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HomeMy WebLinkAbout55B - RESO - CLEAN DRINKING WATER_ M 0 CITY COUNCIL MEETING DATE: AUGUST 2, 2016 TITLE: ADOPT RESOLUTIONS AND AUTHORIZE APPLICATIONS FOR CLEAN WATER AND DRINKING WATER STATE REVOLVING FUND CAPITAL PROJECT FINANCING [NONGENERAL FUND] {STRATEGIC PLAN NO. 6, 1G} '� J dv;�t z� CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _70-:• 9" ❑ As Recommended ❑ As Amended ❑ Ordinance on tat Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolutlon ❑ Set Public Hearing For, _ CONTINUED TO FILE NUMBER Adopt Resolutions agreeing to the terms of participation in the Environmental Protection Agency and California State Water Resources Control Board, Clean Water State Revolving Fund and Safe Drinking Water State Revolving Fund programs for four capital improvement projects: a. Segerstrom (San Lorenzo) Sewer Lift Station b. Sewer Collection System Improvements c. Automated Metering Infrastructure d. Water Distribution System Improvements 2. Authorize the Executive Director of Public Works to submit applications for Environmental Protection Agency and California State Water Resources Control Board, Clean Water State Revolving Fund financing of the Segerstrom (San Lorenzo) Sewer Lift Station and Sewer Collection System Improvements projects. Authorize the Executive Director of Public Works to submit applications for California State Water Resources Control Board and Safe Drinking Water State Revolving Fund financing for the Automated Metering Infrastructure and Water Distribution System Improvements projects. DISCUSSION The California State Water Resources Control Board (SWRCB) oversees two capital improvement financing programs known as the Safe Drinking Water State Revolving Fund (SDWSRF) and Clean Water State Revolving Fund (CWSRF) that provide low -cost flexible financing for capital improvements to water and wastewater utilities. These programs require less administrative burden than financing through bonds or certificates of participation, and can 55B -1 Adopt Resolutions and Authorize Applications for State Revolving Fund Capital Project Financing August 2, 2016 Page 2 be secured on a shorter timeline and repaid more flexibly, subject to conditions of participation and competitive scoring criteria established and administered under the supervision of SWRCB. With the assistance of a contract consultant, staff has prepared draft general applications for four capital projects that are good candidates for SWRCB approval. These projects would benefit from a near -term infusion of cash to shorten their respective project delivery schedules, and accelerate realization of service -level and financial benefits to the City and its enterprise ratepayers. The following four projects were selected by staff: Application Project Name Proiect # and Description Stage of Delivery Estimated Cost 1. San Lorenzo Sewer Lift Station 06 -3510; Replace Segerstrom sewer lift station 2. Sewer Collection System Improvements Replace existing mains and associated assets 3. Automated Meter Infrastructure 16 -6460; Replace 48, 000 meters with smart meters and associated assets 4. Water Distribution System Improvements Replace end -of- useful -life cast iron water mains Finalizing Plans & $4.0 Million Specifications Various, ongoing $9.5 Million Feasibility Study $13.7 Million underway Various, ongoing $10.8 Million Santa Ana ratepayers rose to the challenge of the Governor's drought conservation orders last fiscal year and reduced their consumption by more than the 12 percent system -wide reduction required by the State. While this is good for our long -term resource conservation and sustainable use, it negatively impacted Water Enterprise and Sewer Enterprise revenues in the short term, resulting in delays and deferments in capital projects. Making use of these available financing sources can reduce the impact of the delayed capital project delivery, and reduce inefficiencies in City and enterprise operations, and thereby reduce long -term costs to the City and its ratepayers. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans. 55B -2 Adopt Resolutions and Authorize Applications for State Revolving Fund Capital Project Financing August 2, 2016 Page 3 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Staff will return to Council with a request for approval to accept any award under these applications and programs and will indicate the fiscal impact of any such awards and associated expenditures at that time. Executive Director Public Works Agency FM /NS /RR Exhibits: 1. Resolution: Segerstrom (San Lorenzo) Sewer Lift Station 2. Resolution: Sewer Collection System Improvements 3. Resolution: Automated Metering Infrastructure 4. Resolution: Water Distribution System Improvements 5. General Applications 6. General Application Attachments 7. State Revolving Fund Program Documents 55B -3 55B -4 Qxs 7/20116) RESOLUTION NO. 2016 -XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING CITY PARTICIPATION IN THE CALIFORNIA CLEAN WATER STATE REVOLVING FUND FINANCING PROGRAM FOR SEWER LIFT STATION IMPROVEMENTS 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. WHEREAS, the City of Santa Ana (the "Agency ") desires to finance the costs of constructing and /or reconstructing certain public facilities and improvements relating to its water and wastewater system, including certain treatment facilities, pipelines, and other infrastructure (the "Project "); and B. WHEREAS, the Agency intends to finance the construction and /or reconstruction of the Project or portions of the Project with moneys ( "Project Funds ") provided by the State of California, acting by and through the State Water Resources Control Board ( "State Water Board "); and C. WHEREAS, the State Water Board may fund the Project Funds with proceeds from the sale of obligations the interest upon which is excluded from gross income for federal income tax purposes (the "Obligations "); and D. WHEREAS, prior to either the issuance of the Obligations or the approval by the State Water Board of the Project Funds, the Agency desires to incur certain capital expenditures (the "Expenditures ") with respect to the Project form available moneys of the Agency; and E. WHEREAS, the Agency has determined that those moneys to be advanced on and after the date hereof to pay the Expenditures are available only for a temporary period and it is necessary to reimburse the Agency for the Expenditures from the proceeds of the Obligations. Section 2. The Agency hereby states its intention and reasonably expects to reimburse Expenditures paid prior to the issuance of the obligations or the approval by the State Water Board of the Project Funds. Section 3. The reasonably expected maximum principal amount of the Project Funds is $4.0 Million. Exhibit I Resolution No. 2016 -XXX Page 1 of 4 55B -5 Section 4. This resolution is being adopted no later than 60 days after the date on which the Agency will expend moneys for the construction portion of the Project costs to be reimbursed with Project Funds. Section 5. Each Agency expenditure will be of a type properly chargeable to a capital account under general federal income tax principles. Section 6. To the best of our knowledge, this Agency is not aware of the previous adoption of official intents by the Agency that have been made as a matter of course for the purpose of reimbursing expenditures and for which tax - exempt obligations have not been issued. Section 7. This resolution is adopted as official intent of the Agency in order to comply with Treasury Regulation §1.150 -2 and any other regulations of the Internal Revenue Service relating to the qualification for reimbursement of Project costs. Section 8. All the recitals in this Resolution are true and correct and this Agency so finds, determines and represents Section 9. BE IT FURTHER RESOLVED that the Executive Director of the Public Works Agency, or his /her designee, is hereby authorized as Signature Authority to execute all documents necessary to implement and secure payment; and Section 10. BE IT FURTHER RESOLVED that this authorization is effective until rescinded by this governing body. Section 11. 