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HomeMy WebLinkAbout FULL PACKET_2017-06-06MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA CALLED TO ORDER ATTENDANCE PUBLIC COMMENTS - None MAY 16, 2017 CLOSED SESSION MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 4:15 P.M. COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor (4:39 P.M.) MICHELE MARTINEZ, Mayor Pro Tem P. DAVID BENAVIDES (4:25 P.M.) VICENTE SARMIENTO JOSE SOLORIO SAL TINAJERO JUAN VILLEGAS COUNCILMEMBERS Absent: None STAFF Present: CYNTHIA J. KURTZ, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council COUNCIL RECESSED to Room 147 for Closed Session discussion at 4:16 p.m. CLOSED SESSION ITEMS The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL -- ANTICIPATED Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9 of the Government Code: One case. CITY COUNCIL MINUTES 1 MAY 16, 2017 10A-1 2. 0 H CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8: Address of Property: Properties Being Acquired for OC Streetcar Project (Maintenance and Storage Facility) 1. 1922 & 2002 W. 5th Street, Santa Ana, CA, APNs 007-100-04 & 007-100-05, Owner: Valdivia Family Trust 2. 2020 W. 5th Street, Santa Ana, CA, APN 007-110-17, Owner: Salvador Navarro Negotiators: Interim City Manager Terms: Conditions of potential sale 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) Service Employees' International Union (SEIU) Full -Time Employees PUBLIC EMPLOYEE — PERFORMANCE EVALUATION pursuant to Section 54957(b)(1) of the Government Code: Title: Interim City Manager CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:15 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 2 MAY 16, 2017 1OA-2 CALLED TO ORDER ATTENDANCE PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS REGULAR OPEN MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:17 P.M. COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor MICHELE MARTINEZ, Mayor Pro Tem P. DAVID BENAVIDES VICENTE SARMIENTO JOSE SOLORIO SAL TINAJERO JUAN VILLEGAS COUNCILMEMBERS Absent: None STAFF Present: CYNTHIA KURTZ, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council ALBERTO CRUZ, MIDDLE COLLEGE HIGH SCHOOL KEVIN COLEMAN PROCLAMATION and CERTIFICATES OF RECOGNITION presented by MAYOR PULIDO to the committee members and the homes that were showcased at the 2017 Floral Park Home and Garden Tour. CERTIFICATE OF RECOGNITION presented by MAYOR PULIDO to Santa Ana resident Jose Madera for winning the men's race at the 13th Annual Orange County Marathon. PROCLAMATION presented by MAYOR PRO TEM MARTINEZ recognizing National Water Safety Month. CITY COUNCIL MINUTES 3 MAY 16, 2017 10A-3 CERTIFICATE OF RECOGNITION presented by MAYOR PRO TEM MARTINEZ recognizing Joseph + James Men's Outfitter for establishing a new business in Santa Ana. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO to the Sensei Fumio Demura for his outstanding impact on youth in the community. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO to Charles Jordan and Don Webb, leaders of the Fairhaven Neighborhood Association for their outstanding contributions to the community. AGENDA ITEMS CONSIDERED OUT OF ORDER - WORK STUDY SESSION WS -1. PROPOSED FISCAL YEAR 2017-18 CITY BUDGET - Finance and Management Services Presentation by Finance and Management Services Executive Director Francisco Gutierrez • Budget Overview • FY 17-18 General Fund Proposed Budget • FY 17-18 Citywide Proposed Budget -FY 17-18 Capital Improvement Program • Budget Schedule and Next Steps - Challenges to Maintaining Fiscal Health Over the last several years, the City has been able to provide balanced budgets with ongoing revenues matching operating expenditures, and achieved its long term goal of meeting its operating reserves of 20% in the General Fund However, the City faces ongoing and new challenges: - Recent announcement on December 21, 2016 that PERS will reduce the discount rate from 7.5% to 7.0% over the next three years starting in FY 18-19 -Termination of the ICE contract ($11 M) - Reduction of the Water Transfer ($2.4M) -Graffiti Abatement Program ($1.2M) CITY COUNCIL MINUTES 4 MAY 16, 2017 10A-4 FY 17-18 Proposed General Fund Budget Baseline Elements • FY 2017-18 Prelminary GF Revenue; S226.1M: • Recognizes full budget loss of ICE contract: (S11M) • Includes reduction of the Water Transfer Revenue: ($2.4M) • Includes increase to top 6 revenue sources: $6.4M • Recognizesthe operations of additional Medical Marijuana Dispensaries 41.0M • Completion of Citywide Fee Study In the 41" Quarter of FY 17-183100K - FY 17-18 Proposed General Fund Budget Baseline Elements FY 2017.18 Preliminary GF Expenditure; $240.51101: • Assumes no labor negotiated increases • Reflects PERS increase of S4.8M (budifelxg to aqua) I ers- PO Safety 43.106% 6Mb Iianeous. 