Agreement from each member —, Governing Body Resolution (Certified) --. Authorized Agent(s) Information Form — Grant Assurances (Signed Originals) PIPS #: SPATE AGENCIES — Financial Management Forms Workbooks — Face Sheet _ Authorized Body of 5 Sheet _ FFATA Financial Disclosure Sheet Project Descriptions _,. Project Ledger — Equipment Inventory Ledger Organization Roster _,._ Training Roster Planning Ledger — Exercise Roster — Personnel Roster Consultant Roster Management and Administration Roster _ Authorized Agent Sheet Narrative Attachments: 25% Law Enforcement — Minimum _,_ 5% M &A Cap — 50% Personnel Cap —.. Training w /AAR/Exercise Detail — Describe your EOP — Equipment Typing — Project Narrative Form Signature Authority — Authorized Agent Authorized Agent(s) Information Form — Grant Assurances (Signed Originals) 55B -37 Attachment G— Investment Justifications /Strategic Goals /Objectives 21114 IJ #1: Strengthen Information Sharing and Collaboration Capabilities and Law Enforcement Investigations ;GPaI lrt_llance Infortndtroxiltalysrs ante Lai �nfoieers�ent Capab hties „ + Im lenient the California Statewide Communications Interoperability Plan Strengthen Information Sharing and Collaboration Among A11 Levels of Objective 1.1 Government, Private Industry, Non -cove unencal and Comm�uxity Based Enhance Resource Management Through Implementation of the California Metrics Organizations Objective 1.2 Strengthen California's Ability`to Identify and Couutor Emerging Threats IJ #2: Enhance Protection of Critical Infrastructure and Ke Resources <;4`�T4a1 '"uPr(fteet (�T'),t��,d�,.Infr SttY1C_tln'�'atl I{;ey RLSOlif �s Objective 2.1 implement the California Critical Infrastructure Protection Program IJ #3: Strengthen Communications Capabilities �{ h' 04 - ,3, °�KW hep'�O umpa or C8p "8$lltles w 4 a l w fti" wg ti Nn; 55 1 Kn €; Objective 3.1 Im lenient the California Statewide Communications Interoperability Plan Objective 3.2 Strengthen Alert and Warning Systems to Ensure the Delivery of Clear and Consistent Public Information IJ 44; Enhance Community Resilience nla4e'laung andpnih tyFre aredness. .;i `„s; Objective 4.1 Enhance Citizen Preparedness While Integrating the Needs of Vulnerable Populations Objective 4.2 Strengthen Volunteer Management and Donations IJ #5: Enhance Catastrophic CBRNE and All Hazards Incident Planninv and Resnnnae Cnnnhpifi'nc V`kd M {F I k'p il /�Z ✓a I .%nS t NF (- 1 S f �' 4 413, -- i� kaa`F. Y`e➢ fl3 fi -rj ii` aR61= Strengfhe# 1Catastrbpinc�Fi RancAlIlazatdslJlcidenPlnu esp }niJetecltud #s' Ob ective 6.2 Objective 5.1 Strengthen All Hazards Incident Maua ement Capabilities Across California Enhance Resource Management Through Implementation of the California Metrics Objective 5.2 Project Objective 5.3 Implement the California Preventative Radiological and Nuclear Detection Program Objective 5.4 Implement a California Disaster Recovery Framework IJ 46: Enhance Medical and Public Health Preparedness aa C &. ^InY v e s . > Objective 6.1 iea�,aTiBTe las2e 5r . °` , f, ' s rrt Enhance Health and Public Health Preparedness and Disaster Response Capabilities for All Hazards Ob ective 6.2 Enhance Medical Preparedness and Disaster Response Capabilities for All Hazards Sgtren then Food and Agriculture Pre aredness i . r ix'�llg� �O!'kt arl.C1s�.�Y�le.4FAtkn`@ eSS��t� Objective 7.1 1 Enhance Agriculture Food Systems and Animal Health Preparedness 55B -38 Attachment G— Investment justifications/Strategic Goals/Objectives 12014 T.J# 8: Homeland Security Exercise, Evaluation and Training Programs V, 4 "b an' S100 IpOrot "" A Expand Statewide Training Across All Mission Areas, While Enhancing Professional Training For Emergency Management and Homeland Security Objective 83 Disci lines Objective 8.2 Expand Statewide Exercises Across All Mission Areas 55B-39 EXHIBIT B 55B -40 U.S. DEPARTMENT OF HOMELAND SECURITY FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) FY 2014 HOMELAND SECURITY GRANT PROGRAM (HSGP) OVERVIEW INFORMATION Issued By U.S. Department of Homeland Security (DHS): Federal Emergency Management Agency (FNMA) Catalog of Federal Domestic Assistance (CFDA) Number 97.067 CFDA Title Homeland Security Grant Program Program Title Homeland Security Grant Program Authorizing Authority for Program Section 2002 of The Homeland Security Act of 2002, as amended (Pub. L. No. 107 -296), (6 U.S.C.§ 603) Appropriation Authority for Program The Department of Homeland Security Appropriations Act, 2014 (Pub. L. No. 113 -76) FOA Number DHS- I4 -GPD- 067 - 000 -01 Key Dates and Time Application Start Date: Application Submission Deadline Date: Anticipated Funding Selection Date: Anticipated Award Date: Other Key Dates Period of Performance Start Date: Period of Performance End Date: 03/18/2014 05/23/2014 at 11:59:59 p.m. EDT 07/26/2014 No later than 09/30/14 09/01/2014 08/31/2016 Intergovernmental Review 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 http: / /`yrvw..fw,s gov/ policy /Hhrary/rgeo 12372..pclf). Name and addresses of the SPOCs are 1 FY 2014 HSGP FOA 55B -41 maintained at the Office of Managemeiat and Budget's home page at hta) //vvww.whitehouse.w v onahgr ,ty gyj,L to ansure cutrency. 2 FY 2014 FI5GP FOA 55B -42 FOA EXECUTIVE SUMMARY The FY 2014 HSGP plays an important role in the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities essential to achieving the National Preparedness Goal (the Goal) of a secure and resilient Nation, The building, sustaimnent, and delivery of these core capabilities are not exclusive to any single level of government, organization, or community, but rather, require the combined effort of the whole community. The FY 2014 HSGP supports core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery based on allowable costs. HSGP is comprised of three interconnected grant programs: • State Homeland Security Program (SHSP) • Urban Areas Security Initiative (UASI) • Operation Stonegarden (OPSG) Together, these grant programs fund a range of preparedness activities, including planning, organization, equipment purchase, training, exercises, and management and administration Funding Category Continuing Date of Origin for Program 11/25/2002 Type of Funding Instrument SHSP and UASI are mandatory grants; OPSG is a discretionary grant Application Process The Department of Homeland Security makes all funding opportanities available through the common electronic "storefront' Grants.gov, accessible on the Internet at htt�: / /vv i w,�ran.ts, gov. For details on how to apply through grants.gov, please read Section IX, "How to Apply." Eligible Applicants State governments FY 2014 HSGP FOA 55B -43 FULL FUNDING OPPORTUNITY ANNOUNCEMENT Funding Opportunity (Description A. Program Summary The FY 2014 HSGP is comprised of three interconnected grant programs: State Homeland Security Program (SHSP): SHSP supports the iniplementation of risk driven, capabilities -based State Homeland Security Strategies to address capability targets set in Urban Area, State, and regional Threat and Hazard Identification and Risk Assessments (THIRAs). The capability targets are established during the THIRA process, and assessed in the State Preparedness Report (SPR) and inform planning, organization, equipment, training, and exercise needs to prevent, protect against, mitigate, respond to, and recover from acts of terrorism and other catastrophic events. Urban Areas Security Initiative (VAST): The UASI program addresses the unique risk driven and capabilities -based planning, organization, equipment, training, exercise needs, of high- threat, high- density Urban Areas based on the capability targets identified during the THIRA process and associated assessment efforts, and assists them in building an enhanced and sustainable capacity to prevent, protect against, mitigate, respond to, and recover from acts of terrorism. Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and coordination among local, Tribal, territorial, State, and Federal law enforcement agencies in a joint mission to secure the United States' borders along routes of ingress from international borders to include travel corridors in States bordering Mexico and Canada, as well as States and territories with international water borders. All three programs are founded on risk- driven, capabilities -based strategic plans. These strategic plans outline capability requirements and inform how available finding may be applied to manage risk. For these plans to be effective, government officials and elected leaders, working with the whole community, must consider how to sustain current capability levels and address potential gaps to prevent, protect, mitigate, respond to, and recover from acts of terrorism and other disasters. B. Program Priorities The National Preparedness System is the instrument the Nation employs to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (the Goal) of a secure and resilient Nation. Complex and far - reaching threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, communitics, 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 allows for the integration of preparedness efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes identified in the Goal. The purpose of the HSGP is to prevent terrorism and to prepare the Nation for the threats and hazards that pose the 4 FY 2014 HSGP FOA 55B -44 greatest risk to the security of the United States; therefore, HSGP funded investments must have a terrorism- nexus. To evaluate National progress in building, sustaining, and delivering the core capabilities outlined in the Goal, FEMA annually publishes the National Preparedness Report (NPR), Looking across all 31 core capabilities outlined in the Goal, the NPR provides a National perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources, and communicate with stakeholders about issues of shared concern. Grantees are expected to consider National areas for improvement identified in the 2013 National Preparedness Report, which include cybersecurity, recovery - focused core capabilities, the integration of individuals with access and functional needs, enhancing the resilience of infrastructure systems, and maturing the role of public- private partnerships. Addressing these areas for improvement will enhance preparedness Nation- wide. In addition, the Department of Homeland Security expects grantees to prioritize grant funding to address gaps identified through the annual SPR in achieving capability targets set through the annual THIRA. 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 finding 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, Appendix B also includes other areas where funding can be applied to strengthen preparedness efforts, II. Funding Information A. Available funding for the FOA $1,043,346,000 For details on program - specific funding amounts, refer to Appendix A — FY 2014 Program Allocations, B. Period of Performance Twenty -tour (24) months 5 FY 2014 HSGP FOA 55B -45 C. Extensions to the Period of Performance Extensions to the period of performance will be considered only through formal requests to FEMA with specific and compelling justifications as to why an extension is required. Agencies should request extensions sparingly and expect extensions to be granted only under exceptional circumstances. For additional information on period of performance extensions, refer to Information Bulletin (IB) 379 located at l,1tt� /(�w.ema. oy/gw ants /eran�rozrnrns- directorate -in. orrnatlon- br.�llerdns D, Risk Methodology Based upon the requirements of the Homeland Security Act of 2002, as amended, DES continues to inform final grant allocation decisions based upon risk. DHS defines risk as: "potential for an unwanted outcome resulting from an incident, event, or occurrence, as determined by its likelihood and the associated consequences" (see kitty /hvww dhs. gov /,rlibry /asseCs /dF IL A- lex¢con 2010.ntdP1. DHS utilizes a comprehensive risk methodology focused on three principal elements: • Threat — likelihood of an attack being attempted by an adversary; • Vulnerability— likelihood that an attack is successful, given that it is attempted; and • Consequence — effect of an event, incident or occurrence The risk methodology determines the relative risk of terrorism faced by a given area. It takes into account the potential risk of terrorism to people, critical infrastructure, and economic security, The threat analysis continues to account for threats from domestic violent extremists as well as international terrorist groups and those individuals inspired by terrorists abroad. SHSP Allocations FY 2014 SHSP funds will be allocated based on three factors: minimum amounts as legislatively mandated, DHS' risk methodology, and anticipated effectiveness of proposed projects. The anticipated effectiveness is assessed based on the applicant's description of how the proposed projects, as outlined in the Investment Justification (IJ), align with the State THIRA and SPR results. Each State and territory will receive a minimum allocation under SHSP using the thresholds established in the Homeland Security Act of 2002, as amended. All 50 States, the District of Columbia, and Puerto Rico will receive 0.35 percent of the total funds allocated for grants under Section. 2003 and Section 2004 of the Homeland Security Act of 2002, as amended. Four territories (American Samoa, Guam, the Northem Mariana Islands, and the U.S. Virgin Islands) will receive a minimum allocation of 0,08 percent of the total fimds allocated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as amended. For details on program-specific funding amounts, refer to Appendix A — FY 2014 Program Allocations, UASI Allocations FY 2014 UASI funds will be allocated based on DES' risk methodology and then on anticipated effectiveness of proposed projects. The anticipated effectiveness is assessed based on the applicant's description of how the proposed projects, as outlined in the Il, align with the Urban Area THIRA. Eligible candidates for the FY 2014 UASI program 6 FY 2014 HSGP FOA 55B -46 have been determined through an analysis of relative risk of terrorism faced by the 100 most populous metropolitan statistical areas (MSAs) in the United States, in accordance with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is publicly available from the United States Census Bureau at http., / /www. census. 2v/ popwcictt %onfwww/m.etroareas/metrodc .html., For details on program - specific funding amounts, refer to Appendix A — FY 2014 Program Allocations. OPSG Allocations FY 2014 OPSG funds will be allocated based on risk -based prioritization using a U.S. Customs and Border Protection (CBP) Sector - specific border risk methodology. Factors considered include, but are not limited to; threat, vulnerability, miles of border, and other border- specific "law enforcement intelligence," as well as feasibility of FY 2014 Operation Orders to designated localities within the United States Border States and territories. For details on program - specific funding amounts, refer to Appendix A — FY 2014 Program Allocations. III, Eligibility Information A. Eligibility Criteria All 56 States, territories and Commonwealths are eligible to apply for SHSP funds. For those States, territories and Commonwealths that are eligible for UASI and/or OPSG funds, the State Administrative Agency (SAA) is the only entity eligible to submit applications to FEMA on behalf of UASI and OPSG applicants. Eligible sub - recipients under the FY 2014 ONG are local units of government at the county level and Federally- recognized Tribal governments in the States bordering Canada, States bordering Mexico, and States and territories with international water borders. All applicants must have active ongoing CBP operations coordinated through a sector office. Eligible States and territories with a county or similar level of government structure are authorized to accept applications on behalf of the alternative unit of local government. SAAB in this situation must advise FEMA in writing as to their intent to apply. I. Cost Sharc/1VIatch A cost share /match is not required under this Program. ii. Maintenance of Effort Maintenance of effort is not required under this Program. iii. Pass Through Funding The SAA must obligate at least 80 percent (80 %) of the finds awarded under SHSP and UASI to local units of government within 45 days of receipt of the finds. If receiving OPSG funds, the recipient must pass through t00 percent (100 %) of ONG allocations to eligible jurisdictions. For States withholding Management and Administration M &A costs, please refer to Section IV, A, ii on M &A for how to calculate percentage pass through funds. 7 FY 2014 HSGP FOA 55B -47 iv. Other Eligibility Requirements Emergency Management Assistance Compact (EMAC) Membership In support of the Goal, grantees must belong to, be located in, or act as a temporary member of EMAC, except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. All assets supported in part or entirely with FY 2014 HSGP funding by States, territories, and Tribes must be readily deployable to support emergency or disaster operations per existing EMAC agreements. In addition, funding may be used for the sustainment 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. NationallncidentManagementSystem (NIMS)Implementation Prior to allocation of any Federal preparedness awards in FY 2014, grantees must ensure and maintain adoption and implementation of NIMS. Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment and/or supplies) to meet incident needs. Utilization of the standardized resource management concepts such as typing, inventorying, and cataloging promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management and national Tier I NIMS Resource Types can be found at 12P wwpv.femct.gm /resource- nzanigen2 nt. 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 govermnent may use both routinely and to facilitate multijurisdictional 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 httn://vvvvvv, Perna. uov /odf/emerzenov/nirn,y/ninis alert cred 2uldeline.ndf Emergency Operation Plan (EOP) Grantees must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide (CPG) 101 version 2.0, Developing and Maintaining Emergency Operations Plans. Grantees will use the State Preparedness Report (SPR) to report their compliance with this reporting requirement. 8 FY 2014 HSGP FOA 55B -48 Threat and Hazard Identification and Risk Assessment ( THIRA) Grantees must update their TIIIRA by December 31, 2014. Further details on the THIRA as it relates to HSGP Program requirements can be found in Appendix B - FY 2014 HSGP Program Priorities. For additional guidance on THIRA, please refer to CPG 201, Second Edition, available at hgp //wwry cma goi/ an; State Preparedness Report (SPR) The SPR is an annual capability assessment. The Post - Katrina Emergency Management Reform Act of 2006 (PKEMIU) requires an SPR from any state /territory receiving federal preparedness assistance administered by DHS. Each state submits an annual SPR to FEMA. Refer to Appendix B — FY 2014 HSGP Program Priorities for additional guidance on SPR requirements. NV. 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 funds may not be used for matching funds for any other Federal grants /cooperative agreements, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the federal government or any other government entity. For additional details on restrictions of the use of funds, refer to Appendix C — FY2014 HSGP Funding Guidelines. I. Pre - award Costs Pre -award costs are allowable only with the written consent of DHS and if they are included in the award agreement. I!. Direct Costs Management and Administration (M&A) Management and administration (M &A) activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. A maximum of up to five percent (5 %) of HSGP funds awarded may be retained by the State, and any funds retained are to be used solely for M &A purposes associated with the HSGP award. Sub - grantees may also retain a maximum of up to five percent (5 %) of finding passed through by the State solely for M &A purposes associated with the HSGP award. A State's HSGP funds for M &A calculation purposes incl odes the sum total of its S'HSP, UASI, and, where applicable, OPSG awards. While the SAA may retain up to five percent (5 %) of this total for M &A, grantees must still ensure that all sub - grantee award amounts meet the mandatory minimum pass through requirements which are applicable to each HSGP program. To meet this requirement the percentage of 9 FY 2014 HSGP FOA 55B -49 SHSP, UASI and ONG fiords passed through to local jurisdictions must be based on the State's total HSGP award prior to withholding any M &A. For additional information on SHSP and UASI M&A, refer to IB 365. For additional clarification on OPSG M &A, refer to FEMA Policy FP- 207 - 087 -1. These documents can be found at hth� / /wrovw fema eov/ rcznes /e rangy;pfggrams -dire cto�tg -in or- mation- be llt ctins and LLtp..Ilvi)wlVLCTnclgovIii,brcii- �LlvieitItecg.rd.cle)7I'd=7L3Z, respectively. Planning Planning related costs are allowed under this program. Organization Grantee organization costs for carrying out the grant's programmatic activities are allowed wader this program. Egn !pm ent Equipment costs are allowed under this program. Training Training related costs are allowed under this program. Exercises Exercise related costs are allowed under 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 allowed under this program. Maintenance and Sustainnient Maintenance and sustaimnent costs are allowed under this program. Critical Emergency Supplies Critical emergency supply related costs are allowed under this program. iii. Indirect Costs Indirect costs are allowable under this program, but only if the applicant has an approved indirect cost rate agreement with the cognizant Federal agency. A copy of 10 FY 2014 HSGP FOA 55B -50 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 Consolidation of Law Enforcement Terrorism Prevention Activities (LETPA) Per section 2006 of the Homeland Security Act of 2002 (Public Law 107 -296), as amended, (6 U. S.C, § 607), States are required to ensure that at least 25 percent (25 %) of the combined FISGP funds allocated under SHSP and UASI are dedicated towards law enforcement terrorism prevention activities. The LETPA allocation can be from SHSP, UASI or both. This requirement does not include award funds from OPSG, Please refer to Appendix A — FY 2014 Program Allocations for LETPA minimum allocations for SHSP and UASI by jurisdiction. The National Prevention Framework describes those activities that should be executed upon the discovery of intelligence or information regarding an imminent threat to the homeland, in order to thwart an initial or follow on terrorist attack, and provides guidance to ensure the Nation is prepared to prevent, avoid, or stop a threatened or actual act of terrorism. Activities outlined in the National Prevention Framework are eligible for use of LETPA focused funds. In addition, where capabilities are shared with the protection mission area, the National Protection Framework activities are also eligible. Other terrorism prevention activities proposed for funding under LETPA must be approved by the FEMA Administrator. SIISP and UASI Pass - Through Requirements Awards made to the SAA for HSGP carry additional pass through requirements. Pass through is defined as an obligation on the part of the States to make funds available to local units of government, combinations of local units, or other specific groups or organizations. The State's pass through requirement must be met within 45 days of the award date. Four requirements must be met to pass through grant funds: • There must be some action to establish a firm commitment on the part of the awarding entity; • The action must be unconditional on the part of the awarding entity (i.e., no contingencies for availability of SAA fiords); • There must be documentary evidence of the commitment; and • The award terms must be communicated to the official grantee The SAA must obligate at least 80 percent (80 %) of the Rinds awarded under SHSP and UASI to local units of government within 45 days of receipt of the funds. The signatory authority of the SAA must certify in writing that these obligations have been met. A letter of intent (or equivalent) to distribute funds is not considered sufficient. Award sub- recipients must receive their funds within 45 days from the date the funds are first made available to the grantee so that they can initiate implementation of approved investments. For the Commonwealth of Puerto Rico, the SAA must also obligate at least 80 percent (80 %) of the finds to local units of 1'I FY 2014 HSGP FOA 55B -51 government within 45 days of receipt of the funds, For SHSP awards, no pass through requirements will be applied to the District of Columbia, Guam, American Samoa, the U.S, Virgin Islands, and the Commonwealth of the Northern Mariana Islands, Any UASI fiords retained by the SAA must be used to directly support the designated Urban Areas in the State. Under SHSP, the State may retain more than 20 percent (20 %) of SHSP funding for expenditure made by the State on behalf of the local unit(s) of government. This may occur only with the written consent of the local unit of government, with the written consent specifying the amount of fitnds to be retained and the intended use of funds. If a written consent agreement is already in place from previous fiscal years, FEMA will continue to recognize it for FY 2014, If any modifications to the existing agreement are necessary to reflect new initiatives, States should contact their assigned FEMA Program Analyst. If UASI funds are used by the SAA in support of the Urban Area, the SAA must propose an Investment describing how UASI funds will be used by the SAA to directly support the Urban Area, OPSG Pass - Through Requirement The recipient must pass through 100 percent (100 %) of OPSG allocations to eligible jurisdictions. The recipient is prohibited from obligating or expending funds provided through this award until each unique and specific county level or equivalent Operational Order /Fragmentary Operations Order with an embedded estimated operational budget has been reviewed and approved through an official electronic mail notice issued by FEMA removing this special programmatic condition. Funds Transfer Restriction The recipient is prohibited firont transferring Rinds between programs (includes SHSP, UASI, and OPSG), Grantees are allowed to submit an Investment /project where fiords come from multiple fimding sources (i.e., SHSP /UASI); however, grantees are not allowed to divert funding from one program to another due to the risk -based funding allocations, which were made at the discretion of DHS, For additional details on restrictions on the use of finds, refer to Appendix C — Funding Guidelines. Em ironmental Planning and H"istorie 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 EHP 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 process. The EHP review process involves the submission of a detailed project description that 12 FY 2014 HSGP FOA 55B -52 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 EHP review process must be completed before funds 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 httpr / /www.fema gov /media- libr s,sets /documentsl( 5a76. SAFECOM Grantees (including sub- mcipients) who receive awards under HSGP 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, http:// www.safecompro- ram.uov/urant /De aas t.crs x. 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 II3 386: Clari Pica On on Use ofDHS/FEMA Public Safety Grant Fz nds br Broadbatad- Related Expenditures an d Investments, and consult their FEMA Headquarters Program Analyst on such Investments before developing applications, V. Application Review Information and Selection Process A. Application Review Information FY 2014 IISGP applications will be evaluated through a review process for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed Investments. The results from the review process may require applicants to revise submissions before the release of HSGP funding. SHSP and UASI FEMA will verify compliance with all administrative and eligibility criteria identified in the application kit, to include the required submission of risk driven, capabilities - based ISs by the established due dates and verification of alignment to Urban Area, State, and regional THIRAs; SPRs; and national priorities. State and Urban Area Homeland Security Strategies will also be examined for further context regarding current capability levels and how Ifs address potential gaps to prevent, protect, mitigate, respond to, and recover from acts of terrorism and other disasters. FY 2014 SHSP and UASI are non - competitive .programs. For additional information on FY 2014 SHSP and UASI allocations, refer to Appendix A — FY 2014 Program Allocations. 13 FY 2014 HSGP FOA 55B -53 ii. OPSG Applications will be reviewed by the SAA and U.S. Customs and Border Protection (CBP)iBorder Patrol (BP) Sector Headquarters for completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact of the Operations Orders. FEMA will verify compliance with all administrative and eligibility criteria identified in the FOA and required submission of Operations Orders and Inventory of Operations Orders by the established due dates. FEiVIA and CBP /BP will use the results of both the risk analysis and the Federal review to make recommendations for funding to the Secretary of Homeland Security, FY 2014 OPSG funds will be allocated competitively based on risk -based prioritization using a CBP Sector- speci'fie border risk methodology. Factors considered include, but are not limited to: threat, vulnerability, miles of border, and other border - specific "law enforcement intelligence," as well as feasibility of FY 2014 Operation Orders to designated localities within the United States border States and territories. For details on program - specific funding amounts, please refer to Appendix A — FY 2014 Program Allocations. VI. Federal Award Administration information A. Notice of Award Notification of award approval is made through the ND Grants system through an automatic electronic mail to the awardee authorized official listed in the initial application, The date of 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 trader the award, or provide a written notice of intent to decline. Funds will remain on hold until the grantee accepts the award through the ND Grants system 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 autharzed official should carefully read the award package for instructions on administering the grant award and terns 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 package to receive an award under this program. i. Standard Terms and Conditions 14 FY 2014 HSGP FOA 55B -54 All successfiil applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions available at: ii. Payment FEMA utilizes the FEMA Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. Additional information can be obtained at http,s://lsotirce eina¢ i;/ st269/ exc�cztte %Cozlrayscara�ConrentMessa e= Crtce. 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 programmatic reports as a condition of their award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent. Financial and Compliance Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal finding 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 the requirements of GAO's Government Auditing Standards, located at htM //www gcto ov(gpyaud/yhk0l.htrn, and the requirements of Subpart F of 2 C.F.R, Part 200, located at ham: / /www.ec ov /ci.- hin/tett- idx7a4QJ = 55e12eead565605b4d529d82d276105c &node =2 1 1.2.1.1.6 &ren =dive. For audits of fiscal years beginning prior to December 26, 2014, recipients that expend $500,000 or more from all federal funding 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 h my Iwww.�trvv/gavaucl/vbLc htm, and OMB Circular A -133, Audits of States, Local Governments, and Non - Profit Organizations, located at Audit reports are currently due to the Federal Audit Clearinghouse no later than nine months after the end of the recipient's fiscal year. it. Financial Reporting Periods and Due Dates 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 April 1 --June 30 July 30 July 1 — September 30 October 30 15 FY 2014 HSGP FOA 55B -55 iii. Federal Financial Report (FFR) Obligations and expenditures must be reported on a quarterly basis through the FFR (SF -425) mud must be filed electronically using PARS. The form is available at http:/ hvww .whitehouseggv /W(cs1dehu lt /f Ues/omblossets/trrants ornzs /SF- 42j,pd,, 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 PARS. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail. iv. Program Performance Reporting Requirements The following reporting periods and due dates apply: Reporting Period Report Due Date January 1 -June 30 July 30 Judy 1 - December 31 January 30 .Performance Progress Report (SF -PPR) Awardees are responsible for providing updated performance reports using the SF- PPR (OMB Control Number: 0970 -0334) on abiannual basis. Grantees must complete the cover page of the SF -PPR and submit it as an attachment to the 'NO Grants system. The SF -PPR can be accessed online at tt „: yww,na.fs.fed.ias/far)/SF -PPR Cover %205he . et, d Grantees will be required to report on progress towards implementing plans described in their application, as well as, progress made towards implementing performance measures as described in Appendix B - Program Specific Priorities. As part of the SF -PPR, grantees will be required to report on progress towards implementing the following performance measures: • For fission centers, the achievement of capabilities and compliance with measurement requirements within the Maturation and Enhancement of State and Major Urban Area Fusion Centers priority through the annual Fusion Center Assessment Program managed by the DHS Office of Intelligence and Analysis (I &A) and reported to FEMA; and Pass - Through Certification Requirement For FY 2014, the Initial Strategy Implementation Plan (IS If) will no longer be required, In place of the ISIP, the signatory authority of the SAA must certify in writing to the respective FEMA GPD Program Analyst that the 80 percent (80 %) pass - through obligation was met within 45 days of the award date. Biannual Strategy Implementation Reports (BSIR) In addition to the quarterly financial and biannual performance progress reports, grantees are responsible for completing and submitting BSIRs. The BSIR is due 16 FY 2014 HSGP FOA 55B -56 within 30 days after the end of the reporting period (July 30 for the reporting period of January 1 through June 30 (the summer BSIR report); and January 30 for the reporting period of July 1 through December 31 (winter BSIR report). In the first BSIR, grantees must provide the information on all awarded funds, by identifying all projects that were not included in the application. In the BSIR grantees will be responsible for linking projects to sub grantees and reporting on project progress, The BSIR reports will be used as an additional validation that the pass - through requirement is met throughout the period of performance of the award. All required attributes of each project must be included. Updated obligations, expenditures, and significant developments must be provided within the BSIR to show progress of implementation for every project, as well as how expenditures support Planning, Organization, Equipment, Training and Exercises (POSTE). The first BSIR will be due January 30, 2015, (30 days after the end of the first reporting period for the award, Subsequent BSIR reports will require grantees to report on a project -by- project basis. D. Monitoring Grant recipients will be monitored on an annual and as needed basis by FEMA staff, both programmatically and financially, to ensure that the 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. 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 o f perfonvance, grantees must submit the following: 1) Final request for payment, if applicable; 2) SF -425 -Final Federal Financial Report; 3) SF -PPR — Final Performance Progress Report; 4) A qualitative narrative summary on the impact of those accomplishments throughout the entire period of performance submitted to the respective Grant Programs Directorate (GPD) Program Analyst in a Word document; 5) SF -428 — Tangible Personal Property Report — Inventory of all tangible personal property acquired using funds from this award, The form is available at httn / /www vvhiteho¢rre nov/ sites / default /Ties /onrati /zrnnty /apuroved foNms /sf 428 nd� 17 FY 2014 HSGP FOA 55B -57 6) When applicable, SF -429 — Real Property Status Report — Inventory of all construction projects using funds from this award. The form is available at duttp; /hvwuv.t�lg e o¢ese.¢ov /sd8ns /ecudt /ilex /omb /granis/crnprove forts /s[429, d. 