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 2nd day of August, 2016. APPROVED AS TO FORM: Sonia R. ary City Attorney B. 4 o Sandoval ief Assistant City Attorney Resolution No. 2016 -XXX Page 2 of 4 Miguel A. Pulido Mayor 55B -6 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 55B -7 (Ixs 7/20116) Resolution No. 2016 -XXX Page 3 of 4 CERTIFICATE OF ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby certify the attached Resolution No. 2016- to be the original resolution adopted by the City Council of the City of Santa Ana on August__, 2016. Date: Resolution No. 2016 -XXX Page 4 of 4 Clerk of the Council City of Santa Ana 55B -8 (jxs 7/20/16) RESOLUTION NO. 2016 -XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING CITY PARTICIPATION IN THE CALIFORNIA CLEAN WATER STATE REVOLVING FUND FINANCING PROGRAM FOR SEWER COLLECTION SYSTEM IMPROVEMENTS 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. WHEREAS, the City of Santa Ana (the "Agency ") desires to finance the costs of constructing and /or reconstructing certain public facilities and improvements relating to its water and wastewater system, including certain treatment facilities, pipelines, and other infrastructure (the "Project "); and B. WHEREAS, the Agency intends to finance the construction and /or reconstruction of the Project or portions of the Project with moneys ( "Project Funds ") provided by the State of California, acting by and through the State Water Resources Control Board ( "State Water Board "); and C. WHEREAS, the State Water Board may fund the Project Funds with proceeds from the sale of obligations the interest upon which is excluded from gross income for federal income tax purposes (the "Obligations "); and D. WHEREAS, prior to either the issuance of the Obligations or the approval by the State Water Board of the Project Funds, the Agency desires to incur certain capital expenditures (the "Expenditures") with respect to the Project form available moneys of the Agency; and E. WHEREAS, the Agency has determined that those moneys to be advanced on and after the date hereof to pay the Expenditures are available only for a temporary period and it is necessary to reimburse the Agency for the Expenditures from the proceeds of the Obligations. Section 2. The Agency hereby states its intention and reasonably expects to reimburse Expenditures paid prior to the issuance of the obligations or the approval by the State Water Board of the Project Funds. Section 3. The reasonably expected maximum principal amount of the Project Funds is $9.5 Million. Exhibit 2 Resolution No. 2016 -XXX Page 1 of 4 55B -9 Section 4. This resolution is being adopted no later than 60 days after the date on which the Agency will expend moneys for the construction portion of the Project costs to be reimbursed with Project Funds. Section 5. Each Agency expenditure will be of a type properly chargeable to a capital account under general federal income tax principles. Section 6. To the best of our knowledge, this Agency is not aware of the previous adoption of official intents by the Agency that have been made as a matter of course for the purpose of reimbursing expenditures and for which tax - exempt obligations have not been issued. Section 7. This resolution is adopted as official intent of the Agency in order to comply with Treasury Regulation §1.150 -2 and any other regulations of the Internal Revenue Service relating to the qualification for reimbursement of Project costs. Section 8. All the recitals in this Resolution are true and correct and this Agency so finds, determines and represents Section 9. BE IT FURTHER RESOLVED that the Executive Director of the Public Works Agency, or his /her designee, is hereby authorized as Signature Authority to execute all documents necessary to implement and secure payment; and Section 10. BE IT FURTHER RESOLVED that this authorization is effective until rescinded by this governing body. Section 11. 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 2nd day of August, 2016. APPROVED AS TO FORM: Sonia R. ar Cit torney By: o e andoval C ' Assistant City Attorney Resolution No. 2016 -XXX Page 2 of 4 Miguel A. Pulido Mayor 55B -10 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 55B -11 (jxs 7/20116) Resolution No, 2016 -XXX Page 3 of 4 CERTIFICATE OF ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby certify the attached Resolution No. 2016- to be the original resolution adopted by the City Council of the City of Santa Ana on August,_, 2016. Date: Resolution No. 2016 -XXX Page 4 of 4 Clerk of the Council City of Santa Ana 55B -12 an 7/20/16) RESOLUTION NO, 2016 -XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING CITY PARTICIPATION IN THE CALIFORNIA CLEAN WATER STATE REVOLVING FUND FINANCING PROGRAM FOR WATER AUTOMATED METERING INFRASTRUCTURE 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. WHEREAS, the City of Santa Ana (the "Agency ") desires to finance the costs of constructing and /or reconstructing certain public facilities and improvements relating to its water and wastewater system, including certain treatment facilities, pipelines, and other infrastructure (the "Project'); and B. WHEREAS, the Agency intends to finance the construction and /or reconstruction of the Project or portions of the Project with moneys ( "Project Funds") provided by the State of California, acting by and through the State Water Resources Control Board ( "State Water Board "); and C. WHEREAS, the State Water Board may fund the Project Funds with proceeds from the sale of obligations the interest upon which is excluded from gross income for federal income tax purposes (the "Obligations"); and D. WHEREAS, prior to either the issuance of the Obligations or the approval by the State Water Board of the Project Funds, the Agency desires to incur certain capital expenditures (the "Expenditures ") with respect to the Project form available moneys of the Agency; and E. WHEREAS, the Agency has determined that those moneys to be advanced on and after the date hereof to pay the Expenditures are available only for a temporary period and it is necessary to reimburse the Agency for the Expenditures from the proceeds of the Obligations. Section 2. The Agency hereby states its intention and reasonably expects to reimburse Expenditures paid prior to the issuance of the obligations or the approval by the State Water Board of the Project Funds. Section 3. The reasonably expected maximum principal amount of the Project Funds is $13.7 Million. Exhibit ,3 Resolution No. 2016 -XXX Page 1 of 4 55B -13 Section 4. This resolution is being adopted no later than 60 days after the date on which the Agency will expend moneys for the construction portion of the Project costs to be reimbursed with Project Funds. Section 5. Each Agency expenditure will be of a type properly chargeable to a capital account under general federal income tax principles. Section 6. 'To the best of our knowledge, this Agency is not aware of the previous adoption of official intents by the Agency that have been made as a matter of course for the purpose of reimbursing expenditures and for which tax - exempt obligations have not been issued. Section 7. This resolution is adopted as official intent of the Agency in order to comply with Treasury Regulation §1.150 -2 and any other regulations of the Internal Revenue Service relating to the qualification for reimbursement of Project costs. Section 8. All the recitals in this Resolution are true and correct and this Agency so finds, determines and represents Section 9. BE IT FURTHER RESOLVED that the Executive Director of the Public Works Agency, or his /her designee, is hereby authorized as Signature Authority to execute all documents necessary to implement and secure payment; and Section 10. BE IT FURTHER RESOLVED that this authorization is effective until rescinded by this governing body. Section 11. 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 2nd day of August, 2016. APPROVED AS TO FORM: Sonia R. Carva io, City Attorney ;b Sandoval '`y ief Assistant City Attorney Resolution No. 2016 -XXX Page 2 of 4 Miguel A. Pulido Mayor 55B -14 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 55B -15 On 7120118) Resolution No. 2016 -XXX Page 3 of 4 CERTIFICATE OF ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby certify the attached Resolution No. 2016- to be the original resolution adopted by the City Council of the City of Santa Ana on August 2016. Date: Resolution No, 2016 -XXX Page 4 of 4 Clerk of the Council City of Santa Ana 55B -16 (jxs 7120/18) RESOLUTION NO. 2016 -XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING CITY PARTICIPATION IN THE CALIFORNIA CLEAN WATER STATE REVOLVING FUND FINANCING PROGRAM FOR WATER DISTRIBUTION SYSTEM IMPROVEMENTS 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, WHEREAS, the City of Santa Ana (the "Agency') desires to finance the costs of constructing and /or reconstructing certain public facilities and improvements relating to its water and wastewater system, including certain treatment facilities, pipelines, and other infrastructure (the "Project "); and B. WHEREAS, the Agency intends to finance the construction and /or reconstruction of the Project or portions of the Project with moneys ( "Project Funds ") provided by the State of California, acting by and through the State Water Resources Control Board ( "State Water Board "); and C. WHEREAS, the State Water Board may fund the Project Funds with proceeds from the sale of obligations the interest upon which is excluded from gross income for federal income tax