31106%1 • Includes increase to Health Insurance: $1.3M • Contains increase of OCFA & Ambulatory Cost: $1.3M $39.4M for OCFA Fire Services; CARE Ambulance S3.31W (expires Sept. 2017) • Incorporates Graffiti Abatement Program funding in the General Fund: $1.2M • Includes allocation for 3rd COPS Grant: MOM FY 17-18 Proposed General Fund Budget ' Baseline Elements FY 2017-18 PreliminaryGF Expenditure; $240.51,11: • Includes funding for the City's annual share of Animal Shelter construction costs: $750K • Includes increase to Workers Compensation Rates: $750K • Recognizes Financing of the 80OMHz Final Phase Backbone:$200K • Continues current attrition value CITY COUNCIL MINUTES 5 MAY 16, 2017 10A-5 Proposed FY 2017 -2018 General Fund 11 Appropriations S 240,471,480 6sa . i 49.7% seas i «w IT Funding General Fund: $2.6M Non -General Fund: 6.5M eses Total: $9.1M L8.3% tawsww n1 5•3%u 4.2% 3.8% 2.6% 2.3% 1.6% L.3% awc ISSISSIS �. rw. w 11rrYe or wre te,wr .raw.. sr.. ns..r. ..� 4.� e•.ar vrn ewlau s.as. ® •aa,rwcp owa.nt wuuryuona,wu.r.r—..w.mmA.um o�w cou,a oauwub 1.wse.twlarwuos.lr+ 9 General Fund Forecast FY 2016-17 to FY 2018-19 Me. CRs ue +EXPWKlsrse 1260_. . II60.6 1250 $240 210.0 (E19.5M) $ew 22e.6 ($14.4M 231.0 $?IDI _226.1 $210 M.3 $200 _.-.._.._ - $1% Sim _. _ 16117 17119 18119 cummv� sr 6uY9r JAIL COST i STRUCTURE CITY COUNCIL MINUTES 6 MAY 16, 2017 10A-6 TYPE II JAIL FACILITY (Currant Structure) TEMPORARY NOIDINGFAOLITY STAFFING 81 FULL TIME 1 PART-TIME 54 FULL-TIME 1 PART-TIME COST OF OPERATIONS 15,840,584 7,96S,363 REVENUE 4,862,666 50,000 CITY COUNCIL MINUTES 6 MAY 16, 2017 10A-6 ONE-TIME MONIES (FY 15.16 Ending Operating Balance- $9.1 M) POTEWIAL PROGRAM FUHM Allil IYAYI Conor coca Cooks dCourt, Mml 3Mhr 3250000 NO MIz Ps M. -P Case My Wall Six= bwal Fund Sp aROP". 66nvwe lw.ew-n.Mw.aus; $2,368082 DAAb{enr@rnG*rrVFwM 31,2WA00 CYFhm.lix, wip'"615rpoew Sky $731AN BO0M1iAMJMDCalb IF,174$) $1.261062 subtotal "Al 1p Slee Rrk 31,1200(Y Re DsLNrorrwWon Uwbwrled 51500,300 For consideration - Option A 32170.010 17ll0 Rb45drobodw9 %am, MerLeMon 6E+Ma.-e? 32170.000 For Considermon - Option D GRMD TOTAL'. 39.100 000 ONE-TIME MONIES IYAYI - (Project closeouts & Program Savings - IYIMtle�wrauM Assigned Programs: $4.6M) Saw Assigned Programs as of lune 30, 2016 (GENERAL FUNDI 33M 0 IMey M�Ia�,ATn IOM 15M {MYI�Y 0 w,eW mtl...e,s.w.l y Lm.A..,anw.Loma. ,s.m.. 09M nnwlrsuYlw rl.M swam amro„Mr A�.wsn.x., sm.ano u Aevne-.I,o-:v, l vn Imo,uoo uo,m�,„,i aoo.ono lDM 4iMor�l G. ie. [IfuIM {aY{nN 0.o{rami as of b/]0/]016 6,OSO,WO City Council Approved Fund Balance Items (GENERAL FUNDI Op3>)mrr¢M Vsa,m01 M^MFrW 4�YIW{ r _ frlYed nwlJ3at ■ wwNFUYlN{Ywu I.IFAW ewl![0ap IYAYI Ilf9A1 IYIMtle�wrauM 3lDM Saw wweetnY 33M 0 IMey M�Ia�,ATn IOM 15M {MYI�Y 0 i1M y 0� 09M L«. J awftll.... usMl IsaMl AwebN ra Ywiu. W 1bN um or.l �r w�l d lDM LAItl dP. MlmOunA�r O.1M eum Ad.l. J~ey RAW 1. IaAYOpwmA MonM3 93M ♦AM lwmrxrUwnMrtv 0 JAM I.,. Y M. `embedded b base budget CITY COUNCIL MINUTES 7 MAY 16, 2017 10A-7 ONE-TIME MONIES Fy2019 16 Wiq Op.atln{BRluxa v.. Assi{ned Balances 4610 A—I.N. $13 JM OBE OF ON6TME MOW E8: N 2017-18 (9.3M) FY 2018-19 (1.010) R.—n., Balance so T FY 2017-18 IDwnFIED UNFUNDED PFUORITIES I nformaux Technology Economic DeveloMent Code Enforcement Enterprise Program Rev" Labor Negodabons Pension Stablity PnA Costof the SEW lob Classrhczmn Study Deferred Maintenance LubdM Premium Increases General Plan Brandmg Study South Main Corridor Legal Defense Fund Park Ranger Program Additional Plan Check & Inspection Swvees for Devebpmem Capital Improvement in Packs Enhanced Neighborhood Parking Program Staffing & Enforcement (CostNeutrap 1s 16 FISCAL POLICY PROPOSED CONSIDERATIONS Revise Operating Reserve level to range from 16.67% (GFOA recommended level) to 20% Include language that allows reserves to be used once a fiscal crisis is declared with a two year limitation No change to Economic Uncertainty Use of one-time monies should only be used for one fiscal year with the second year requin council approval 17 CITY COUNCIL MINUTES 8 MAY 16, 2017 10A-8 FY 17-18 Citywide Proposed Budget FY 17-18 Proposed Non -General Fund Budget Appropriations: $283,058,604M $ro sp 20.3% usx Sao ® II 16.7% Uj $z 9.2% ss0 I I I I 1 6.9% 4.9x sm s - %V.