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 Grant Adjustment Notice (GAN) which will provide information regarding the amount of any deobfigated 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 clown, but remain as unliquidated on grantee financial records. F. Extensions Extensions to the initial period of performance identified in the award will only be considered through formal, written requests to the grantee's respective Headquarters Program Analyst and must contain specific and compelling justifications as to why an extension is required. States are advised to coordinate with the Program Analyst 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 fun ds drawn down to date; 6) Remaining available funds, both Federal and non - Federal; 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 proposed extension requests to DHS /FEMA for review and approval no later than 120 clays prior to the end of the period of performance. In 18 FY 2014 HSGP FOA 55B -58 accordance with GPD policy, extensions are typically granted for no more than a six month time period. Extension requests will be granted only due to compelling legal, policy, or operational challenges. For more infonnation on extensions, refer to IB #379, Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding at Attn;,(hvwvv fema Qov /¢runts /rant- nragrams- directorate- informaKon- GulleGins #2013IB. 19 FY 2014 HSGP FOA 55B -59 VII. DIIS FERIA Contact Information A. For Financial, Programmatic, or Administrative Questions Pre -Award and Post Award Centralized Scheduling and Information Desk (CSID) 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 prograramatic questions or concerns. CSID can be reached by phone at (800)368- 6498 or by e -mail at askcsid aMhs. g(�y, Monday through Friday, 8:00 a.m. — 5:30 p.m. EST. fl, Grant Programs Directorate (GPD) Grant Operations Division GPD's Grant Operations Division Business Office provides financial support and technical assistance. The Grant Operations Division manages, administers, and conducts application budget review, creates the award package, approves, amends and closes out awards. Additional guidance and information can be obtained by contacting the FEMA Call Center at (866) 927 -5646 or via e -mail to ASK - GMD@dhs.gov. Ill. FEMA Regions FEMA Regions may also provide fiscal support, including pre - and post -award administration and technical assistance such as conducting cash analysis, financial monitoring, and audit resolution to the grant programs included in this solicitation. GPD will provide progranmzatic support and technical assistance. For a list of contacts, please go to h*. Il www. fema. Pov /about/contaet/i•egions.shtn:. iv. Systems Information Grants.gov. For technical assistance with GranLs, ov, 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 nder�a.gov or (800)865 -4076. 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 gedehpin fo_ emca. ov. EHP Technical Assistance, including the EIIP Screening Form, can be found at lat a.Wwww feena. eovhraedica_ 20 FY 2014 HSGP FOA 55B -60 library- data /20130726- 1806- 25045- 28391zpd eho screeningib m660 0(L5 e 2QL].p&: vi. Telephone Device for the Deaf (TDD) The Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this announcement is: (800) 462 -7585. vii. Hard copies of the FOA Hard copies of the FOA are not available. WE Other Critical Information National Preparedness DHS coordinates with local, State, territory, Tribal, and Federal governments as well as the private and nonprofit sectors 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. Urban Areas and States must maintain and update their THIRAs, and States 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 National Preparedness System can be found in the National Preparedness System Description (released November 2011), which is posted on the FEMA website at beW.//www.Fenux.trov/ national- nrevaredne.ss/nationcrl- preparedness- system. Additional details regarding how the National Preparedness System is supported by the HSGP can be found in Appendix B — Program Specific Priorities, FP 2014 Unifed Reporting Tool (URT) The URT is FEMA's collection mechanism for THIRA /SPR and other related preparedness information. The FY 2014 SPR includes questions related to NIMS adoption and implementation, and Comprehensive Preparedness Guide 101 v 2.0 compliance. 1X. How to Apply A. Application Overview 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; 21 FY 201.4 HSGP FOA 55B -61 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 grants.gov; 5) Completing Investment Justifications in the Grant Reporting Tool (GRT) and; 6) Submitting the complete application i,n 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 May 23, 2014 application deadline 1. Obtain a Data Universal Numbering System Number (DUNS) 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 anti /or incorrect payment to a. grantee organization. Organization applicants applying for an EIN should plan on a minimum of two full weeks to obtain an EIN. If you need assistance registering an EIN, go to http:11 wvvw. irsnovI B2isinesses ISmall- Httsinevses -&- Self -E_ai lliyed/Apply or -an- Enaployer- Identification Number -(EIN - 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 http: / /www.sam.gov, 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, 22 FY 2014 HSGP FOA 55B -62 If you need assistance registering with SAM, please go to https: / /www.fsd,gov/ or call 866 -606 -8220. FEMA cannot assist applicants with questions related to obtaining a current CAGE code. 4. Initial Application Submission in Grants.gov All applicants submit their initial application through Grants.gov. Applicants may need to first create a Grants.gov riser profile by visiting the Get Registered section of the grams.gov website. Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Applicants should complete this step at http: / /www,grants.gov. The initial on -line application in grants. gov requires completing • Standard Form 424 (SF 424), Application for Federal Assistance, and • Grants.gov Form Certification Regarding Lobbying Form. Both forms are available in the Forms tab under SF424 Family. 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 http: / /www.gratits.gov, 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 May 23, 2014 application deadline. If you need assistance applying through grants.gov, please go to http: / /www.grauts.gov/ web /grants /applicants /grant - application- process.ht.ml, contact support @grants.gov, or call 800 -518 -4726, FEMA cannot assist applicants with questions related to registering with grants.gov. 5. Completing Investment Justifications in the Grant Reporting Tool For more information on how to complete IJs, refer to the Investment Justification Planning Guide found at vvwrov farm. croy/Pr�ants. 6. Final Application Submission in FEMA's Nan 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 littps: / /poltal.fema.gov, In ND Grants, applicants will be prompted to submit all of the information contained in the following forms: 23 FY 2014 HSGP FOA 55B -63 Standard Form 424A, Budget Information (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 Forrn, Certification Regarding Lobbying. Applicants will also be prompted to assure compliance with all Standard and Special Terms and Conditions before being eligible to receive an award under this program. In addition applicants must submit copies of the following in ND Grants: • Standard Form 424C, Budget Information (Construction) if applying for grants to support construction; • Investment Justification • Program and Budget Narrative • Program Work Plan • Project Objectives • Detailed budget • Indirect Cost Agreement. If you need assistance registering on the ND Grants system, please contact ndgrants @fema.gov or (800) 865 -4076. HSGP Program Specific Application Instructions Investment Justification (SHSP and UASI) As part of the FY 2014 HSGP application process for SHSP and UASI fiends, applicants must develop a formal IJ that addresses each investment being proposed for fimding. The U must demonstrate how proposed projects support sustaimnent of existing core capabilities or address capability gaps and deficiencies in one or more core capabilities outlined in the Goal and as identified in their most recent State Preparedness Report. The IJ must also demonstrate alignment to the Urban Area, State, and /or regional THIRAs, national priorities, and applicable guidance provided by FEMA. The IJ must also describe engagement with and /or impacts on the general and vulnerable populations, to include children, the elderly, pregnant women, and individuals with disabilities such as those with access and functional needs. Furthermore, the IJ must clearly identify and explain the nexus to terrorism preparedness. IJs are submitted in the GRT. The IJ Guide contains instructions for collecting the required information for Investments and projects. Additionally, applicants should utilize the Project Worksheet to assemble the information required for each project, which will facilitate the input of that information into the GRT. 24 FY 2014 HSGP FOA 55B -64 Instructions' for SHSP • Applicants must propose at least one and include up to 10 projects within each Investment in their I7 to describe the activities they would like to implement with SHSP funds • Any projects not included in the application must be included in the first BSIR • Of the proposed Investments, applicants are required to propose at least one Investment to provide funding support to the State's primary fusion center, as designated by the Governor, Grantees must coordinate with the fusion center when developing a fission center Investment prior to submission • Grantees investing in emergency communications must describe how activities align to their Statewide Communication Interoperable Plan (SCIP), Grantees must coordinate with their Statewide Interoperability Coordinator (SWIG) and/or Statewide Interoperability Governance Body (SIGB) when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and imcroperable with surrounding systems Instructions for UASI • Urban Areas must propose at least one and up to 10 projects within each Investment in their I7 to describe the activities they are planning to implement with UASI funds • Any projects not included in the application must be included in the first BSIR • If applicable, of the proposed 10 Investments, Urban Areas are required to propose at least one Investment in support of a designated fusion center within the Urban Area. Grantees must coordinate with the fusion center when developing a fusion center Investment prior to submission • IF UASI Bends are used by the SAA in support of the Urban Area, the SAA must, as part of the up to 10 hnvestments, propose an Investment describing how UASI funds will be used by the SAA to directly support the Urban Area, • Grantees investing in emergency communications must describe how activities align to the SLIP, Grantees must coordinate vdth the Statewide Interoperability Coordinator (SWIG) and/or Statewide Interoperability Governance Body (SIGB) when developing an emergency communications Investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems Instructions for OPSG As part of the FY 2014 OPSG application process, each eligible local unit of government at the county level or Federally - recognized Tribal government must develop their Operations Order in coordination with State and Federal taw enforcement agencies, to include, but not limited to Customs and Border Patrol (CBP)Border Protection (BP). Operations Orders that are developed at the county level should be inclusive of city, county, Tribal, and other local law enforcement agencies that are eligible to participate in OPSG operational activities, and the Operations Order should address this in the Executive Summary. The details should include the names of the agencies, the points of contact, and the individual funding requests. All applications must be coordinated through the CBP sector office and that BP will forward application to the SAA for 25 FY 2014 HSGP FOA 55B -65 review. For more information, refer to Appendix E — FY 2014 OPSG Operations Order Template and Instruotions and Appendix F — OPSG Operational Guidance for more information. 26 FY 2014 HSGP FOA 55B -66 Appendix A - FY 2014 Program Allocations FY 2014 SHSP Allocations St . ate/Territor y Alabama FY 2014 Allocation $3,738,000 FY 2014 StatelTerritory Allocation Montana $3,733,000 Alaska $3,733,000 Nebraska $3,733,000 American Samoa $854,000 Nevada $3,733,000 Arizona $4,568,000 New Harn shire $3,733,000 Arkansas $3,733000 NewJerse $8354,000 California $60,035,000 New Mexico $3,733,000 Colorado $3,979,000 Ne York $76,742,000 Connecticut $3,9782000 North Carolina $5,489,000 Delaware $3,733,000 North Dakota $3,733,000 District of Columbia $4,1192000 Northern Mariana $854,000 Florida $11,010,000 Ohio $7,698,000 Gear is $6,807,000 Oklahoma $3,733,000 Guam $854,000 Oregon $3,837,000 Hawaii $3,733,000 Pennsylvania $10,026,000 Idaho $3,7_33,000_ Puerto Rico $3,733,000 Illinois $16 357,000 Rhode Island $3,733,000 Indiana $3,978,000 South Carolina $3,733,000 Iowa $3,733,000 South Dakota $32733,000 Kansas $3,733,000 Tennessee $3,978,000 Kentucky $3,978,000 Texas $21,448,000 Louisiana $3,978,000 U.S. Vir in Islands $854,000 Maine $3,733,000 Utah $3,733,000 Maryland $6,125,000 Vermont $3,733,000 Massachusetts $5,622,000 Vr inia $7,414,000 Michigan $6,658,000 Washington. $6,493,000 Minnesota $3,978,000 West Virginia $32733000 Mississi $3,733,000 Wisconsin $3,978,000 Missouri $3,978,000 Total — W omin $3,733,000 rr 27 Appendix A— FY2014 HSGP Allocations 55B -67 FY 2014 LIASI Allocations State/Territory Arizona Funded Urban Area FY 2014 UAS! Allocation PhoenlxAroa $5,500,000 California Anaheim /Santa Ana Area $5,500,000 Bay Area $27,400,000 Los Angeles /Long Beach Area $67,500,000 Riverslde Area $1,000,000 Sacramento Area $1,000,000 San Diego Area $16,874,000 Colorado Denver Area $3,000,000 District of Columbia National Capital Region $53,000,000 Florida Miami /Fort Lauderdale Area $5,500,000 Orlando Area $1,000,000 Tampa Area $3,000,000 Georgia Atlanta Area $5,500,000 Hawaii Honolulu Area $1,000,000 Illinois Chicago Area $69,500,000 Indiana Indianapolis Area $1,D00,000 Louisiana New Orleans Area $3,000,000 Maryland Baltimore Area $5,500,000 Massachusetts Boston Area $18,000,000 Michigan Detroit Area $5,500,000 Minnesota Twin Cities Area $5,500,000 Missouri Kansas City Area $1,000,000 St. Louis Area $3,OOD,000 Nevada Las Vegas Area $1,000,000 New Jersey Jersey City /Newark Area $21,800,000 New York New York City Area $178,926,000 North Carolina Charlotte Area $3,000,000 Ohio Cincinnati Area $1,000,000 Cleveland Area $1,000,000 Columbus Area $1,000,000 Oregon Portland Area $1,000,000 Pennsylvania Philadelphia Area $18,500,000 Pittsburgh Area $3,000,000 Texas Dallas /Fort Worth /Arlington Area $15,500,000 Houston Area $24,000,000 San Antonio Area $1,000,000 Utah Salt Lake City Area $1,000,000 Virginia Hampton Roads Area $1,000,000 Washington Seattle Area $5,500,000 Total $587,000,000 28 Appendix A— FY2014IISGP Allocations 55B -68 FY 2014 SHSP and UASI LETPA Minimums 8tafelTerritury Alabama Funded Urban Awa(al - Allocation Allocation Allocation $3,733,000 Allocalioll by state $3,733,000 LETPA $933,250 $3,733,000 $3,733,000 $9 33,250 Amerloan Samoa - $854,000 $854,000 $213,600 Arizcna 7Ana $5,500,000 $5,500,000 $4,568,000 $10,068,000 $2,517,000 Arkansas - - $3,733,000 $3,733,000 $933,250 Callfornla a $5,500,000 $119,274,000 $80,036,000 $179,309000 $44,827,250 $27,400,000 ch Area $67,500,000 Riverside Area $1,000,000 Sacramento Area $1,000,000 San Dlego Area $18,874,000 Colorado Denver Area $3,000,000 $3,000,000 $3,979,000 $6,979,000 $1,744,750 Connecticut -' $3,976,000 $3,978,000 $994,500 Delaware $3,733,000 $3,733,000 $933,250 District of Columbla National Capital Region $53,000,000 $53,000,000 $4,119,000 $57,119,000 $14,279,750 Florida Mlaml /Fort Lauderdale Area $5,500,000 $9,500,000 $11,010,000 $20,510,000 $6,127,500 Orlando Area $1,000,000 Tampa Area $3,000,000 Georgia Atlanta Area $5,500,000 $5,500,000 $6,807,000 $12,307,000 $3,076,750 Guam $854,000 $854,000 $213,500 Hawaii Honolulu Area $1,000,000 $1,000,000 $3,733,000 $4,733,0001 $1,183,250 Idaho $3,733,000 $3,733,000 $933,250 Pllnols Chlca o Area $69,500,000 $69,600,000 $16,357,000 $85,857,000 $21,464,250 Indiana Indlanapolis Area - $1,000,000 $1,000,000 $3,978,000 $4,978,000 $1,244,500 Iowa $3,733,000 $3,733,000 $933,250 Kansas $3,733,000 $3,733,000 $933,250 Kentucky $3,973,000 $3,978,000 $994,500 Loulslana New Orleans Area $3,000,000 $30000,000 $3,978,000 $6,978,000 $1,744,500 Maine $3,733,000 $3,733,000 $933,250 Maryland Baltimore Area $5,600,000 $5,500,000 $6,125,000 $11,625,000 $2,908,250 Massachusetts Boston Area $18,000,000 $18,000,000 $5,622,000 $23,622,000 $5,905,800 Michigan Delrolt Area $5,500,000 $5,500,000 $6,658,000 $12,158,000 $3,039,500 Minnesota ITwin Cities Area $51500,000 $5,500,000 $3,978,000 $9,478,000 $2,369,500 MISSISSIPPI $3,733,000 $3,733,000 $933,250 Mlssourl Kansas City Area $1,000,000 $4,000,000 $3,978,000 $7,978,000 $1,994,500 St. Louls Area $3,000,000 Montana $3,733,000 $3,733,000 $933,250 Nebraska $3,733,000 $3,733,090 $933,250 Nevada Laa Vegas Area $1,000,000 $1,060,000 $3,733,000 $4,733,000 $1,183,250 New Hampshire n` ,.,:' $3,733,000 $3,733,000 $933,250 New Jersey Jersey CitylNewark Area $21,800,005 $21,800,000 $8,354,000 $30,154,000 $7,538,500 New Mexico $3,733,000 $3,733,000 $933,250 New York New York City Area $178,926,000 $178,926,000 $76,742,000 $255,800,000 $83,917,000 North Carolina Charlotte Area $3,000,000 $3,000,000 $6,489,000 $8,489,000 $2, 122,25C North Dakota ` .. ' -, -� $3,733,000 $3,733,000 $933,25(] Northern Madana Islands + $854,000 $854,000 $213,50C Ohlo Cincinnati Area $1,000,000 $3,000,000 $7,698,000 $101698,000 $2,81 Cleaaland Area $1,000,000 Columbus Area $1,000,000 Oklahoma $3,733,000 $3,733,000 $933,250 Oregon Portland Area 1 $1 000,0001 $1P000,0001 $3,837,0001 $4,837,0001 $1,209,250 29 Appendix A— FY2014 H,SGP Allocations 55B -69 FY 2014 SWSP and UASI LETPA Minimum (continued) Pennsylvania Philadelphia Area UAW Allocation $16,500,000 Total UASI Allocation $21 500,000 SHOP Allocation $10,026,000 Total State $31,526,000 $7,681,500 Pittsburgh Area $3,000,OOD Puerto Rlco - $3,733,000 $3,733,000 $933,250 Rhode Island $3,733,000 $3,733,000 $933,250 South Carolina - $3,733,000 $3,733,000 $933,250 South Dakota $3,733,000 $3,733,000 $933,250 Tennessee - $3,078,000 $3,978,000 $994,500 Texas Dallas /Fort Worth /Arlington Area $15,5001000 S40,500,000 $21,448,DOD $61,948,000 $15,487,000 Houston Area $24,000,000 San Antonio Area $1,000,000 U.S. Virgin Islands $854,000 $054,000 $213,500 Ufah Salt Lake Clty Area $1,000,000 $1,000,000 $3,733,00D $4,733,000 $1,183,250 Vermont $3,733,000 $3,733,00C $933,250 Virglnla Hampton Rcada Area $1,000,000 $1,000,000 $7,414,000 $8,414,000 $2,1D3,500 Washington Seattle Area $5,500,000 $5,500,000 $8,493,000 $11,993,000 $2,998,250 West Vlrginla - - $3,733,000 $3,733,000 $933,250 Wisconsin $3,970,000 $3,978,000 $994,500 Wyoming $3,733,000 $3,733,000 $933,250 30 Appendix A— FY2014 HSGP Allocations 55B -70 FY 2014 OPSG Eligible States and Territories Alabama States' and Territories Massachusetts Pennsylvania Alaska Michigan Rhode Island Arizona Minnesota South Carolina California Mississippi Texas Connecticut Montana Vermont Delaware New Hampshire Virginia Florida New Jersey Washington Georgia New Mexico Wisconsin Hawaii New York Puerto Rico Idaho North Carolina U.S. Virgin Islands Louisiana North Dakota American Samoa Maine Ohio TGuam Maryland Oregon Northern Mariana Islands Note: Not all applicants are guaranteed to receive funding under the FY 2014 OPSG. 31 Appendix A— FY2014 HSGP Allocations 55B -71 Appendix B - Program Priorities Alignment of IISGP to the National Preparedness System The Nation utilizes the National Preparedness System to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (the 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 National Prepaa•adness System is to facilitate an integrated, all-of-Nation, risk informed, capabilities -based approach to preparedness, Complex and far - reaching threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, communities, 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 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 (http: / /www, femct. Gov /wh.ole- c_ommtanit The FY 2014 HSGP Program contributes to the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks in the National Planning Frameworks 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 HSGP Program's allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. To evaluate national progress in building, sustaining, and delivering the core capabilities outlined in the Goal, FEMA annually publishes the National Preparedness Report (NPR). Looking across all 31 core capabilities outlined in the Goal, the NPR provides a national perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources and communicate with stakeholders about issues of shared concern. A key focus and requirement of the HSGP is to prevent terrorism and to prepare the Nation for the threats and hazards that pose the greatest risk to the security and resilience of the United State, and the greatest risks along the Nation's borders; therefore, HSGP funded investments must have a terrorism - nexus. 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. In addition, the Department of Homeland Security expects grantees to prioritize grant funding to address gaps identified through the annual SIR in achieving capability targets set through the annual TETRA. 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 finding amounts are not 32 Appendix B— FY2014 HSGP Priorities 55B -72 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. Grantees are expected to consider national areas for improvement identified in the 2013 National Preparedness Report, which include cybersecurity, recovery - focused core capabilities, the integration of individuals with access and functional needs, enhancing the resilience of infrastructure systems and maturing the role of public- private partnerships, Addressing these areas for improvement will enhance preparedness nation -wide. Using the core capabilities, the FY 2014 HSGP 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 communities 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. To support building, sustaining, and delivering these core capabilities, grantees will use the components of the National Preparedness System. The components of the National Preparedness System 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 htlp'//w�vw Fema gov /national-yr�eL)a�,edness/nationad reparedness- destem. Grantees are expected to use this process when using grant fimds to address their capability gaps. Reporting on the Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements In order to qualify for HSGP 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 will 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- specitic characteristics. Comprehensive Preparedness Guide 201, Second 33 Appendix B— FY2014 HSGP Priorities 55B -73 Edition: THIRA (CPG 201, Second Edition) is available at hup: / /wgyE. ema, ov/nafional- prenarec(vi„>s4 =plan. In Step Four of the THIRA process, ajurisdiction should estimate the resources required to deliver the capability targets set 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 • UASIs are required to submit an annual update to their THIRA. UASIs will submit their THIRA to the designated State Administrative Agency. THIRA submissions shall be in alignment with CPG 201, Second Edition. The Urban Area should coordinate internally to ensure its submission represents all jurisdictions within the UASI program. UASI submissions of the THIRA are due no later than December 31, 2014. • States are required to submit an annual update to their THIRA. States will submit their THIRA update along with their annual SPR through the Unified Reporting Tool (URT) and email a copy of the URT to their respective FEMA Regional Federal Preparedness Coordinator and copy ema- spr(8,fema.dhs.gov. THIRA submissions shall be in alignment with CPG 201, Second Edition. State submissions of the THIRA and SPR are clue no later than December 31, 2014. The State should coordinate with each eligible Urban Area to ensure that the UASI THIRA submissions occur in advance of this deadline, as the State must include the Urban Area's input when conducting the statewide SPR assessment. Building and Sustaining Capabilities HSGP program grantees should ensure that grant funding is utilized to sustain critical core capabilities within the National Preparedness System that were funded by past HSGP finding 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. I£ new core capabilities are being sought utilizing HSGP funding, grantees must ensure that the capabilities are deployable outside of their community to support regional and national efforts or otherwise shareable with regional partners and aligned with a capability gap identified in the THIRA /SPR. All capabilities being built or sustained must have a clear linkage to one or more core capabilities in the Goal. NIMS Compliance Grantees receiving HSGP funding are required to implement the National Incident Management System (NIMS). The NIMS uses a systematic approach to integrate the best existing processes and methods into a unified national framework for incident management. Incident management refers to how incidents are managed across all homeland security activities, including prevention, protection, and response, mitigation, and recovery. FY 2014 grantees must utilize standardized resource management concepts such as typing, inventorying, organizing, and tracking resources that facilitates the identification, dispatch, deployment, and recovery of their resources. 34 Appendix B— FY2014 HSGP Priorities 55B -74 Fusion Centers DHS has identified State and major Urban Area fusion centers as a critical component of our Nation's distributed homeland security and counterterrorism architecture. They provide grassroots intelligence and analytic capabilities within the state and local jurisdiction (ht .0 1 /www.dhs, eovLstctte- and- ma'or- ttrfinn- arect- fusion- centers . To that end, DHS preparedness grants will continue to support designated State and major Urban Area fusion centers htt :11wpvw.lhs. ov1 tsior7- center- 1•oycrtzoras nd- contact -in ornation) and the maturation of the Information Sharing Environment (ISE). A National Network also provides a mechanism for the Federal government to receive information from S tate, Local, territory and Tribal partners, which helps create a more complete threat picture at the National level. Participating in the Nationwide SAR Initiative enables fusion centers to receive and analyze suspicious activity reporting from frontline public safety personnel, the private sector, and the public, and ensure the sharing of SAR with the Federal Bureau of Investigation's Joint Terrorism Task Forces for further investigation. The 2010 National Security Strategy identities fusion centers as critical in enlisting all of our intelligence, law enforcement, fire service, emergency management, and homeland security capabilities to prevent acts of terrorism on American soil. In support of this strategic vision, the Department of Homeland Security's Office of Intelligence & Analysis (DHS I &A) is requiring designated State and major Urban Area fusion centers to participate in an annual assessment of their achievement of Critical Operational Capabilities (COCs) and Enabling Capabilities (ECs), as detailed in the Global Justice Information Sharing initiative's (Global,) Baseline Capabilities far State and Major Urban Area Fusion Centers. As maturation of the National Network continues to be a high priority in FY 2014, DHS is requiring that all fusion center related funding requests be consolidated into a single (1) Investment for States or Urban Areas in which designated fusion centers reside, and this Investment must address funding support for the designated fission center. The single Investment provides state and urban areas a means to centrally manage and report on fusion center related activities. Grantees must coordinate with the fusion center when developing a fusion center Investment prior to submission, and the Investment must directly align to and reference any capability gaps identified during the center's individual 2013 Fusion Center Assessment Report. In particular, each proposed project included in the fusion center Investment must reference the corresponding COC or EC, as well as associated attribute(s), the funding investment is intended to address. Additionally, any jurisdiction or agency that leverages HSGP funds to support intelligence- or fusion process - related activities (i.e., intelligence emit, real time crime information and analysis centers, etc.) must ensure these efforts are integrated and /or coordinated with the respective designated State or major Urban Area fusion center(s), In order to effectively measure implementation of this priority, designated State and major Urban Area fusion centers leveraging SHSP and /or UASI grant funds will be evaluated based upon compliance with the guidance and requirements for the National Network of Fusion Centers as set forth by the DHS Office of Intelligence and Analysis through the annual Fusion Center Assessment Program. 35 Appendix B— FY2014 HSGP Priorities 55B -75 • All FY2014 Fusion Center Grant requirements are listed at htW�11www dhs. gov/-2013- lomelanc�- secarr.' - r��rY•OYrcarrt -ham. • All FEMA approved analyst courses that meet the grant requirement are listed at Reporting As part of programmatic monitoring, grantees will be required to describe how expenditures support maintenance and sustainmont of current Goal core capabilities within the BSIR. HSGP grantees will, on a project -by- project basis, check one of the following: • Sustaining or maintaining a capability acquired with Federal homeland security funding; • Sustaining or maintaining a capability acquired without Federal homeland security finding; • Developing or acquiring a new core capability; • Through the SF -PPR, fusion centers will report on the achievement of capabilities and compliance with measurement requirements within the Maturation and Enhancement of State and Major Urban Area Fusion Centers priority through the annual Fusion Center Assessment Program managed by DHS I &A and reported to FEMA. • Grantees will use the SPR to report NIMS implementation. Planning to Deliver Capabilities State grantees shall develop, maintain, or revise as necessary, jurisdiction -wide, all threats and hazards EOPs consistent with CPG 101 v.2, which serves as the foundation for State, local, Tribal, and territory emergency planning. Grantees must update their BOP 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 at 1110,1111111112f rrov /strateeic- vlartnin - analysts- sna -dtyi ion /strateg c orert ht- initiative. Reporting • Grantees will use the SPR to report EOP compliance with CPG 101 v2. Validating Capabilities Grantees should develop long -term training and exercise priorities that examine, validate and/or address the capability 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 36 Appendix B— FY2014 HSGP Priorities 55B -76 exercise program priorities and develop a multi -year schedule of exercise events and supporting training activities to meet 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 hops: / /rvwrv.11is.clhs z ov /hseep. All grantees will develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program (HSEEP) wllis.dhs, ov /hse(p, , 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 until mastery is achieved 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 sub - grantees are required to develop a multi- year training and exercise plan that identifies combination of exercises, along with associated training requirements, that address the priorities identified in the TEPW. The training and exercise plan shall be submitted to hsec idh, eov no later than 90 days after the TEPW. States are encouraged to post their schedules to the National Exercise Scheduling System (NEXS) at Consistent with the national exercise program, grantees shall develop and maintain a progressive exercise program. Grantees must either submit one After Action Report/Improvement Plan (AAR/IP) that captures the lessons learned and corrective actions from the progressive exercise program conducted within the HSGP Period of Performance; or submit individual AAR/IPs for each HSGP - funded exercise. AAR/IPs should be submitted to hsegp a,fem.aAhs >ov and include a list of corrective actions and lessons learned, 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/1P template located at httns: / /wwov.11is.dWhseep and utilize the Corrective Action Program (CAP) System at htOs• / /hsegp dhs gv /caps /, as a means to track the implementation of corrective actions listed in the AAR/IP. Reviewing and Updating On a retuning basis, capabilities, resources, and plans should be reviewed to determine if they remain relevant or need to be updated as it relates to the HSGP. This review should be based on a current risk assessment and utilize information 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. FY 2014 HSGP requires State and Urban Area Homeland Security Strategies be updated every other year, and shall be informed by THIRA process results. The assessment and results support conummities' strategic planning 37 Appendix B— FY2014 HSGP Priorities 55B -77 initiative and 'informs efforts needed to adapt to and manage the changing risk landscape, sustain strengths, and obtain or borrow resources from whole community partners. Supplemental SHSP Guidance Collaboration with Other Federal Preparedness Programs DHS strongly encourages States, Urban Areas, and regions to understand other Federal preparedness programs in their jurisdictions and to work with thorn in a collaborative manner to leverage all available resources and avoid duplicative activities. For example, U. S. Department of Health and Human Services (HHS) has two robust preparedness programs — Center for Disease Control (CDC) Public Health Emergency Preparedness (PHEP) cooperative agreement program and Assistant Secretary for Preparedness and Response's (ASPR's) Hospital Preparedness Program (HPP) cooperative agreement program — that focus on preparedness capabilities. CDC's 15 public health preparedness capabilities and ASPR's eight healthcare preparedness capabilities serve as operational components for many of the Goal core capabilities, and collaboration with the PHEP directors and HPP coordinators can build capacity around shared interests and investments that fall in the scope of these HHS cooperative agreements and the 2014 HSGP. Each SHSP and UASI funded Investment (list addresses biological risk, patient care or health systems preparedness should be implemented in a coordinated manner with other Federal emergency preparedness programs such as those administered by the HHS Office of the Assistant Secretary for Preparedness and Response, the CDC, and the U.S. Department of Transportation's (DOT) National Highway Traffic Safety Administration. Governance Keeping with the guiding principles of governance for all DHS preparedness programs, grantees must coordinate with their stakeholders to examine how they integrate preparedness activities across disciplines, agencies, and levels of government, including State, territorial, local, and Tribal units of government. A cohesive planning framework should be incorporated that builds and implements homeland security initiatives which leverage DHS resources, as well as other Federal, State, territory, local, private sector, faith -based community, and Tribal resources. Specific attention should be paid to how all available preparedness funding sources (multiple Federal sources as well as State and local sources) can be effectively utilized in a collaborative manner to support the whole community approach to emergency preparedness and management and to the enhancement of overall capabilities. To accomplish this, the SAA must establish or reestablish a unified Senior Advisory Committee (SAC). ,Senior Advisory Committee The SAC builds upon governance structures that may already be established rider different FEMA preparedness grant programs, but the nature and governance of this Committee was new for FY 2013 and continues in FY 2014 for HSGP. The SAC should build upon previously established advisory bodies Linder HSGP (including the SHSP and UASI programs), Nonprofit Security Grant Program (HSGP), Transit Security Grant Program (TSGP), and Port Security Grant Program (PSGP), which currently exist in support of States and Urban Areas, Tribal nations, non- profit organizations, transit agencies and Amtrak, and port areas. Examples of advisory bodies that should be. included on the SAC include: Urban Area Working Groups 38 Appendix BFY2014 HSGP Priorities 55B -78 (UAWGs), Statewide Interoperability Governing Board (SIGB), Area Maritime Security Committees (AMSCs), Regional Transportation Security Working Groups (RTSWGs), Citizen Corps Councils, and Children's Working Groups. To ensure a whole community effort, SAC membership should include representatives of these various stakeholder groups /committees, and should also include direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, and emergency management), UASI - funded Urban Areas, as well as Citizen Corps Councils, Tribal representatives, non - profit, faith based, and voluntary organizations such as the American Red Cross. SACs are encouraged to develop subcommittee structures, as necessary, to address issue- or region - specific considerations in support of overarching implementation. The responsibilities of a SAC include: • Integrating preparedness activities across disciplines, the private sector, non -profit organizations, faith - based, commmmity, and all levels of government, including local, State, Tribal, and territorial, with the goal of maximizing coordination and reducing duplication of effort; • Creating a cohesive planning network and framework that builds and implements preparedness initiatives which leverage DHS resources, as well as other Federal, State, territorial, local, private sector, faith -based community, and Tribal resources; • Management of all available preparedness finding sources (multiple Federal sources as well as State and local sources) to enhance effective utilization of and elimination of duplication of effort across all stakeholders and disciplines; and • Ensuring that the application for SHSP and UASI funds align with the THIRA and work to fill capability gaps identified in the SPR. Senior Advisory Committee Composition and Scope 1. Membership The SAC must include whole community intrastate and interstate partners as applicable and have balanced representation among entities with operational responsibilities for terrorism/disaster prevention, protection, mitigation, response, and recovery activities within the State. The membership of the SAC must reflect the threats and hazards identified in the State's THIRA as well as each of the core capabilities, in particular those core capabilities identified as having large capability gaps identified in the State's most recent State Preparedness Report (SPR), SAAs will use the URT to verify compliance of SAC charter requirements. Further, the SAC must include representatives that were involved in the production of the State's THIRA and represent the interests of the five mission areas as outlined in the Goal. The above membership requirement does not prohibit States, Urban Areas, regional transit and port entities, or other recipients of DHS preparedness finding from retaining their existing structure under separate programs; however, at a minimum, those bodies must support mud feed into the larger SAC. The composition, structure and charter of the 39 Appendix B— FY2014 HSGP Priorities 55B -79 SAC should reflect this focus on building core capabilities, instead of simplyjoining previously existing advisory bodies tinder other grant programs. The SAA roust ensure that appropriate representation from defined UASI -faded Urban Areas is included on the SAC. FEMA strongly encourages that, wherever possible, previously established local working groups be leveraged for this purpose to ensure that UASI resources are managed in the most efficient and effective manner possible. The UAWG should also support State efforts to develop the THIRA and SPR, particularly as it relates to UASI activities. For designated Urban Areas, the SAA POCs are responsible for identifying and coordinating with the POC for the UAWG, who should be a member of the SAC. The POC's contact infornation must be provided to FEMA with the grant application. SAAB must work with existing Urban Areas to ensure that information for current POCs is on file with FEMA. Finally, FEMA recommends that organizations advocating on belialf of vulnerable populations including youth, the elderly and individuals with functional needs, socio- economic factors and cultural diversity, be invited to participate in the SAC. 2. Collaboration with State agencies and other stakeholder organizations Program representatives from the following entities must be members of the SAC (as applicable): State Homeland Security Advisor (HSA) (if this role is not also die SAA), State Emergency Management Agency (EMA) Director, State Public Health Officer, State Public Safety Officer (and SAA for Justice Assistance Grants, if different), State Coral Official, State Emergency Medical Services (EMS) Director, State Trauma System Manager, Statewide Interoperability Coordinator, State Citizen Corps Council, the State Emergency Medical Services for Children (EMSC) Coordinator, State Education Department, State Human Services Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area POC, Senior Members of AMSCs, Senior Members of the RTSWG, Senior Security Officials from Major Transportation Systems, and the Adjutant General. 