purposes (the "Obligations "); and D. WHEREAS, prior to either the issuance of the Obligations or the approval by the State Water Board of the Project Funds, the Agency desires to incur certain capital expenditures (the "Expenditures ") with respect to the Project form available moneys of the Agency; and E. WHEREAS, the Agency has determined that those moneys to be advanced on and after the date hereof to pay the Expenditures are available only for a temporary period and it is necessary to reimburse the Agency for the Expenditures from the proceeds of the Obligations. Section 2. The Agency hereby states its intention and reasonably expects to reimburse Expenditures paid prior to the issuance of the obligations or the approval by the State Water Board of the Project Funds, Section 3. The reasonably expected maximum principal amount of the Project Funds is $10.8 Million. Exhibit Resolution No. 2016 -XXX Page 1 of 4 55B -17 Section 4. This resolution is being adopted no later than 60 days after the date on which the Agency will expend moneys for the construction portion of the Project costs to be reimbursed with Project Funds. Section 5. Each Agency expenditure will be of a type properly chargeable to a capital account under general federal income tax principles. Section 6. To the best of our knowledge, this Agency is not aware of the previous adoption of official intents by the Agency that have been made as a matter of course for the purpose of reimbursing expenditures and for which tax- exempt obligations have not been issued. Section 7. This resolution is adopted as official intent of the Agency in order to comply with Treasury Regulation §1.160 -2 and any other regulations of the Internal Revenue Service relating to the qualification for reimbursement of Project costs. Section 8. All the recitals in this Resolution are true and correct and this Agency so finds, determines and represents Section 9, BE IT FURTHER RESOLVED that the Executive Director of the Public Works Agency, or his /her designee, is hereby authorized as Signature Authority to execute all documents necessary to implement and secure payment; and Section 10. BE IT FURTHER RESOLVED that this authorization is effective until rescinded by this governing body. Section 11. 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 2nd day of August, 2016. APPROVED AS TO FORM: Sonia R. Cary o, City Attorney ihiefSandoval Ass istant City Attorney Resolution No, 2016 -XXX Page 2 of 4 Miguel A. PUlido Mayor 55B -18 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 55B -19 fln 7120116) Resolution No. 2016 -XXX Page 3 of 4 CERTIFICATE OF ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby certify the attached Resolution No. 2016- to be the original resolution adopted by the City Council of the City of Santa Ana on August 2016. Date: Resolution No. 2016 -XXX Page 4 of 4 Clerk of the Council City of Santa Ana 55B -20 STATE OF CALIFORNIA STATE WATER RESOURCES CONTROL BOARD Division of Financial Assistance P. O. Box 944212, Sacramento, CA 94244 -2120 FINANCIAL ASSISTANCE APPLICATION Clean Water State Revolving Fund Water Recycling Funding Program GENERAL INFORMATION PACKAGE I. TYPE OF ASSISTANCE REQUESTED Amount of Assistance Requested: $4,000,000.00 Proposed Security: 0 Wastewater revenues and fund ❑Water revenues and fund ❑ Other: Project Type(s): ® Wastewater ❑ Water Recycling ❑ Estuary ❑ Nonpoint Source 11. APPLICANT INFORMATION Applicant Name: City of Santa Ana Street Address:20 Civic Center Plaza City. Santa Ana _ State: CA Zi +4 Code: 92702 -4058 Applicant Type: ❑✓ Public ❑ Indian Tribe Non rofit ❑ Other: Specify CharterCity /County: Iv Yes [D No Mailing Address: 220 S Daisy St City: Santa Ana State: CA Zi +4 Code: 92703 -4334 � Congressional District(s): 46 State Senate Districts): 34 _ State Assembly District(s): 69 County: Orange Federal Tax ID No.: 95-6000785 Data Universal Numbering System DUNS No.: 08- 315 -3247 glonal Water Board where the project will take place: ❑ 1 (North Coast) ❑ 2 (San Francisco Bay) 3 (Central Coast) ❑ 4 (Los Angeles) ❑ 5 (Central Valley) ❑ 6 (Lahontan) ❑ 7 (Colorado River) ❑✓ 8 (Santa Ana) ❑ 9 (San Diego) Authorized Representative Name, Title: Nabil Saba, Water Resources Manager Phone No.: (714 ) 647 -3378 Email Address: nsaba(ilsanta- ana.org Contact Person Name: Rodolfo Roses Phone No.: 714 647 -3379 Email Address: rrosas @ santa- ana.org _ Local Counsel Name: Sonia Carvalho Phone No.: 714 647 -5203 _ Email Address: scarvalh_o @santa - ana.org _ III. PROJECT INFORMATION AND PROPOSED SCHEDULES Project Description: (Enter a brief description of the project) Reconstruct existing aging sewer lift station to: increase capacity in the sewer collection system and increase energy efficiency through newer electrical components, pumps and motors; reduce long -term safety and traffic impacts by relocating the station from its existing location (In Bristol Street, a major arterial) to a nearby off street location. Pro'ect'fitle: San Lorenzo Sewer Lift Station NPDES Permit or WDR Order No. if applicable): WDR Order No. 2006- 0003 -DWQ, WDID 8SS010602 Current Year Estimated Population Served: City: 335,264 CA DOF Table E -1, 2015); Upstream: 22,650 (7 %) Stale Use Only CWSRF Project 9 Project Manager Date Received Financial Assistance Application Page 1 of 3 General Information Package (Rev. 0312015) EXHIBIT 5 55B -21 Estimated or Actual Date Estimated Project Schedule: Complete Construction Application 1) General Information Package 0512016 2) Technical Package 07/2016 3) Environmental Package 06/2016 4) Financial Security Package 08/2016 Complete Project Plans and Specifications 12/2016 Advertise Bids 03/2016 Issue Notice to Proceed 06/2016 Complete Construction 12/2018 Consultation with Other Agencies Please list other Federal and State agencies that have been involved in this project (e.g. planning, CEQA/NEPA consultation, funding, etc.), their contact information if known, and estimated dates for resolution of any issues. Partnering Agencies Please list all other agencies that have an interest in this project. Provide contact information if known. San Diego Regional Water Quality Control Board (all phases) 2375 Northside Drive, Suite 100 San Diego, CA 92108 -2700 (619) 516 -1994 e� IV. ESTIMATED PROJECT CAPITAL COSTS AND FUNDING SUMMARY Cost Classification Total Project Costs Other Funding Requested Financina A. Facilities Planning (a) $ $ _. $ B. Facilities Design (a) $ 280,000.00 $ 4 $ 280,000.00 C. Construction Management (a) $ 420,000.00 $ $ 420,000.00 D. Value Engineering (a) $ 85,000.00 $ $ 85,000.00 E. Administration (a) $ $ $ _ F. Facilities Construction Total $ 2,795,000.00 $ _ $ 2,795,000.00 G. Contingency $ 420,000.00 $ ^_ $ 420,000.00 H. Pre - Purchase Material /Equipment $ $ $ I. Land and Right -of -Way $ $ _ $ _ J. Other Costs $ $ $ Explain: K. Total Project Costs $ 4,000,000.00 $ 0.00 $ 4,000,000.00 (a) Soft costs may be provided for planning, design, value engineering, constriction management and administration costs. Portion of the Total Project Costs that will serve existing facilities and /or existing communities $ 4,000,000.00 Portion of the Total Project Costs that will serve new development $ 0.00 Financial Assistance Application Page 2 of 3 General Information Package (REV. 0312015) EXHIBIT 5 55B -22 If the Division were to set up a technical sponsorship program, would you be interested in providing in -kind technical assistance to another CWSRF applicant in exchange for special financing? Note that checking "Yes" in no way obligates you to participate in this potential program or guarantees that this incentive will be available or offered. Z Yes ❑ No If Yes, please indicate the areas where you would be willing to provide assistance: ❑ Assistance in completing a funding application ❑ Assistance in writing a facilities plan /project report © Assistance in developing a Capital Improvement Plan [Z] Assistance in conducting a water or energy audit ❑ Assistance in building Operations & Maintenance capacity ❑ Other: Specify VI. SUSTAINABILITY A project that supports or incorporates one or more of the following sustainability goals receives one priority point for each area addressed. Label the requested documents as Attachment G1, G2, G3, etc. project supports infill development or results in the reuse or redevelopment of land in an area presently ❑The served by transit, streets, water, sewer and other essential services. G1 — Provide a map highlighting the infill or redevelopment areas. The applicant maintains a Capital Improvement Plan, an Asset Management Plan, or has performed a full -cost Zpricing analysis, or the project incorporates climate change adoption. G2— Provide copies or links to these plan or analysis. The project protects environmental or agricultural resources such as farm, range and forest lends; wetlands and wildlife habitats; recreational lands such