(. C."I F.W. Ga- Hw6v Sp S..r Gf Rm CDSG&G Enm dw Enm d. Awm . R.. AWGmnm f�nm fV1Q< 19 Proposed Workforce Changes 'Total City Positions: 1144 Additions/Deletions General Fund — net reduction of 6 positions Non-GF—net addition of 10 positions Reallocations General Fund Reallocation -4 Positions, $35K Non -GF Reallocation -6 Positions, $14K 4t CITY COUNCIL MINUTES 9 MAY 16, 2017 10A-9 FY 17-18 Proposed - Miscellaneous Fees Schedule New, Modified, and Deleted Fees The fees are adjusted annually to reflect the change in the Consumers Price Index (CPl) — 3.36% (Los Angeles-Riverside-0range County: Dec. 2016) • Includes 10 new fees • PBA (2) - Conceptual "First Look," & Site Plan Review fees • PWA (6) — Backflow Device Testing & Final Notice Fees; Fire Flow Test Fees; Water Service Application Fee & Construction Meter Rental • Library Materials — 2 Fees • 7 modified fees • Landscape Plan Review (PBA) — 3 fees • Police Security Services & Cost Recovery— 4 fees 3 fees to be deleted (Police, Library, and Finance) — 21 FY 17-18 Capital Improvement Program (CIP) n CITY OF SANTA ANA flMal FY 2017/ 2018 CAPITAL IMPROVEMENT PROGRAM EnAan:bT.en•, `J Park bi& Sa¢a Ana Stadium StmctaraI lrn r .merit 22 no CITY COUNCIL MINUTES 10 MAY 16, 2017 10A-10 17Me CAFlTK owoovuiw 111""'M 111 (� Stmt S579,750 Improv�m�rns f]0.5J0.378 f1 1 D�I � I Ck7 Faeilby fWltun9 Ynprovwn�rm 311,117,00] f0,700,f16 ■ Street Improvements uTraffic Improvements ■Utility /Drainage/ Lighting Improvements 24 Budget Schedule and Next Steps 25 FY 17-18 Budget/CiP Calendar—Next Steps June 6, 2017 - First Reading: Financial and BudgetPolicies - Tentative Budget/CIP Ordinance Adoption - Miscellaneous Fees - Personnel Resolution June20,2017 Second Reading: Final Budget)CIP Ordinance Adoption • Jury 1, 2017 Start of the new Fiscal Year p1=26 CITY COUNCIL MINUTES 11 MAY 16, 2017 10A-11 The following spoke on the matter: Mike Lopez, representing SEIU, attending last night's Council Committee meeting discussed the budget; supports revenue enhancement idea of a sales tax increase to assist the general fund and willing to discuss that proposal; would like to survey employee for ideas; also, concept of public banking. Council discussion ensued: Mayor Pro Tem Martinez, requested general fund and total cost of operating jail; requested clarification of departmental savings line item (also referred to as efficiencies); noted that most of her comments and concerns were expressed at last night's council committee meeting; City needs to encourage community and employee input - look at budget as long term document and not a one-year budget; use of one-time funds is not responsible; need sustainable and long term options. Councilmember Solorio, important to have long term stability; working on potential new revenue sources including parking enforcement and permit program, medical marijuana increased taxes; need to address traffic fatality and perhaps use technology to save lives, reconsider use of red-light cameras for safety purposes; review all contracts including security services; request that Raitt Street be repaved; reach out to SEIU and all other unions to assess revenue enhancing options; supports increased number of police officers; asked how many officers are budgeted and not filled. Councilmember Tinajero, asked clarification of jail/police administration building debt (staff noted that it was total of $9,000,000 total debt includes $3m for jail and $6m for police administration); also requested that information on red light contactor be provided to Councilmember Solorio. Councilmember Sarmiento, commented on proposed jail reuse; noted that City has about 90 remnant parcels of land that are not usable and only 5-10 that are usable; possible use for community land trust project; supports sales tax increase concept. Councilmember Benavides, thanked staff for presentation; explore opportunities to streamline processes that will enhance revenues or develop our community; economic development needs to be augmented to attract businesses and retain existing ones; challenge with gang activity — proactive invest in our youth such as City of Denver who has Director of Youth Success position. Councilmember Solorio, indicated that pledges made in the past such as $250,000 joint use programs with SAUSD, supports half of the funds for such project and other for summer youth employment program. CITY COUNCIL MINUTES 12 MAY 16, 2017 10A-12 REPORTS 65A. IMMIGRATION LEGAL DEFENSE FUND OPTIONS (UNIVERSAL REPRESENTATION) {STRATEGIC PLAN NO. 5, 1} - City Attorney's Office The following spoke on the matter: 1. Alexis Nava Teodoro, spoke in support of providing funding for a Legal Defense Fund and to pursue Vera Institute grant; City to be an example for other communities to follow by providing universal representation. 