3. Whole Community Engagement SHSP and UASI grantees must engage with the whole community to advance community and individual preparedness and to work as a nation to build and sustain resilience (see btt p:l lwww,fenia.zov/whole- conaniiipi ). Grantees must also integrate the needs of children and individuals with disabilities or access and functional needs into activities implemented with SHSP and UASI funds. 4. Collaboration with Nonprofit Organizations SHSP and UASI grantees must also work with the nonprofit community, including through the dedication of LETPA finds and resources, to address terrorism prevention concerns, seek input on the needs of the nonprofit sector, and support the goals of their investments, 40 Appendix BFY2014 HSGP Priorities 55B -80 5. Collaboration with Tribes FEMA strongly encourages States, Urban Areas, and regions to work with Tribal nations in overall initiatives such as whole community preparedness and emergency management planning. 6. Coordination with other Federal agencies and programs States and Urban Areas most coordinate among the entire scope of Federal partners, national initiatives and grant programs to identify opportunities to leverage resources when implementing their preparedness programs. This may include but is not limited to: Medical Reserve Corps, CDC, and ASPR. Emergency Medical Services for Children (EMSC) grants, ASPR Hospital Preparedness Program (HPP), CDC Public Health Emergency Preparedness (PHEP), CDC Cities Readiness Initiative (CRI), Strategic National Stockpile Programs, and EMS. However, coordination is not limited to grant funding. It also includes leveraging assessments such as TSA's Baseline Assessment and Security Enhancement (BASE); reporting from the Intelligence Community, risk information such as U.S. Coast Guard's Maritime Security Risk Analysis Model (MSRAM), and CBP Sector Analysis. SeniorAdvisory Committee Charter The governance of the SHSP and UASI programs through the SAC must be directed by a charter. All members of the SAC should sign and date the charter showing their agreement with its content and their representation on the Committee. Revisions to the governing charter must be sent to the grantee's assigned FEMA Program Analyst, The SAC charter must at a minimum address the following: • A detailed description of the SAC's composition and an explanation of key governance processes, including how SAC is informed by the State's THIRA and SPR data reflecting capability gaps and the approach to address gaps in core capabilities; • A description of the frequency at which the SAC will meet; • How existing governance bodies will be leveraged by the Committee; • A detailed description of how decisions on programmatic priorities funded by SHSP and UASI are made and how those decisions will be documented and shared with its members and other stakeholders, as appropriate; and • A description of defined roles and responsibilities for financial decision malting and meeting administrative requirements. To ensure ongoing coordination efforts, SAAB are encouraged to share community preparedness information submitted in the State's BSIR with members of the SAC. The charter should be made available upon request to promote transparency in decision - making related to HSGP activities. To manage this effort and to further reinforce collaboration and coordination across the stakeholder community, a portion of the 20 percent (20 %) holdback of a State or territory award may be utilized by the SAA for the purpose of supporting the SAC and to ensure representation and active participation of SAC members. Funding may be used for hiring and training planners, establishing and maintaining a program management structure, identifying and managing 41 Appendix B— FY2014 HSGP Priorities 55B -81 projects, conducting research necessary to inform the planning process, and developing plans that bridge mechanisms, documents, protocols, and procedures. SAAB will use the URT to verify compliance of SAC charter requirements. Supplemental UAV Guidance The UASI program is intended to provide financial assistance to address the unique multi- discipline plamming, organization, equipment, training, and exercise needs of high- threat, high - density Urban Areas, and to assist these areas in building and sustaining capabilities to prevent, protect against, mitigate, respond to, and recover from threats or acts of terrorism using the Whole Community approach. Many capabilities which support terrorism preparedness simultaneously support preparedness for other hazards. Grantees must demonstrate the dual -use quality for any activities implemented that are not explicitly focused on terrorism preparedness. Urban Areas must use UASI funds to employ regional approaches to overall preparedness and are encouraged to adopt regional response structures whenever appropriate. UASI program implementation and governance must include regional partners and should have balanced representation among entities with operational responsibilities for prevention, protection, mitigation, response, and recovery activities within the region. In some instances, Urban Area boundaries cross State borders. States must ensure that the identified Urban Areas take an inclusive regional approach to the development and implementation of the UASI program and involve the contiguous jurisdictions, mutual aid partners, port authorities, rail and transit authorities, State agencies, State Wide Interoperability Coordinators, Citizen Corps Council(s), and campus law enforcement in their program activities. Grantees must also demonstrate the integration of children and individuals with disabilities or access and fimctional needs into activities implemented under this program. Composition Pursuant to provisions of the 9/11 Act, eligible UASI sites were determined based on an analysis of relative risk of the 100 most populous Metropolitan Statistical Areas (MSAs), as defined by OMB. MSAs are used by DES to determine eligibility for participation in the program. Geographical areas queried do not equate to minimum mandated membership representation of an Urban Area, nor does this guarantee funding for geographical areas queried, UAWGs must continue to take a regional approach to membership but are not required to expand or contract existing Urban Area participation to conform to MSA composition. Detailed information on MSAs is publicly available from the United States Census Bureau at huv:l weonsisvov/ nopcclndonfvvtivv /rteirocirecas /metrode.htnl. UASI Program Requirements The SAA will be responsible for ensuring compliance with the fiduciary and programtnatic administration requirements of the UASI program. Identify POCs. The SAA must confirm a specific POC with the designated Urban Area. The SAA POCs are responsible for identifying and coordinating with the POC for the UAWG. This information must be provided to FEMA with the grant application. SAAB 42 Appendix B— FY2014 HSGP Priorities 55B -82 must work with existing Urban Areas to ensure that information for current POCs is on file with FEMA. Define the Urban Area. The SAA POC, in coordination with the candidate Urban Areas, must define the Urban Area, as it will apply to the UASI program, The identified city or combined entity represents the candidate Urban Area eligible to apply for funding under the UASI program, For those Urban Areas with a combined entity, that area represents the minimum area that must be part of the defined Urban Area, The definition of the Urban Area is limited to jurisdictions contiguous to the geographic area used to determine eligibility, or those jurisdictions in that area which have established formal mutual aid agreements. States may request a waiver for this limitation for regions previously established by Executive Order, law, or compact. For the purposes of the UASI program, the Washington, D.C. Urban Area will consist of the National Capital Region (NCR) as set forth in 10 U.S.C. §2674(f)(2). In coordination with the UAWG, the SAA POC may redefine the geographic boundaries of an existing Urban Area, as it will apply to the UASI program, The SAA POC must notify FEMA of this change. Establish the UAWG. Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, and emergency management) that comprise the defined Urban Area. It must also be inclusive of local Citizen Corps Council or their equivalent and Tribal representatives. The UAWG should also ensure the integration of local emergency management, public health, and health care systems into a coordinated, sustained local capability to respond effectively to a mass casualty incident, In addition, the UAWG should include officials responsible for the administration of CDC and ASPR cooperative agreements. Finally, it is recommended that members advocating on behalf of vulnerable populations including youth, the elderly and individuals with functional needs, socio- economic factors and cultural diversity, be invited to provide representation. The SAA POC must ensure that appropriate representation for the defined Urban Area is included per this guidance. FEMA strongly encourages that, wherever possible, previously established local working groups should be leveraged for this purpose to ensure that UASI funded resources are managed in the most efficient and effective manner possible. The UAWG may also support State efforts to develop the SPR, particularly as it relates to UASI funded activities, Governance. The jurisdictions identified in Appendix A – FY 2014 Program. Allocations represent the candidate Urban Areas eligible to apply for funding. The UAWG will be responsible for coordinating the development and implementation of all program initiatives. States and Urban Areas must consider including counties within which the cities reside, contiguous jurisdictions, MSAs, operational areas, and mutual aid partners, as appropriate, in the governance process. In keeping with sound project management practices, the UAWG must ensure that its approach to critical issues such as membership, governance structure, voting rights, grant management and administration responsibilities, and funding allocation methodologies 43 Appendix B— FY2014 HSGP Priorities 55B -83 are formalized in a working group charter or other form of standard operating procedure rotated to the UASI program governance. The charter must also outline how decisions made in UAWG meetings will be documented and shared with UAWG members. The UAWG charter must be on file with FEMA prior to drawing down UASI funding and must be available to all UAWG members to promote transparency in decision - malting related to the UASI program. UASIs will use the URT to verify UAWG structure and membership. Urban Areas must notify the SAA and FEMA Program Analyst of any updates to the UAWG structure or membership. • Develop Urban Area THTRA. As a result of the improved governance process and the rationale for maintaining and sustaining existing capabilities and the development of new capabilities, members of the UAWG should be involved in the development of an Urban Area THIRA coordinated with the State THIRA, and subsequent updates. • Urban Area Homeland Security Strategy. Urban Area Homeland. Security Strategies should be updated every two years at a minimum, to ensure that their strategies continue to address prevention, protection, mitigation, response, and recovery, and reflect how their goals and objectives align to the Goal and the Whole Community approach. • Allocation of Funds. The use and allocation of all grant funds available through the UASI program must focus on the Investments identified, in the Urban Area's IJ and the implementation of the FEMA- approved Urban Area Homeland Security Strategy. The use of funds must also be consistent with overall UASI program, guidelines, the State Homeland Security Strategy, the National Preparedness System, and must develop or sustain one or more core capabilities in the Goal. Funds used to support whole community and individual preparedness related efforts, such as engaging non- governmental organizations and vulnerable populations demonstrating the integration of children and individuals with disabilities or access and fiactional needs in all phases of emergency management, participation of disaster volunteers, such as Community Emergency Response Teams (CERTs) in training, exercises and response and recovery operations, and educating the public should be coordinated with local CERT programs and /or Citizen Corps Councils. The UAWG, in coordination with the SAA POC, must develop a methodology for allocating finding available through the UASI program. The UAWG must reach consensus on all UASI funding allocations. If consensus cannot be reached within the 45- day time period allotted for the State to obligate funds to sub - grantees, the SAA must make the allocation determination. The SAA must provide written documentation verifying the consensus of the UAWG, or the failure to achieve otherwise, on the allocation of funds and submit it to FEMA immediately after the 45 -day time period allotted for the State to obligate Rinds to sub - grantees. Any UASI funds retained by the State must be used in direct support of the Urban Area. States must provide documentation to the UAWG and FEMA upon request 44 Appendix B— FY2014 HSGP Priorities 55B -84 demonstrating how any UASI funds retained by the State are directly supporting the Urban Area. If the SAA intends to retain any UASI funds, the SAA must prepare an Investment that demonstrates how the retained funds will be used to directly support the designated Urban Area in the State. This Investment should be included in the designated Urban Area's IJ. Supplemental OPSG Guidance OPSG provides funding to designated localities to enhance cooperation and coordination between Federal, State, local, Tribal, and territorial law enforcement agencies in a joint mission to secure the United States borders along routes of ingress from international borders to include travel corridors in States bordering Mexico and Canada, as well as States and territories with International water borders. OPSG is intended to support United States border States and territories in accomplishing the following objectives: • Increase capability to prevent, protect against, and respond to border security issues; • Encourage local operational objectives and capabilities to enhance National and State Homeland Security Strategies (such as the Federal Secure Borders Initiative and United States CBP/ BP strategies); • Increase coordination and collaboration among Federal, State, local, Tribal, and territorial law enforcement agencies; • Continue the distinct capability enhancements required for border security and border protection; • Provide intelligence -based operations through CBPBP Sector Level experts to ensure safety and operational oversight of Federal, State, local, Tribal, and territorial law enforcement agencies participating in OPSG operational activities; • Support a request to the Governor to activate, deploy, or redeploy specialized National Guard Units/Packages and/or dements of State law enforcement to increase or augment specialized /technical law enforcement elements operational activities; and • Continue to increase operational, material and technological readiness of State, local, Tribal, and territorial law enforcement agencies. OPSG funds must be used to increase operational capabilities of Federal, State, local, Tribal, and territorial law enforcement, promoting a layered, coordinated approach to law enforcement within United States border States and territories, • Federal, State, Local, Trihal, and Territorial OPSG Integrated Planning Team (IPT). It is recommended that Federal, State, local, Tribal, and territorial partners establish and maintain an OPSG IPT with representation from 411 participating law enibrceluent agencies, co- chaired by representatives from CBP /BP, the SAA, and participating law enforcement agencies' OPSG program representatives. Coordination Requirements All operational plans should be crafted in cooperation and coordination among Federal, State, local, Tribal, and territorial partners. Consideration will be given to applications that are 45 Appendix B— FY2014IISGP Priorities 55B -85 coordinated across multiple jurisdictions. All applicants mast coordinate with the CBP/BP Sector Headquarters with geographic responsibility for the applicant's location in developing and submitting an Operations Order with an embedded budget to the SAA. After awards are announced, prospective grant recipients will re -scope the draft Operations Order and resubmit as a final Operations Order with an embedded budget, based on actual dollar amounts to be awarded. Final Operations Orders will be approved by the appropriate Sector Headquarters and forwarded to Headquarters, Office of Border Patrol, Washington, D.C., before funding is released. Grantees may not begin operations, obligate, or expend any funds until the final Operations Order and embedded budget has been approved by FEMA GPD and CBPBP Headquarters and any existing special conditions and/or restrictions are removed. ONG activities are expected to maximize HSGP strategic planning efforts and integration with State, Tribal, territory, Urban Area, and local Homeland Security Strategies, Management and Administration (M &A) For information on how to determine M &A for OPSG awards, please review GPD policy, Clarification for Allowable Management and Administration (M&A) Costs under the Operation Stonegarden Grant Program, dated June 25, 2013. The policy is located at ht�: / /www; terra. zav/ rne�ia- lihrccry /�.vsets /docaements/ ?3577. 46 Appendix B— FY2014 HS GP Priorities 55B -86 Additional Funding Considerations Below are additional areas to consider where funding can be applied to strengthen preparedness efforts. Enhancing Cybersecurity Capabilities Applicants are encouraged to propose projects to aid in implementation of all or part of the National Institute of Standards and Technology (NIST) Cyber Security Framework when requesting funds for cybersecurity. The CSF is available at http:llwww nist gov/eyberfrcarrework/ picot! /cybersece city- am jc- 021214 - inaG The Framework gathers existing global standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that don't know where to start, the Framework provides a road map. For organizations with more advanced cybersecurity, the Framework offers a way to better communicate with their leadership and with suppliers about management of cyber risks. The Department of Homeland Security's Critical Infrastructure Cyber Community C' Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. For more information visit h_ ttp: /hwvw.u.Y- cer goylceubedV,7. Mass Casualty Incident Preparedness and Citizen Preparedness Although the Citizen Corps Program (CCP) and Metropolitan Medical Response System (MMRS) are no longer funded as discrete grant programs within HSGP, States may include IJs funding and supporting CCP and MMRS activities /programs. Activities funded under these projects must meet the allowability requirements of the SHSP and UASI programs. The following coordination requirements will remain in place for proposed activities that support mass casualty incident preparedness, as well as citizen preparedness, Mass casualty preparedness must be conducted in collaboration with State /city /local health departments that administer Federal funds from HHS to enhance the integration of local emergency management, public health, and health care systems into a coordinated, sustained local capability to respond effectively to a mass casualty incident or a response to catastrophic events and acts of terrorism. Grantees must also demonstrate how their Investments will increase the effectiveness of emergency preparedness planing and response for the whole community by integrating and coordinating activities for vulnerable populations including children, the elderly, pregnant women, and individuals with disabilities and others with access and functional needs. Further, grantees are strongly encouraged to collaborate with local, regional, and State public health and health care partners, including Medical Reserve Corps Units and Citizen Corps Councils or their equivalent, as well as leverage other Federal programs, such as the HHS ASPR Hospital Preparedness Program and Emergency Systems for Advance Registration of Volunteer Health Professionals (ESAR -VHP), CDC Cities Readiness Initiative (CRI), PHEP, and Strategic National Stockpile Programs. To demonstrate whole community engagement, Citizen Corps Councils and Community Emergency Response Teams (CERTs) programs must register new programs or update information on the website in order to be considered by a state or local jurisdiction for inclusion in their IJs when applying for IISGP fiords. Program updates can be made at 47 Appendix B— FY2014 HSGP Priorities 55B -87 httg://www read . o r citizen -toms and at Aga erne, ov /aomrnunrcy- ememency- rest7onso. teams,. The Citizen Corps and CERT Core Capabilities Tool (CCT) has been developed to help grsuitees develop Us that reference how Citizen Corps and CERT activities contribute to and support core capabilities. The CCT is available at lhu :// wvvw, reacly .Lyov/citicen- corps/ettzzern- corps-rai2t— tnfrmatioii -and -' tncanciai- resources. Citizen preparedness must be coordinated by an integrated body of government and nongovernmental representatives. State and local government recipients of HSGP funds must have a coordinating body to serve as their Citizen Corps Council, with membership that includes, but is ntit limited to: representatives from emergency management, homeland security, law enforcement, fire service, EMS, public health or their designee, elected officials, the private sector (especially privately owned critical infrastructure), private nonprofits, nongovernmental organizations (including faith - based, community- based, and voluntary organizations), and advocacy groups for children, seniors, people with disabilities and others with access and functional needs. 48 Appendix B— PY2014 HSGP priorities Appendix C — Funding Guidelines Grantees must comply with all the requirements in 44 CFR Part § I3 and 2 CFR Part §215. In general, grantees should consult with their FEMA Headquarters Program Analyst prior to making any Investment that does not clearly meet the allowable expense criteria established by the FOA. Funding guidelines established within this section support the five mission areas — Prevention, Protection, Mitigation, Response, and Recovery —and associated core capabilities within the Goal. Allowable Investments made in support of the HSGP priorities as well as other capability - enhancing projects must fall into the categories of planning, organization, exercises, training, or equipment. Planning (SHSP and UASI) SHSP and UASI funds may be used for a range of emergency preparedness and management planning activities and such as those associated with the development of the THIRA, SPR, and other planning activities that support the Goal and placing an emphasis on updating and maintaining a current EOP that conforms to the guidelines outlined in CPG 101 v 2.0 For additional information, please see httn: / /www.Feiru uov /p La-ko 101 V2 ndf; Organization (SHSP and UASI Only) Organizational activities include: • Program management; • Development of whole community partnerships, through groups such as Citizen Corp Councils; • Structures and mechanisms for information sharing between the public and private sector; • Implementing models, programs, and workforce enhancement initiatives to address ideologically - inspired radicalization to violence in the homeland; • Tools, resources and activities that facilitate shared situational awareness between the public and private sectors; • Operational Support; • Utilization of standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident; • Responding to an increase in the threat level under the National Terrorism Advisory System (NTAS), or needs in resulting from a National Special Security Event; and • Paying salaries and benefits for personnel to serve as qualified intelligence analysts, States and Urban Areas must justify proposed expenditures of SHSP or UASI funds to support organization activities within their IJ submission by using historical data or other analysis. All States are allowed to utilize up to 50 percent (50 %) of their SHSP funding and all Urban Areas are allowed up to 50 percent (50 %) of their UASI funding for personnel costs. At the request of 49 Appendix C— PY2014 HSGP Funding Guidelines 55B -89 a recipient of a grant, the Administrator may grant a waiver of the SO percent (50 %) limitation noted above. Organizational activities under SHSP and UASI include: • Intelligence analysts. Per the Personnel Relmbursementfor Intelligence Cooperation and Enhancement (PRICE) ofllomeland Security Act (Public Law 110 -412), SHSP and UASI funds may be used to hire new staff and/or contractor positions to serve as intelligence analysts to enable information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by SHSP or UASI fimding. In order to be hired as an intelligence analyst, staff and /or contractor personnel must meet at least one of the following criteria: - Successfully complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or, - Previously served as an intelligence analyst for a minimum of two years either in a Federal intelligence agency, the military, or State and/or local law enforcement intelligence unit As identified in the Maturation and Enhancement of State and Nlajor Urban Area Fusion Centers priority, all fusion center analytic personnel must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for State, Local, and Tribal Intelligence Analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be on file with the SAA and must be made available to the grantee's respective FEMA Program Analyst upon request. In addition to these training requirements, fusion centers should also continue to mature their analytic capabilities by addressing gaps in analytic capability identified during the fusion center's annual assessment. Overtime costs. Overtime costs are allowable for personnel to participate in information, investigative, and intelligence sharing activities specifically related to homeland security and specifically requested by a Federal agency. Allowable costs are limited to overtime associated with federally requested participation in eligible fusion activities, including anti - terrorism task forces, Joint Terrorism Task Forces (JTTFs), Area Maritime Security Committees (as required by the Maritime Transportation Security Act of2002), DHS Border Enforcement Security Task Forces, and Integrated Border Enforcement Teams. Grant funding can only be used in proportion to the Federal man - hour estimate, and only after funding for these activities from other Federal sources (i.e., FBI JTTF payments to State and local agencies) has been exhausted. Under no circumstances should DHS grant funding be used to pay for costs already supported by funding from another Federal source. Operational overtime costs. In support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism, operational overtime costs are allowable for increased security measures at critical infrastructure sites. SHSP or UASI hinds for organizational costs may be used to support select operational expenses associated with increased security measures at critical infrastructure sites in the following authorized categories: - Backfill and overtime expenses for staffing State or Major Urban Area fusion centers; 50 Appendix C— FY2014 HSGP Funding Guidelines 55B -90 - Hiring of contracted security for critical infrastructure sites; - Participation in Regional Resiliency Assessment Program (RRAP) activities; - Public safety overtime; - Title 32 or State Active Duty National Guard deployments to protect critical infrastructure sites, including all resources that are part of the standard National Guard deployment package (Note: Consumable costs, such as fuel expenses, are not allowed except as part of the standard National Guard deployment package); and - Increased border security activities in coordination with CBP, as outlined in IB 135 (htp., /fwww femu gov /grantr /grant- pro <rran - directorate -tn rtnc Gttdletiras . SHSP or UASI funds may only be spent for operational overtime costs upon prior approval provided in writing by the FEMA Administrator, Note: States with UASI jurisdictions can use fonds retained at the State level to reimburse eligible operational overtime expenses incurred by the State (per the above guidance limitations and up to a maximum of 50 percent (50 %) of the State share of the UASI grant). Any UASI funds retained by the State must be used in direct support of the Urban Area. States must provide documentation to the UAWG and FEMA upon request demonstrating how any UASI funds retained by the State would directly support the Urban Area. Equipment (SHSP and UASI) The 21 allowable prevention, protection, mitigation, response, and recovery equipment categories and equipment standards for HSGP are listed on the web -based version of the Authorized Equipment List (AEL) on the Lessons Learned Information System at http : //ltiv gol Unless Otherwise stated, equipment must meet all mandatory regulatory and/or DHS- adopted standards to be eligible for purchase using these fimds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Grant funds may be used for the procurement of medical countermeasures. Procurement of medical countermeasures must be conducted in collaboration with State /city /local health departments who administer Federal funds from HHS for this purpose, Procurement must have a sound threat based justification with an ahn to reduce the consequences of mass casualty incidents during the first crucial hours of a response. Prior to procuring pharmaceuticals, grantees must have in place an inventory management plan to avoid large periodic variations in supplies due to coinciding purchase and expiration dates. Grantees are encouraged to enter into rotational procurement agreements with vendors and distributors. Purchases of pharmaceuticals must include a budget for the disposal of expired drugs within each fiscal year's the period of performance for HSGP. The cost of disposal cannot be carried over to another FFMA grant or grant period. Training (SHSP and UASI) Allowable trahning- related costs under HSGP include the establishment, support, conduct, and attendance of training specifically identified under the SHSP and UASI programs and /or in 51 Appendix C— FY2014I1SGP Funding Guidelines 55B -91 conjunction with emergency preparedness training by other Federal agencies (e.g., f-IHS and DOT). Training conducted using HSGP fonds should address a performance gap identified through an After Action Report/Improvement Plan (AARAP) or other assessments (e.g., National Emergency Communications Plan [NECP] Goal Assessments) and contribute to building a capability that will be evaluated through a formal exercise, Any training or training gaps, including those for vulnerable populations including children, the elderly, pregnant women, and individuals with disabilities or access and flmetional needs, should be identified in the AAR/IP and addressed in the State or Urban Area training cycle. Grantees are encouraged to use existing training rather than developing new courses. When developing new courses, grantees are encouraged to apply the Analysis, Design, Development, Implementation and Evaluation model of instructional design (Course Development Tool) located at ZILM21 /www lrstr�2nclertrarninpov. Exercises (SHSP and UASI) Exercises conducted with FEMA support should be managed and executed in accordance with HSEEP. HSEEP guidance for exercise design, development, conduct, evaluation, and improvement planning is located at hLULs. //www llis. dhs. eav/hseen. Maintenance and Sustainment (SHSP, UASI, and OPSG) The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable, as described in FEMA Policy FP 205- 402 -125 -1 htt ,' //www ✓ema a,ovhnedia- Zibrarvlasse6s/doctaments /32474) under all active and future grant awards, unless otherwise noted. With the exception of maintenance plans purchased incidental to the original purchase of the equipment, the period covered by a maintenance or warranty plan must not exceed the period of performance of the specific grant funds used to purchase the plan or warranty. Grant Rinds are intended to support the Goal by funding projects that build and sustain the core 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 IB 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 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 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 finding other than DHS/FEMA preparedness grant program dollars. Law Enforcement Terrorism Prevention Allowable Costs (SHSP and UASI) Activities eligible for use of LETPA focused fa ds are outlined in the National Prevention Framework (and where capabilities are shared with the protection mission area, the National Protection Framework) located at Fatta: / /www.erna, rov /national- Zannin >- ramerovorlcv and include: 52 Appendix C— FY2014 HSGP Funding Guidelines 55B -92 Maturation and enhancement of designated State and major Urban Area fusion centers, including information sharing and analysis, threat recognition, terrorist interdiction, and training/ luring of intelligence analysts; Implementation and maintenance of the Nationwide SAR Initiative, including trailing for front line personnel on identifying and reporting suspicious activities; Implementation of the "If You See Something, Say SomethingTM" campaign to raise public awareness of indicators of terrorism and terrorism - related crime and associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. Note: DHS requires that the Office of Public Affairs be given the opportunity to review and approve any public awareness materials (e.g., videos, posters, tri- folds, etc.) developed using HSGP grant funds for the "If You See Something, Say Somethinem" campaign to ensure these materials are consistent with the Department's messaging and strategy for the campaign and the initiative's trademark; Training for countering violent extremism; development, implementation, and/or expansion of programs to engage communities that may be targeted by violent extremist radicalization; and the development and implementation of projects to partner with local communities to prevent radicalization to violence, in accordance with the Strategic Implementation Plan (SIP) to the National Strategy on Empowering Local Partners to Prevent Violent Extremism in the United States; and Increase physical security, through law enforcement personnel and other protective measures by implementing preventive and protective measures at critical infrastructure site or other at -risk nonprofit organizations. Critical Emergency Supplies (SHSP and UASI) In order to further DHS' mission, critical emergency supplies, such as shelf stable products, water, and basic medical supplies are an allowable expense under SHSP and UASI. Prior to the allocation of grant funds for stockpiling purposes, each state must have FEMA's approval of a five -year viable inventory management plan which should include a distribution strategy and related sustainment costs if planned grant expenditure is over $200,000. If grant expenditures exceed the minimum threshold, the five -year inventory management plan will be developed by the grantee and monitored FEMA GPD with the assistance of the FEMA Logistics Management Directorate (LMD). FEMA GPD will coordinate with LMD and the respective FEMA Region to provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under UASI. FEMA GPD and LMD will establish guidelines and requirement for the purchase of these supplies under UASI and monitor development and status of the State's inventory management plan, States (through their Emergency Management Office) are strongly encouraged to consult with their respective FEMA Regional Logistics Chief regarding disaster logistics - related issues. States are further encouraged to share their FEMA approved plan with local jurisdictions and Tribes. Construction and Renovation (SHSP and UASI) Project construction using SHSP and UASI funds may not exceed the greater of $1,000,000 or 1 S percent (15 %) of the grant award. For the purposes of the limitations on funding levels, communications towers are not considered construction. 