as parks, trails, and greenbelts; or landscapes with locally unique features or areas identified by the state as deserving special protection. G3 — Provide a map highlighting the areas that will be protected. ElThe project is cited in one or more regional environmental management plans. G4— Provide copies or links to these plans. project incorporates wastewater or storm water /urban runoff recycling, water conservation, energy ❑The conservation, low impact development, or reduced use of other vital resources. G5 — Explain the reason for the energy savings and the expected energy savings. project uses low- impact treatment for lower Recycle operating costs through reduced energy, chemical, or ❑The other inputs. G6 — Explain the reason(s) for the reduced operating costs. To the best of my knowledge and belief, I certify that I am authorized to submit this application; the information provided in this application is true and correct; the documentation has been duly authorized by the governing body of the applicant; and the entity possesses the legal authority to apply for the financing and enter into a financing agreement with the State Water Resources Control Board and to finance and construct the proposed facilities. Name of Authorized Representative: Nabil Saba of Authorized Title: Water Resources Manager Date: HOW DID YOU HEAR ABOUT THE C WSRF PROGRAM? ❑ California Financing Coordinating Committee (CFCC) Funding Fair ❑ Colleague ❑ State Water Board Letter ❑ Conference /Trade Show /Workshop (Specify): 0 Consultant O Internet Financial Assistance Application (REV. 032015) ❑ Publication ❑Other (Specify): Page 3 of 3 EXHIBIT 5 55B -23 ❑ Employer /Employee General Information Package CITY OF SANTA ANA SAN LORENZO SEWER LIFT STATION State Revolving Fund General Application Attachments EXHIBIT 5 55B -24 State Revolving hand- General Application Attachment III — I: PROJECT INFORMATION Project Description: San Lorenzo Sewer Lift Station Project will reconstruct existing aging sewer lift station. The project will increase capacity in the sewer collection system and incorporate more energy efficient electrical components, pumps and motors. The project reduces long term safety and traffic impacts by relocating the station from its existing location (in Bristol Street, a major arterial) to a nearby off street location. Page 2 of 12 EXHIBIT 5 55B -25 �. State Revolving pond - General Application ��nn � ' `+:r";,. Regional Location and Site Layout Regional Location Page 3 of 12 EXHIBIT 5 55B -26 Site Layout a 9 r State Revolving Fund- General Application" 55B -27 ip Page 4 of 12 F LL r EEE fl \.14• _ � �� i s� x\ o E pek t �9 °i pk`p`d q P 19y @yp6gg tl Wplg3g pDpUg fgg1 DD90gQg t �� tt�IVFF ,Yb� ki b f is A ei 3i5 IXY l^�dp•p t��g�8 litd 9 � t 2 ( n 4,P§ 8? i R' e i 4sai a� E6 g S 55B -27 ip Page 4 of 12 State Revolving Fund - General Application (D },,' Section VI. SUSTAINABILITY Attachment G1: Since Santa Ana is a predominantly built -out city, it will become chaIlengingto find areas that can accommodate new housing or other developments for future residents. The projections associated with the Land Use Element reflect that the City's population may decrease slightly in the near term but will increase overtime. As housing demand increases and available land becomes more limited, it is anticipated that there will be an increasing trend toward higher- density residential development. The information below is excerpted from the City's General Plan. REDEVELOPMENT PLANS Prior to the elimination of Redevelopment Agencies in California in 2011, an estimated 5,185 acres (8.1 square miles) of land in Santa Ana was included in one Merged Project Area. Prior to August 2004, the Project Area was divided into six separate redevelopment project areas as described below. Of this total, 9 percent (464 acres) is in residential use, 32 percent (1,678 acres) commercial, 40 percent (2,075 acres) industrial, with other uses accounting for the remaining 19 percent (968 acres). The following six redevelopment plans have been adopted. • Santa Ana Redevelopment Plan. This plan, which encompassed 694 acres, was adopted in 1973 to revitalize the downtown area, improve traffic circulation, reestablish business, and stimulate private investment. • North Harbor Boulevard Redevelopment Plan. Adopted in 1.982, the Plan covered 470 acres along Harbor Boulevard. The Plan for this area was adopted to define future development, and create design standards for new development in the area. • Inner -City Commuter Station Redevelopment Plan. This plan, also adopted in 1982, focused in approximately 525 acres designed to provide for the development of a commuter rail station and to promote supporting uses. • South Main Street Redevelopment Plan. Adopted in 1982, the plan applied to 1,500 acres in one of the primary commercial and industrial districts of the City. • South Harbor Boulevard /Fairview Street Redevelopment Plan. Adopted in 1982, this 1,085 acre plan covered a key industrial area in the vicinity of Harbor Boulevard and Fairview Street. • Bristol Corridor Redevelopment Plan. Adopted in 1989, the plan promoted the redevelopment of a 781 -acre area along the Bristol Street corridor of the City. The locations of the previously existing redevelopment project areas are shown in the map below. Page 5 of 12 EXHIBIT 5 55B -28 State Revolving Fund - Cenral Application = —_ Merge Redevelopment Plan Downtown Soalh Main North Harbor © Saath Harbor Wn r iy ® Bristol o ae 1.2 Page 6 of 12 EXHIBIT 6 55B -29 State Revolving Fund - General Application (a General Plan Land Use Land Use Designations LF, 7 (Lan DOOS,ty HBtitOapliHO MR - 15 1 • L:.. UN(k)"'Ne'O : - MM MD(IhOuOiaq EXHIBIT 5 55B-30 Me LlnttUtionall Pro ..... .. Page 7 of 12 State Revolving Fund - General Application Attachment G2: The City of Santa Ana Public Works Agency maintains a Capital Improvement Program and an Asset Management System for the Sewer Distribution System. The latest Rate Studies, conducted by Black & Veatch, were approved by City Council on February 17, 2015. The City of Santa Ana Asset Management System was used as one of the resources in developmentof the new approved rates. The 2015/2016 approved Capital Improvement Plan further reflects the improvements recommended in this rate study. Below are links to supporting documents. • FY 15 -16 Capital Improvement Program LgPI • FY 14 -15 Water and Sewer Rate Studies • Request for Council Action and Resolution 2015 -010, and Council Minutes (Item 75A) • Draft Climate Action Plan (p 58, water pump retrofits save electricity and reduce GHG emissions) Page 8 of 12 EXHIBIT 5 55B -31 State Revolving Fund- General Application Attachment G3: City of Santa Ana and its residents value the many neighborhood parks. As a fully developed City, its residents use the parks and the zoo on regular basis and City's Parks and Recreation Department continues to hold various events all year round. As such it is very important for the City to maintain its infrastructure and to protect its assets such as its open spaces. City of Santa Ana maintains 35 parks, including the Santa Ana Zoo since 1952, each illustrated below. Open Space Plan R i« sd,00ls Olhe, (Golf Cowsrs, Cernelel ies, elc„ 0.6 12W— Page 9 of 12 4ANNkIV 55B -32 State Revolving Fnnd - General Application R�rgt ys fsd� Attachment G4: This project Is not cited in any of the regional environmental management plans. Page 10 of 12 EXHIBIT 5 55B -33 State Revolving Fund - General Application (D'N' Attachment G5: (Reasons for expected energy savings) .San Lorenzo Sewer Lift Station + Will reduce energy consumption for cleanup of Sanitary Sewer Overflow incidents; will incorporate more efficient pumps to reduce peak energy demand, increase peak output, and enable consistently lower energy consumption. Page 11 of 12 EXHIBIT 5 55B -34 State Revolving Fund - General Application Attachment G6: (Reasons for reduced operating costs) San Lorenzo Sewer lift Station Will reduce risk of Sanitary Sewer Overflow and associated penalties and cleanup costs; will incorporate more efficient pumps and management systems to reduce pumping cost. Page 12 of 12 *M11 31111V 55B -35 55B -36 STATE OF CALIFORNIA STATE WATER RESOURCES CONTROL BOARD Division of Financial Assistance P. O. Box 944212, Sacramento, CA 942442120 FINANCIAL ASSISTANCE APPLICATION Clean Water State Revolving Fund Water Recycling Funding Program GENERAL INFORMATION PACKAGE I. TYPE OF ASSISTANCE REQUESTED Amount of Assistance Re uested: $ 9,500,000.00 Proposed Security: ® Wastewater revenues and fund OWater revenues and fund ❑Other: Project Type(s): ZJ Wastewater OWaterRegcling O Estuary ❑ Nor point Source II. APPLICANT INFORMATION _ Applicant Name: City of Santa Ana Street Address: 20 Civic Center Plaza Clt : Santa Ana State: CA Zi +4 Code: 92702 -4058 A_ lisp anti e: ✓ Public [I Indian _Tribe ❑Nonprofit ❑Other: Specify_ Charter City /County: Ev] Yes ❑ No Mailing Address: 220 S Daisy St City: Santa Ana State: CA Zi +4 Code: 92703 -4334 Con ressional District(s): 46 47, 48 State Senate District(s): 33, 34 _ State Assembly District(s): 69 Count : Oran e Federal Tax ID No.: 95- 6000785 Data Universal Numbering System (DUNS) No.: 08- 315 -3247 Regional Water Board where the project will take place: ❑ 1 (North Coast) ❑ 2 (San Francisco Bay) ❑ 3 (Central Coast) ❑ 4 (Los Angeles) ❑ 5 (Central Valley) ❑ 6 (Lahontan) El 7 (Colorado River) ❑8 (Santa Ana) ❑ 9 (San Diego) Authorized Re resentative Name, Title: Nabil Saba, Water Resources Manager Phone No.: 714 647 -3378 Email Address: nsaba santa- ana.or ____ Contact Person Name: Rodolfo Roses Phone No.: ( 714 ) 647 -3379 __ Email Address: rrosas @ santa- ana.org Local Counsel Name: Sonia Carvalho Phone No.: 714 647 -5203 _ Email Address: sarvalho @santa - ana.org III. PROJECT INFORMATION AND PROPOSED SCHEDULES Project Description: (Enter a brief description of the project) Replace existing deteriorated and over capacity sewer mains and related sewer assets such as manholes and laterals; and, Incorporate trenchless technologies, such as pipe lining, where appropriate to extend the service life of existing sewer collection pipelines in a low impact manner. Project will eliminate undersized sewer mains, remedy sewer main failures, reduce Inflow and infiltration, reduce sewer maintenance and prevent sewer spills. Project will be completed in 6 sequential geographical phases. Project Title: Sewer Collection System Improvements NPDES Permit or WDR Order No. if applicable): WDR Order No. 2006- 0003 -DWQ, WDID 8SS010602 Current Year Estimated Population Served: 335,264 (CA DOF E -1 2015) State Use Only Yv` CWSRF Project # Project Manager Date Received Financial Assistance Application Page 1 of 3 General Information Package (Rev. 03/2015) EXHIBIT 6 55B -37 Financial Assistance Application Page 2 of 3 General Information Package (REV. 032015) EXHIBIT 6 55B -38 Estimated or Actual Date Estimated Project Schedule: Complete Construction Application 1) General Information Package 05/2016 2) Technical Package 07/2016 3) Environmental Package 06/2016 4) Financial Security Package 08/2016 Complete Project Plans and Specifications 2016,17,18,19,20,21 Advertise Bids + 3 mo Issue Notice to Proceed + 3 mo Complete Construction + 1 yr Consultation with Other Agencies Please list other Federal and State agencies that have been involved in this project (e.g. planning, CEQA/NEPA consultation, funding, etc.), their contact information if known, and estimated dates for resolution of any issues. Partnering Agencies Please list all other agencies that have an interest in this project. Provide contact information if known, San Diego Regional Water Quality Control Board (all phases) 2375 Northside Drive, Suite 100 San Diego, CA 92108 -2700 (619) 516 -1994 IV, ESTIMATED PROJECT CAPITAL COSTS AND FUNDING SUMMARY Cost Classification Total Project Costs Other Funding Requested Financing A. Facilities Planning (a) $ $ $ B. Facilities Design (a) $ 665,000.00 $ $ 665,000.00 C. Construction Management (a) $ 1,000,000.00 $ $ 1,000,000.00 D. Value Engineering (a) $ 200,000.00 $ $ 2,000,000.00 E. Administration (a) $ $ $ F. Facilities Construction Total $ 6.635 000.00 $ $ 6.635.000.00 G. Contingency $ 1.000.000.00 $ $ 1.000.000.00 H. Pre - Purchase Material /Equipment $ $ $ '.. 1. Land and Right -of -Way $ $ e $ J. Other Costs $ $ $'.. Explain: '.. K. Total Project Costs $ 9.500.000.00 $ 0.00 $ , 9.500.000.00 '.. (a) Soft costs may be provided forplanning, design, value engineering, construction management, and administration costs. Portion of the Total Project Costs that will serve existing facilities and /or existing communities $ 9,500,000.00 Portion of the Total Project Costs that will serve new development $ 0.00 Financial Assistance Application Page 2 of 3 General Information Package (REV. 032015) EXHIBIT 6 55B -38 If the Division were to set up a technical sponsorship program, would you be interested in providing in -kind technical assistance to another CWSRF applicant in exchange for special financing? Note that checking "Yes" in no way obligates you to participate in this potential program or guarantees that this incentive will be available or offered. 0 Yes ❑ No If Yes, please indicate the areas where you would be willing to provide assistance: ❑ Assistance in completing a funding application ❑ Assistance in writing a facilities plan /project report ❑� Assistance in developing a Capital Improvement Plan 21 Assistance in conducting a water or energy audit ❑ Assistance in building Operations & Maintenance capacity ❑ Other: Specify VI. SUSTAINABILITY A project that supports or incorporates one or more of the following sustainability goals receives . one priority point for each area addressed. Label the requested documents as Attachment G1, G2, G3, etc. The project supports infill development or results in the reuse or redevelopment of land in an area presently served by transit, streets, water, sewer and other essential services. G1 — Provide a map highlighting the infill or redevelopment areas. The applicant maintains a Capital Improvement Plan, an Asset Management Plan, or has performed a full -cost pricing analysis, or the project incorporates climate change adaption. G2 — Provide copies or links to these plan or analysis. The project protects environmental or agricultural resources such as farm, range and forest lends; wetlands and wildlife habitats; recreational lands such as parks, trails, and greenbelts; or landscapes with locally unique features or areas identified by the state as deserving special protection. G3 — Provide a map highlighting the areas that will be protected. ElThe project is cited in one or more regional environmental management plans. v G4 — Provide copies or links to these plans. The project incorporates wastewater or storm watedurban runoff recycling, water conservation, energy conservation, low impact development, or reduced use of other vital resources. G5 — Explain the reason for the energy savings and the expected energy savings. The project uses low- impact treatment for lower lifecycle operating costs through reduced energy, chemical, or other inputs. G6 — Explain the reason(s) for the reduced operating costs. To the best of my knowledge and belief, I certify that I am authorized to submit this application; the information provided in this application is true and correct; the documentation has been duly authorized by the governing body of the applicant; and the entity possesses the legal authority to apply for the financing and enter into a financing agreement with the State Water Resources Control Board and to finance and construct the proposed facilities. Name of Authorized Representative: Nabil Saba Signature of Authorized Title: Water Resources Manager Date: HOW DID YOU HEAR ABOUT THE CWSRF PROGRAM? ❑ California Financing Coordinating Committee (CFCC) Funding Fair ❑ Colleague ❑ State Water Board Letter ❑ Conference/Trade Show /Workshop (Specify): ❑ Employer /Employee 21 Consultant ❑ Internet ❑ Publication ❑Other (Specify): __ Financial Assistance Application Page 3 of 3 General Information Package (REV. 032015) EXHIBIT 6 J CITY OF SANTA ANA SEWER COLLECTION SYSTEM IMPROVEMENTS State Revolving Fund General Application Attachments EXHIBIT 6 55B -40 State Revolving Fond - General Application , a Attachment III — I: PROJECT INFORMATION Project Description: Sewer Collection System Improvements Project will replace existing deteriorated and over capacity sewer mains and related sewer assets such as manholes and laterals. The project will also incorporate trenchless technologies such as pipe lining where appropriate to extend the service life of existing sewer collection pipelines in a low impact manner. Project will eliminate undersized sewer mains, remedy sewer main failures, reduce inflow and infiltration, reduce sewer maintenance and prevent sewer spills. Projects will be phased as follows: • Phase 1 -$1.9M • Willard Neighborhood • Columbine Avenue • Phase 2 -$1.7M • Heninger Park Neighborhood • Eastside Neighborhood • Phase 3 -$1.8M • Downtown Neighborhood • French Park Neighborhood • Phase 4 -$1.5M o Wilshire Square Neighborhood • Phase 5 -$1.5M • Floral Park Neighborhood • West Floral Park Neighborhood • Phase 6 -$1.1M o Artesia Filar Neighborhood EXHIBIT 6 55B -41 Page 2 of 11 State Revolving Fund -General Application Regional Location and Site Layout Regional Location Page 3 of 11 EXHIBIT 6 55B -42 State Revolving Fund - Ceueral Application CD; Section VI. SUSTAINABILITY Attachment G1: Since Santa Ana is a predominantly built -out city, it will become challenging to find areas that can accommodate new housing or other developments for future residents. The projections associated with the Land Use Element reflectthatthe City's population