2. Jennifer Koh, Director of Immigration Clinic at Western State College of Law and also a Law Professor, supports options d and e, and possibly a; understand City is facing budget crisis, but services are critical. 3. Sabrina Rivera, attorney with Immigration Clinic, co -joined support for funding immigration defense program. Council discussion ensued. Councilmember Tinajero, thanked staff and speakers; motion to approve as recommended by staff, seconded by Councilmember Sarmiento. City Attorney Carvalho, indicated that many options presented for City Council consideration, but will need to select one or more and direct staff to follow up on selection. Councilmember Villegas, noted that cost to provide services through Vera Institute is estimated to be between $500,00041,000,000 on an annual reoccurring basis. Councilmember Solorio, asked if Department of Justice is mandated to provide legal representation; asked if proposal would represent only Santa Ana residents; concerned with providing representation when side -switching occurs. Sameer Ashar, representing UCI Immigration Center, conveyed that Department of Justice is not mandated nor do they provide legal services although they post a referral services flier; Orange County does not have any free deportation defense services; noted that Public Counsel has provided services to Santa Ana jail inmates but were orientation services only; any seed funds provided would only be used for Santa Ana residents. City Attorney Carvalho, commented on the estimated cost for some of the options presented; need allocation of funds and staff in order to recommend a program that will be successful. Councilmember Sarmiento, thanked staff for options; noted that initial matter was presented with idea that this program would be a catalyst for other funding sources such as UCI, MALDEF, etc.; City to consider joint powers authority with other jurisdictions such as City of Anaheim, who have expressed interest in providing same services; City may be hub for information and referral services; CITY COUNCIL MINUTES 13 MAY 16, 2017 10A-13 also, may consider using residual funds available through the Voter Outreach Program that may be used as seed money; appropriation of funds or continuation of service would require Council approval; noted that all five are worthy of pursuing as they are not mutually exclusive - would allow for various partnerships to develop. Motioned, seconded by Councilmember Tinajero to allocate funds available in the Voter Outreach Program to be utilized as one- time seed funds in addition to pursuing all options under item 1 as presented by staff. Councilmember Solorio, indicated that current State legislation is proposing to fund legal representation - urge the City to support bill; City encouraged to apply for grants; opposed to deviating funds from one program to another. MOTION: 1. Direct staff to consider all options identified by staff to facilitate providing legal representation to those members of the community that are at risk for deportation: a) Partner with Immigrant Defenders or Other Established Providers of Legal Services; b) Establish a Joint Powers Authority; c) Establish a Central Location for Referral of Services; d) Provide Funding for a Legal Defense Fund; and e) Pursue Vera Institute Support Grant. 2. Agendize for City Council consideration an appropriation of residual funds currently available in the Voter Outreach Program to utilize as seed funds. MOTION: Sarmiento SECOND: Tinajero VOTE: AYES: Benavides, Martinez, Sarmiento, Tinajero (4) NOES: Solorio, Villegas (2) ABSTAIN: None (0) ABSENT: Pulido (1) CLOSED SESSION REPORT — City Attorney Carrvalho reported that City Council had extended an offer to Interim City Manager, Cynthia Kurtz and has since been accepted and agreement presented for formal approval; also other reportable items on the Agenda are listed under Agenda Item 19A. CITY COUNCIL MINUTES 14 MAY 16, 2017 1 OA -14 PUBLIC COMMENTS • Alan VanDeVort, spoke on Agenda Item 25A, concerned that removing the parking lot of proposed site will significantly impact neighboring residents and businesses. • Ilya Tseglin, spoke on Agenda Item 65A, spoke in support of funding legal defense program. • Robert Tseglin, spoke on Agenda Item 25H, requested assistance in