53 Appendix C— FY2014 HSGP Funding Guidelines 55B -93 Written approval must be provided by FEMA prior to the use of any HSGP funds for construction or renovation. When applying for construction fiords, including communications towers, at the time of application, grantees must submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits, and a notice of Federal interest, 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 using the guidelines in EHP Supplement prior to submitting materials for EHP review. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP review materials should be sent to 0 h in b�- z.crov. HSGP Program grantees using funds for construction projects must comply with the Davis - Bacon Act (40 U.S.C. 3141 et seq). 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 hQ-Ilwww dot gv/co "liance/laws /comp -dhra btm. OPSG funds may not be used for any type of construction. Personnel (SHSP and UASI) Personnel hiring, overtime, and bachfill expenses are permitted under this grant in order to perform allowable HSGP planning, training, exercise, and equipment activities, Personnel may include but is not limited to: training and exercise coordinators, program managers for activities directly associated with SHSP and UASI funded activities, intelligence analysts, slid statewide interoperability coordinators (SWIC). For further details, SAAB should refer to IB #1358 or contact their FEMA Headquarters Program Analyst. HSGP funds may not be used to support the hiring of any personnel for the purposes of fulfilling traditional public health and safety duties or to supplant traditional public health and safety positions and responsibilities. The following are definitions as it relates to personnel costs: Hiring. State and local entities may use grant funding to cover the salary of newly hired personnel who are exclusively undertaking allowable FEMA program activities as specified in this guidance. This may not include new personnel who are hired to fulfill any non -FEMA program activities under any circumstances. Hiring will always result in a net increase of Full Time Equivalent (FTE) employees. Overtime. These expenses are Ibmited to the additional costs which result from personnel working over and above 40 hours of weekly work time as a direct result of their 54 Appendix C— FY2014 HSGP Funding Guidelines 55B -94 performance of FEMA - approved activities specified in this guidance. Overtime associated with any other activity is not eligible. Baclpill- related Overtime. Also called "Overtime as Backfill," these expenses are limited to overtime costs which result from personnel who are working overtime (as identified above) to perform the duties of other personnel who are temporarily assigned to FEMA- approved activities outside their core responsibilities. Neither overtime nor backfill expenses are the result of an increase of FTE employees. Supplanting. Grant funds will be used to supplement existing funds, and will not replace (supplant) finds that have boon appropriated for the same purpose. Applicants or grantees may be required to supply documentation certifying that a reduction in non- Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds. Operational Packages (OPacks) (SHSP and UASI) Applicants may elect to pursue operational package (OPack) funding, such as Canine Teams, Mobile Explosive Screening Teams, and Anti - Terrorism Teams, for new capabilities as well as sustain existing OPacks, Applicants must commit to minimum training standards to be set by the Department for all Federally funded security positions. Applicants must also ensure that the capabilities are able to be deployable, through EMAC, outside of their community to support regional and national efforts. When requesting OPacks- related projects, applicants must demonstrate the need for developing a new capability at the expense of sustaining existing core capability. Western Hemispheric Travel Initiative (SHSP) In addition to the expenditures outlined above, SHSP funds may be used to support the implementation activities associated with the Western Hemisphere Travel Initiative (WHTI), including the issuance of WFITI- compliant Tribal identification cards. More information on the WHTI may be found at hits: / /Tvww.dhS.gov/ hles/ pz� ro- ragis/vc _12006935797Mshtm. or http / /www �etvoaahome gov/Fstrnl /erz�r man htmC. Other Secure Identifcation Initiatives (SI-ISP) SHSP funds may also be used to support the Deparmment's additional efforts to enhance secure identification, including driver's license mad identification security enhancements. Activities that facilitate secure identification, including IT enhancements for identification management and verification systems are a priority. DHS is currently developing and implementing a number of screening programs in which secure identification, credentials figure prominently. Those include the Transportation Worker Identification Credential (TWIC) program which promotes tamper - resistant biometric credentials for wmkers who require unescorted access to secure areas of ports, vessels, outer continental shelf facilities, and all credentialed merchant mariners; and the crcdentialing of first responders which entails enhancing real -time electronic authentication of identity and attribute(s) (qualification, certification, authorization, and /or privilege) of emergency response /critical government personnel responding to terrorist attacks or other catastrophic events. 55 Appendix C— FY2014 HSGP Funding Guidelines 55B -95 States may continue implementing activities previously funded through the Driver's License Security Grant Program (DLSGP) that focus on securing driver's license and identification card issuance processes. Initiatives related to securing idcntification should: • Have the greatest impact upon reducing the issuance and use of fraudulent driver's license and identification cards; • Reduce the cost of program implementation for individuals, States, and the Federal government; • Driver's license identification material requirements; • Expedite State progress toward meeting minimum security standards; and • Plan and expedite State - specific activities to support Federal data and doemnu t verification requirements and standards. Operations (O.PSG) The intent of OPSG is to focus on operational aspects of enhancing coordination between Federal, State, local, Tribal, and territorial law enforcement agencies to increase the security of the United States borders. • Operational Overtime, OPSG funds may be used for operational overtime costs associated with law enforcement activities, in support of border law enforcement agencies for increased border security enhancement. At the request of a grant recipient, the FEMA Administrator may waive the 50 percent (50 %) personnel cap. Waiver decisions are at the discretion of the FEMA Administrator and will be considered on a case -by -case basis. A formal OPSG personnel waiver request should: - Be requested on official letterhead, include a writtenj ustification, and be signed by the local jurisdiction; - include a budget and method of calculation of personnel costs both in percentage of the grant award and in total dollar amount. To avoid supplanting issues, the request must also include a three -year staffing history for the requesting entity; - Include an approved Operations Order from the CBP/BP Sector office whicb . supports the local jurisdiction's written justification; - Be coordinated with the CBP Sector, SAA, and OBP; and - Be forwarded electronically by CBP to FEMA. • Part Time Personnel. OPSG funds may be used to pay additional current part time law enforcement personnel salaries in order to bring them to temporary Eill time status. • Travel, Per Diem, andLodging. Travel and per diem include costs associated with the deployrnent/redeployment of personnel to border areas and for travel associated with law enforcement entities assisting other local jurisdictions in law enforcement activities. In addition, costs to support up to ,six month deployment of law enforcement personnel to critical Southwest Border locations to support operational activities (travel costs must be in accordance with applicable travel regulations). • Vehicle and Equipment Rentals, • Vehicle /Equipment Maintenance. • Fuel Cost and /or Mileage Reimbursement. There is no cap for reimbursement of operational activities. 56 Appendix CFY2014 HSGP Funding Guidelines 55B -96 Activate Reserve State, local, Tribal, and territorial law enforcementpersonnel. Supporting a request to the Governor to activate, deploy, or redeploy specialized National Guard Units/Package and /or elements of State law enforcement to increase or augment specialized /technical law enforcement elements operational activities. Backfill, Costs associated with backfill for personnel supporting operational activities. Law Enforcement Readiness. Use of OPSG funds may be used to increase operational, material, and teclnological readiness of State, local, Tribal, and territorial law enforcement agencies, Unallowable Costs (OPSG) OPSG unallowable costs include costs associated with staffing and general IT computing equipment and hardware, such as personal computers, faxes, copy machines, modems, etc. OPSG is not intended as a hiring program, Therefore, applying finds toward hiring fall -time or permanent sworn public safety officers is unallowable. OPSG funding shall not be used to supplant inherent routine patrols and law enforcement operations or activities not directly related to providing enhanced coordination between local and Federal law enforcement agencies. Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should refer to IB 358 or contact their FEMA Headquarters Program Analyst at (800) 368 -6498 for guidance and clarification. Unallowable Costs (SHSP and UAST) Per FEMA policy, the purchase of weapons and weapons accessories is not allowed with IISGP funds. Per the Anti- Deficiency Act, federal government personnel, or representatives thereof, are prohibited from participation in projects awarded to sub grantees. This includes the solicitation, selection and monitoring of sub grantees. Examples of A llowable Activities for SHSY and UAST Planning Activities Examples of planning activities include: Developing hazard/threat- speoific annexes that incorporate the range of prevention, protection, mitigation, response, and recovery activities as identified in the national planning frameworks Developing and implementing homeland security support programs and adopting DHS national initiatives including but not limited to the following: - Conducting a THIRA process - Implementing the Goal, National Preparedness System, sail the Whole Community Approach to Security and Emergency Management including efforts to support strengthening of capacity among whole community partners - Pro -event recovery planning - Implementing the 2014 National Infrastructure Protection Plan (NIPP) and associated Sector Specific Plans 57 Appendix C— FY2014 HSGP Funding Guidelines 55B -97 - Enhancing and implementing SCIPs and Tactical Interoperable Communications Plans (TICPs) that align with the goals, objectives, and initiatives of the National Emergency Commiadeations Plan (NECP) - Costs associated with the adoption, implementation, and sustainment of the NIMS, including implementing the NIMS Guideline for Credentialing of Personnel - Modifying existing incident management and EOPs to ensure proper alignment with the coordinating structures, processes, and protocols described in the National Frameworks - Establishing or enhancing mutual aid agreements - Developing communications and interoperability protocols and solutions consistent with NIMS /ICS that include communications support for faith -based and voluntary organizations - Developing emergency communications SOPs and plain language protocols - Integrating emergency communications SOPS across jurisdiction, disciplines, and levels of government - Conducting local, regional, and Tribal program implementation workshops - Developing or updating resource inventory assets in accordance to NIMS -typed resource definitions which are managed by FEMA's National Integration Center (NIC) and can be found at: htt ://www funa.,ov/r•esoarrce- management - Designing State and local geospatial data systems - Developing and conducting public education and outreach campaigns, including promoting individual, family, and organizational emergency preparedness and support for the National Preparedness Campaign including America's PrepareAthon! and Ready campaigns, as required by the National Preparedness System; alerts and warnings education; promoting training, exercise, and volunteer opportunities; informing the public about emergency plans, evacuation routes, shelter locations; and evacuation plans as well as CBRNE prevention awareness - Designing programs to address targeting at -risk populations and engaging them in emergency management planning efforts - Developing and conducting public education and outreach campaigns, including promoting individual, family, and organizational emergency preparedness and support for the national Campaign to Build and Sustain Preparedness, including America's PrepareAthon!, as required by the National Preparedness System; the Ready Campaign; alerts and warnings education; promoting training, exercise, and volunteer opportmities; informing the public about emergency plans, evacuation routes, shelter locations; and evacuation plans as well as CBRNE prevention awareness activities, materials, services, tools and equipment to achieve planning, protection, mitigation, response and recovery that is inclusive of people with disabilities (physical, programmatic and communications access for people with physical, sensory, mental health, intellectual and cognitive disabilities) Preparing materials for SPRs WFITI implementation activities including the issuance of WHTI- compliant Tribal identification cards 58 Appendix C— FY2014 HSGP Funding Guidelines 55B -98 Conducting statewide emergency communications and preparedness planning, including the following activities: - Conducting/attending planning and governance workshops - Engaging and expanding the participation of the whole community in emergency communications planning, response, and risk identification - Participating in THIRA development process - Collecting and using data (e.g., NECP Goal Assessments, findings from national - level exercises) to assess user needs, capabilities, and gaps, and to facilitate coordination and asset - sharing - Assessing emergency communications needs and assets and integrating needs into State plans (e.g., SCIP, SPR, and broadband plans) - Coordinating with SWIC, SAA, and State -level planners to ensure proposed investments align to statewide plans (e.g., SCIP, State broadband plan) and comply with technical requirements Developing related terrorism prevention activities: - Coordinating fusion center efforts with other analytical and investigative efforts including, but not limited to 7TTFs, Field Intelligence Groups (FIGS), High Intensity Drug Trafficking Areas (HIDTAs), Regional Information Sharing Systems (RISS) Centers, criminal intelligence units, and real -time crime analysis centers. - Developing THIRAs that reflect a representative makeup and composition of the jurisdiction - Developing initiatives that directly support local efforts to understand, recognize, prepare for, prevent, mitigate, and respond to pro- operational activity and other crimes that are precursors or indicators of terrorist activity, in accordance with civil rights /civil liberties protections - Developing law enforcement prevention activities, to include establishing and/or enhancing a fission center - Hiring an IT sl,)ecialist to plan, develop, and implement the IT applications necessary for a fusion center - Developing and plarming for information/intelligence sharing groups - Integrating and coordinating the fire service, emergency management, public health care, public safety, and health security data - gathering (threats to human and animal health) within designated fusion centers to achieve early warning, monitoring, and mitigation of threats - Hiring and training privacy, security, and /or fusion liaison officers (FLO) coordinators to support fusion center operations - Integrating and coordinating private sector participation with fusion center activities - Developing and implementing preventive radiological/nuclear detection activities - Acquiring systems allowing connectivity to State, local, Tribal, territorial, and Federal data networks, such as the Nati onal Crime Information Center (NCIC) and Integrated Automated Fingerprint Identification System (IAFIS), as appropriate - Planning to enhance security during heightened alerts, terrorist incidents, and /or during mitigation and recovery 59 Appendix C— PY2014 IISGP Funding Guidelines 55B -99 - Accessible public information /education: printed and electronic materials, public service announcements, seminars/town hall meetings, and web postings coordinated through local Citizen Corps Councils - Volunteer programs and other activities to strengthen citizen participation - Conducting public education campaigns including promoting suspicious activity reporting and preparedness; individual, family, and organizational emergency preparedness; Promoting the national Campaign to Build and Sustain Preparedness and the Ready campaign - Evaluating Critical Infrastructure Protection (CIP) security equipment and /or personnel requirements to protect and secure sites - CIP cost assessments, including resources (e.g., financial, personnel) required for security enhancements /deployments - Underwater Terrorist Protection Plans Developing and implementing a comprehensive model for preventing violent extremism in local communities: • lncluding existing law enforcement agencies' initiatives and including mechanisms for engaging the resources and expertise available from a range of social service providers, such as education administrators, mental health professionals, and religious leaders; • Enhancing engagement with communities to discuss violent extremism in an effort to (1) share sound, meaningful, and timely information about the threat of radicalization to violence with a wide range of groups and organizations, particularly those involved in public safety; (2) respond to concerns about government policies and actions; and (3) increase understand for how community- based solutions can be supported, • Building expertise, including a robust training program to improve cultural competency and to ensure that communities, government, and law enforcement receive accurate, intelligence -based information about the dynamics of radicalization to violence. Developing and enhancing risk centric capabilities -based plans and protocols, including but not Iimited to: - Community -based planning to advance "whole community" security and emergency management - Incorporating government/non- goveinmental collaboration, citizen preparedness, and volunteer participation into State and local government homeland security strategies, policies, guidance, plans, and evaluations - Developing, enhancing, maintaining a current EOP that conforms to the guidelines outlined in the CPO 101 v 2.0 - Planning for the relocation of existing systems operating in the T -Band - Developing or enhancing local, regional, or Statewide strategic or tactical interoperable emergency communications plans including such actions to support communications with faith -based and voluntary entities who act as immediate responders in disaster - Developing or enhancing critical infrastructure planning, to include planning for incidents at chemical facilities 60 Appendix C— FY2014 HSGP Funding Guidelines 55B -100 - Developing protocols or SOPS for specialized teams to incorporate the use of equipment acquired through this grant program - Developing terrorism prevention/protection plans - Developing plans, procedures, and requirements for the management of infrastructure and resources related to HSGP and implementation of State or Urban Area homeland Security Strategies - Developing plans for mass evacuation and pre - positioning equipment - Developing or enhancing plans for responding to mass casualty incidents caused by any hazards - Developing or enhancing applicable procedures and operational guides to implement the response actions within the local plan including patient tracking that addresses identifying and tracking children, access and functional needs population, and the elderly and keeping families intact where possible - Developing or enhancing border security plans - Developing or enhancing cybersecurity and risk mitigation plans - Developing or enhancing secondary health screening protocols at major points of entry (e.g,, air, rail, port) - Developing or enhancing agriculture /food security risk mitigation, response, and recovery plans - Developing public /private sector partnership emergency response, assessment, and resource sharing plans - Developing or enhancing plans to engage and interface with, and to increase the capacity o£, private sector /non - governmental entities working to meet the human service response and recovery needs of survivors - Developing or updating local or regional communications plans - Developing plans to support and assist jurisdictions, such as port authorities and rail and mass transit agencies - Developing or enhancing continuity of operations and continuity of government plans - Developing or enhancing existing catastrophic incident response and recovery plans to include and integrate Federal assets provided under the NRF and the National Disaster Recovery Framework (NDRF) - Developing plans and response procedures for adjudicating, validating and responding to an alarm from a chemical or biological detector (response procedures should include emergency response procedures integrating local first responders) - Developing or enhancing evacuation plans - Developing mechanisms for utilizing the National Emergency Family Registry and Locator System (NEFRLS) - Developing or enhancing plans to prepare for surge capacity of volunteers - Developing or enhancing the State EMS systems - Developing or enhancing plans for donations and volunteer management and the engagement/integratiou of private sector /non - governmental entities, and faith - based organizations in preparedness, mitigation, response, and recovery activities - Developing school preparedness plans 61 Appendix C— FY2014 HSGP Funding Guidelines 55B -101 - Developing preparedness plans for child congregate care facilities, including group residential facilities, juvenile detention facilities, and public /private child care facilities - Developing plans to educate youth on disaster preparedness - Ensuringjurisdiction EOPs adequately address warnings, emergency public information, evacuation, sheltering, mass care, resource management from non- governmental sources, unaffiliated volunteer and donations management, and volunteer resource integration to support each Emergency Support Function, to include appropriate considerations for integrating activities, materials, services, tools and equipment to achieve planning inclusive of people with disabilities (physical, programmatic and communications access for people with physical, sensory, mental health, intellectual and cognitive disabilities). Developing and implementing civil rights, civil liberties, and privacy policies, procedures, and protocols - Designing and developing State, local, Tribal, and territorial geospatial data systems - Developing and implementing statewide electronic patient care reporting systems compliant with the National Emergency Medical Services Information System (NEMSIS) - Costs associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities Preparing and submitting SCIPs for SHSP, Preparing and submitting reports to the Office of Emergency Communications (OEC) on progress of implementing that State's SCIP and achieving interoperability at the interstate, State, county, regional, and city levels Updating and implementing SCIP and TICP to: - Address findings and gaps identified in AARs from real world incidents and planned exercises, NECP Goal assessments, other State - level preparedness reports and assessments - Incorporate the National Preparedness System and DHS Whole Community initiatives - Address plans for implementation of the Federal Communications Commission (FCC) narrowband requirements - Describe strategic broadband planning activities and initiatives in preparation for the future deployment of the Nationwide Public Safety Broadband Network (NPSBN) Developing or conducting assessments, including but not limited to: - Developing pre -event recovery plans - Conducting point vulnerability assessments at critical infrastructure sites/key assets and develop remediation/security plans - Participating Regional Resiliency Assessment Program (RRAP) activities - Conducting or updating interoperable emergency communications capabilities assessments at the local, regional, or Statewide level (e.g., Communications Assets and Mapping [CASM]) - Developing border security operations plans in coordination with CBP 62 Appendix C— FY2014 HSGP Funding Guidelines 55B -102 - Developing, implementing, and reviewing Area Maritime Security Plans for ports, waterways, and coastal areas - Updating and refining threat matrices - Conducting eyber risk and vulnerability assessments - Conducting assessments and exercising existing catastrophic incident response and recovery plans and capabilities to identify critical capability gaps that cannot be Met by existing local, regional, and State resources - Activities that directly support the identification of specific catastrophic incident priority response and recovery projected needs across disciplines (e.g., law enforcement, fire service, EMS, public health, behavioral health, public works, agriculture, information technology, and citizen preparedness) - Activities that directly support the identification of pre- designated temporary housing sites - Activities that support the identification and development of alternate care sites - Conducting community assessments, surveys, and research of vulnerabilities and resource needs to determine how to meet needs and build effective and tailored strategies for educating individuals conducting assessments of the extent to which compliance with the integration mandate of disability laws is being achieved - Conducting Preparedness research - Conducting or updating interoperable emergency communications capabilities and broadband needs assessments at the local, regional, or Statewide level - Soft target security planning (e.g., public gatherings) Developing, hosting, or participating in bombing prevention/counter- improvised explosives device (IED)- specific planning initiatives to include: - Incorporating appropriate IED- specific intelligence and threat analysis when developing and maintaining a THIRA; - Conducting inventories and assessments of capabilities or typed resource using the counter- IED - specific DHS National Counter -IED Capabilities Analysis Database (NCCAD) program for use in applicable THIRAs, preparedness reporting, or strategies; - Conducting DHS Multi- Jurisdiction IED Security Planning (MJICDSP) workshops to develop TI MA -based plans and strategies that maximize the use of limited resources; - Developing IED hazard - specific EOP annexes. - Implementing a Corrective Action Plan (CAP) to close IED - related capability gaps identified through MJIEDSP or other planning processes Continuity of Operations /Continuity of Government (COOP /COG) Planning activities, which include but are not limited to: • Determining essential functions and activities, interdependencies, and resources needed to perform them • Establishing orders of succession and delegations of authority to key agency positions and establish and maintain current roster(s) of fully equipped and trained COOP personnel with the authority to perform essential functions • Providing for the identification and preparation of alternate operating facilities for relocated operations 63 Appendix C— FY2014 HSGP Funding Guidelines 55B -103 • Providing for the regular training, testing, and exercising of COOP personnel, systems, and facilities • Providing for reconstitution of agency capabilities and transition from continuity operations to normal operations • Identifying resources for medical supplies necessary to support children during an emergency, including pharmaceuticals and pediatric -sized equipment on which first responders and medical providers are trained • Ensuring subject matter experts, durable medical equipment, consumable medical supplies and other resources required to assist children and adults with disabilities to maintain health, safety and usual levels of independence in general population environments • Developing and implementing a community preparedness strategy for the State /local jurisdiction • Building and expanding governance structures to: - Include representatives from multiple agencies, jurisdictions, disciplines, levels of government, Tribes, rural areas, subject matter experts, and private industry - Integrate statewide leadership and governance structures into broader statewide planning efforts (e.g., statewide broadband planning activities, grants coordination activities, needs assessments) to ensure emergency communications needs are represented - Conduct outreach and education on emergency communications needs and initiatives to stakeholder groups Establishing, expanding, and maintaining volunteer programs and volunteer recruitment efforts that support disaster preparedness and /or response - Allowable volunteer programs and efforts include, but are not limited to: Citizen Corps Councils, partners, and affiliates; CERTs; Fire Corps; Medical Reserve Corps (MRC); Neighborhood Watch/USAonWatch; Volunteers in Police Service (YIPS); and jurisdiction- specific volunteer programs and efforts. Establishing and sustaining Citizen Corps Councils Working with youth - serving organizations and houses of worship to develop and sustain youth and faith -based preparedness programs Additional Planning Information The National Preparedness Directorate (NPD) offers technical assistance (TA) that is designed to provide grantees and sub- grantees with specialized expertise to improve their emergency plans and planning, TA deliveries are designed specifically to improve and eriltance the continuing development of state and local emergency management across the five mission areas of the National Preparedness Goal and across all core capabilities. TA provides the opportunity to engage emergency managers, emergency planners, and appropriate decision - makers in open discussion of options to improve plans and plarming in light of their jurisdiction's needs, There is no cost to approved jurisdictions for FEMA TA. TA deliveries combine current emergency management best practices with practical consideration of emerging trends, through discussion facilitated by FEMA contract specialists and with the support of FEMA Region operational specialists. While the invitation of parduiparrts is up to the requesting jurisdiction, FEMA encourages requesting jurisdictions to 64 Appendix C- FY2014 HSGP Funding Guidelines 55B -104 include the broadest practical range of its emergency managers and planners in all TA deliveries. TA deliveries should be made open to neighboring jurisdictions. As necessary, FEIVfA may also invite other Federal experts and practitioners to participate. Additionally, peer -to -peer representation may also be included from other jurisdictions that have recently used TA for the same planning issue. The TA catalog, showing the full range of TA available across all five mission areas and by all providers, and the TA request form can be accessed at http: / /www,fama.gov /national- incident- management- systetn/fema- teelmic al- assistance- division. Organization Activities The following organization activities in support of public- private partnerships are allowable expenses: Program management: - Salary for a dedicated liaison who acts as the primary point of contact, coordinates the public-private partnership and ensures proper implementation of the strategic plan - Facilities, including meeting space and work space for private sector liaisons. Grantees are encouraged to use free space /locations /facilities, whenever possible, prior to the rental of space /locations/facilities - Supplies needed to support regular communications - Implementation of infrastructure resilience enhancement options described in a RRAP report Utilization of standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident Sustain partnership efforts to include: - Support for in- person meetings, events, and workshops that bring the public and private sectors together. Grantees are encouraged to use free space/locations /facilities, whenever possible, prior to the rental of space/locations/facilities - Web -based and social media tactics (webinars, emails, newsletters, alerts, databases, online collaboration tools, website development and maintenance, etc.) - Innovative approaches for reaching the Whole Community to include translated material for individuals that are blind and or have low vision capability, those with limited English proficiency, children within diverse and ethnic populations, and coalitions among citizens. - Leverage already existing structures and mechanisms, such as Citizen Corps, for sharing information and engaging members of the Whole Community to include: for - profit and not -for -profit entities, faith based and community organizations, youth - serving and youth advocates, those that support socio- economic and diverse cultures Structures and mechanisms for information sharing between the public and private sector; - Tools, software, programs, and other mechanisms that support two -way information sharing during normal and emergency operations 65 Appendix C— FY2014 HSGP Funding Guidelines 55B -105 - Means to receive input or feedback from the private sector, and encourage participation from civic leaders from all sectors - Regular and timely communications on subjects relating to all phases of emergency management, such as newsletters, emails, and alerts Tools, resources and activities that facilitate shared situational awareness between the public and private sectors - Web -based and new media platforms that allow real -time information exchange - Asset mapping, such as participation in FEMA's Total Asset Visibility and LogViz initiatives - A seat(s) in the emergency operation center, or virtual EOC Operational Support: - Tools for identifying and tracking available paid and unpaid disaster response resources - Dedicated space and equipment for private sector representation within a State, county, or city emergency operation center - A dedicated business emergency operations center that works with the State, county or city EOC (not construction) - Tools for real time information sharing between the public and private sector - Licensing, screening, or other requirements for access to real EOC or virtual EOC Federal Emergency Response Official (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 - Plarming to incorporate emergency responder identity and credential validation into training and exercises. Training Activities FY 2014 SHSP and UASI funds may be used to support attendance to allowable training deliveries and programs, as described below. FEMA funds must be used to supplement, not supplant, existing funds that have been appropriated for the same purpose. Allowable training- related costs include, but are not limited to, the following: Developing, Delivering, and Evaluating Training. Includes costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, disability accommodations, and equipment. Training that promotes individual, family, or community safety and preparedness is encouraged, including: all- hazards safety training such as emergency preparedness, basic first aid, lifesaving skills, crime prevention and terrorism awareness, school preparedness, public health issues, chemical facility incidents, mitigation/property damage prevention, safety in the home, light search and rescue skills, principles of NIMS /ICS, volunteer management and volunteer activities, serving and integrating people with disabilities, pet care preparedness, CPR /AED training, identity theft workshops, terrorism awareness seminars, and disability- inclusive community preparedness conferences. The delivery of 66 Appendix C— FY2014 HSGP Funding Guidelines 55B -106 the CERT Basic Training Course and supplemental training for CERT member who have completed the basic training, the CERT Train -the- Trainer Course, and the CERT Program Manager course are strongly encouraged. + Conducting, hosting, or participating in training related to IED prevention, protection, mitigation, or response to include: – Awareness and education for the public, private sector and first responders; – Suspicious activity identification and reporting, including the Surveillance Detection and Bomb - Making Materials Awareness Program (BMAP); – Management of bomb threats; – Physical protective measures; – Diversion control measures for dual -use explosive precursor chemicals, including the Surveillance Detection and Bomb- Malcing Materials Awareness Program (BMAP); – Training for specialized IED prevention and protection teams or OPacks such as Public Safety Bomb Squads, Explosives Detection Canine Teams, and Mobile Explosive Device Screening Teams in accordance with applicable guidelines, certification, or accreditation requirements. • Overtime and Baclill. The entire amount of overtime costs, including payments related to backfilling 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 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. 