may decrease slightly in the near term but will increase overtime. As housing demand increases and available land becomes more limited, it is anticipated that there will bean increasing trend toward higher- density residential development. The Information below Is excerpted from the City's General Plan, REDEVELOPMENT PLANS Prior to the elimination of Redevelopment Agencies in California in 2011, an estimated 5,185 acres (8.1 square miles) of land in Santa Ana was Included In one Merged Project Area. Prior to August 2004, the Project Area was divided into six separate redevelopment project areas as described below. Of this total, 9 percent (464 acres) is in residential use, 32 percent (1,678 acres) commercial, 40 percent (2,075 acres) industrial, with other uses accounting for the remaining 19 percent (968 acres), The following six redevelopment plans have been adopted. • Santa Ana Redevelopment Plan. This plan, which encompassed 694 acres, was adopted in 1973 to revitalize the downtown area, Improve traffic circulation, reestablish business, and stimulate private investment. • North Harbor Boulevard Redevelopment Plan. Adopted in 1982, the Plan covered 470 acres along Harbor Boulevard. The Plan for this area was adopted to define future development, and create design standards for new development in the area. • Inner -City Commuter Station Redevelopment Plan. This plan, also adopted in 1982, focused in approximately 525 acres designed to provide for the development of a commuter rail station and to promote supporting uses. • South Main Street Redevelopment Plan, Adopted in 1982, the plan applied to 1,500 acres in one of the primary commercial and industrial districts of the City. • South Harbor Boulevard /Fairview Street Redevelopment Plan. Adopted in 1982, this 1,085 acre plan covered a key Industrial area in the vicinity of Harbor Boulevard and Fairview Street. • Bristol Corridor Redevelopment Plan. Adopted In 1989, the plan promoted the redevelopment of a 781 -acre area along the Bristol Street corridor of the City. The locations of the previously existing redevelopment project areas are shown in the map below. Page 4 of 11 EXHIBIT 6 55B -43 -e, State Revolving Fund - Cencral Application A 016 11 L OD, Merge Redevelopment Plan Uowrdnwn Nodh Harbor OJnW,aty 01 12 W" aristol -, Page 5 of 11 M4 Mail A k 55B-44 State Revolving Fund - General Application - - General Plan Land Use Land Use Designations ik -TILOW Gan4tV Ru,,Je IL ' MP 11 (LoAOAed .n ??nsity Res6an(ir1? I i MR -15 (M&Olam Li I. I. F�a"51d?ntlpl) _^ O pN(Mm o „5f { j5af�21l.Nal ... 'WW D tlm9ustriaV EXHIBIT 6 55B -45 INS (IOSt ul'oaal) OS (Oven Space) DC (OIa1ncr COM.Yl PR�) (PYOf&5510nal & A."mSnt,on Offioe) OBPDC (One BIcatlVay Plaza DI"'! Gtr ) Page 6 of 11 State Revolving Fund - General Application � — Attachment G2: The City of Santa Ana Public Works Agency maintains a Capital Improvement Program and an Asset Management System for the Sewer Distribution System. The latest Rate Studies, conducted by Black & Veatch, were approved by City Council on February 17, 2015. The City of Santa Ana Asset Management System was used as one of the resources in development of the new approved rates. The 2015/2016 approved Capital Improvement Plan further reflects the improvements recommended in this rate study. Below are links to supporting documents. • FY 15 -16 Capital Improvement Program (CIP) • FY 14 -15 Water and Sewer Rate Studies • Request for Council Action and Resolution 2015 -010, and Council Minutes Iltem 75A) • Draft Climate Action Plan (p 58, water pump retrofits save electricity and reduce GHG emissions) Page 7 of 11 EXHIBIT 6 55B -46 State Revolving Fund - General Application Q Attachment G3: City of Santa Ana and its residents value the many neighborhood parks. As a fully developed City, its residents use the parks and the zoo on regular basis and City's Parks and Recreation Department continues to hold various events all year round. As such it Is very important for the City to maintain its infrastructure and to protect Its assets such as its open spaces City of Santa Ana maintains 35 parks, including the Santa Ana Zoo since 1952, each illustrated below. Open Snace Plan Fudw Schools ♦✓ 011w (Golf Coors., Corne[eries, o,.J D U.4 1.2 "Id. Page 8 of 11 EXHIBIT 6 55B -47 x , , State Revolving Fund - General Application J Attachment G4: This project is not cited in any of the regional environmental management plans. Page 9 of 11 .wn CWdrl 55B -48 State Revolving Fund - Cenral Application„ <<3.' '�t Attachment G5: (Reason(s) for expected energy savings) Sewer Collection System Improvements Will minimize vehicle idling and congestion from major repair traffic disruption; will leave more resources available for efficiency- oriented expenditures and investments. Page 10 of 11 MOURI 55B -49 State Revolving Fund - General ApplicationI ^a Attachment G6: (Reasons for reduced operating costs) Sewer Collection System Improvements • Will extend serviceable life of existing assets and replace end -of -life assets with more durable and long - lasting products to minimize friction and blockage, routine and non - routine maintenance, and cost and effort of reconstruction, further reducingvehicle idling and congestion from major repairtraffic disruption and leaving more resources available for efficiency- oriented expenditures and investments. Page 11 of 11 EXHIBIT 6 55B -50 STA TE OF CALIFORNIA STATE WATER RESOURCES CONTROL BOARD Division of Financial Assistance P. O. Box 944212, Sacramento, CA 94244 -2120 GENERAL INFORMATION PACKAGE Financial Assistance Application Page 1 of 6 General Information Package (Rev. 03 12016) Drinking Water State Revolving Fund EXHIBIT 7 5513-51 FOR STATE USE ONLY Project Manager DWSRF Project S Date Complete Package Received 1. TYPE OF ASSISTANCE REQUESTED LGTS State Only) PLANNING I V 1 CONSTRUCTION Estimated Amount of Financial Assistance Requested: $ 13,700,000 Project Title: Automated Meter Infrastructure 11. APPLICANT INFORMATION _ Water System Number: 3010038 Data Universal Numbering System (DUNS) Number: 08- 315 -3247 Applicant (Entity) Name: City of Santa Ana Street Address: 20 Civic Center Plaza Cit ; Santa Ana State: CA Zi +4 Code: 92702 -4058 Mailinq Address: 220 S Daisy St City: Santa Ana State: CA Zi +4 Code: 92703 -4334 Congressional District(s): 46, 47, 48 State Senate District(s): 3a34 _ State Assembly District(s): 69 County: Orange _ Federal Tax Identification Number: 95- 6000785 Authorised Representative Name, Title: Nabil (MANDATORY) v� Saba Water Resources Manager Phone Number: 714 647 -3378 Email Address: nsaba Santa- ana.or (MANDATORY) Primary Contact Person Name: Rodolfo Rosas Phone Number: ( 714 647 -3379 Email Address: rrosas@santa-ana.org Project Engineer and License Number: (OPTIONAL) Phone Number: Email Address: Environmental Contact Person Name: (OPTIONAL) Phone Number: Email Address: Local Counsel Name: Sonia Carvalho (MANDATORY) Phone Number: 7-5203 Email Address: scarvalho Santa- ana.or Davis -Bacon Contact Person Name: Jason (MANDATORY) Gabriel Phone Number: 714 )647 -5664 _ Email Address: iaabriel (anta- ana.or9 _ Financial Assistance Application Page 1 of 6 General Information Package (Rev. 03 12016) Drinking Water State Revolving Fund EXHIBIT 7 5513-51 Financial Assistance Application Page 2 of 6 General Information Package (REV. 0312016) Drinking Water State Revolving Fund EXHIBIT 7 55B -52 LGTS III. PROJECT INFORMATION AND PROPOSED SCHEDULES All fields mandatory) State om Project Description: (Enter a brief description of the project) Replace all 48,000 + / -, existing "dummy' meters in the system with new smart meters. Install requisite meter communications network, leak detection systems, billing system interfacing, third party data hosting and customer portals. Water Svsfem Permit Number 3010038 Current ear estimated o ulation served b the waters stem: 335,264 (CA DOF E -1 2015) Briefly describe how the population was determined: Value taken from CA Department of Finance population estimate (Table E -1, 2015). Improvements affect all system users. No estimate available /provided for non - residential accounts. Total population served is greater when non - residential accounts are Included. Current population of the area benefiting from the project: 335,264 (CA DOF E -1 2015) Number of active service connections: 45,023 Briefly describe how the number of service connections was determined: Number of active customer accounts for fiscal year ending 2015. Current number of service connections for the area benefittinq from the project: Estimated Project Schedule: Estimated or Actual Date Complete Planning Application _ 1) General Information Package 05/2016 2) Technical Package 07/2016 3) Environmental Package 06/2016 4) Financial Security Package 08/2016 Financial Assistance Application Page 2 of 6 General Information Package (REV. 0312016) Drinking Water State Revolving Fund EXHIBIT 7 55B -52 Consultation with Other Agencies Please list other Federal and State agencies that have been involved in this project (e.g. planning, CEQA/NEPA consultation, funding, etc.), their contact information if known, and estimated dates for resolution of any issues. Partnering Agencies Please list all other agencies that have an interest in this project. Provide contact information if known. Regional Water Quality Control Board for all phases. San Diego Regional Water Quality Control Board 2375 Northside Drive, Suite 100 San Diego, CA 92108 -2700 (619) 516 -1994 IV. MANAGERIAL INFORMATION ( All fields mandatory) LGTS (State o nly) 1. 