helping his brother who is Ward of the Court. • Jackie Cordova, spoke on Agenda Item 25J, suggested 10% funds to be shifted to youth programs. CONSENT CALENDAR ITEMS MOTION: Approve staff recommendations on the following Consent Calendar items: Items 10A through 31A, with the following modifications: • Mayor Pro Tem Martinez pulled Agenda Items 19D, 25A, 25J, and 25K for separate discussion and dissented on Agenda Items 20A and 251; and • Councilmember Solorio pulled Agenda Items 25A and 25K for separate discussion. MOTION: Benavides SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Sarmiento, Villegas (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Pulido, Solorio, Tinajero (3) Items removed for separate action or modified are highlighted. Separate actions show the actual vote. Items without votes are adopted as part of the consent motion AGENDA ITEM CONSIDERED OUT OF ORDER 25A. AGMT NO. 2017-118 - PURCHASE AND SALE AGREEMENT FOR THE SALE OF CITY -OWNED REAL PROPERTY AT 2129 NORTH MAIN STREET {STRATEGIC PLAN NO. 3, 3C) - Planning and Building Agency Consideration of matter continued from the May 2, 2017 City Council meeting by a vote of 4-1 (Tinajero dissented; Sarmiento abstained; and Pulido absent). Mayor Pulido, encouraged developer to work with the Bower's Museum. CITY COUNCIL MINUTES 15 MAY 16, 2017 10A-15 MINUTES 10A Elm 10C. Councilmember Solorio, commented on overall need for parking throughout the City; explore neighborhood parking south of Bowers and on Buffalo Avenue as well. MOTION: Authorize the City Manager and Clerk of the Council to execute a purchase and sale agreement with Net Development Co., for the sale of City -owned property located at 2129 North Main Street in the amount of $2,075,000, subject to non -substantive changes approved by the City Manager and City Attorney. MOTION: Martinez SECOND: Solorio VOTE: AYES: Benavides, Martinez, Pulido, Solorio, Tinajero, Villegas (6) NOES: None (0) ABSTAINED AND NOT Sarmiento (1) PRESENT: ABSENT: None (0) ADMINISTRATIVE MATTERS MINUTES FROM THE SPECIAL CLOSED SESSION MEETING OF APRIL 24, 2017 {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office MOTION: Approve Minutes. MINUTES FROM THE ADJOURNED SPECIAL CLOSED SESSION MEETING OF MAY 1, 2017 {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Approve Minutes. MINUTES FROM THE REGULAR MEETING OF MAY 2, 2017 (STRATEGIC PLAN NO. 5, 1) — Clerk of the Council Office MOTION: Approve Minutes. CITY COUNCIL MINUTES 16 MAY 16, 2017 10A-16 10D. MINUTES FROM THE CANCELLED ADJOURNED CLOSED SESSION AND REGULAR MEETING OF MAY 8, 2017 {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Approve Minutes. ORDINANCES/SECOND READING In the event a Councilmember recorded an "abstention" before consideration of the following ordinance(s) on first reading, such abstention will also be reflected in the minutes for second reading. 11A. REGULATE MOBILE FOOD VENDING VEHICLES (STRATEGIC PLAN NO 5, 1) - Clerk of the Council Office Placed on first reading at the March 7, 2017 City Council meeting and approved by a vote of 5-0 (Pulido abstained and Sarmiento absent). Published in the Orange County Reporter on March 10, 2017. Matter continued from the March 21, 2017 City Council meeting by a vote of 5-0 (Martinez absent and Pulido abstained). Matter continued from the April 18, 2017 City Council meeting by a vote of 4-0 (Sarmiento and Tinajero absent; Pulido abstained). Matter continued from the May 2, 2017 City Council meeting by a vote of 6-0 (Pulido absent). MOTION: Table matter at the request of staff. 11 B. AMENDING SANTA ANA MUNICIPAL CODE CHAPTER 2, ARTICLE IV, DIVISION 3 TO UPDATE THE CITY'S EMERGENCY SERVICES, DISASTER PREPAREDENESS AND EMERGENCY OPERATIONS REQUIRED BY THE STANDARDIZED EMERGENCY MANAGEMENT SYSTEM (SEMS) AND THE NATIONAL INCIDENT MANAGEMENT SYSTEM (NIMS) TO BE ELIGIBLE TO RECEIVE STATE AND FEDERAL EMERGENCY MANAGEMENT AND HOMELAND SECURITY GRANTS AND STATE OR FEDERAL REIMBURSEMENT {STRATEGIC PLAN GOAL 5, 1) - Clerk of the Council Office Placed on first reading at the May 2, 2017 City Council meeting and approved by a vote of 6-0 (Pulido absent). Published in the Orange County Reporter on May 5, 2017. MOTION: Place ordinance on second reading and adopt. ORDINANCE NO. NS -2916 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 2 OF THE SANTA ANA CITY COUNCIL MINUTES 17 MAY 16, 2017 10A-17 MUNICIPAL CODE TO UPDATE THE CITY'S EMERGENCY SERVICES POLICIES AND PROCEDURES BOARDS / COMMISSIONS / COMMITTEES 13A. NOMINATED BY COUNCILMEMBER SOLORIO AS THE WARD 3 REPRESENTATIVE TO THE BOARD OF RECREATION AND PARKS FOR A FULL-TERM EXPIRING DECEMBER 15, 2020 (STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Appoint Cecilia Aguinaga to the Board of Recreation and Parks (Ward 3 resident; replacing J. Tapia) effective June 1, 2017. 