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 Full or Part -Time Staff or Contractors /Consultants. Payment of salaries and fringe benefits to full or part-time staff or contractors /consultants 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. Such costs must be included within the funding allowed for program management personnel expenses. In no case is dual compensation allowable. • Certification/Recertiication oflnstructors, States are encouraged to follow the NTE 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 that involve training of trainers, This information is contained in IB 193, issued October 20, 2005. Additional information can be obtained at htt / /wwtiv ema nv/ good guidance /download /10146. • Training and exercises for the public or civilian volunteer programs supporting first responders, including CERTs, before, during and after disasters should address the needs Of the Whole Community. Allowable training includes: all- hazards safety such as emergency preparedness, basic first aid, lifesaving skills, crime prevention and terrorism awareness, school preparedness, youth preparedness, public health issues, chemical facility incidents, mitigation/property damage prevention, safety in the home, light search 67 Appendix C— FY2014 HSGP Funding Guidelines 55B -107 and rescue skills, principles of NIMS and ICS, volunteer management, serving and integrating people with disabilities, pet care preparedness, trailing necessary to participate in volunteer activities, fulfill surge capacity roles, integration and coordination of faith community roles, communication in disaster or promotes individual, family, or whole community safety and preparedness. Exercises that include members of the public or that are conducted for the public should be coordinated with local CERTs and/or Citizen Corps Councils as well as organizations outside of emergency management and focus on the importance of personal preparedness and protective actions. Per FEMA Grant Programs Directorate Policy FP 207 - 008 - 064 -1, Review and Approval Requirements far Training Courses Funded Through Preparedness Grants, issued on September 9, 2013, States, territories, Tribal entities and urban areas are no longer required to request approval from FEMA for personnel to attend non -FEMA training as long as the training is coordinated with and approved by the State, territory, Tribal or Urban Area Training Point of Contact (TPOC) and falls within the FEMA mission scope and the jurisdiction's Emergency Operations Plan (EOP). The only exception to this policy is for Countering Violent Extremism courses. The Policy can be accessed at httL / /vvvvw. emu. eov/rnedia- library /assets /clocurnents/34H56. FEMA will conduct periodic reviews of all State, territory, and Urban Area training fimded by FEMA. These reviews may include requests for all course materials and physical observation of, or participation in, the funded training. If these reviews determine that courses are outside the scope of this guidance, grantees will be asked to repay grant funds expended in support of those efforts. For further information on developing courses using the instructional design methodology and tools that can facilitate the process, SAAB and TPOCs are encouraged to review the NTED Responder Training Development Center (RTDC) available at http: / /yvww, rrstrespondertraininz .zov/rtdc/snacl. Additional Training Information FEMA Provided Training. These trainings include programs or courses developed for and delivered by institutions and organizations funded by FEMA. This includes the Center for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and the National Training and Education Division's (NTED) training partner programs including, the Continuing Training Grants, the National Domestic Preparedness Consortiurn (NDPC) and the Rural Domestic Preparedness Consortium (RDPC). Approved State and Federal Sponsored Course Catalogue. This catalogue lists State and Federal sponsored courses that fall within the FEMA mission scope, and have been approved through the FEMA course review and approval process. An updated version of this catalog can be accessed at http: / /vvww, mtres ondertrayti1a.gov, Training Not Provided by FEMA. These trainings includes courses that are either State sponsored or Federal sponsored (non - FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare State, local, Tribal, and 68 Appendix C- 17Y2014 HSGP Funding Guidelines 55B -108 territorial personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events. • State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than Federal entities or FEMA and are sponsored by the SAA or their designated TPOC. Joint Training and Exercises ivith the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public- private partnerships for training personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events. Overtime pay for first responders and emergency managers who participate in public - private training and exercises is allowable. In addition, States, territories, Tribes, and Urban Areas are encouraged to incorporate the private sector in government- sponsored training and exercises. Additional information on both FEMA provided training and other federal and state training can be found at htry : / /wrovw.firstrevnondertrainirte uov. Training Information Reporting System ("Web-,Forms'). Web -Forms is an electronic form/data management system built to assist the SAA and its designated State, territory and Tribal Training Point of Contact (TPOC), Reporting training activities through Web -Forms is not required under FY 2014 HSGP, however, the system remains available and can be accessed through the FEMA Toollcit located at het /vyww rratresroonrlertrcairrine oov /c tl�tn in order to support grantees in their own tracking of training, Exercise Activities Allowable exercise - related costs include: Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. Includes costs related to plaiming, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Grantees are encouraged to use government or 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 ftmctional needs, should be identified in the AAR/IP and addressed in the exercise cycle. Full or part -time staff may be hired to support exercise - related activities. Such costs must be included within the funding allowed for program management personnel expenses. State grantees must follow their state's formal written procurement policies. Overtime and Bacicfill, The entire amount of overtime costs, including payments related to backfrlling 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 goverramentand has the approval of the S fate or the awarding agency, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a limit of government may not receive compensation from their unit or 69 Appendix C FY2014 HSGP Funding Guidelines 55B -109 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 are allowable as expenses by employees who are on travel status for official business related to the piannhng and conduct of exercise proj ect(s) or HSEEP programmatic requirements as described in the HSEEP (e.g., Training and Exercise Plan). • Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non - sterile masks, and disposable protective equipment). • Disability Accommodations. Materials, services, tools and equipment for exercising inclusive of people with disabilities (physical, programmatic and communications access for people with physical, sensory, mental health, intellectual and cognitive disabilities). • Other.1tems. These costs include the rental of equipment and other expenses used specifically for exercises, costs associated with inclusive practices and the provision of reasonable accommodations and modifications to provide frill access for children, adults with disabilities, and those with access or functional needs Additional Exercise Information If a State decides to use HSGP finds to conduct an exercise(s), it is encouraged they complete a progressive exercise series. Exercises conducted by States and Urban Areas may be used to fulfill similar exercise requirements required by other grant programs. Grantees are encouraged to invite representatives /planners involved with other federally- mandated or private exercise activities. States and Urban Areas are encouraged to share, at a minimmu, the multi-year training and exercise schedule with those departments, agencies, and organizations included in the plan. Exercise Scenarios. The scenarios used in HSGP -fimded exercises must be based on the State/Urban Area's THIRA, The scenarios used in HSGP - funded exercises must focus on testing capabilities, must be large enough in scope and size to exercise multiple activities and warrant involvement from multiple jurisdictions and disciplines and non- governmental organizations, and take into account the needs and requirements for individuals with disabilities. Exercise scenarios should align with priorities and capabilities identified in the Multi -year Training and Exercise Plan, Special Event Planning. If a State or Urban Area will be hosting a special event (e.g., Super Bowl, G -8 Summit), the special event planning should be considered as a training or exercise activity for the purpose of the Multi -Year Training and Exercise Plan. The State or Urban Area should plan to use SHSP or UASI funding to finance training and exercise activities in preparation for those events. States and Urban Areas should also consider exercises at major venues (o.g., arenas, convention centers) that focus on evacuations, communications, and command and control. Regional Exercises. States should also anticipate participating in at least one Regional Exercise annually. States must include all confirmed or planned special events in the Multi -year Training and Exercise Plan, Exercise Evaluation and Improvement. Exercises should evaluate performance of capabilities against the level of capabilities required. Guidance related to exercise 70 Appendix C— FY2014 HSGP Funding Guidelines 55B -110 evaluation and improvement planning is defined in the HSEEP located at https: / /wv✓w.11is,dhstzowhseep. HSEEP Fundamental Principles. States are expected to develop an exercise program based the following principles: • Guided by Elected and Appointed Officials; • Capability- based, Objective- driven; • Progressive Planning Approach; o Whole Community Integration; • Informed by Risk; and • Common Methodology, Detailed information regarding the principles can be found in HSEEP located at ht(ps: /hvww llis dhs eov /hseep. The Role ofNon- Governmental Entities in Exercises. Non - governmental participation in all levels of exercises is strongly encouraged, headers from non - governmental entities should be included in the planning, conclusion, mid evaluation of an exercise. State, local, Tribal, and territorial jurisdictions are encouraged to develop exercises that test the integration and use of non - governmental resources provided by non - governmental entities, defined as the private sector and private non - profit, faith - based, community, disability, volunteer, and other non - governmental organizations, Non - governmental participation in exercises should be coordinated with the local Citizen Corps Council(s) or their equivalent and other partner agencies. The scenarios used in HSGP- funded exercises must focus on validating existing capabilities, must comply with and be large enough in scope and size to exercise multiple activities and warrant involvement from multiple jurisdictions and disciplines and non - governmental organizations, and take into account the needs and requirements for individuals with disabilities. Unauthorized Exercise Costs Unauthorized exercise - related costs include: • Reimbursement for the maintenance and/or wear and tear costs of general use vehicles (e.g., construction vehicles), medical supplies, and emergency response apparatus (e.g., fire trucks, ambulances). • Equipment that is purchased for permanent installation and/or use, beyond the scope of the conclusion of the exercise (e.g., electronic messaging signs). 71 Appendix C— PY2014 HSGP Funding Guidelines 55B -111 Appendix D -- FY 2014 OPSG Operations Order Template and Instructions Operations Order Template Instructions The OPSG Operations Order Template can be found at htt :/p /www. vrants.egy, Executive Summary Overview Operations Order Executive Summary must: Identify the organization name, point of contact, committees, and other structures accountable for implementing OPSG in the jurisdiction (typically this will be a program lead or manager overseeing operations and individuals assigned to that agency). Describe how Federal, State, local, and Tribal law enforcement agencies will work together to establish, and enhance coordination and collaboration on border security issues. Budget Requirements Overview Operations Order Detailed Annual Budget must: • Explain how costs and expenses were estimated. • Provide a narrative justification for costs and expenses. Supporting tables describing cost and expense elements (e.g., equipment, fuel, vehicle maintenance costs) may be included. Submission Requirements Operations Orders must meet the following submission requirements: Must be created and submitted in Microsoft Word ( *.doc) Must not exceed six pages in length Must be submitted using the following file naming convention: "FY 20XX OPSG < State Abbreviation> - <Local Unit of Government Name >" Due to the competitive nature of this program, separate attachments will not be accepted or reviewed. 72 Appendix D —FY 2014 HSGP, OPSG Operations Order Template 55B -112 FY 2014 OPERATION STONEGARDEN (OPSG) OPERATIONS ORDER AND BUDGET TEMPLATE Op Order Name: Operation O Order Number: <Completed by CBP> Op Dates: From: To: Re ort Date: Executive Summary I. Situation A, General Situation: B. Terrain/Weather: C. C. Criminal Element: D. D. Friendly Forces: H. MISSION III. EXECUTION A. Management /Supervisor Intent: B. General Concept: C. Specific Responsibilities: 1. 2. 3. D. Coordinating Instructions: IV. BUDGET Within the Operations Order, include budgets and operative spending plans in one -year increments (Year 1 and Year 2). The annual operations should be practical and able to be completed within the 24 -month period of performance. Grantees may not begin operations, obligate, or expend any funds until the final Operations Order and embedded budget has been approved by FEMA GPD and CBP /BP Headquarters and any existing special conditions and/or restrictions are removed. The sample table provided below may be used as a guide to the applicant in the preparation of the budget and Operations Order to be submitted. Using the table below, compute the total estimated cost under the Narrative Justification column and indicates the amount of Federal funds requested under the Federal Request column that will support the project. 73 Appendix D —FY 2014 I-ISGP, OPSG Operations Order Template 55B -113 A.1 Exam le - Cost Estimates/F unding, Requests (year 1 A.2 Cost Estimates/Funding Requests (fear 2); < INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE > V. COMMAND /CONTROL /COMMUNICATION A. Chain of Command: B. Unit Command: C. Communications Detail: D. Map Coordinates: 74 Appendix D—FY 2014 HSGP, OPSG Operations Order Template 55B -114 Law Enforcement Operational $50 per hour OT rate x 11 personnel Overtime x 10 hours x 3 day detail x 4 quarters er ear x 2 ears I $132,000.00 Fringe Benefits for Law $27.55/hr x 1.5 OT = ($41.33/hr) x Enforcement (.062) = ($2.561hr FICA) x 5840 hrs/ rx_2 rs $29,925,92 Travel, Lodging, and Per Diem far Federal or below: approx miles of deployed LE and /or Federally 3,500, 15 days single Occupancy @ sponsored (DHS /FEMA) border $150 for 5 people security task forces, conferences and/or mandatory training $1,750.00 General Equipment Lines, personal flotation devices, GPS software updates, marine batteries, thermal ima in s stem Special Equipment Sea Hawk Boat, Explorer 4x4 Police (Requiring separate waiver i.e., with Package Planes, boats, vehicles, SUVs, etc. $75,000.00 Part -Time to Full -Time Law Enforcement Personnel Activated Reserve Law Enforcement Personnel Vehicle 46,800 miles per year x.18 cents per Maintenance mile = $8,424.00 x 2 yrs Vehicles: Tires, engine repair, other $16,848.00 Fuel Cost 3,342 x $4.50 per gallon = $15,0431yr x 2 yrs $30,086.00 Total $285,60992 A.2 Cost Estimates/Funding Requests (fear 2); < INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE > V. COMMAND /CONTROL /COMMUNICATION A. Chain of Command: B. Unit Command: C. Communications Detail: D. Map Coordinates: 74 Appendix D—FY 2014 HSGP, OPSG Operations Order Template 55B -114 Dotes: Longitude: Latitude: Degrees: Nlinutes: Seconds: Decimal: Location Zone: ANNEX A, Administration Annex: B. Execution Annex: C. Command Annex: Media Action Plan: Legal Review: Risks: Photos: 75 Appendix D —FY 2014 HSOP, OPSG Operations Order Template 55B -115 Appendix E — OPSG Operational Guidance Appendix F is intended to provide operational guidance to applicants on the development of the concept of operations and campaign planning, the tactical operation period and the reporting procedures This also delineates specific roles and responsibilities, expectations for operations, and performance measures. Successful execution of these objectives will promote situational awareness among participating agencies and ensure a rapid, fluid response to emerging border - security conditions. OPSG uses an integrated approach to address tranisnational criminal activity. It is recommended that Federal, State, local, Tribal, and territorial partners establish and maintain all OPSG Integrated Planning Team (IPT) with representation from all participating law enforcement agencies, co- chaired by representatives from CBP /BP, the SAA, and participating law enforcement agencies' ONG program representatives. U.S, Border Patrol will provide routine monitoring and teelmioal expertise to each participating agency. Each operation will be reviewed for border - security value and approved by the corresponding sector's Chief Patrol Agent or his /her designee. All operational plans should be crafted in cooperation and coordination among Federal, State, local, Tribal, and territorial partners. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the CBP /BP Sector Headquarters with geographic responsibility for the applicant's location in developing and submitting an Operations Order with an embedded budget to the SAA, As OPSG continues to evolve, several proven practices have been recognized, centered on short- term, periodic operations in support of overarching near and long -term goals. A multi -step process will be established through the area IPT, including a campaign plan and a cycle of operations to ensure that OPSG partners maintain synergism and have a coordinated and measurable impact on reducing border - security risk. I. Concept of Operations and Campaign Planning (Post Allocation Announcement/Pre- Award) The overarching operational cycle involves three stages; application, concept of operations to formulate a Campaign Plan and one or more tactical operational periods, which are all developed by the IPT. First Stage: Please refer to section IX of the full FOA Second Stage (Post Award): After awards are announced participants will create and submit an operations order that forms a campaign plan and captures the initial, generalized - budgetary intent to their IPT. The campaign plan should articulate the participant agency's long -tern border security objectives anal goals designed to mitigate border- security risk. 76 Appendix E — FY 2014 HSGP, OPSG Operational Guidance 55B -116 Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that OPSG usage is commensurate to the unique risk of each border region. This may require several short -term operations that combine to form an ongoing operational cycle, ensuring that BP commanders and State, local, and Tribal agency partners reserve the flexibility to respond to the ever - changing elements of border security. The operations plan also will articulate the budgetary intent of how funds will be used throughout the performance period. The operations plan will project planned expenditures in the following categories: overtime, equipment, instruction, travel, maintenance, fuel, and administrative funds. It can initiate the procurement of equipment, as well as state how much the county intends to use for M &A while keeping funds for overtime or residual equipment funds available for use as needed. If the recipient intends to spend more than 50% of their award on overtime over the course of the performance period, requests for an overtime waiver would be submitted at this time. The operations plan will meet both the SAA expectations to obligate the funds within 45 days of the award announcement and the demands of the grant's operational intent. Once the operations plan is approved, the area IPT will meet to initiate the last stage in the planning process. Third Stage: Once the grantee is ready to conduct operations, the area IPT will begin planning tactical operations. II. Tactical Operational Period Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated, and intelligence- driven planning is critical to conducting targeted enforcement operations consistent with the objectives of the OPSG. By participating in the OPSG, the State, local, and Tribal agencies agree to conduct operations designed to reduce border - security risk. Tactical operations will be conducted on a periodic basis meeting the criteria outlined below. Tactical operational periods are composed of six critical elements: 1) a pre - planning meeting with the IPT; 2) specified beginning and ending dates; 3) are intelligence driven, with a nexus to border security; 4) use targeted enforcement techniques; 5) have clearly stated objectives; and 6) conclude with an after - action meeting. A campaign should involve several tactical operational periods. These periods require deliberate on -going planning to ensure command, staff, and unit activities synchronize to current and fithure operations, The cyclical nature of the process will ensure OPSG activities align with the fluctuating border - security threats and vulnerabilities. Key plarmers should recognize that shorter, frequent tactical operational periods increase the flexibility and leverage gained through OPSG funding. The IPT should leverage information provided by the fusion center, Border Intelligence Centers or other local intelligence center, when possible, and establish a common operational vision. The BP sector's Chief Patrol Agent, or his /her designee, will ensure that the information or intelligence has a clear nexus to border security. Intelligence will be shared and vetted for border security value, driving the focus of operations. The tactical operational period should focus on specific targets of interest or specific areas of interest identified by the IPT. Once intelligence - driven targets are identified, the IPT will decide on operational objectives that 77 Appendix E — FY 2014 HSGP, OPSG Operational Guidance 55B -117 reflect the intended impact of operations. The objectives should outline how the operation will deter, deny, degrade, or dismantle the operational capacity of the targeted transnational criminal organizations. The frequency and duration of each tactical operational period should be predicated by local risk factors. The tactical operational period may combine to develop an operational cycle that is synchronous or asynchronous, connected, or unconnected, depending on security conditions and the I'PT's intent. Each tactical operational period will begin on a predetermined date and end on a predetermined date, but the dates may be subject to change commensurate with emerging security conditions. The starting date of the operational period should be established to allow sufficient time for the order to be submitted and approved through SP Headquarters and FEMA. Once approved, the operation can be conducted. The following diagrams illustrate two different approaches for conducting operations: t CAMPAIGN PLAN'S OPERATIONAL CYCLE DURATION: I FISCAL YEAR FY start FY end Mahtl Novembna ftbr—v .—h A,Xl Mny JLne July hgwl SaMav aarvrrt Y n �odtaa k + ` This cycle illustrates contiguous operations. This is an example of a twelve month campaign plan with four tacticar operational peNods. Figure 1: Example of an Ongoing Synchronized Operational Cycle 1 These Illustrations reflect a twelve month campaign plan, A campaign plan should be written to encompass the performanco period. Performance periods vary from State to State, please contact the State Administrative Agency In your area for clarification. 78 Appendix E — FY 2014 HSGP, OPSG Operational Guidance 55B -118 AM, IS. FY art P[, end GNNr MMINM' 4YR Lx JMw.vY P50nMYA' LkFtitF dpW .. s�g..N.r.i...:1u�. �. I1I. Reporting Procedures Participation in OPSG requires accurate, consistent, and timely reporting of how fiends are used, and how the State, local and Tribal agencies' operations have impacted border security through the mitigation of threat or vulnerability and the overall reduction of risk. Reporting will focus on: monitoring program performance; determining the level of integration and information sharing; and developing best practices for future operations, To ensure consistent reporting each State, local and Tribal agency will identify a single point of contact to represent their agency as a member of the IPT and to coordinate the submission of reports or execute other aspects of the grant. Attachment A, the Daily Aetr.'vio) Report is to be used to submit the ongoing results and outputs from OPSG operations conducted. The Daily Activity Report will be submitted to the BP sector, if required, or to the participating agency's OPSG coordinator. The agency coordinator will compile the results from each Daily Activity Report at the and of the month and submit a monthly report to the BP sector. The monthly report is due to sector by the 1 Os` day of the following month, The BP sector will compile the results from the participating agencies and submit the results to BP Headquarters by the 151i of each following month. In addition to the ongoing reporting of outputs, participants will be required to submit After Action Reports to participating agencies and the BP within 10 days of any completed operation, after convening a debrief meeting. The After Action Report should carefully articulate outcomes and outputs, as well as how the results of the operation compare with the objectives identified 79 Appendix E — PX 2014IISGP, OPSG Operational Guidance 55B -119 during the pre - planning meeting. Failure to submit the After Action report in a timely manner may prevent the approval of future operations requests. IV. Operational roles and responsibilities In order to achieve unity of effort, it is essential that each participant ]snow the roles and responsibilities within the IPT. The BP sector's Chief Patrol Agent, or his /her designee, will: Coordinate and chair the area Integrated, Planning Team's meetings Coordinate with all interested and eligible State, local, and Tribal agencies in the sector's area of operation during the open period of the ONG application process by: - Assisting applicants in completing the operations planning portion of the application, which is similar to the Operations Order used by the Border Patrolz - Forwarding the approved operation portion of the application to CBP /BP Headquarters, as well as to the SAA to complete the application process set by FEMA/GPD Following the announcement of grant awards, coordinate and chair a meeting with State, local, and Tribal agencies that received OPSG awards to develop an individualized campaign plan. This includes: - Working with State, local, and Tribal agencies, along with other Federal law enforcement agencies to determine the dates, focus, and needs of each tactical operational period, ensuring that each operation has a nexus to border security; - Receiving the first periodic operations order from the State, local, and Tribal agencies and ensuring that the operation is conducted as outlined, in Section I; - Monitoring and supporting the Operational Cycle throughout the performance period; - Ensuring Daily Activity and After Action Reports are submitted by State, local and Tribal agencies in the proper format and within the established timefiames; - Providing instruction, when possible, to State, local and Tribal agencies regarding techniques, methods and trends used by transnational criminal organizations in the area; and - Providing a single point of contact to participants as a subject matter expert in OPSG that can coordinate, collect, and report operational activities within the established reporting procedures. The State, local or Tribal agency lead, or their designee, will: • Coordinate with the SAA on all grant management matters, including but not limited to the development and review of operations orders, expenditure of funds, allowable costs, reporting requirements; 2 This will not be entered into the Border Patrol Enforcement Tracking System (BPETS), 80 Appendix E - FY 2014 HSGP, ONG Operational Guidance 55B -120 • Participate as a member of the Integrated Planning Team to facilitate the application process during the open period and ensure the application is submitted in compliance with the grant instructions; • Upon receiving a grant award, coordinate and meet as a member of the Integrated Planning team to develop an individualized campaign plan that covers the length of the grant performance period; • Work within the Integrated Planning team to develop an initial Operational Cycle and determine the duration of the first operational period based on the tactical needs specific to the area; • Submit all operations orders to the SAA for review, and submit the first periodic operations order to the Border Patrol and ensure the operation meets the six criteria established in Section II; • Conduct operations, on an as- needed basis throughout the length of the grant performance period; • Ensure reports are submitted to the to the Border Patrol, and the SAA when applicable, in the proper format and within established timeframes; • Ensure applicable Operation Stonegarden derived data is shared with the designated fusion center in the State and /or urban area. • Request instruction and information from the SAA, when applicable, and /or Border Patrol and other Federal law enforcement agencies regarding techniques, methods, and trends used by trausnational criminal organizations in the area; and • Provide the SAA and Border Patrol a single point of contact that maintains subject matter expertise in OPSG who can coordinate, collect, and report operational activities within the established reporting procedures, The SAA will: • Actively engage in the IPT meetings; • Work in direct coordination and communication with the local or Tribal agency lead on all grant management matters; • Review all operations orders created by the local or Tribal agency; • Acts as the fiduciary agent for the program and provide expertise in State policy and regulations; • Enter into a sub -grant agreement with the award recipients to disburse the allocated. funding awarded through FEMA /GPD; • Generate quarterly reports to FEMA and the U.S. Treasury capturing the award recipients' obligation and expenditure of funds; • Determine if the grant's performance period requires additional refinement over the federally established 24 month period; and • Conduct audits of the program to ensure that the award recipients are in compliance with program guidance. 