26sification of Water System Community ❑ Non- transient non - community Transient non - community Not currently classified as a public water system — Please explain: 2. Indicate the Ownership of the Water System (check all that apply): Public Ownership Private Ownership ✓❑ Municipality ❑ Corporation ❑ County Agency ❑ Limited Liability Company Special District Partnership State Agency Sole Proprietorship School ❑ Non - profit organization Other: ❑ Other: Financial Assistance Application Page 3 of 6 General Information Package (REV. 03/2016) Drinking Water Stale Revolving Fund EXHIBIT 7 55B -53 If the Applicant is a Municipality, is the Applicant a Charter City? ❑✓ Yes ❑ No ❑ N/A Please include the ownership documentation (See instructions for further information) (label as Attachment G1) If the water system is privately- owned, indicate the name and title of the individual with authority to engage the water system in a DWSRF financing agreement. If the water system is a Corporation, Limited Liability Company, or Partnership, complete the following: A. California Secretary of State Entity Number: B. Status with California Secretary of State: ❑ Active ❑ suspended ❑Forfeited ❑Dissolved 3. Does the California Public Utilities Commission (CPUC) regulate your system? ❑ Yes 0 No If yes, attach a list and a description of all matter(s) relating to your water system that are currently pending before the CPUC (label as Attachment G2), 4. List the names, titles and duties of key officers. If there are more than 3, attach an organization chart providing this information (label as Attachment 133). 1. David Cavazos, City Manager: Coordinates and implements public policies as approved by the City Council. 2. Fred Mousavipour, Exec. Dir. of Public Works: Formulates Agency policy and recommends changes and improvements to City Council. Oversees development of departments operating and capital budgets. 3. Nabil Saba, Water Resources Mgr. .. Performs responsible general managerial functions for the City of Santa Ana water system, including planning, organizing, directing, budgeting and intergovernmental liaison. 5. Is there any litigation pending relative to the operation of the water system or the proposed project? ❑ Yes ❑d No If yes, attach a description of the litigation and the potential costs (label as Attachment G4). 6. Is the applicant leasing land or majorwater system facilities? ❑ Yes 0 No If yes, describe the terms of the lease or attach a copy of the lease agreement (label as Attachment G5). (NOTE: If the lease is critical to the location or operation of the proposed project facilities, the term of the lease must be equal to or greater than the loan repayment period.) Financial Assistance Application Page 4 of 6 General Information Package (REV. 0312016) Drinking Water State Revolving Fund EXHIBIT 7 55B -54 7. Please include a general map of the service arealboundaries (label as Attachment G6): 8. [For Construction Projects Only] Does the ap licant have a contract with a private firm or another agency for the operation of the facility to be financed? Yes 0 No If yes, provide the name of the firm or agency and term (in years) of the agreement and attach a copy of the agreement (label as Attachment G7) CERTIFICATION AND SIGNATURE OF AUTHORIZED REPRESENTATIVE To the best of my knowledge and belief, I certify that 1 am authorized to submit this application; the information provided in this application is true and correct; the documentation has been duly authorized by the governing body of the applicant; and the entity possesses the legal authority to apply for the financing and enter into a financing agreement with the State Water Resources Control Board and to finance and construct the proposed facilities. Name of Authorized Representative: Nabil Saba Title: Water Resources Manager Signature of Authorized Representative: Date: ATTACHMENT CHECKLIST Check the box next to each item attached to your application. ❑v. 31 • -. Ownership Documentation ❑ G2— CPUC Documentation (if applicable) ❑ G3— Organization Chart (if applicable) ❑ G4— Pending Litigation (if applicable) ❑ G5 — Lease Agreement (if applicable) ❑ G6 -- Service Area Map ❑ G7— Operating Agreement (if applicable) Financial Assistance Application Page 5 of 6 General Information Package (REV. 03/2016) Drinking Water State Revolving Fund EXHIBIT 7 55B -55 Project created in LGTS? ❑YES Contact information in LGTS reflects current Authorized Representative, Davis- Bacon, Legal and Engineering contacts? ❑YES Legislative Districts entered in LGTS? ❑YES Application documents uploaded into LGTS? ❑YES Spending forecast in LGTS - Spending forecast is set as: ❑Manual ❑Automatic If manual, is it updated? ❑YES ❑N /A Project listed on Comprehensive List? ❑YES (If yes, attach documentation) Project Category: ❑A El ❑C ❑D ❑E ❑F NOTES /COMMENTS (Attach additional sheets as needed): SECTION I SECTION II SECTION III SECTION IV SECTION V Describe median household income determination (Attach checklist if necessary) Project Manager Signature Senior Engineer Signature Date Financial Assistance Application Page 6 of 6 General Information Package (REV. 0312016) Drinking Water State Revolving Fund EXHIBIT 7 55B -56 CITY OF SANTA ANA C • CIE D 1/ INFRASTRUCTURE (AMI) State Revolving Fund General Application Attachments EXHIBIT 7 55B -57 State Revolving Fund -General Application Attachment Gl: OWNERSHIP DOCUMENTATION Santa Ana Municipal Code Sec 39 -20 - Facilities declared property of city cost of repairs. All facilities, including but not limited to water meters, meter boxes, detector checks, and fittings installed by the city, shall remain at all times the property of the city, and where replacements, repairs, or adjustment of any facility are rendered necessary by the act, omission or negligence of the customer or of any person occupying the premises with the consent of the customer, any expense incurred by the city shall be charged against and collected from the customer. If the customer fails to pay such charges, the water may be shut off until such charges are paid. (Code 1952, § 7405; Ord. No. NS -936, § 2, 9- 16 -68) Page 2 of 3 EXHIBIT 7 55B -58 State Revolving Fund - General Application Attachment G6: SERVICE AREA N 11 0.0 0.5 1.0 Mlles Page 3 of 3 WHIN -Ni 55B -59 55B -60 STATE OF CALIFORNIA STATE WATER RESOURCES CONTROL BOARD Division of Financial Assistance P. O. Box 944212, Sacramento, CA 94244 -2120 GENERAL INFORMATION PACKAGE Financial Assistance Application Page 1 of 6 General Information Package (Ray. 0312016) Drinking Water State Revolving Fund EXHIBIT 8 5513-61 FOR STATE USE ONLY Project Manager `DWSRFProject# Date Complete Package Received 1. TYPE OF ASSISTANCE REQUESTED LGTS State Only) PLANNING CONSTRUCTION Estimated Amount of Financial Assistance Requested: $ 10,800,000 Project Title: Water Distribution System Improvements_ 14 APPLICANT INFORMATION Water System Number: 3010038 Data Universal Numbering System (DUNS) Number: 08- 315 -3247 Applicant (Entity) Name: City of Santa Ana Street Address: 20 Civic, Center Plaza City: Santa Ana State: CA Zi +4 Code: 92702-4058 Mailing Address: 220 S Daisy St Santa Ana State: CA _gjty Zi +4 Code: 92703 -4334 Congressional District(s): 46 47 48 State Senate District S : 33 .,34 State Assembly District(s): 69 Count :Oran e Federal Tax Identification Number: 95- 6000785 (MANDATORY) Authorized Re reseirtative Name, Title: Nabil Saba Water Resources Manager_ Phone Number: 714 )647 -3378 Email Address: nsaba(d)santa- ana.org (MANDATORY) Primar Contact Person Name: Rodolfo Rosas Phone Number: 714 647 -3379 _ Email Address: rrosas(rilsanta -ana ora - . (OPTIONAL) Project Engineer and License Number: Phone Number: Email Address: (OPTIONAL) Environmental Contact Person Name: Phone Number: ( ) Email Address: _ (MANDATORY) Local Counsel Name: Sonia Carvalho Phone Number: (714 )647-5203 Email Address: scarvalho Santa- ana.or (MANDATORY) Davis -Bacon Contact Person Name: Jason Gabriel Phone Number: 714 647 -5664 Email Address: ' abriei cr)santa- ana.or Financial Assistance Application Page 1 of 6 General Information Package (Ray. 0312016) Drinking Water State Revolving Fund EXHIBIT 8 5513-61 III. PROJECT INFORMATION AND PROPOSED SCHEDULES All