13B. NOMINATED BY SANTA ANA UNIFIED SCHOOL DISTRICT AS THE STUDENT REPRESENTATIVE TO THE COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION FOR A FULL-TERM EXPIRING DECEMBER 15, 2020 {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office MOTION: Appoint Aurora Solano to the Community Redevelopment and Housing Commission. 13C. COUNCIL COMMITTEES - AGENDAS AND MINUTES - Clerk of the Council Office MOTION: Receive and file. NAME MEETING DATE Economic Development Infrastructure, Budget 5/8/2017 and Technology Committee (Cancelled) Public Safety, Code Enforcement and 3/14/2017 and Neighborhood Empowerment Committee 5/9/2017 Youth, Education, and Community Services Committee 4/27/2017 MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve as follow: • CONFERENCE WITH LEGAL COUNSEL -- ANTICIPATED Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9 of the Government Code: One case — Authorized the filing of a lawsuit against the Phoenix Group for the recovery of almost $500,000, approved by 6-1 vote with Mayor Pro Tem Martinez dissenting. CITY COUNCIL MINUTES 18 MAY 16, 2017 10A-18 • CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8: Address of Property: Properties Being Acquired for OC Streetcar Project (Maintenance and Storage Facility) • 1922 & 2002 W. 5th Street, Santa Ana, CA, APNs 007-100-04 & 007-100-05, Owner: Valdivia Family Trust • 2020 W. 5th Street, Santa Ana, CA, APN 007- 110-17, Owner: Salvador Navarro Negotiators: Interim City Manager Terms: Conditions of potential sale *Direction provided to staff on said item. 19B. EXCUSED ABSENCES — NONE 19C. STRATEGIC PLAN MONTHLY REPORT FOR APRIL 2017 {STRATEGIC PLAN NO. 5, 11 - City Manager's Office MOTION: Receive and file. 19D. RECYCLED WATER SYSTEM UPDATE {STRATEGIC PLAN NO. 5,2) - Public Works Agency Mayor Pro Tem Martinez, asked staff to be proactive and maximize use of purple pine lines; sustainable uses. Councilmember Solorio, concerned that State proposing to suspend use of portable water for street medians; council committee to review matter. MOTION: Receive and file. MOTION: Martinez VOTE: AYES: NOES SECOND: Benavides Benavides, Martinez, Solorio, Villegas (4) None (0) CITY COUNCIL MINUTES 19 MAY 16, 2017 10A-19 ABSTAIN: None (0) ABSENT: Pulido, Sarmiento, Tinajero (3) BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A. RELEASE OF EASEMENT ON A PARCEL AT 918 NORTH BRISTOL STREET (PROJECT NO. 11-6741) {STRATEGIC PLAN NO. 6, 1G} - Public Works Agency MOTION: 1. AGMT NO. 2017-119 - Authorize the City Manager and Clerk of the Council the execute a Termination of Easement Agreement with Marcela M. Ocampo, an adjacent property owner at 1306 West Tenth Street, for the parking easement at 918 North Bristol Street, and authorizing the total sum of $6,000 as full consideration for termination of the easement. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2017-119 - Recognizing $6,000 in current -year funds received from the sale into the Select Street Construction revenue account, and appropriating the same amount into the Select Street Construction expenditure account for future Bristol Street Improvements Project expenditures. MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Tinajero Benavides, Sarmiento, Solorio, Tinajero, Villegas (5) Martinez (1) None (0) Pulido (1) CITY COUNCIL MINUTES 20 MAY 16, 2017 1 OA -20 SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 17-035 - OUTDOOR BASKETBALL COURT RENOVATION {STRATEGIC PLAN NO. 6, 1B} (Parks, Recreation and Community Services Agency) - Finance and Management Services MOTION: Authorize a one-time purchase and payment of purchase order to Hondo Company, Inc. in an amount not to exceed $43,850 plus a contingency of $2,192 for a total amount of $46,042, subject to non - substantive changes approved by the City Manager and City Attorney. 22B. SPEC. NO. 17-049 - FIRE ALARM SYSTEMS MAINTENANCE AND TIME CLOCKS AND SUPPLIES {STRATEGIC PLAN NO. 6, 1G} - Finance and Management Services MOTION: Award a contract to Simplex Grinnell LP for a six-month period expiring November 30, 2017 in an amount not to exceed $45,000, subject to non -substantive changes approved by the City Manager and City Attorney. 