81 Appendix E — FY 2014 HSGP, ONG Operational Guidance 55B -121 Attachment A: Dally Activity Report Date Information Date of Activity FY Funds Used Agency Identifiers Operational Expenses Overtime Hours Labor Cost Mlles Driven /Patrolled Mileage Cost Fuel Used (in Gallons) Fuel Cost Equipment on Order Equipment Cost Vehicle Stops Total Cost Operational Activity Narcotics Seizures Misdemeanor Arrests Subjects TOT SP Cases TOT SP Cash Seizures Felony Arrests Criminal Aliens TOT BP Weapons Seizures Outstanding Warrants Vehicle Stops Vehicle Seizures Citations Issued Intel Reports Specialty Equipment ** *Click the oran go arrows below to add details about seizures and arrests, Specialty Equipment Osage Surveillance Tower Marine Patrol Asset Armored Vehicle Mobile Command Center Aviation Asset' Other Spec. Equipment 82 Appendix E — FY 20t4 HSGP, OPSG Operational Guidance 55B -122 Narcotic Seizure Details Currency Seizure Details Amount Report Number Location Comments Vehicle Seizure Details Weapon /Ammunition Seizure Details Weapon Type Amount Seized Report Number Location Comments Specialty Equipment Usage Details Significant Arrest Details Intelligence Summary Authorizing Officer Date of Report V. Definitions Integrated Planning Team; The IPT will consist of the awarding State Administrative Agency, local, and Tribal OPSG stakeholders within their Border Patrol sector area and U.S. Border Patrol representatives, but may include other area Federal law enforcement agencies if deemed 83 Appendix E — FY 2014 I3SGP, OPSG Operational Guidance 55B -123 necessary by the Chief Patrol Agent, The integrated Planting Team will be used for all aspects of OPSG application, planning, and do-briefings. Area of Interest: A specific area, areas, or facilities known to be used by transnational criminal organizations in furtherance of their criminal activity. Campaign Plan: A series of related law enforcement operations aimed at accomplishing a strategic or operational objective within a given time and space. Content of Operations: A written statement that clearly and concisely expresses what the State, local or Tribal commander intends to accomplish and how it will be done using available resources (and funding), Operational Cycle: A deliberate on -going cycle of command, staff, and unit activities intended to synchronize current and future operations (driven by current intelligence and short -term goals that support the campaign). Operational Discipline: The organized manner in which an organization plans, coordinates, and executes the OPSG mission with common objectives toward, a particular outcome, Performance Measure: A nunerical expression that quantitatively conveys how well the organization is doing against an associated performance goal, objective, or standard. Tactical Operational Period: An operational segment that meets the following six criteria: 1) specified beginning and ending dates; 2) begins with pro - planning; 3) is intelligence driven; 4) uses targeted enforcement techniques; 5) has clearly stated objectives; and G) concludes with an after - action meeting, Targeted Enforcement: The leveraging of all available assets against a specific action, area, individual, or organization and using those deemed most appropriate to mitigate risk. Target of Interest: A specific person, group of persons, or conveyance known to be part of, or used by transnational criminal organizations to advance their criminal activity. Threat: Information expressing intent to conduct illegal activity often derived from intelligence sources, the overall context, a specific event or series of events, or observation of suspicious activity. Vulnerability: The protective measures in place are less than the protective measures needed to mitigate risk. Unity of Effort: Coordination and cooperation among all organizational elements, even though they may not be part of the same "command" structure, to achieve a success. 84 Appendix E — FY 2014 HSGP, OPSG Operational Guidance 55B -124 EXIIIBIT C 55B -125 Name of Applicant: Address: City: Telephone Number: E -Mail Address: California Governor's Office of .Emergency Services FY 2014 Grant Assurances (All IISGP Applicants) State: Fax Number: Zip Code: As the duly authorized representative of the applicant, I certify that the applicant named above: 1, Will assure that the Funding Opportunity Announcement for this program is hereby incorporated into your award agreement by reference. By accepting this award, the recipient agrees that all allocations and use of funds under this grant will be in accordance with the requirements contained in the FY2014 Homeland Security Grant Program Funding Opportunity Announcement, the California Supplement to the FY2014 Homeland Security Grant Program Funding Opportunity Announcement, and all applicable laws and regulations. 2. All allocations and use of funds under this grant will be in accordance with the Allocations, and use of grant funding must support the goals and objectives included in the State and/or Urban Area Homeland Security Strategies as well as the investments identified in the Investment Justifications which were submitted as part of the California FY2014 Homeland Security Grant Program application. Further, use of FY2014 funds is limited to those investments included in the California FY20l4Investment Justifications submitted to DHS /FEMA and Cal. OES and evaluated through the peer review process. 3. Understands that in the event FEMA determines that changes are necessary to the award document after all award has been made, including changes to period of performance or terms and conditions, recipients will be notified of the changes in writing. Once notification has been made, any subsequent request for funds will indicate recipient acceptance of the changes to the award, Please call the FEMA /GMD Call Center at (866) 927.5646 or via e -mail to ASI<- GMDajhs gov if you have any questions. 4. Has the legal authority to apply for Federal assistance and has the institutional, managerial and financial capability to ensure proper planning, management and completion of the grant provided by the U.S. Department of Homeland Security (DHS) /Federal Emergency Management Agency (FEMA) and sub - granted through the State of California, California Governor's Office of Emergency Services (Cal DES). 5. Will assure that grant funds are used for allowable, fair, and reasonable costs only and will not be transferred between grant programs (for example: State Homeland Security Program and Urban Area Security Initiative) or fiscal years. 6. Will comply with any cost sharing commitments included in the FY2014 Investment Justifications submitted to DHS /FEMA /Cal OES, where applicable. 7. Will establish a proper accounting system in accordance with generally accepted accounting standards and awarding agency directives. Page I Initials 55B -126 8. Will give the DHS /FEMA, the General Accounting Office, the Comptroller General of the United States, the Cal OES, the Office of Inspector General, through any authorized representatives, access to, and the right to examine, all paper or electronic records, books, and docturionts related to the award, and will permit access to its facilities, personnel and other individuals and information as may be necessary, as required by DHS /FEMA or Cal DES, through any authorized representative, with regard to examination of grant related records, accounts, documents, information and staff. Agrees, and will require any subrecipient, contractor, successor, transferee, and assignee to acknowledge and agree to comply with applicable provisions governing DHS access to records, accounts, documents, information, facilities, and staff, a. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS or Cal OES. b. Recipients must give DHS and 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 DHS and Cal OES program guidance, requirements, and applicable laws. c. Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance, and recipients must submit timely, complete, and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation to support the reports. d. If, during the past three years, the recipient has been accused of discrimination on the grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DHS /Cad OES awarding office and the DHS Office of Civil Rights and Civil Liberties. e. 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. 10, Will comply with any other special reporting, assessments, national evaluation efforts, or information or data collection requests, including, but not limited to, the provision of any information required for the assessment or evaluation of any activities within this agreement, or detailed in the program guidance. 11. Agrees that funds utilized to establish or enhance State and Local fusion centers must support the development of a statewide fusion process that corresponds with the Global Justice /Homeland Security Advisory Council (HSAC) Fusion Center Guidelines, follow the Federal and State approved privacy policies, and achieve (at a minimum) the baseline level of capability as defined by the Fusion Capability Planning Tool. 12. Understands that a hold is in place on Fusion Center activities and the applicant is prohibited from obligating, expending, or drawing down HSGP — UASI funds in support of their State and /or Major Urban Area Fusion Center. Cal OES will notify the subgrantee in writing when DHS /FEMA has lifted the hold. 13. Will initiate and complete the work within the applicable thnofratne (subgrantee performance period), in accordance with grant award terms and requirements, after receipt of approval from Cal OES and will maintain procedures to minimize the amount of time elapsing between the award of funds and the disbursement of funds. Page 2 Initials 55B -127 14. Will provide timely, complete and accurate progress reports, and maintain appropriate support documentation to support the reports, and other such information as may be required by the awarding agency, including the Initial Strategy Implementation Plan (ISIP), within 45 (forty -five) days of the award, and update these reports and related documentation via the Grant Reporting Tool (GRT) twice cacti year. 15. Will provide timely notifications to Cal OES of any developments that have a significant impact on award - supported activities, including changes to key program staff. 16. Agrees to be non - delinquent in the repayment of any Federal debt. Examples of relevant debt , include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. See OMB Circular A- 129 and form SF -4246, item number 17 for additional information and guidance. 17. Will comply with the requirements of 31 U.S.C. § 3729, which set forth that no subgrantee, recipient or subrecipient of federal payments, shall submit a false claim for payment, reimbursement, or advance. Administrative remedies may be found in 38 U.S.C. §§ 3801-38 H, addressing false claims and statements made. 18. Will comply with all applicable provisions of DHS /FEMA's regulations, including Title 44 of the Code of Federal Regulations, Part 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments, including the payment of interest earned on advances. 19. Will comply with the 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 "), which are also located found within DHS regulations at Title 44, Code of Federal Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments"; will comply with 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. 20. Will comply with the financial and administrative requirements set forth in the current edition of the DHS Financial Management Guide; OMB Circular A -21, Cost Principles for Educational Institutions, relocated to 2 CPR Part 220; OMB Circular A -87, Cost Principles for State, Local, and Indian Tribal Governments, relocated to 2 CFR Part 225; OMB Circular A -122, Cost Principles for Non - Profit Organizations, relocated to 2 CFR Part 230; and OMB Circular A -133, Audits of States, Local Governments and Non-Profit Organizations, as applicable. 21. Will comply with all provisions of the Federal Acquisition Regulations, including but not limited to Title 48 CFR Part 31.2, part 3 1.2 Contract Cost Principles and Procedures, Contracts with Commercial Organizations. 22. Will comply with provisions of the Hatch Act (5 U.S.C. §§ 1501 -1508 and 7324 - 7328), which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal finds. 23. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes, or presents the appearance of, personal or organizational conflict of interest, or personal gain for themselves or others, particularly those with whom they have family, business, or other connections. 24. Understands and agrees that Federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation, or policy, at any level of government, without the express prior written approval from DHS /FEMA and Cal OES. 25. Will comply with all applicable lobbying prohibitions and laws, including those found 31 U.S.C.§ 1352., and agrees that none of the funds provided under this award may be expended by the recipient to pay any Page 3 Initials 55B -128 person m 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. 26. Agrees that, to the extent contractors or subcontractors are utilized, will use small, minority- owned, women- owned, or disadvantaged businesses, to the extent practicable, 27. Will comply with Title 2 of the Code of Federal Regulations 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, 28. Will ensure that Federal funds do not replace (supplant) funds that have been budgeted for the same purpose through non - Federal sources. Subgrantees and subrecipients may be required to demonstrate and document that a reduction in non - Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds. 29. Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. § 4801 at seq), which prohibits the use of lead based paint in construction or rehabilitation of structures. 30. Will comply with all federal and state laws and regulations relating to civil rights protections and nondiscrimination, These include, but are not limited to: a. Title VI of the Civil Rights Act of 1964, Public Law 88.352, (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. It, Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § 1681 or seq.), which prohibits discrimination on the basis of gender in educational programs and activities. These regulations are codified at 6 CFR Part 17 and 44 CFR Part 19. c, The Americans with Disabilities Act, as amended, 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 at seq.), d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), which prohibits discrimination on the basis of age in any program or activity receiving federal financial assistance. e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92.255), as amended, relating to nondiscrimination on the basis of drug abuse. f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism. g. Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. § 290 dd -3 and 290 ec -3), as afuended, relating to confidentiality of alcohol and drug abuse patient records. h. Title Vill of the Civil Rights Act of 1968 (42 U.S.C. § 3601 of seq., as implemented by 24 CFR Pail 100), as amended, relating to nondiscrimination in the sale, rental and financing of housing. i. Title 44 of the Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to nondiscrimination j. The requirements of any other nondiscrimination provisions in the specific statute(s) under which the application for Federal assistance is being made and any other applicable statutes. k. The requirements of Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 794, as amended, which provides that no otherwise qualified individual with a disability in the United States will, solely by reason of the disability, be excluded from participation ln, 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. I. Will, in the event that aFederal or State court or Federal or State administrative agency makes a finding of discrimination after a due process hearing on the grounds or race, color, religion, national Page 4 Initials 55B -129 origin, gender, or disability against a recipient of funds, the recipient will forward a copy of the finding to the Office of Civil Rights, Office of Justice Programs, in, Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of Justice Office of Civil Rights within 60 days of grant award. n. Will comply, and assure the compliance of all its subgrantees and contractors, with the nondiscrimination requirements and all other provisions of the current edition of the Office of Justice Programs Financial and Administrative Guide for Grants, M7100.1. 31. Will comply with the requirements of Titles 11 and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq. [RL. 91- 646]), which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or Federally assisted programs. These requirements apply to all interested in real property acquired for project purposes regardless of Federal participation in purchases. Will also comply with Title 44 CFR, Part 25, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally- assisted programs. 32. Will comply with all provisions of DHS /FEMA's regulation 44 CPR Part t0, Environmental Considerations. 33. Will comply with all applicable Federal, State, and Local environmental and historical preservation (EHP) requirements. Failure to meet Federal, State, and Local EHP requirements and obtain applicable permits may.lvopardize Federal funding. Agrees not to undertake any project having the potential to impact EHP resources without the prior written approval of DHS /FEMA and Cal DES, including, but not limited to, ground disturbance, construction, modification to any structure, physical security enhancements, communications towers, any structure over 50 years old, and purchase and /or use of any sonar equipment, The subgrantee must comply with all conditions and restrictions placed on the project as a result of the EHP review. Any construction- related activities initiated without the necessary EFIP review and approval will result in a noncompliance finding, and may not be eligible for reimbursement with DHS /FEMA and Cal OES funding. Any change to the scope of work will require re- evaluation of compliance with the EHP. If ground - disturbing activities occur during the project implementation, the subgrantee must ensure monitoring of the disturbance. If any potential archeological resources are discovered, the subgrantee will immediately cease activity in that area and notify DHS /FEMA/ and Cal OES and the appropriate State Historic Preservation Office. 34. Any construction activities that have been initiated prior to the full environmental and historic preservation review could result in a non - compliance finding. Subgrantees must complete the DHS /FEMA EHP Screening Form (ONIB Number 1660- 0115/FEMA Form 024.0 -01) and submit it, with all supporting documentation, to their Cal OES program representative, for processing by the DHS /FEMA GPD EHP, 35. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon receiving their grant award. The Screening From for these types of projects is available at: wcvw. fema.gov /doc /&overnment /at',in't /bulletins /info329 funai screenim: memmdoc. 36. Will ensure that the facilities under its ownership, lease or supervision, which shall be utilized in the accomplishment of this project, are not on the Environmental Protection Agency's (EPAs) List of Violating Facilities, and will notify Cat OES and the DHS /FEMA of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating if a facility to be used in the project is under consideration for listing by the EPA. 37, Will provide any information requested by DHS /FEMA / and Cal OES to ensure compliance with applicable laws including, but not limited to, the following: a. Institution of environmental quality control measures under the Archaeological and Historic Preservation Act, Endangered Species Act, and Executive Orders on Floodplains (11988), and Environmental ,Justice (EO12898) and Environmental Quality (FOI 1514). Initials 55B -130 b. Notification of violating facilities pursuant to EO 11738, c. Assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. § 1451 at seq.), d. Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93 -523). e. California Environmental Quality Act (CEQA), California Public Resources Code Sections 21080- 21098, and California Code of Regulations, Title 14, Chapter 3 §§ 15000. 15007. f. Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 at seq.) related to protecting components or potential compononts of the national wild and scenic rivers system. g. Applicable provisions of the Coastal Barrier Resources Act (P.L. 97 -348) dated October 19, 1982 (16 USC § 3501 at seq.), which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System, 38. Will comply with Standardized Emergency Management System (SEMS) requirements as stated in tho California Emergency Services Act, Government Code, Chapter 7 of Division l of Title 2, § 8607.1(e) and CCR Title 19, §§ 2445, 2446, 2447, and 2448. 39. Agrees that subgrantees and subrecipients collecting Personally Identifiable Information (PIT) must have a publically- available privacy policy that describes what PII they collect, how they plan to use the Pit, whether they share PIT with third parties, and how individuals may have their PT[ corrected where appropriate. Subgrantees and subrecipients may also find DFIS Privacy Impact Assessments, guidance and templates online at http://www.clhs.fov/xlibi,�iry/assets/tirivaev/lDrivacv pin 'fuidance jtme2010 ndf and at http. / /wLvw.diis.eov /xtibraa /assets /privacy /privacy_pii templat_ e.pdf, respectively. 40. Agrees that all DFIS /FEMA- funded project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, and approvals are obtained. 41. Will comply with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. § 2225(a), whereby all Subgrantees, recipients, and subrecipients 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. 42. Will comply with the Preference for U.S. Flag Air Car'r'iers: (air carriers holding certificates under 49 U.S.C. § 41 102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981 amendment to Comptroller General Decision 13138942. 43. Agrees that all publications created or published with funding under this grant shall prominently contain the following statement: "This document was prepared under a grant from FEVf.4 s Grant Programs Directorate, U.S. Department of Homeland Security. Points of view or opinions expressed in this document are those ofthe authors and do not necessarily represent the official position or policies ofPEA11A's Grant Programs Directorate or the U.S. Department of Homeland Security. " The recipient also agrees that, when practicable,, any equipment purchased with grant funding shall be prominently marked as follows: "Purchased with funds provided by the U.S. Department q Homeland Security. " 44. Acknowledges that DFIS /FEMA reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use, for federal government purposes: a) the copyright in any work developed under an award or sub- award; and b) any rights of copyright to which a recipient or sub - recipient purchases ownership with Federal support. The recipient must affix the applicable copyright notices of 17 U.S.C. section 401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work first produced under Federal financial assistance awards, unloss the work Page 6 Initials 55B -131 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). The recipient agrees to consult with DHS /FEMA and Cal OES regarding the allocation of any patent rights that arise from, or are purchased with, this funding. 45. Recipients receiving Federal financial assistance to be used to perform eligible work approved in the submitted application for Federal assistance mid after the receipt of Federal financial assistance, through the State of California, agreos to the following: a, Promptly return to the State of California all funds received which exceed the approved, actual expenditures as determined by the Federal or State government. b. In the event the approved amount of the grant is reduced, the reimbursement applicable to the amount of the reduction will be promptly refunded to the State of California. c. Property and equipment purchased under the HSGP reverts to Cal OES if the grant funds are deobligated or disallowed and not promptly repaid. d. HSGP funds used for the improvement of real property must be promptly repaid following deobligation or disallowment of costs, and Cal OES reserves the right to place alien on the property for the amount owed. e. Separately account for interest earned on grant fonds, and will return all interest earned, in excess of $100 per Federal Fiscal Year. 46. Understands that 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 fnteroperable communications. 47. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P. L. 89 -544, as amended, 7 U.S.C. § 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. 48. Will comply with the minimum wage and maximum hour provisions of the Federal Fair Labor Standards Act (29 U.S.C. § 201), as they apply to employees of institutions of higher education, hospitals, and other non - profit organizations. 49. Agrees that "Classified national security information," as defined in Executive Order (EO) 12958, as amended or updated via later executive order(s), means information that has been determined pursuant to EO 12958 to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form. No funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information if the award recipient has not been approved for and granted access to such information by appropriate authorities. 50. Agrees that where an award recipient has been approved for and has access to classified national security information, no funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information by the contractor, subrecipient, or other entity without prior written approval from the DHS Office of Security, Industrial Security Program Branch (ISPB), or, an appropriate official within the Federal department or agency with whom the classified effort will be performed. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7, 2008; EOs 12829, 12958, 12968, and other applicable executive orders; the National Industrial Security Program Operating Manual (NISPOM); and other applicable implementing directives or instructions. Security requirement documents may be located at: fittp: / /www.dhs.eov /xo nbiz erEmts /tudex.shnn Page 7 Initials 55B -132 51. Immediately upon determination by the award recipient that funding under this award may be used to support a contract, subaward, or other agreement involving access to classified national security information pursuant to paragraph 47, 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, and the applicable Federal department or agency, for approval and processing instructions. DHS Office of Security ISPB contact information: Telephone: 202 -44 7 -5346 Email; DD254AdminisirativeSecurity (chi- ,dhs,gov Mail: Department of Homeland Security Office of the Chief Security Officer ATTN: ASD /Industrial Security Program Branch Washington, D.C. 20528 52. Will comply with the requirements regarding Data Universal Numbering System (DUNS) numbers. If recipients are authorized to make subawards under this award, they must first notify potential subrecipients that no entity may receive or make a subaward to any entity unless the entity has provided a DUNS number, For purposes of this award term, the following definitions will apply: a. "Data Universal Numbering System (DUNS)" member means the nine, digit number established and assigned by bun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS number may be obtained from D &B by telephone (currently 866- 705.5711) or the Internet, currently at http: / /fedgDv dnb comhvebform, b. "Entity ", as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C, as a Governmental organization, which is a State, local government, or Indian Tribe; or a foreign public entity; or a domestic or foreign nonprofit organization; or a domestic or foreign for - profit organization; or a Federal agency, but only as a sub recipient under an award or subaward to a non- Federal entity. c. " Subaward" means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient, it does not include your procurement of property and services needed to carry out the project or program (for further explanation, see section 210 of the attaelument to OMB Circular A- 133, "Audits of States, Local Governments, and Non-Profit Organizations ") and may be provided through any legal agreement, including an agreement that you consider a contract. d. "Subrecipient" means an entity that receives a subaward from you under this award, and is accountable to you for the use of the Federal funds provided by the subaward, 53. 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 Flours and Safety Standards Act (40 U.S.C. §§ 327 -333), regarding tabor standards for Federally- assisted construction sub - agreements. 54. Agrees that equipment acquired or obtained with grant funds: a. Will be made available pursuant to applicable terms of the California Disaster and Civil Defense Master Mutual Aid Agreement, in consultation with representatives of the various fire, emergency medical, hazardous materials response services, and law enforcement agencies within the jurisdiction of the applicant, and deployed with personnel trained in the use of such equipment in a manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual Aid Plan. b. Is consistent with needs as Identified in the State Homeland Security Strategy and will be deployed in conformance with that Strategy. 55. Will comply with 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 NIMS provides a consistent Initials 55B -133 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 front, and mitigate the effects of incidents, regardless of cause, size, location, or complexity. 56. Will comply with OMB Standard Form 424B Assurances —Non construction Programs, whereby the awarding agency may require subgrantees and subrecipients to certify to additional assurances. 57, Will not make any award or permit any award (subgrant or contract) to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549 and 12689, "Debarment and Suspension" As required by Executive Order 12549, Debarment and Suspension, and implemented at 44 CFR Part 17, for prospective participants in primary covered transactions, the applicant will provide protection against waste, fraud and abuse, by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government. Applicant certifies that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency. b. Have not within a three -year period preceding this application been convicted of or had a civil j udgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction, violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and have not within a three -year period preceding this application had one or more public transactions (Federal, State, or local) terminated for cause or default; and d. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 58. Will comply with requirements to acknowledge Federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with Federal funds. 59. Will obtain, via Cal OES, the prior approval from DHS on any use of the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seat, logo, crests or reproductions of flags or likenesses of Coast Guard officials. 60. Will comply with the requirements of the Drug -Free Workplace Act of 1988 (41 U.S.C. § 701 et seq,), which requires that all organizations receiving grants from any Federal agency agree to maintain a drug -free workplace. The recipient must notify the awarding office if an employee of the recipient is convicted of violating a criminal drug statute. Failure to comply with these requiroments may be cause for debarment. These regulations are codified at 2 CFR 3001. 61. Will comply with the requirements of the government -wide award term which implements Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104), located at 2 CFR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register, Volume 72, No. 218, November 13, 2007. In accordance with Section 106(8) 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 subreclplent engages in severe forms of trafficking in persons during the period of time that the award is in effect, procures a commercial sex act during the period of time that the award is Page 9 Initials _ 55B -134 in effect, or uses forced labor in the performance of the award or subawards under the award. Pull text of the award term is provided at 2 CFR § 175.15, 62. Will comply with Title VI of the Civil Rights Act of 1964 prohibition against discrimination on the basis of national origin, which requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to their programs and services. Meaningful access may entail providing language assistance services, including oral and written translation, where necessary. Recipients are encouraged to consider the need for language services for LEP persons served or encountered both in developing budgets and in conducting programs and activities, Recipient shall comply with 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), resulting from Executive Order 13166. For assistance and information regarding LEP obligations, refer to DHS Recipient Guidance of h tps / /wrvw dhs env /guidtince- uublished -hel -depvKrncnt- supported- oreanizations- ntovide- moanin,fitl- access - ocrn,le- limited and additional resources on �rttp: / /www len gov, 63. Will comply with the requirements of 42 U.S.C. § 7401 et seq, and Executive Order 11738, which provides for the protection arid enhancement of the quality of the nation's air resources to promote public health and welfare and for restoring and maintaining the chemical, physical, and biological integrity of the nation's waters is considered research for other purposes. 64. Will comply with the requirements of the Federal regulations at 45 CFR Part 46 and the requirements in DHS Management Directive 026.04, Protection of Human Subjects, prior to implementing any work with human subjects. The regulations specify additional protections for research involving human fetuses, pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of autopsy materials is governed by applicable State and local law and is not directly regulated by 45 CFR Part 46, 65. 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. 66. 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, 67. Will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C, § 4001 et seq.), which provides that no Federal financial assistance to acquire, modernize, or construct Property may be provided in identified flood -prone communities in the United States, unless the community participates in the National Flood Insurance Program and flood insurance is purchased within one year of the identification. The flood insurance purchase requirement applies to both public and private applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published in the Federal Register by FEMA• 68. 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. § 43" 31(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, Page 10 Initiais 55B -135 and that the proposed action includes all practicable measures to minimize harm to wetlands that may result from such use. In making this finding, the head of the agency may take into account economic, environmental, and other pertinent factors, The public disclosure requirement described above also pertains to early public review of any plans or proposals for new construction in wetlands. This is codified at 44 CFR Part 9. 69. Will Comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. ¢§ 175 -175c. Among other things, it prescribes criminal penalties for possession of any biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably j ustifred 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. 70. Understands the reporting of subawards and executive compensation rules, including first tier subawards to Cal OES. a, Applicability. Unless you are exempt as provided in paragraph d, of this award term, you must report each action that obligates $25,000 or more in Federal, funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, b. Where and when to report: you must report on each obligating action described in the following paragraphs to Cal OES. 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, 2013, the obligation must be reported by no later than December 31, 2013.) a What to report: You must report the information about each obligating action that the submission instructions posted in Information Bulletin 350, to Cal OES. To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation flings at h,t u: / /www,q e�ov /answers /cxccoul 1.1 Subgrantees must report subrecipient executive total compensation to Cal OES by the end of the month following the month during which you make the subaward. Exemptions include: If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report on subawards, and the total compensation of the five most highly compensated executives of any subrecipient. d. Reporting Total Compensation of Recipient Executives: You must report total compensation for each Of your five most highly compensated executives for the preceding completed fiscal year, if i, the total Federal funding authorized to date under this award is $25,000 or more; it in the preceding fiscal year, you received 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and ill. 