fields mandato LGTS State on/ Project Description: (Enter a brief description of the project) Replace existing aging cast iron water mains which have exceeded their expected life and are prone to leaks and water main breaks with new polyvinyl chloride pipelines to ensure system reliability and protect water quality, improve system operations and energy efficiency through reduced system head losses and main failures, and increase system capacity and promote infill development plans. • Phase 1 - $1.8M - West Grove Valley Neighborhood (shovel ready) • Phase 2 - $1.8M - Riverview Neighborhood • Phase 3 - $1.8M - Thornton Park Neighborhood • Phase 4 - $1.8M - Park Santiago Neighborhood • Phase 5 - $1.8M - Valley Adams Neighborhood • Phase 6 - $1.8M - Laurelhurst Neighborhood Water System Permit Number: 3010038 Current year estimated population served by the water system: 335,264 (CA DOF E -1 2015) Briefly describe how the population was determined: Value taken from CA Department of Finance population estimate (Table E -1, 2015). Improvements affect all system users. No estimate available /provided for non - residential accounts. Total population served is greater when non - residential accounts are included. Current population of the area benefittino from the project: 335,264 (CA DOF E -1 2015) Number of active service connections: 45,023 Briefly describe how the number of service connections was determined: Number of active customer accounts for fiscal year ending 2015. Current number of service connections for the area benefitting from the project Estimated Project Schedule: Estimated or Actual Date Complete Planning Application 1) General Information Package 05/2016 2) Technical Package 07/2016 3) Environmental Package 06/2016 '.. 4) Financial Security Package 08/2016 Financial Assistance Application Page 2 of 6 General Information Package (REV, 03 /2016) Drinking Water Slate RevoMng Fund EXHIBIT 8 55B -62 Consultation with Other Agencies Please list other Federal and State agencies that have been involved in this project (e.g. planning, CEQA/NEPA consultation, funding, etc.), their contact information if known, and estimated dates for resolution of any issues. Partnering Agencies Please list all other agencies that have an interest in this project. Provide contact information if known. Regional Water Quality Control Board for all phases. San Diego Regional Water Quality Control Board 2375 Northside Drive, Suite 100 San Diego, CA 92108 -2700 (619) 516 -1994 IV. MANAGERIAL INFORMATION Allfields mandatory) ( rY) t.Grs (state only) 1. assification of Water System ✓ Community ❑ Non - transient non - community HTransient non - community Not currently classified as a public water system — Please explain: 2. Indicate the Ownership of the Water System (check all that apply): Public Ownership Private Ownership ❑✓ Municipality ❑ Corporation County Agency ❑ Limited Liability Company Special District ❑ Partnership State Agency ❑ Sole Proprietorship School ❑ Non - profit organization Other: ❑ Other: Financial Assistance Application Page 3 of 6 General Information Package (REV. 0312018) Drinking Water State Revolving Fund EXHIBIT 8 55B -63 If the Applicant is a Municipality, is the Applicant a Charter City? ❑✓ Yes ❑ No ❑ N/A Please include the ownership documentation (See instructions for further information) (label as Attachment 137) If the water system is privately- owned, indicate the name and title of the individual with authority to engage the water system in a DWSRF financing agreement. If the water system is a Corporation, Limited Liability Company, or Partnership, complete the following: A. California Secretary of State Entity Number: _ B. Status with California Secretary of State: ❑ Active ❑ Suspended []Forfeited ❑Dissolved 3. Does the California Public Utilities Commission (CPUC) regulate your system? ❑ Yes ✓❑ No If yes, attach a list and a description of all matter(s) relating to your water system that are currently pending before the CPUC (label as Attachment G2). 4, List the names, titles and duties of key officers. If there are more than 3, attach an organization chart providing this information (label as Attachment 133). 1. David Cavazos, City Manager: Coordinates and implements public policies as approved by the City Council. 2. Fred Mousavipour, Exec. Dir, of Public Works: Formulates Agency policy and recommends changes and improvements to City Council. Oversees development of department's operating and capital budgets. 3. Nabil Saba, Water Resources Mgr. - Performs responsible general managerial functions for the City of Santa Ana water system, including planning, organizing, directing, budgeting and intergovernmental liaison. 5. Is there any litigation pending relative to the operation of the water system or the proposed project? ❑ Yes [Z] No If yes, attach a description of the litigation and the potential costs (label as Attachment 134). r 6. Is the applicant leasing land or major water system facilities? E] Yes [,/] No If yes, describe the terms of the lease or attach a copy of the lease agreement (label as Attachment (35).ii (NOTE: If the lease is critical to the location or operation of the proposed project facilities, the term of the lease must be equal to or greater than the loan repayment period.) Financial Assistance Application Page 4 of 6 General Information Package (REV. 032076) Drinking Water State Revolving Fund EXHIBIT 8 55B -64 7. Please include a general map of the service area /boundaries (label as Attachment 136): 6. [For Construction Projects Only] Does the ap licant have a contract with a private firm or another agency for the operation of the facility to be financed? E] Yes 0 No If yes, provide the name of the firm or agency and term (in years) of the agreement and attach a copy of the agreement (label as Attachment 137) CERTIFICATION AND SIGNATURE OF AUTHORIZED REPRESENTATIVE To the best of my knowledge and belief, I certify that I am authorized to submit this application; the information provided in this application is true and correct; the documentation has been duly authorized by the governing body of the applicant; and the entity possesses the legal authority to apply for the financing and enter into a financing agreement with the State Water Resources Control Board and to finance and construct the proposed facilities. Name of Authorized Representative: Nabil Saba Title: Water Resources Manager Signature of Authorized Representative: Date: ATTACHMENT CHECKLIST Check the box next to each item attached to your application. ❑✓ G1 — Ownership Documentation ❑ G2 — CPUC Documentation (if applicable) ❑ G3 — Organization Chart (if applicable) ❑ G4— Pending Litigation (if applicable) ❑ G5 — Lease Agreement (if applicable) 121 G6 — Service Area Map ❑ G7— Operating Agreement (if applicable) Financial Assistance Application Page 5 of 5 General Information Package (REV. 03 /2016) Dnnking Water State Revolving Fund EXHIBIT 8 55B -65 Project created in LGTS? ❑YES Contact information in LGTS reflects current Authorized Representative, Davis - Bacon, Legal and Engineering contacts? ❑YES Legislative Districts entered in LGTS? RYES Application documents uploaded into LGTS? ❑YES Spending forecast in LGTS - Spending forecast is set as: ❑Manual ❑Automatic If manual, is it updated? ❑YES Project listed on Comprehensive List? ❑YES (If yes, attach documentation) Project Category: ❑A ❑B ❑C ❑D ❑E OF NOTES /COMMENTS (Attach additional sheets as needed): SECTION i SECTION 11 SECTION III SECTION IV SECTION V Describe median household income determination (Attach checklist if necessary) Project Manager Signature Senior Engineer Signature Date ❑N /A Financial Assistance Application Page 6 of 6 General Information Package (REV. 03/2010) Drinking Water State Revolving Fund EXHIBIT 8 55B -66 CITY OF SANTA ANA 0 WATER DELIVERY SYSTEM IMPROVEMENTS State Revolving Fund General Application Attachments EXHIBIT 8 55B -67 State Revolving Fond • General Application Attachment G1: OWNERSHIP DOCUMENTATION Santa Ana Municipal Code Sec 39 -20. -Facilities declared property of city; cost of repairs. All facilities, including but not limited to water meters, meter boxes, detector checks, and fittings installed by the city, shall remain at all times the property of the city, and where replacements, repairs, or adjustment of any facility are rendered necessary by the act, omission or negligence of the customer or of any person occupying the premises with the consent of the customer, any expense incurred by the city shall be charged against and collected from the customer. If the customer fails to pay such charges, the water may be shut off until such charges are paid. (Code 1952, § 7405; Ord. No. NS -936, § 2, 9- 16 -68) Page 2 of 3 EXHIBIT 8 55B -68 7 State Revolving Fund - General Application � � _ -, .�* Attachment G6: SERVICE AREA �f N �q 0.o® Mlles Page 3 of 3 EXHIBIT 8 55B -69 55B -70