22C. SPEC. NO. 17-038 - PURCHASE OF A ONE 3/4 TON PICKUP TRUCK WITH UTILITY BODY {STRATEGIC PLAN NO. 6, 21 (Public Works Agency) - Finance and Management Services MOTION: Authorize a one-time purchase and payment of a purchase order to Reynolds Buick, Inc., in an amount not to exceed $64,968, and a five percent contingency of $3,248, for a total amount not to exceed of $68,216, subject to nonsubstantive changes approved by the City Manager and City Attorney. PROJECTS/CHANGE ORDERS 23A. AWARD CONTRACT FOR GRANT -FUNDED CROSSWALK UPGRADES - PHASE I (PROJECT NO. 15-6831) {STRATEGIC PLAN NOS. 1, 1 E; 5, 66; 6, 1 G) - Public Works Agency MOTION: 1. Award a contract and authorize the City Manager and Clerk of the Council to execute a contract with Alfaro Communications Construction, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $222,050, for the term beginning upon execution of the contract and ending upon project completion, for construction of the Crosswalk Upgrades project, subject to nonsubstantive changes approved by the City Manager and the City Attorney. CITY COUNCIL MINUTES 21 MAY 16, 2017 1 OA -21 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $300,000, which includes the contract bid amount, administration, inspection and testing, and an authorized contingency of $33,540. 3. Amend the Fiscal Year 2016-17 Capital Improvement Program and approve the reallocation of $100,000 in General Funds from the Safe Mobility Santa Ana Project (Project No. 17-6009). AGREEMENTS 25A. AGENDA ITEM CONSIDERED OUT OF ORDER 25B. AGMT NO. 2017-120 - FIRST AMENDMENT FOR PARAMEDIC/MEDICAL BILLING AND COLLECTION SERVICES {STRATEGIC PLAN NO. 7, 5F} - Finance and Management Services MOTION: Authorize the City Manager and Clerk of the Council to execute a two-year amended agreement with Wittman Enterprises, LLC, ("Wittman") effective July 1, 2017 through June 30, 2019, to extend the current three- year agreement expiring June 30, 2017, including an option at the election of the City to transfer administration, promotion, billing, and collection of the City's Paramedic Subscription Program, subject to non -substantive changes approved by the City Manager and City Attorney. 25C. AGMT NO. 2017-121 - SECOND AMENDMENT FOR BILL PRINT SERVICES {STRATEGIC PLAN NO. 7, 5F} - Finance and Management Services MOTION: Authorize the City Manager and Clerk of the Council to execute a two-year amended agreement with InfoSend, Inc. ("InfoSend"), effective July 1, 2017 through June 30, 2019, to extend the current two-year amended agreement expiring June 30, 2017, for an annual amount not to exceed $400,000 subject to non -substantive changes approved by the City Manager and City Attorney. 25D. FIRST AMENDMENTS FOR COLLECTION AGENCY SERVICES {STRATEGIC PLAN NO. 4, 1} - 1) - Finance and Management Services Id[03/L07►�A 1. AGMT NO. 2017-122 - Approve and authorize the City Manager and Clerk of the Council to execute an amended extension to the current agreement with PennCredit for a two-year period effective July 1, CITY COUNCIL MINUTES 22 MAY 16, 2017 1 OA -22 2017 through June 30, 2019, for collection agency services, subject to non -substantive changes approved by the City Manager and City Attorney. 2. AGMT NO. 2017-123 - Approve and authorize the City Manager and Clerk of the Council to execute an amended extension to the agreement with American Capital Enterprises, Inc. for a two-year period effective July 1, 2017 through June 30, 2019, for collection agency services subject to non -substantive changes approved by the City Manager and City Attorney. 25E. AGMT NO. 2017-124 - AMENDMENT FOR VETERINARIAN SERVICES AT THE SANTA ANA ZOO AT PRENTICE PARK {STRATEGIC PLAN NO. 2, 2E} - Parks, Recreation and Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with Serrano Animal & Bird Hospital by increasing the agreement amount by $16,000 and extending the term two months through August 31, 2017 for a total agreement amount of $100,500 for the term of the agreement, subject to non -substantive changes approved by the City Manager and City Attorney. 25F. AGMT NO. 2017-125 - PARK RESTROOM AND PARK BUILDING CUSTODIAL SERVICES AT CITY PARKS {STRATEGIC PLAN NO. 6, 1B) - Parks, Recreation and Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Valley Maintenance Corporation in an annual amount not to exceed $263,684, which includes a 10% contingency, for a two-year term from June 1, 2017 through May 31, 2019, with two, one-year renewal options. In addition, the contract will include a start-up cost of $6,278 in the first year of the contract, for a total cost of $1,061,014 over the term of the contract, including renewals, subject to non -substantive changes approved by the City Manager and City Attorney. 