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 § 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to tine compensation information, see the U.S. Security and Exchange Commission total compensation filings at littg,—//—vv—w—w--sec.gov/annve,-- ILIA MI.) iv, Subrecipient Executives, Unless you are exempt as provided above, for each first -Pier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if in the subrecipient's preceding fiscal year, the subrecipient received 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and $25,000,000 or more in annual gross revenues from Federal procurement contracts (arid subcontracts), and Federal Page I I Initials 55B -136 financial assistance subject to the Transparoncy Act (and subawards); and the public does not have access to information about the Compensation of the executives through periodic reports filed under section 13(a) or 1S(d) of the Securities Exchange Act of 1934 (15 U.S.C. §§ 78m(a), 78o(d)) or § 6104 of the Internal Revenue Code of 1986. 71. Understands that failure to comply with any of these assurances may result in suspension, termination, or reduction of grant funds. 72. The undersigned represents that he /she is authorized by the above named applicant to enter into this agreement for and on behalf of the said applicant. Signature of Authorized Agent: Printed Name of Authorized Agent: Title: Date; Page 12 55B -137 EXHIBIT D 55B -138 55B -139 55B -140 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: RESOLUTION TO DESIGNATE THE CITY OF SANTA ANA AS A RECYCLING MARKET DEVELOPMENT ZONE (RMDZ) (STRATEGIC PLAN NO. 3,, 3, C) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 9.105TI.OWE WO ❑ As Recommended ❑ As Amended ❑ Ordinance on 1a' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt a resolution to designate the City of Santa Ana as a Recycling Market Development Zone (RMDZ) as a participant in the Orange County Recycling Market Development Zone under the lead designation of the City of Huntington Beach. 2. Authorize the City Manager to forward the Resolution to the City of Huntington Beach for inclusion in the regional Recycling Market Development Zone application to CalRecycle. DISCUSSION In 1990, the State of California adopted Senate Bill 2310 establishing the California Market Development Zone program. The purpose of this Bill was to stimulate the recycling of waste materials generated in California. Under the program, local communities, separately or in partnership, can apply for designation as a Recycling Market Development Zone (RMDZ). Currently, California has 36 RMDZ's with none in Orange County. An RMDZ is an economic development and technical assistance program consisting of State funded low interest loans, technical assistance, site selection, permitting assistance, and assistance with obtaining recycle materials for manufacturing. Inclusion in an RMDZ is an economic development tool that utilizes the growing supply of recycled and recyclable materials to fuel new businesses, expand existing businesses, create jobs, increase local revenues, and divert waste from landfills. Eligible businesses within an RMDZ may apply for low interest loans of up to $2 million, and receive free business -to- business product marketing. The City currently has several green businesses that could possibly qualify for RMDZ incentives. In March 2015, City staff attended a workshop on the benefits of joining a countywide RMDZ. At this workshop, it was announced that the city of Huntington Beach would be taking the role of Lead Agency in this effort. As the Lead Agency for this application, the City of Huntington Beach 55C -1 Resolution to Designate Santa Ana as a RMDZ July 7, 2015 Page 2 will conduct the environmental analysis and will submit the application to CalRecycle by October 2015. Currently, six Orange County cities have formally expressed their desire to participate: Huntington Beach, Garden Grove, Mission Viejo, Orange, Placentia, and Stanton. In order for the City to be designated as an RMDZ, the State program requires that cities adopt a resolution approving the designation and participation in the program, which is then included in the application to CalRecycle by the lead agency. By agreeing to participate in this countywide RMDZ, the City will have another economic development tool that can provide incentives to stimulate business development and help the local environment. The Community Development Agency will utilize the City's website and direct contact to market the program to businesses within the City. There is no cost to the City to be a part of the countywide RMDZ. There may be some funds available from the State for enhanced marketing of the program. This effort will further the City's mandate on diversion of solid waste from landfills as designated by the California Integrated Waste Management Act of 1989 (AB 939). Compliance with AB 939 consists of both waste diversion from the landfill, and program implementation. Participation in the RMDZ will accomplish both of these objectives, furthering the city's compliance. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #3, (Promote a solutions -based customer focus in all efforts to facilitate development and investment in the community), Strategy C (Explore friendly environment within the city through the requirements, improved coordination between agencies monetary incentives). FISCAL IMPACT There is no fiscal impact associated with this action. Kelly Reenders Executive Director Community Development Agency KR /MM /sb Exhibit: 1. Resolution 2. Memorandum opportunities to encourage a business reduction of non - essential regulatory for development review and addition of Fred Mousavipour a Executive Director Public Works Agency 55C -2 ROM: 07/07/15 RESOLUTION NO, 2015- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO DESIGNATE THE CITY OF SANTA ANA AS A RECYCLING MARKET DEVELOPMENT ZONE (RMDZ) 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. Public Resources Code section 42010 provides for the establishment of the Recycling Market Development Zone (RMDZ) program throughout the State, which provides incentives to stimulate development of post - consumer and secondary materials markets for recyclables. Pursuant to the California Integrated Waste Management Act of 1989 (AB 939), all California jurisdictions must meet a 50% reduction in landfill waste disposal. C. The development of local markets for recycled materials would reduce the need to transport such materials out of the region in the future. D. The current and proposed waste management practices and conditions are favorable to the development of post - consumer and secondary waste materials markets. E. The cities of Santa Ana, Huntington Beach, Garden Grove, Mission Viejo, Orange, Placentia, and Stanton intend to submit a joint application to CalRecycle requesting designation as a countywide RMDZ dedicated to establishing, sustaining and expanding recycling -based manufacturing businesses, which is essential for market development and to assist these jurisdictions in meeting the established landfill waste reduction goals. F. As the lead agency for the application, the City of Huntington Beach will conduct the environmental analysis and will submit the application to CalRecycle by October 2015. G. In order for the City to be designated as a RMDZ, the State program requires that cities adopt a resolution approving the designation and participation in the program, which is then included in the application to CalRecycle by the lead agency. I� T� 1 Resolution No. 2015 - 9616J H. The designation as a RMDZ is necessary to facilitate local and regional planning, coordination, and support existing and new recycling -based manufacturing businesses, as well as the attraction of private sector recycling investments to the RMDZ. RMDZ designation would make existing and new recycling -based manufacturing businesses located within the proposed zone eligible for the technical and financial incentives associated with the RMDZ program. The California Legislature has defined environmental justice as "the fair treatment of people of all races, cultures, and incomes with respect to the development, adoption, implementation, and enforcement of environmental laws, regulations and policies" (Government Code section 65040.12(e)), and has directed the California Environmental Protection Agency to conduct its programs, policies, and activities that substantially affect human health or the environment in a manner that ensures the fair treatment of people of all races, cultures, and income levels, including minority populations, and low income populations of the State (Public Resources Code section 71110(a)). K. CalRecycle, in its Strategic Plan, has adopted a goal to continuously integrate environmental justice concerns into all of the Department's programs and activities. Section 2. Based upon the information provided herein and at the hearing on this matter, the City Council of the City of Santa Ana hereby: Designates the City of Santa Ana as a Recycling Market Development Zone (RMDZ) as a participant in the Orange County Recycling Market Development Zone under the lead designation of the City of Huntington Beach; and, Authorizes the City Manager to forward the Resolution to the City of Huntington Beach for inclusion in the regional Recycling Market Development Zone application to CalRecycle. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated July 7, 2015, and exhibits attached thereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Section 3. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. Resolution No. 2015- 55C -4 ADOPTED this day of 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attpffpy r By:-� Ryan 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- to be the original resolution adopted by the City Council of the City of Santa Ana on July , 2015. Date: Clerk of the Council City of Santa Ana 55C -5 Resolution No. 2015- 55C -6 To: City Manager Date: June 10, 2015 From: Kelly Reenders, Executive Director Community Development Agency Subject: RECYCLING MARKET DEVELOPMENT ZONE At the July 7`" City Council meeting, staff will be presenting a resolution to participate in a countywide Recycling Market Development Zone (RMDZ). An RMDZ is an economic development and technical assistance program consisting of State faded low interest loans, technical assistance, site selection, permitting assistance, and assistance with obtaining recycle materials for manufacturing. Inclusion in an RMDZ is an economic development tool that utilizes the growing supply of recycled and recyclable materials to fuel new businesses, expand existing businesses, create jobs, increase local revenues, and divert waste from landfills. The City currently has several green businesses that could possibly qualify for RMDZ incentives. CDA staff will market this program to potential businesses, as well as other businesses looking to locate in the city. This provides another incentive to grow their business and be successful in Santa Ana. There is no cost to the City to be a part of the countywide RMDZ. There may be some finds available from the State for enhanced marketing of the program. Attached is an article on the Orange County RMDZ outlining some of the potential benefits for Orange County and the City. dliT Recycling Market Development Zone may spur jobs in O.C. The push is on to establish to RMDZ — Recycling Market Development Zone — in Orange County. The program provides business loans, technical assistance and free product marketing to "businesses that use materials from the waste stream to manufacture their products," according to CalRecycle. At a recent meeting in THuntington Beach City Hall, local business people, city staff', Chamber of Commerce representatives, CalRecycle personnel and officials front some of O.C.'s 34 cities came to hear about the program. Leading the effort is the city's new Senior Sustainability Analyst, Antonia Graham. She replaced Aaron Klemm, the former energy project manager, who now is Division Manager of Environmental initiatives for Los Angeles County. RMDZs have created 9,000 jobs in California and diverted 7.5 million tons of waste from landfills, CalRecycle's Kathryn Ferrer told the crowd. She added that currently there are 35 RMDZ,s covering about 43 percent of the state, including the counties of Los Angeles, Riverside and San Bernardino. The missing link in Southern California is Orange County. Graham wants Huntington Beach to take on the role of zone administrator for O.C. She is recruiting other cities and believes an RMDZ, will create local jobs in recycling -based manufacturing. Once the zone is established, various resources will be available to companies that reuse or repurpose recyclables into new products, not just collect recyclable materials. Qualifying businesses can take advantage of free product marketing via the online ReC}cle Store. "It's business friendly, it's economic development, and it's no cost; said Jim Kuhl, zone administrator for the City of Long Beach. For interested cities and counties, CalRecycle does not charge a fee to apply for RMDZ designation. In fact, each zone (not each individual city) has access to funding of $4,500 for education and outreach. Zone designations last 10 years but must be reviewed every two years. Long Beach has been an RMDZ for 24 years, Kuhl sand, adding "It's a tool in the city's economic development." One selling point for businesses is the availability of loans up to $2 million at 4 percent interest. Many of the companies that apply are start -ups. There is a $300 loan application fee, CalRecycle assists businesses with the application process, which may take up to a year, or as quickly as two months if all the paperwork is in order. One RMDZ success story is U1traGlas in the city of Chatsworth. The company uses 100 percent recycled glass to create art and architectural products for interior and exterior applictrtions. `these include residential and commercial glass tile, partitions, countertops, doors, lighting, furniture and water features. 55C -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: RESOLUTION ESTABLISHING THE APPROPRIATION LIMIT OF THE CITY OF SANTA ANA FOR FY 2015 -16 {STRATEGIC PLAN NO. 4, 1D} CITY RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Adopt a resolution establishing the appropriation limit for the fiscal year 2015 -16. DISCUSSION The State of California Constitution includes provisions, which impose a limit ( "the GANN Limit ") on tax proceeds that may be appropriated for expenditures by a local government in any given fiscal year and requires the cities establish this limit by resolution. Adoption of the subject resolution is necessary for compliance with these provisions for the fiscal year ending June 30, 2016. As detailed in the exhibits to the subject resolution, the City's spending limitation from "Proceeds of Taxes" is calculated to be $937,202,781 (Exhibit A) for FY 2015 -16. This represents the permitted growth rate factor of 27.8594 times the adjusted base year (1978 -1979) appropriation limit of $33,640,451. Exhibit B identifies the factors used to determine the allowable increase; Exhibit C categorizes FY 2015 -16 anticipated revenues from "Proceeds of Taxes" and "Non - Proceeds of Taxes "; and Exhibit D computes the fiscal year 2015 -2016 appropriations subject to this limitation and identifies the difference between the limit and the budgeted appropriation. As demonstrated in Exhibit D, the City's anticipated FY 2015 -16 "Proceeds of Taxes" revenue will be $782,969,710 below the allowable limit. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal # 4 City Financial Stability, Objective # 1 (maintain a stable, efficient and transparent financial environment), Strategy D (develop a fiscal health analysis tool that informs a department of its financial position in order to assist in its decision making process). 55D -1 Resolution Establishing the Appropriation Limit July 7, 2015 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: A. Computation of Appropriation Limit B. Calculation of Permitted Growth Rate C. Schedule to Categorize Anticipate Revenues D. Appropriation Subject to Limitation E. Resolution SR 55D -2 EXHIBIT A COMPUTATION OF APPROPRIATION LIMIT FOR FISCAL YEAR ENDING JUNE 30. 2016 Appropriation Limit: 1978 -79 Base Year Permitted Growth Rate in appropriation (Exhibit B) Appropriation Limit for the Fiscal Year Ending June 30, 2016 55D -3 $ 33,640,451 27.8594 $ 937,202,781 55D -4 CALCULATION OF PERMITTED GROWTH RATE IN APPROPRIATIONS FOR FISCAL YEAR ENDING JUNE 30, 2016 Factor 2015 -16: California Per Capita Personal Income: Converted into a Factor Population Growth: Converted into a Factor: Rates of Change: 1.0382 x 1.0108 Multiplied by 2014 -15 Combined Index Combined Index 1979 -80 through 2015 -2016 55D -5 3.820% 1.0382 1.08% 1.0108 1.0494 26.5479 27.8594 55D -6 EXHIBIT C SCHEDULE TO CATEGORIZE ANTICIPATED REVENUES FOR FISCAL YEAR ENDING JUNE 30, 2016 FROM STATE State Motor Vehicle PROCEEDS NON - PROCEEDS 163,000 REVENUE OF TAXES OF TAXES TOTALS TAXES: 311,000 311,000 Property Tax $ 67,413,500 $ - $ 67,413,500 Sales Tax 47,780,000 - 47,780,000 Hotel Visitors' Tax 8,800,000 - 8,800,000 Business Tax 11,490,000 - 11,490,000 Documentary Stamp Tax 788,000 - 788,000 Utility Users' Tax 27,780,000 - 27,780,000 Medical Marijuana Tax 1,500,000 - 1,500,000 Total Taxes 165,551,500 - 165,551,500 FROM STATE State Motor Vehicle 163,000 - 163,000 State Gas Tax - 7,527,406 7,527,406 State Cost Reimbursements 311,000 311,000 State Grants 192,558 192,558 AQMD AB 2766 414,000 414,000 Total State 163,000 8,444,964 8,607,964 OTHER GOVERNMENT: Community Development (CDBG) - Homeowner Prop Tax Subvention 230,000 UASI Grant - SSA Grant - Housing (Section 8) - WIA - Measure M, Street Grants, Gas Tax Exch - Civic Center and Park - Program Income - Other Federal Grants: HOME, HOPWA Total Other Government 230,000 55D -7 5,929,995 1,71 6,090 800,000 32,668,175 3,099,390 8,710,179 4,033,300 170,000 5,929,995 230,000 1,716,090 800,000 32,668,175 3,099,390 8,710, 179 4,033,300 170,000 1,073,375 1,073,375 58,200,504 58,430,504 55D -8 Exhibit C Continued 55D -9 PROCEEDS NON - PROCEEDS REVENUE OF TAXES OF TAXES TOTALS LOCALLY RAISED: Licenses and Permits - 4,555,435 4,555,435 Franchise Fees - 8,325,000 8,325,000 Fines and Forfeitures - 5,723,100 5,723,100 Charges for Services - 13,088,855 13,088,855 From Use of Property - 18,219,465 18,219,465 Others - 63,650 63,650 Others - Inter - Agency - 6,926,000 6,926,000 Total Locally Raised - 56,901,505 56,901,505 OTHER MISCELLANEOUS: Donation - 123,650 123,650 Sale of Junk and Property - 18,610 18,610 Attorney Reimbursements - 979,000 979,000 Expense Reimbursements - 2,041,220 2,041,220 Indirect Cost Recovery - 2,200,000 2,200,000 From Prior Year Fund Balances - 25,775,160 25,775,160 Refuse Program Saving - 1,352,000 1,352,000 Interfund Transfers - 9,387,568 9,387,568 Total Other Miscellaneous - 41,877,208 41,877,208 FROM USE OF MONEY: Earnings on Investment 306,637 353,508 660,145 TOTAL REVENUES $ 166,251,137 $ 165,777,689 $ 332,028,826 55D -9 55D -10 lacir:3r�r� APPROPRIATION SUBJECT TO LIMITATION FOR FISCAL YEAR ENDING JUNE 30, 2016 Proceeds from taxes Less: Exclusions Appropriation subject to limitation Current year limit Over(under) limit 55D -11 $ 166,251,137 12,018,066 $ 154,233,071 937,202,781 $ (782,969,710) 55D -12 ROH: 07/07/15 RESOLUTION NO. 2015- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING THE APPROPRIATION LIMIT OF THE CITY OF SANTA ANA FOR FISCAL YEAR 2015 -2016 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. Article XIIIB of the Constitution of the State of California, adopted by the voters of the State of California in November 1987, imposes upon State and local government the obligation to limit each fiscal year's appropriations to those established in fiscal year 1978 -79 as adjusted for by inflation and population, together with other specified changes required or permitted. B. In June of 1990, the voters of the State of California approved Proposition 111 which amended Article X11 B to establish the limit originally calculated for fiscal year 1986 -87 as a new adjustment base and to change the definition of the cost of living to be either the percentage change in California per capita personal income from the preceding year or the percentage change in the local assessment roll from the preceding year for the jurisdiction due to the addition of local non - residential new construction. C. Proposition 111 further modified Article XIII B requirements by making certain capital outlay, debt service, emergency and court ordered expenditures not subject to the limit and by allowing expenditures in excess of one year's limit to be offset by under expenditures in an immediately following year. D. The City of Santa Ana has opted to use as the inflation adjustment factor, the percentage change in the California per capita personal income from the preceding year. E. The City of Santa Ana has opted to use as the population adjustment factor, the County's percentage change in population from the preceding year. Resolution No. 2015- 55D -13 F. Division 9 of Title I of the Government Code of the State of California (commencing with section 7900), as enacted by 1980 Statutes, Chapter 1205, effective January 1, 1981, directs the governing body of each local jurisdiction each year to, by resolution, establish its appropriations limit and make other necessary determinations for the following fiscal year pursuant to Article XIIIB of the California Constitution at a regularly scheduled meeting or noticed special meeting. Fifteen days prior to the meeting, documentation used in the determination of the appropriations limit and other necessary determinations shall be available to the public. G. This matter came before the City Council at its regularly scheduled meeting of July 7, 2015. H. The Executive Director, Finance and Management Services Agency of the City of Santa Ana, has determined the City's appropriation limit for fiscal year 2015 -2016 in accordance with said provisions of the Constitution and laws of the State of California and the documentation used in said determination has been available to the public since not later than June 22, 2015, In the office of the Executive Director, Finance & Management Services Agency. Section 2. Based upon the above referenced facts and all facts specified in the accompanying Request for Council Action and its attachments, and each of them, the appropriation limit of the City of Santa Ana for fiscal year 2015 -2016 is hereby found and determined to be $937.202,781. Section 3. This Resolution shall take effect Immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. Resolution No. 2015- 55D -14 ADOPTED this day of 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City AttoMey By:' j Ryan AYES NOES Councilmembers 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- to be the original resolution adopted by the City Council of the City of Santa Ana on July 2015. Date: Clerk of the Council City of Santa Ana 55D -15 Resolution No. 2015- 55D -16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: DISCUSSION AND CONSIDERATION OF A RESOLUTION RELATED TO THE THIRD AMENDMENT TO THE ORANGE COUNTY FIRE AUTHORITY (OCFA) JOINT POWERS AUTHORITY AGREEMENT (STRATEGIC PLAN NO. 1, 5) r CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Per OCFA Board of Directors discuss and consider the following: 1. Adopt a resolution related to the Third Amendment to the Orange County Fire Authority (OCFA) Joint Powers Agreement to eliminate alternate Board directors. 2. Authorize the City Manager and Clerk of the Council to execute a third amendment to the Joint Powers agreement with OCFA, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Orange County Fire Authority (OCFA) was formed in 1995 to provide regional fire protection and related services to the County of Orange and 18 member cities. Subsequent to formation, 6 additional cities have become members of the OCFA. The original JPA agreement was amended on September 23, 1999, and renewed in 2010 by the First Amendment, which provided for a term that runs through 2030. In 2013, OCFA's members approved a Second Amendment to the Amended JPA which amended several provisions to promote financing equity among the members. Since formation of the OCFA in 1995, the JPA Agreement has provided for each member agency to have representation on the Board of Directors. This provision was key to the formation of the OCFA, as discussed in an early feasibility study in 1991 regarding the formation of a regional Orange County Fire agency, which stated: "Provide equal agency representation on a governing board, regardless of participant size, to address cost, expenditure, equity, and service level issues." 55E -1 Discussion and Consideration of Third Amendment to OCFA Joint Powers Agreement July 7, 2015 Page 2 In addition to providing for each member agency to appoint a representative to act as its Director on the OCFA Board, the JPA Agreement also provides for each member agency to appoint an alternate to act in each Director's absence. In discussing AB1217 (Daly), which would reduce member agency representation on the OCFA Board, a majority of the Board concluded that representation of every member agency on the Board remains critically important; however, a majority of the Board also concluded that the provision for alternate Directors could be eliminated. OCFA's primary Directors have a long history of good attendance at Board meetings. When a Director is occasionally unable to attend, they rarely request their alternate to attend on their behalf since the alternate may be less informed on the complex or sensitive topics for consideration. As a result of this dialogue, the OCFA Board of Directors directed its General Counsel to (1) draft a proposed amendment to the JPA Agreement which would eliminate alternate directors, and (2) after OCFA Board approval of the form of the amendment, submit the proposed amendment to the governing bodies of OCFA's member agencies for actual approval. Per this direction, OCFA's General Counsel drafted the Third Amendment, amending Article II, Sections 2 and 5 of the 1999 Amended JPA Agreement, and the OCFA Board of Directors approved the form of the amendment at a Special Meeting on July 1, 2015. In order to become effective, the Third Amendment must be approved by at least two - thirds (e.g., 16 of 24) of the member agencies' governing bodies. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety, Objective #5 (Provide high quality Police and Fire /Emergency Medical Services response within the City of Santa Ana). FISCAL IMPACT There is no fiscal impact associated with this item. Exhibit: 1. Resolution 2. Third Amendment to the Amended Joint Powers Authority Agreement 55E -2 RESOLUTION NO. 2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE THIRD AMENDMENT TO THE ORANGE COUNTY FIRE AUTHORITY AMENDED JOINT POWERS AUTHORITY AGREEMENT, AND AUTHORIZING ITS EXECUTION BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: WHEREAS, the Orange County Fire Authority (OCFA) is a California Joint Powers Authority that was formed in 1995 to provide regional fire protection and related services to the County of Orange and its member cities; and WHEREAS, the original Joint Powers Authority Agreement was amended by an "Amended Joint Powers Authority Agreement" ( "Amended JPA Agreement ") on September 23, 1999, and the Amended JPA Agreement was further amended twice, in 2010 and 2013; and WHEREAS, the City of Santa Ana is a member of the OCFA and is represented on the OCFA Board of Directors by a Director selected by the City Council; and WHEREAS, in addition to appointing a Director on the OCFA Board, the Amended JPA Agreement provides for each member to appoint an alternate director to act in the Director's absence; and WHEREAS, after evaluating the continued need for alternate directors, the OCFA Board has approved the attached "Third Amendment to Amended Joint Powers Authority Agreement ", by which alternate directors would be eliminated, and requested that the governing bodies of OCFA's member agencies, including the City Council of the City of Santa Ana, consider and approve such amendment as attached. NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City of Santa Ana does hereby: Approve the "Third Amendment to Amended Joint Powers Authority Agreement" as proposed by the OCFA, and Authorize the City Manager and Clerk of the Council to execute the "Third Amendment to Amended Joint Powers Authority Agreement ". ADOPTED this 7 1 day of July, 2015. Exhibit 2 Miguel A. Pulido Mayor Resolution No. 2015 -XXX Page 1 of 2 55E -3 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: /rW. Lv X J n M. Funk A sistant City Attorney AYES: Council members: 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 July 7, 2015, Date: Resolution No, 2015 -XXX Page 2 of 2 Clerk of the Council City of Santa Ana 55E -4 THIRD AMENDMENT TO AMENDED JOINT POWERS AUTHORITY AGREEMENT ORANGE COUNTY FIRE AUTHORITY This Third Amendment ( "Third Amendment ") to the Amended Joint Powers Authority Agreement is made and entered into by and between the following public entities (collectively referred to as "members "): Aliso Viejo, Buena Park, Cypress, Dana Point, Irvine, La Palma, Laguna Hills, Laguna Niguel, Laguna Woods, Lake Forest, Los Alamitos, Mission Viejo, Placentia, Rancho Santa Margarita, San Clemente, San Juan Capistrano, Santa Ana, Seal Beach, Stanton, Tustin, Villa Park, Westminster, and Yorba Linda (collectively referred to as "Cities" and individually as "City ") and the County of Orange (referred to as the "County "), each of whom is a member of the Joint Powers Authority, Orange County Fire Authority ( "the Authority "). RECITALS WHEREAS, the Authority presently provides fire protection, prevention and suppression services and related and incidental services (collectively, "Fire Services ") to Cities as well as to the unincorporated area of the County and State Responsibility Areas ( "SRA "); and WHEREAS, the County and several of the Cities entered into a Joint Powers Authority Agreement to form the Authority as of February 3, 1995 pursuant to the provisions of Article 1, Chapter 5, Division 7, Title I (commencing with Section 6500) of the Government Code of the State of California ( "Joint Powers Statutes "); and WHEREAS, pursuant to the Joint Powers Statutes the members are authorized to jointly provide for the methods of the provision of Fire Services, including the method of financing the provision of Fire Services; and WHEREAS, on September 23, 1999, the members entered into an amended Joint Powers Authority Agreement ( "1999 Amended Agreement ") which superseded all prior agreements between the members and is incorporated herein by reference; and 1097988.3 Exhibit 3 55E -5 WHEREAS, on July 1, 2010, the members entered into a First Amendment to the Amended Joint Powers Agreement ( "First Amendment ") which amended several provisions of the 1999 Amended Agreement; and WHEREAS, on April 20, 2012, the City of Santa Ana joined the Authority and became a party to the 1999 Amended Agreement and the First Amendment; and WHEREAS, on November 18, 2013, the members entered into the Second Amendment to the Amended Joint Powers Agreement ( "Second Amendment') which amended several provisions of the 1999 Amended Agreement. litigation has been filed by the County challenging the validity of the Second Amendment, and the litigation remains unresolved as of the date of this Third Amendment; WHEREAS, the parties wish to adopt this Third Amendment to eliminate alternative Board directors; NOW THEREFORE, the members agree to amend the 1999 Amended Agreement as follows: AGREEMENT 1. Article fl, Section 2 of the 1999 Amended Agreement shall be amended to read as follows: 1097988.3 2. Designation of Directors. Each member by resolution of its governing body shall designate and appoint one representative to act as its Director on the Authority Board of Directors (the "Board "), except the County whose Board of Supervisors shall appoint two representatives to act as its Directors. Each representative shall be a current elected member of the governing body. Each Director shall hold office until the selection of a successor by the appointing body. of the Each Director ai4d altowata shall 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. Any vacancy shall be filled in the same manner as the original appointment of a Director fit. With approval of the Board, a Director 55E -6 may be reimbursed for reasonable expenses incurred in the conduct of the business of the Authority. 2. Article ll, Section S of the 1999 Amended Agreement shall be amended to read as follows: 51 Quorum: Voting. A majority of the Directors shall constitute a quorum for the purpose of the transaction of business relating to the Authority. Each Director shall be entitled to one vote. Unless otherwise provided herein, a vote of the majority of those present and qualified to vote shall be sufficient for the adoption of any motion, resolution or order and to take any other action deemed appropriate to carry forward the objectives of the Authority. 3. Effective Date. This Third Amendment requires the approval of at least two thirds of the members to go into effect, and it shall be effective on the date of approval by a sixteenth member. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney J M. Funk A sistant City Attorney 1097988.3 55E -7 55E -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY I, 201E TITLE: LEAGUE OF CALIFORNIA CITIES VOTING DELEGATE (STRATEGIC PLAN NO. 5, 1) ki�i`rIn1J! RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: vagagm D As Recommended As Amended Ordinance on 1" Reading Ordinance on 2n° Reading Implementing Resolution Set Public Hearing For CONTINUED TO FILE NUMBER Designate a voting delegate and two alternates for the League of California Cities' Annual Business Meeting scheduled for October 2, 2015. This year's League Annual Conference is scheduled for Wednesday, September 30 through October 2, 2015 in San Jose. One very Important aspect of the Annual Conference is the annual Business Meeting when the membership takes action on conference resolutions. To expedite the conduct of business, every City is being requested to designate a voting representative and two alternates who will be present the City at the Business Meeting. League bylaws provide that each city is entitled to one vote and to determine a city position in matters affecting municipal or League policy matters. STRATEGIC PLAN Approval of this agreement allows the City to meet Goal #5, Community Health, Livability, Engagement & Sustainability, Priority #1, Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities. There is no fiscal impact associated with this action, Mara D, Huixar Clerk of the Council 65A -1 65A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: PUBLIC HEARING — RECOVERY OF UNCOLLECTED COSTS FOR ABATEMENT OF DANGEROUS AND ABANDONED BUILDINGS {STRATEGIC PLAN NO. 5,4) 11G\G RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: U220 09K ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution affirming the Fiscal Year 2014 -2015 Dangerous and Abandoned Building Program Report and authorize the transmittal of uncollected Dangerous and Abandoned Building charge to the office of Auditor - Controller, County of Orange. The City's Dangerous and Abandoned Building Program has proven to be an effective tool to abate dangerous and abandoned structures that create an attractive nuisance for children and provide harborage for illegal activity. The abatements are accomplished by board -ups and /or demolition. Property owners are given 2 to 30 days to abate the conditions or the City, through its contractors, will perform the work. The property owners are then notified of the outstanding abatement costs every 30 days until the Planning and Building Agency is reimbursed for the expenditure. Each year, the City finds it necessary to seek legal recourse in order to recover the uncollected costs expended for abatement of dangerous and abandoned properties. This year the outstanding charges for work performed on ten parcels is $26,222 (Exhibit 1). The property owner names are provided in Exhibit 2. The most effective method of collection is to submit these charges to the office of the County Auditor /Controller in order that they may be placed as a lien on the property tax rolls. Charges must be submitted to the County of Orange by their deadline of August 10, 2015. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health Livability, Engagement and Sustainability, Objective No. 4 (support neighborhood vitality and livability). 75A -1 Recovery of Uncollected Costs for Abatement of Dangerous and Abandoned Buildings July 7, 2015 Page 2 FISCAL IMPACT The recovered charge will result in an estimated $26,222 deposited in the Special Repair and Demolition Fund (account no. 12116002- 53507). assa AIC Executive Director Planning & Building Agency KJ: kg rb \reports\FY14 -15 Cos[ Recovery Exhibit: 1. Parcel Assessment Amounts 2. Property Owner Listing 3. Parcel Assessments APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 75A -2 AC621-05A — Form B2 Special Assessment Add Transactions Jurisdiction 061 Santa Ana Type of Tax C_2 Date July 7, 2015 PARCEL NUMBER 6 -15 ASSESSMENT AMOUNT 16 -23 404- 046 -12 1,680.00 010- 244 -10 8,981.00 099 - 211 -06 770.00 408 - 466 -15 7,672.00 408 - 235 -01 3,843.00 007 - 331 -17 1,435.00 007 - 201 -02 560.00 007 - 121 -06 861.00 398 - 082 -39 420.00 TOTAL $26,222.00 DOC. NO.= AC62FORM REV:5 /92 EXHIBIT 1 75A -3 75A -4 PROPERTY OWNER LISTING FISCAL YEAR 20142015 ADDRESS PARCEL NO. OWNER/ADDRESS ASSESSMENT Martha Munoz Gomez $1,680.00 315 E. Camile St. AP #404 - 046 -12 315 E. Camile St. Santa Ana, CA 92701 Citibank 981.00 802 S. Ross St. AP #010 - 244 -10 9200 Oakdale Ave. 3`d Floor Chatsworth, CA 91311 Antonia B. & Pete R. Argao $770.00 5217 W. Roosevelt AP #099 - 211 -06 12132 Homestead PI. Garden Grove, CA 92640 Pradeep K. Vaish $7,672.00 2222 S. Rene Dr. AP #408 - 466 -15 5513 Elmbank Rd. Rancho Palos Verdes, CA 90274 Colfin AH California 6, LLC $3,843.00 2702 W. Maywood AP #408 - 235 -01 Haris Ashraf 27372 Calle Arroyo San Juan CA 92675 Jose Palacios $1,435.00 118 -120 S. Center AP #07- 331 -17 Hilda Palacios 2500 S. Susan Santa Ana, CA 92704 Nathan Franklin Andrews $560.00 1724 W. 2nd St. AP #007 - 201 -02 5802 Bob BullockLoop Laredo, TX 78041 Roland Dikron Kalayjian $861.00 400 Nantucket PI. AP #007 - 121 -06 Mildred Alberta Kalayjian, Trustees 19161 Valley Dr. Villa Park, CA 92667 Greentree Vision, LLC $420.00 1124 E. 17"' St. AP #398 - 082 -39 David Holmes 22861 Via Orvieto Dana Point, CA 92629 EXHIBIT 2 75A -5 75A -6 LS 6/26/15 RESOLUTION NO 2015- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA OVERRULING OBJECTIONS TO AND CONFIRMING THE COSTS OF SECURING AND DEMOLITION OF VARIOUS STRUCTURES DECLARED TO BE PUBLIC NUISANCES; MAKING, CONFIRMING AND LEVYING ASSESSMENTS FOR SUCH COSTS; AND ORDERING SUCH COSTS TO BE RECORDED WITH THE ORANGE COUNTY RECORDER BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Pursuant to Section 17 -40 of the Santa Ana Municipal Code, the Executive Director of the Planning and Building Agency has submitted an itemized report, a copy of which is on file with the Clerk of the Council, showing the costs of securing and demolition of various structures carried out by the City of Santa Ana upon each individual lot or parcel of land where such work was done. B. The Executive Director of the Planning and Building Agency has given notice as required by law, in which the 7th day of July, 2015, at the hour of 5:45 p.m. was fixed as the time, and 22 Civic Center Plaza, Santa Ana as the place, where any and all persons interested in said report might be heard. C. The City Council of the City of Santa Ana, at said time and place has received, heard, and considered said report and all objections by property owners liable to be assessed for the abatement, and directed such modification of said report as it has deemed necessary. Section 2. Each and every objection to said work and the costs thereof is hereby overruled; said report, a copy of which is on file with the Clerk of the Council, is hereby confirmed; the cost of abatement work done in front of or upon each lot or parcel of real property, as shown on Exhibits 1 and 2, which are incorporated by this reference as though fully set forth herein, and the amounts therein on such assessments shall become due thirty (30) days after the adoption of this Resolution. Section 3. This resolution shall take effect immediately upon its adoption by the City Council and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. Section 4. The Executive Director of Planning and Building Agency is hereby directed to file a certified copy of said report and this Resolution with the County Recorder's Office, the County Auditor, County Assessor, and County Tax Collector on or before August 3, 2015, 75A -7 LS 6/26115 Section 5. The County Auditor is requested to enter the assessments on the county tax rolls. Section 6. The County Tax Collector is requested to collect the assessment at the time and in the manner of ordinary municipal taxes. Section 7. The City of Santa Ana hereby certifies that the special assessments, special taxes, parcel taxes, charges and (or fees which are to be placed on the fiscal year 2014 -2015 property tax roll have been duly adopted in accordance with State law and are legally valid. ADOPTED this day of July, 2015 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck 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 - to be the original resolution adopted by the City Council of the City of Santa Ana on July_, 2015. Date: Clerk of the Council City of Santa Ana 75A -8 w FISCAL YEAR 2014 -2015 i 4 14 015 _. _ CITY OF SANTA ANA PLANNING & BUILDING AGENCY COMMUNITY PRESERVATION Hassan Haghani Executive Director EXHIBIT 3 75A -9 PLANNING & BUILDING AGENCY COMMUNITY PRESERVATION FINAM ASSESSMENTS FISCAL YEAR 2014-2015 Prepared by Cesar Jimenez 75A -10 DANGEROUS AND ABANDONED BUILDINGS AND STRUCTURES D,A.B.S. FISCAL YEAR 2014 -2015 TABLE OF CONTENTS Program Summary pg. 1 Exhibit 1 - Special Assessment Add Transactions pg. 2 Exhibit 2 - Property Owner Listing pg. 3 D.A.B.S. Public Hearing Information pg. 4 315 E. Canine St. pg. 5 Property photo and detail report 802 S. Ross St. pg, 7 Property photo and detail report 5217 W. Roosevelt Ave. pg. 9 Property photo and detail report 2222 S. Rene Dr. pg, 11 Property photo and detail report 2702 W. Maywood Ave. pg. 13 Property photo and detail report 118 -120 S. Center St. pg. 15 Property photo and detail report 1724 W. 2nd St. pg. 17 Property photo and detail report 400 N. Nantucket Pl. pg. 19 Property photo and detail report 1124 E. 17`x' St, pg. 21 Property photo and detail report 75A -11 Dangerous and Abandoned Buildings and Structures D.A.B.S. The Dangerous and Abandoned Buildings and Structures Program is a high profile, high priority operation located within the Community Preservation Department of the Planning and Building Agency. Its primary duty is to abate public nuisances resulting from abandoned and /or unsecured structures within the city. All structures once determined a risk to Santa Ana residents (as outlined by the Uniform Code for the Abatement of Dangerous Buildings) must be immediately inspected, all parties bearing an interest notified and the buildings secured to eliminate all hazards. This program frequently utilizes the services of the Santa Ana Police Department as well as other agencies when hazards not governed by the Dangerous and Abandoned Buildings Program are present. The mission of the Dangerous and Abandoned Buildings Program is the removal of any and all public nuisances which relate to residential or commercial property within Santa Ana affording our residents the confidence of safety within their respective neighborhoods. 75A -12 AC62L05A — Form B2 Special Assessment Add Transactions Jurisdiction 061 Santa Ana Type of Tax CC-2 Date July 7 2015 PARCEL NUMBER 6.15 ASSESSMENT AMOUNT 16.23 404 - 046 -12 1,680.00 010 -244 -10 8,981.00 099 - 211 -06 770,00 408 -466 -15 7,672.00 408 - 235 -01 3,843.00 007 - 331 -17 1,435.00 007 - 201 -02 560.00 007 - 121 -06 861.00 398 - 082 -39 420.00 TOTAL $26,222.00 DOC. NO.= AC62FORM REV:5 /92 EXHIBIT 1 2 75A -13 PROPERTY OWNER LISTING FISCAL YEAR 2014 -2015 ADDRESS PARCEL NO. OWNER/ADDRESS ASSESSMENT Martha Munoz Gomez $1,680.00 315 E. Camile St. AP #404 - 046 -12 315 E. Carnile St. Santa Ana, CA 92701 Citibank N.A. /ALAW $8,981.00 802 S. Ross St. AP #010 - 244 -10 9200 Oakdale Ave. 3`d Floor Chatsworth. CA 91311 Antonia B. & Pete R. Argao $770.00 5217 W. Roosevelt AP #099 - 211 -06 12132 Homestead PI. Garden Grove, CA 92640 Pradeep K. Vaish $7,672.00 2222 S. Rene Dr. AP #408 - 466 -15 5513 Elmbank Rd. Rancho Palos Verdes, CA 90274 Colfin AH California 6, LLC $3,843.00 2702 W. Maywood AP #408 - 235 -01 Haris Ashraf 27372 Calle Arroyo San Juan Capistrano, CA 92675 Jose Palacios $1,435.00 118 -120 S. Center AP #07- 331 -17 Hilda Palacios 2500 S. Susan Santa Ana, CA 92704 Nathan Franklin Andrews $560.00 1724 W. 2nd St. AP #007- 201 -02 5802 Bob BullockLoop I nradn TX 7AnAl Roland Dikron Kalayjian $861.00 400 Nantucket Pl. AP #007 - 121 -06 Mildred Alberta Kalayjian, Trustees 19161 Valley Dr. Villa Park, CA 92667 Greentree Vision, LLC $420.00 1124 E. 17" St. AP #398 - 082 -39 David Holmes 22861 Via Orvieto Dana Point. CA 92629 r *9Ific#YI�a 3 75A -14 Dangerous and Abandoned Buildings and Structures Fiscal Year 2014 -2015 PUBLIC HEARING Each year the Community Preservation Department takes action to post attractive nuisances created by vacant and unsecured structures in the community. Abatement of these conditions, through fencing or board -up, is often undertaken by the property owners or lenders with no further action required by the City. In some instances the property owners or lenders are not responsive and the City, through its contractors, performs the work. In these instances, the City bills the property owners or lenders for reimbursement of the costs incurred for the abatement action. Each year it is necessary to pursue legal recourse to recover uncollected fees. The most effective method of collection is to submit uncollected abatement fees to the office of the County Auditor /Controller to have these fees added to the property tax bills. The resolution before you this evening addresses ten parcels with an outstanding charge of $2$,133.00. If approved, the fee assessment for the properties noted will be submitted to the County prior to their deadline of August 10, 2015. M 75A -15 Property Detail Report s R t " �....4 t .l' 315 E CAMILE ST, SANTA ANA, CA, 92701.5902 WN DIGITAL MAP 4'F�FJUC iS Page 1 of 1 Owner Information: Legal Description: Owner Name: GOMEZ, MARTHA MUNOZ Mailing Address: 315 E CAMILE ST, SANTA ANA, CA, 92701.5902 Vesting Code: MARRIED WOMAN AS HER SOLE AND SEPARATE phone Number: - - LegalBooklPage: PROPERTY Location Information: Legal Description: A TR 831 ELK B LOT 7 County: ORANGE FIPSCode: 06059 APN: 404. 046.12 Alternative APN: Twnshp- RngeSect: - - LegalBooklPage: Legal Lot: 7 Legal Block: B Subdivison: SANTA ANA WALNUT GROVE TRACT SEC i Last Market Sale Information: Sale Date: 1/1/2008 Sale Price: Sale Doc No: 2008.00216289 Price Per SgFt: Transfer Doc No: 2008000216289 Price Per Acre: 1st Mtg Doc No: Garage Area: Sale Type: Air Cond: Deed Type: Fireplace: Title Company: Parking Type: Lender: Roof Material: Seiler Name: Quality: Census Trct/Blk: 07460211 Map Ref: F4.829 Tract No: 831 1st Mtg Amount: 1 st Mtg Inl Type: 20d Mig Amount: 2M Mtg Int Type: Property Characteristics: Assessed Value: $338,976 Building Area: Total Rooms: Construction: Living Area: Bedrooms: Heat Type: Garage Area: Baths: 0 Air Cond: Basement Area: Fireplace: Roof Type: Parking Type: No of Stories: Roof Material: Yr Built/Effective: I Quality: Style: Pool Code: Tax and Value Information: Assessed Value: $338,976 Assessed Year: 2014 Est Market Val: $429,833 Land Value: $288,790 Property Tax: $5,567 Assessor Appd Val: Improvement Value: $60,186 Improvement %: 14.8 Total Taxable Value: Tax Exemption: Site Information: Assessor Acres: 0.16 Zoning: Land Use Code: 163 Assessor Lot SgFt: 7,000 No of Buildings: Land Use Desc: SFR Lot W /D: / Res /Comm Units: County Use bode: 122 Calculated Acres: 0.1648 Sewer Type: Calculated Lot 6gFt 7,179 Water Type: http:// dc1. parcelstream .coinIGetByKey.aspx -7a5 tircl--TS.Prop.PropertyDetail /Property... 1/27/2015 DANGEROUS AND ABANDONED BUILDINGS ABATEMENT ASSESSMENTS FISCAL YEAR 2014 -2015 ADDRESS: 802 S. Ross St. AP # 010 - 244 -10 OWNER OF RECORD: Citibank N.A. /ALAW STATEMENT OF CONDITIONS 1. Unsecured vacant property creating a public nuisance (squatter usage, gang and graffiti infested) in the neighborhood warranted board up. ASSESSMENT AMOUNT. $ 8,981.00 7 75A -18 Property Detail Report • t a 802 S ROSS ST, SANTA ANA, CA, 92701 -5543 Page 1 of I DIGITAL MAP I Ilgtl dMipp" r�RnOLIC r5 Owner Information: Owner Name: CITIBANK NA Mailing Address: , , , Vesting Code: Phone Number. Location Information: Legal Description: A TR 335 BLK P LOT 1 HENINGERS 4TH ADD LOT 1 B County: ORANGE FIPS Code: 06059 Census Trct/Blk: 074601/1 APN: 010. 244.10 Alternative APN: Map Rat E4.829 Twnshp -Rnge -Sect: . - Legal Book/Page: Tract No: 336 Legal Lot: 1 Legal Block: P Subdivison: HENINGERS 4TH ADDITION Last Market Sale Information: Sale Date: 8M5f1996 Sale Price: Sale Doc No: 19960419599 Price Per SgFt: Transfer Doc No: 2014000285140 Price Per Acre: 1st Mtg Doc No: Sale Type: FULL AMOUNT COMPUTED Deed Type: GRANT DEED /DEED OF TRUST Title Company: SOUTHLAND TITLE CORPORATION Lender: RFG GROUP INC Seller Name: BOYD, JANE BEYE $147,500 1st Mtg Amount: $75 1st Mtg Int Type: $519,444 2nd Mtg Amount: 2nd Mig Int Type: Property Characteristics: Building Area: 1,961 Total Rooms: 7 Construction: Living Area: 1,961 Bedrooms: 3 Heat Type: Garage Area: Baths: 1 Air Cord: Basement Area: Fireplace: Roof Type: Parking Type: No of Stories: 2 Roof Material: Yr Built/Effactive: 19221 Quality: Style: Pool Code: Assessor Acres: 0.18 Zoning: $145,190 Tax and Value Information: Assessed Value: $298,831 Assessed Year: 2014 Est Market Val: $414,333 Land Value: $241,550 Property Tax: $3,608 Assessor Appd Val: Improvement Value: $57,281 Improvement %: 19.16 Total Taxable Value: Tax Exemption: CA HOMEOWNER Site Information: Assessor Acres: 0.18 Zoning: Land Use Code: 163 Assessor Lot SgFt 7,810 No of Buildings: Land Use Desc: SFR Lot WJD: / ResfComm Units: County Use Code: 1 Calculated Acres: 0.1793 Sewer Type: Calculated Lot SgFt: 7,810 Water Type: http: / /dc 1, parcelstream. com IGetByKey.aspx ?daEAftda'.Prop. PropertyDetail /Property... 5/18/2015 DANGEROUS AND ABANDONED BUILDINGS ABATEMENT ASSESSMENTS FISCAL YEAR 2014 -2015 ADDRESS: 5217 W. Roosevelt Ave. AP # 099- 211 -06 OWNER OF RECORD: Antonia B. & Pete R. Argao STATEMENT OF CONDITIONS 1. Unsecured vacant property creating a public nuisance (squatter usage) in the neighborhood warranted board up. ASSESSMENT AMOUNT: S 770.00 75A -20 Property Detail Report ra. = •• w 5217 ROOSEVELT AVE, SANTA ANA, CA, 92703 -2425 Page 1 of 1 14 DIGITAL MAP Owner Information: Owner Name: COOPER, JOSEPH L Mailing Address: 5217 ROOSEVELT AVE, SANTA ANA, CA, 92703.2425 Vesting Code: Phone Number: Location Information: Sale Date: Sale Price: Legal Description: S TWP 5 RGE 10 SEC 8 SEC 8 T 5 R 10 POR SE1 /4 Sale Doc No: Price Per SgFt County: ORANGE FIPS Code: 06059 Census Trct/Bik: 08890313 APN; 099.21106 Alternative APN: Map Ref: F3.828 Twnshp.Rnge -Sect: -- Legal Book/Page: Tract No: Legal Lot: Legal Block: Lender: Subdivison: Seller Name: Quality: Last Market Safe Information: Sale Date: Sale Price: 1st Mtg Amount: Sale Doc No: Price Per SgFt 1st Mtg Int Type: Transfer Doc No: Price Per Acre: 2nd Mtg Amount: 1st Mtg Doc No: 2nd Mtg Int Type: Sale Type: Air Cond: Deed Type: Fireplace: Title Company: Parking Type: Lender: Roof Material: Seller Name: Quality: Property Characteristics: Building Area: Total Rooms: Construction: Living Area: Bedrooms: Heat Type: Garage Area; Baths: 0 Air Cond: Basement Area; Fireplace: Roof Type: Parking Type: No of Stories: Roof Material: Yr Built/Effective: / Quality: Style: Pool Code: No of Buildings: Land Use Desc: UNKNOWN Tax and Value Information: Assessed Value: Assessed Year: Est Market Val: Land Value: Property Tax: Assessor Appd Val: Improvement Value: Improvement %: Total Taxable Value: Tax Exemption: �� Site Information: v Assessor Acres: Zoning: Land Use Code: 999 Assessor Lot SgFt: No of Buildings: Land Use Desc: UNKNOWN Lot W /D: / Res /Comm Units: County Use Code: 6 Calculated Acres: 0.0253 Sewer Type: Calculated LotSgFt: 1,102 Water Type: http:// dc1. parcelstream .comIGetByKey.aspx ?7a5AFcZ=IS.Prop.Pi-opertyDetail /Property... 5/18/2015 DANGEROUS AND ABANDONED BUILDINGS ABATEMENT ASSESSMENTS FISCAL YEAR 2014 -2015 ADDRESS: 2222 S. Rene Dr. AP # 408 - 466 -15 OWNER OF RECORD: Pradeep K. Vaish STATEMENT OF CONDITIONS 1. Unsecured vacant property creating a public nuisance (squatter usage, gang and graffiti infested) in the neighborhood warranted board up. ASSESSMENT AMOUNT: $ 7,672.00 II 75A -22 Property Detail Report 2222 S RENE DR, SANTA ANA, CA, 92704 -5116 Page I of I DIGITAL MAP j ®yid wov*a rhonucrs Owner Information: Owner Name: VAISH, PRADEEP K Mailing Address: PO BOX 248, LOMITA, CA, 90717.0248 Vesting Code: Phone Number: Location Information: Legal Description: N TR 2207 BLK LOT 97 County: ORANGE FIPS Code: APN: - 408. 466.15 Alternative APN: Twnshp -Rnge -Sect: -- Legal Book/Page: Legal Lot: 97 Legal Block: Subdivison: Roof Type: Last Market Sale Information: Sale Date: 712/1984 Sale Price: Sale Doc No: 84. 0361406 Price Per SgFt: Transfer Doc No: Price Per Acre: 1'r Mtg Doc No: Sala Type: FULL AMOUNT COMPUTED Dead Type: Title Company: Lender: Seller Name: 06059 Census TrCUBlk: Map Ref: Tract No: $70,000 18t Mtg Amount: $55 1st Mtg Int Type: $466,667 21d Mtg Amount: 2nd Mtg Int Type: Property Characteristics: Assessed Value: $146,633 Assessed Year: 2014 Est Market Val: $402,333 Building Area: 1,268 Total Rooms: 7 Construction: Living Area: 1,268 Bedrooms: 4 Heat Type: Garage Area: Baths: 2 Air Cond: Basement Area: Fireplace: Roof Type: Parking Type: No of Stories: 1 Roof Material: Yr Built/Effective: 19551 Quality: Style: Pool Code: 074102/3 C7 -829 2207 Tax and Value Information: Assessed Value: $146,633 Assessed Year: 2014 Est Market Val: $402,333 Land Value: $57,750 Property Tax: $1,977 Assessor Appd Val: Improvement Value: $88,883 Improvement °/ a: 60.61 Total Taxable Value: Tax Exemption: Site Information: Assessor Acres: 0.15 Zoning: Land Use Code: 163 Assessor Lot SgFt: 6,654 No of Buildings: Land Use Desc: SFR Lot W /D: 1 Res /Comm Units: County Use Code: 1 Calculated Acres: 0.1534 Sewer Type: Calculated Lot SgFt: 6,682 Water Type: http: / /dc l . parcelstream. com/ GetByKey. aspx` 7.%ir23S. Prop.PropertyDetaillProper,ty... 5/18/2015 DANGEROUS AND ABANDONED BUILDINGS ABATEMENT ASSESSMENTS FISCAL YEAR 2014 -2015 ADDRESS: 2702 W. Maywood Ave. AP # 408- 235 -01 OWNER OF RECORD: Colflnn AH- California 6, LLC[Haris Ashraf STATEMENT OF CONDITIONS 1. Unsecured vacant property creating a public nuisance (squatter usage) in the neighborhood warranted board up. ASSESSMENT AMOUNT: $ 3,843.00 13 75A -24 Property Detail Report R. � -►« a 2702 W MAYWOOD AVE, SANTA ANA, CA, 92704 -4918 Page I of 1 JNDIGITAL MAP I eegmdraappirq �'ROOpCte Owner Information: Owner Name: COLFIN AH CALIFORNIA 6 LLC Mailing Address: 27372 CALLE ARROYO, SAN JUAN CAPISTRANO, CA, 92675.2746 Vesting Code: COMPANY /CORPORATION Phone Number: Location Information: Legal Description: N TR 2260 BLK LOT 154 County: ORANGE FIPS Code: APN: 408- 235 -01 Alternative APN: Twnshp -Rnge -Sect: -- Legal Book/Page: Legal Lot: 154 Legal Block: Subdivison: 06059 Census Trct/Blk: 074108/1 Map Ref: A7.829 Tract No: 2260 Last Market Sale Information: T Sale Date: 012005 Sale Price: $560,000 1't Mtg Amount: $440,000 Sale Doc No: 2005000429346 Price Per SgFt: $434 1st Mtg Int Type: ADJ Transfer Doc No: 2014000048334 Price Per Acre: $3,928,571 2nd Mtg Amount: $ 1't Mtg Doc No: 2005000421347 Fireplace: 2nd Mtg Int Type: Sale Type: FULL AMOUNT COMPUTED No of Stories: 1 Deed Type: GRANT DEED /DEED OF TRUST Quality: Land Use Code: 163 Title Company: FIRST AMERICAN TITLE CO No of Buildings: Land Use Desc: SFR Lender: NEW CENTURY MORTGAGE CORP Res /Comm Units: County Use Code: 1 Seller Name: BAUTISTA, ARCADIO Sewer Type: Property Characteristics: T Assessed Value: Building Area: 1,267 Total Rooms: 5 Construction: Living Area: 1,267 Bedrooms: 3 Heat Type: Garage Area: Baths: 1 Air Cond: Basement Area: Fireplace: Roof Type: Parking Type: No of Stories: 1 Roof Material: Yr Built/Effective: 1958/ Quality: Land Use Code: 163 Style: Pool Code: No of Buildings: Land Use Desc: SFR Lot W /D: Tax and Value information. T Assessed Value: $405,000 Assessed Year: 2014 Est Market Val: $394,000 Land Value: $342,631 Property Tax: $4,879 Assessor Appd Val: Improvement Value: $62,369 Improvement W 15.39 Total Taxable Value: Tax Exemption: Site Information: Assessor Acres: 0.14 Zoning: Land Use Code: 163 Assessor Lot SgFt: 6,000 No of Buildings: Land Use Desc: SFR Lot W /D: I Res /Comm Units: County Use Code: 1 Calculated Acres: 0.1667 Sewer Type: Calculated Lot Sq Ft 6,826 Water Type: http://dc l. parcelstream. com/ GetByKey. aspx? 4C �tSJQtaPb-,,5S.Prop.PropertyDetail/Property... 5/18/2015 DANGEROUS AND ABANDONED BUILDINGS ABATEMENT ASSESSMENTS FISCAL YEAR 2014 -2015 ADDRESS: 118 -120 S. Center AP # 007 - 331 -17 OWNER OF RECORD: ,rose and Hilda Palacios STATEMENT OF CONDITIONS 1. Illegal marijuana grow operation with substantial unpermitted work including but not limited to structural and electrical modifications. Due to the level of illegal activity, Police Department enforcement was also required. Property owner(s) notified according to due process. ASSESSMENT AMOUNT: $1,435.00 15 75A -26 Property Detail Report Property Detail Report for: 118 S CENTER ST, SANTA ANA, CA, 927034332 Page 1 of 1 fN DIGITAL MAP � end mwow s ar+,00ucrs Owner Information: 1112/2006 Sale Price: $1,100,000 Owner Name: PALACIOS, JOSE PALACIOS, HILDA 2006000740409 Price Per SgFt: Mailing Address: 118 S CENTER ST, SANTA ANA, CA, 927034332 Transfer Doc No: Vesting Code: HUSBAND AND WIFE Phone Number: Location Information: 2006000740410 Legal Description: N TR 2752 ELK LOT 38 TR 2752 LOT 38 ALL -EX S Sale Type: County: ORANGE FIPS Code: 06059 Census Trct/Blk: APN: 007.331.17 Alternative APN: Map Ref: Twnshp -Rnge -Sect: -. Legal Book/Page: Tract No: Legal Lot: 38 Legal Block: Lander: Subdivison: Res /Comm Units: County Use Code: Last Market Sale Information: Sale Date: 1112/2006 Sale Price: $1,100,000 1 It Mtg Amount: Sale Doc No: 2006000740409 Price Per SgFt: $138 1 st Mtg Int Type: Transfer Doc No: Price Per Acre: $2,558,140 2nd Mtg Amount: 1st Mtg Doc No: 2006000740410 Tax Exemption: 2nd Mtg Int Type: Sale Type: FULL AMOUNT COMPUTED Deed Type: GRANT DEEDIDEED OF TRUST Zoning: Land Use Code: Title Company: FIDELITY NATIONAL TITLE No of Buildings: Land Use Desc: Lander: LEHMAN BROTHERS BANK FS13 Res /Comm Units: County Use Code: Seller Name: BENNO, THOMAS J; BENNO FAMILY TRUST, Sewer Type: Property Characteristics: _ 18,831 Water Type: Building Area: 8,000 Total Rooms: Construction: Living Area: 81000 Bedrooms: Heat Type: Garage Area: Baths: 0 Air Cond: Basement Area: Fireplace: Roof Type: Parking Type: No of Stories: 1 Roof Material: Yr Built/Effective: 19611 Quality: Style: Pool Code: Tax and Value Information: Assessed Value: $1,095,111 Assessed Year: 2014 Est Market Val: Land Value: $707,295 Property Tax: $13,583 Assessor Appd Val: Improvement Value: $387,816 Improvement %: 35.41 Total Taxable Value: Tax Exemption: Site Information: Assessor Acres: 0.43 Zoning: Land Use Code: Assessor Lot SgFt: 18,879 No of Buildings: Land Use Desc: Lot W /D: I Res /Comm Units: County Use Code: Calculated Acres: 0.4323 Sewer Type: Calculated Lot SgFt: 18,831 Water Type: 074802/3 63.829 2752 $880,009 VAR 324 LIGHT INDUSTRIAL 4 http: lldcl.pareelstreanl.com /GetByI, . ey. aspx ?7aMr(.Z7S.Prop.PropertyDetail /Property... 5/18/2015 I&A-11 I W091 ► 5 FISCAL YEAR 2014 -2015 ADDRESS: 1724 W. 2nd AP 007- 201 -02 STATEMENT OIL CONDITIONS 1. Illegal marijuana grow operation with substantial unpermitted work including but not limited to structural and electrical modifications. Due to the level of illegal activity, Police Department enforcement was also required. Property owner(s) notified according to due process. ASSESSMENT AMOUNT: $560.00 17 75A -28 Property Detail Report Page 1 of 1 Property Detail Report far: DIGITAL MAP eayoseKrpa� 1724 W 2ND ST, SANTA ANA, CA, 92703 -3620 Owner Information Owner Name: ANDREWS, NATHAN F Sale Date: 512311978 Sale Price: Mailing Address: 5802 BOB BULLOCK LOOP, LAREDO, TX, 78041.8807 1 st Mtg Int Type: Vesting Code: 2nd Mtg Amount: Phone Number Location Information: Sale Type: No of Stories: 1 Legal Description: A TR 546 BLK 16 LOT 7 Title Company: County: ORANGE FIPS Code: 06059 Census Trct/Blk: 074801/1 APN: 007201.02 Alternative APN: Map Ref: C3.829 Twnshp- RngeSect: - - Legal Book/Page: Tract No: 546 Legal Lot: 7 Legal Block: 16 Subdivison: Last Market Sale Information: Sale Date: 512311978 Sale Price: 18t Mtg Amount: Sale Doc No: Price Per SgFt: 1 st Mtg Int Type: Transfer Doc No: Price Per Acre: 2nd Mtg Amount: 1 st Mtg Doc No: 2nd Mtg int Type: Sale Type: No of Stories: 1 Deed Type: Quality: Title Company: Calculated Lot SgFt: Lender: Water Type: Seiler Name: Property Characteristics: Building Area: 3,486 Total Rooms: Living Area: 3,486 Bedrooms: Garage Area: Baths: 6 Basement Area: Fireplace: Parking Type: No of Stories: 1 Yr Built/Effective: 1948/ Quality: Pool Code: Calculated Lot SgFt: Tax and Value Information: Assessed Value: $29,452 Assessed Year: 2014 Land Value: $15,655 Property Tax: $897 Improvement Value: $13,797 Improvement %: 46.84 Total Taxable Value: Tax Exemption: Site Information: Assessor Acres: 0.14 Zoning: Assessor Lot SgFt: 6,100 No of Buildings: Lot W /D: I Res /Comm Units: Calculated Acres: 0.14 Sewer Type: Calculated Lot SgFt: 6,098 Water Type: Construction: Heat Type: Air Cone: Roof Type: Roof Material: Style: Est Market Val: Assessor Appd Val: Land Use Code: 278 Land Use Desc: STORE BUILDING County Use Code: 3 http://del.parcelstre,,im.com/GetByKey.aspx?7a§Ao 5/1 8/2015 DANGEROUS AND ABANDONED BUILDINGS ABATEMENT ASSESSMENTS FISCAL YEAR 2014 -2015 ADDRESS: 400 N. Nantucket AP #007 - 121 -06 OWNER OF RECORD: Roland and Mildred Kalayjian STATEMENT OF CONDITIONS 1. Illegal marijuana grow operation with substantial unperinitted work including but not limited to structural and electrical modifications. Due to the level of illegal activity, Police Department enforcement was also required. Property owner(s) notified according to due process. ASSESSMENT AMOUNT: $861.00 19 75A -30 Property Detail Report tr � `f 400 NANTUCKET PL, SANTA ANA, CA, 92703 -3545 Page I of 1 DIGITAL MAP acymd 64�rrttrj nnoourrs I Owner Information: Owner Name: ROLAND KALAYJIAN & MILDRED KALAYJIAN #TWO Mailing Address: 11624 VIKING AVE, NORTHRIDGE, CA, 91326.1598 Vesting Code: PARTNERSHIP Phone Number: Location Information: Legal Description: P BK 120 PG 6 PAR 6 Sale Price: County: ORANGE FPS Code: 06059 Census TrctlBlk: 074802/1 APN: 007. 121.06 Alternative APN: Map Ref: B3 -B29 Twnshp -Rnge -Sect: -- Legal Book/Page: Tract No: Legal Lot: Legal Block: Improvement %: 55.87 Subdivison: Deed Type: Total Taxable Value: Last Market Sale Information: Sale Date: 111/1998 Sale Price: 1 st Mtg Amount: Sale Doc No: 1998 - 00349754 Price Per SgFt: 1 st Mtg Int Type: Transfer Doc No: 19980349754 Price Per Acre: 2nd Mtg Amount: 1st Mtg Doc No: 2nd Mtg Int Type: Sale Type: Improvement %: 55.87 Deed Type: Total Taxable Value: Title Company: Lender: Seller Name: Assessor Acres: Property Characteristics: Zoning: Land Use Code: Building Area: 6,397 Total Rooms: Construction: Living Area: 6,397 Bedrooms: Heat Type: Garage Area: Baths: 0 Air Cond: Basement Area: Fireplace: Roof Type: Parking Type: No of Stories: 1 Roof Material: YrBuiiUEffective: 19791 Quality: Style: Pool Code: Tax and Value Information: Assessed Value: $511,720 Assessed Year: 2014 Est Market Val: Land Value: $225,811 Property Tax: $6,776 Assessor Appd Val: Improvement Value: $285,909 Improvement %: 55.87 Total Taxable Value: Tax Exemption: Site Information: Assessor Acres: 0.32 Zoning: Land Use Code: 324 Assessor Lot SgFt: 13,908 No of Buildings: Land Use Desc: LIGHT INDUSTRIAL Lot WID: I Res /Comm Units: County Use Code; 4 Calculated Acres: 0.326 Sewer Type: Calculated Lot SgFt: 14,201 Water Type: http:// dcl. pareelstream .com /GetByKey.aspx ?7a5 o , 4— IS. Prop.PropertyDetail/Property... 5/18/2015 DANGEROUS AND ABANDONED BUILDINGS ABATEMENT ASSESSMENTS FISCAL YEAR 2014 -2015 ADDRESS: 1124 E. 17`h St. AP # 398 - 082 -39 OWNER OF RECORD: Greentree Vision, LLC STATEMENT OF CONDITIONS 1. Illegal marijuana grow operation with substantial unpermitted work including but not limited to structural and electrical modifications. Due to the level of illegal activity, Police Department enforcement was also required. Property owner(s) notified according to due process. ASSESSMENT AMOUNT: $420.00 21 75A -32 Property Detail Report ' =�'•ss t' 1124 E 17TH ST, SANTA ANA, CA, 92701.2620 Page I of I DIGITAL MAP � a«x�mr�awsa Owner Information: Owner Name: GREENTREE VISION LLC Mailing Address: 3366 E LA PALMA AVE, ANAHEIM, CA, 92806.2814 Vesting Code: COMPANYICORPORATION Phone Number: Location Information: Legal Description: A TR 698 ELK LOT 23 SANTA ANA EAST POR OF LOT County: ORANGE FIPS Code: 06059 Census Trct/BIk: APN: 398. 082.39 Alternative APN: Map Ref: Twnshp -Rnge -Sect: -- Legal Book /Page: Tract No: Legal Lot: 1 Legal Block: Subdivison: TOWN OF SANTA ANA EAST 075403/2 698 Last Market Sale Information: Sale Date: 3/2511998 Sale Price: $1,112,000 18t Mtg Amount: $875,000 Sale Doc No: 19980168095 Price Per SgFt: 1st Mtg Int Type: VAR Transfer Doc No: Price Per Acre: $760,186 2nd Mtg Amount: $700,000 1 st Mtg Doc No: Basement Area: 2nd Mtg Int Type: Sale Type: FULL AMOUNT COMPUTED No of Stories: Deed Type: GRANT DEEDIDEED OF TRUST Quality: Title Company: FIDELITY NATIONAL TITLE CO Lender: CALIFORNIA STATE BANK Seller Name: SHELL LAND USA OF ORANGE INC, Property Characteristics: Assessed Value: Building Area: Total Rooms: Construction: Living Area: Bedrooms: Heat Type: Garage Area: Baths: 0 Air Cond: Basement Area: Fireplace: Roof Type: Parking Type: No of Stories: Roof Material: YrBuilt/Effective: I Quality: Style: Pool Code: Tax and Value Information: Assessed Value: $1,589,031 Assessed Year: 2014 Est Market Val: Land Value: $579,646 Property Tax: $19,000 Assessor Appd Val: Improvement Value: $1,009,385 Improvement %: 63.52 Total Taxable Value: Tax Exemption: Site Information: Assessor Acres: Assessor Lot SgFt: Lot W /D: I Calculated Acres: 1.4628 Calculated Lot SgFt 63,720 Zoning: No of Buildings: Res /Comm Units: Sewer Type: Water Type: Land Use Code: Land Use Desc: County Use Code: 300 INDUSTRIAL (NEC) 4 http:// dcl. pareelstream .com /OetByKey.aspx ?daM c ,Prop.PropertyDetail /Property... 5/18/2015 75A -34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2015 TITLE: PUBLIC HEARING — RESOLUTION AFFIRMING THE WEED ABATEMENT PUBLIC NUISANCE REPORT FISCAL YEAR 2014 -2015 (STRATEGIC PLAN NO. 5, 4E) CITY MANAAER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 022047VTO, ❑ As Recommended ❑ As Amended • Ordinance on Vt Reading • Ordinance on 2nd Reading ❑ Implementing Resolution Q Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution affirming the Fiscal Year 2014 -2015 Weed Abatement Program Report and authorizing the transmittal of uncollected weed abatement charges and postings to the Office of Auditor - Controller, County of Orange, for collection. DISCUSSION The Public Works Agency operates a year -round program to maintain private properties free of weeds and rubbish. In accordance with Santa Ana Municipal Code Section 16 -55, when unsightly or unsafe conditions are identified, City sanitation inspectors provide a courtesy notice to property owners with a seven -day Notice to Clean Premises. If the property is not cleaned by the seventh day, a Notice of Abatement is posted and mailed indicating that the City will perform the abatement work through its own contractor after a 10 -day period. If the City performs the clean -up, property owners are notified of the charges and are provided an opportunity to submit payment to the City, averting a property assessment via the Orange County Auditor - Controller's Office. When a property is posted a second time within 12 months for the same violation, the City assesses a re- posting charge. Property owners have a minimum of 30 days and up to the time that the City submits the collection order to the County to make their payment(s). This year, there is $13,280.21 to date in outstanding charges for parcels cleaned by the City contractor and posted by City Staff (Exhibit 1). Filing a property assessment through the County is the most effective method of collecting the outstanding charges. The charges are placed on the corresponding property tax rolls and paid through regular property tax assessments to the County of Orange. If a property is in default, the charges are collected when the property changes ownership. The County deadline for inclusion is August 10, 2015. The total amount of outstanding charges is subject to change due to payments received following the Council approval date but before the County deadline. The final charges will be submitted directly to the County for collection after affirmation by the Council. There is no fee to the City for this service. 7513-1 Public Hearing — Weed Abatement Public Nuisance Report 2014 -15 July 7, 2015 Page 2 ENVIRONMENTAL IMPACT There is no environmental Impact associated with this action, STRAIgglg E6AN ALIGNMENT Approval of this Item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4 (Support neighborhood vitality and livability), Strategy E (implement innovative code enforcement practices and strategies... to address critical livability issues oitywide), FISCAL IMPACT All revenues collected will be deposited into the Sanitation Fund (Account No, 06817002- 53710) Public Works Agency Exhibit 1: Resolution 75B -2 AS TO FUNDS AND ACCOUNTS: & Management Services Agency KCN 06/16/15 RESOLUTION NO. 2015- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONFIRMING THE COSTS OF WEED, RUBBISH AND GARBAGE ABATEMENT: MAKING, CONFIRMING AND LEVYING ASSESSMENTS FOR SUCH COSTS; AND ORDERING A COPY THEREOF TO BE FILED WITH THE COUNTY AUDITOR, ASSESSOR AND TAX COLLECTOR BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby, finds, determines and declares as follows: A. Pursuant to Section 16 -55 of the Santa Ana Municipal Code, the Executive Director of Public Works Agency has submitted an itemized report, the Weed Abatement Program Report, a copy of which is on file with the Clerk of the Council and which is attached hereto as Attachment 1 and is incorporated by this reference as though fully set forth herein, which sets forth the costs of the weed, rubbish and garbage abatement actions carried out by the City of Santa Ana in front of or upon each individual lot or parcel of land where such work was done. B. The Executive Director of the Public Works Agency has given notice as required by law, that the 7th day of July, 2015, at the hour of 5:45 p.m. is fixed as the time, and 22 Civic Center Plaza, Santa Ana as the place, where any and all persons interested in said report might be heard. C. The City Council of the City of Santa Ana, at said time and place received, heard, and considered said report and all objections thereto submitted by property owners liable to be assessed for the abatement, and directed such modification of said report as it has deemed necessary. Section 2. Each and every objection to said work and the costs thereof is hereby overruled; Attachment 1 is hereby made and confirmed as an assessment against such lots or parcels respectively, said assessments are hereby levied, and shall constitute liens on the respective lots or parcels of real property as shown on said report until paid. Section 0. The Public Works Agency is hereby directed to file a certified copy of said report and this Resolution with the County Auditor, County Assessor, and County Tax Collector on or before August 10, 2015. Section 4. The County Auditor is requested to enter the assessments on the county tax rolls. Resolution No. 2015 - Page 1 R-3 75B -3 Section 5. The County Tax Collector is requested to collect the assessment at the time and in the manner of ordinary municipal taxes. Section 6. The City of Santa Ana hereby certifies that the special assessments, special taxes, parcel taxes, charges and /or fees which are to be placed on the fiscal year 2014 -2015 property tax roll have been duly adopted in accordance with State law and are legally valid. ADOPTED this day of 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia Carvalho City Attorney By: Kyl . Nellesen Deputy 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 -- 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 75B -4 Resolution No. 2015 - Page 2 of 3 ATTACHMENT 1 CITY OF SANTA ANA FISCAL, YEAR 2014 -2015 WEED ABATEMENT PROGRAM REPORT Jurisdiction: Santa Ana Type of Tax: M AC62LOSA - FORM B2 Special Assessment Add Date: Transactions August, 2015 PARCEL NUMBER t ,6 15 z�� �, ASSESSMENT AMOUNT r 16=23116 PARCEL NUMBER , 6 15 ASSESSMENT F 4 h AMOUNT, 23 ..° 003 - 120 -44 628.38 008 - 144 -02 1193 008 - 222 -29 61.19 011 - 132.05— 901 014. 241.06 61.19 015 - 174 -35 61.19 016- 052 -08 61.19 100 -241 -16 122.38 109- 010 -19 61.19 109- 123.39 1188 - -- 144- 282.18 61.19 198 - 132.18 _ —_ 61.19 198. 162.46 — 61.19 -- 198- 281.25 946.19 198- 281 -26 66019 390- 171 -03 61.19 398 - 152.16 61.19 398. 471.07 1048 398.533.07 544 _ 399- 111 -09 —404- 869 075 -12 61.19 _.._ 404- 094.17 61.19 407 - 107.20 2358.79 410 - 311.07 713 412 - 294 -31 1376 Resolution No, 2015 - Page 3 ;-f-3 75B -5 75B -6