25G. AGMT NO. 2017-126 - AMENDMENT FOR PLANNING AND ENVIRONMENTAL SERVICES FOR THE SANTA ANA GENERAL PLAN CIRCULATION ELEMENT UPDATE {STRATEGIC PLAN NOS. 3, 2A; 5, 6B} - Planning and Building Agency; Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with IBI Group to prepare the General Plan Circulation Element update, for a period no longer than May 2017 to November 2018 or an additional total amount of $156,716. The total contracted amount for the Circulation Element including the revised CITY COUNCIL MINUTES 23 MAY 16, 2017 1 OA -23 agreements is $736,961, subject to non -substantive changes approved by the City Manager and City Attorney. 25H. AGMT NO. 2017-127 - LAW ENFORCEMENT HELICOPTER SERVICES {STRATEGIC PLAN NO. 1, 5) - Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute the attached three-year agreement with the Orange County Sheriff's Department, for the period of July 1, 2017 through June 30, 2020, subject to non -substantive changes approved by the City Manager and City Attorney. The first year agreement cost is $421,195.40. The City Council also authorizes the City Manager to execute the subsequent amendments in year two (July 1, 2018 -June 30, 2019) and year three (July 1, 2019 -June 30, 2020) for the contract amount of the first year of this agreement as outlined in Exhibit "A" plus up to ten percent. 251. APPROVE TENANT -INTEREST PURCHASE AGREEMENTS FOR BRISTOL STREET IMPROVEMENTS, PHASE 3A; 1111 NORTH BRISTOL STREET, SUITE D, APN 405-274-10 (PROJ. NO. 136792 NONGENERAL FUND) {STRATEGIC PLAN NOS. 6, 1 G; 3, 2C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute purchase agreements of Tenant Interest and goodwill (if any) with the following property owners, subject to nonsubstantive changes approved by the City Manager and City Attorney: 1. AGMT NO. 2017-128 - With Khaled Jawhary dba Advantage Auto Insurance Brokerage in an amount of $9,628 and 2. AGMT NO. 2017-129 - With C.R. Manchandia D.D.S. (Family Dental) in an amount of $76,820. MOTION: Sarmiento SECOND: Villegas VOTE: AYES: Benavides, Sarmiento, Solorio, Villegas (4) NOES: Martinez (1) ABSTAIN: None (0) ABSENT: Pulido, Tinajero (2) CITY COUNCIL MINUTES 24 MAY 16, 2017 1 OA -24 25J. AGMT NO. 2017-117 - INTERIM CITY MANAGER - Personnel Services Agency MOTION: Ratify agreement appointing Cynthia Kurtz as the Interim City Manager for the City of Santa Ana. MOTION: Solorio SECOND: Benavides VOTE: AYES: Benavides, Martinez, Solorio, Villegas (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Pulido, Sarmiento, Tinajero (3) 25K. AGMT NO. 2017-130 - UNARMED SECURITY GUARD SERVICES AT VARIOUS CITY FACILITIES {STRATEGIC PLAN NO. 6, 1C} - Public Works Agency; Parks, Recreation & Community Services Agency; and Police Department Councilmember Solorio, requested clarification of current provider and proposals received. Deputy City Manager, Robert Cortez, summized process. Mayor Pro Tem Martinez, spoke of an innovative method which is the use of robotic security; safety is paramount for employees and Civic Center patrons. Councilmember Villegas, support security services, but perhaps use of police cadets or current jail employees to provide services. Deputy City Manager Cortez, noted that proposed contract provides for a 30 -day cancellation clause; may have different level of service in other areas such as Birch Park and Senior Center that may require future City Council approval. Councilmember Benavides, asked if security coverage was increasing; also staff to evaluate overall needs throughout the City. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with U.S. Security Associates, Inc., to perform unarmed security guard services at various City locations, for the three-year period beginning June 1, 2017, and expiring May 31, 2020, with compensation of $1,131,732 annually and an additional $22,800 contingency, for a total agreement amount not to exceed $3,463,596, with provisions for two 1 - year renewal options exercisable by the City Manager and City Attorney, CITY COUNCIL MINUTES 25 MAY 16, 2017 1 OA -25 subject to non -substantive changes approved by the City Manager and City Attorney. MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN: ABSENT: MISCELLANEOUS - BUDGET SECOND: Solorio Benavides, Martinez, Sarmiento, Solorio, Villegas (5) None (0) None (0) Pulido, Tinajero (3) 29A. DONATION AGREEMENT FOR THE ARTS TO SUPPORT A LENDING LIBRARY AND ART CENTER {STRATEGIC PLAN NO. 5, 4) - Mayor Pro Tem Martinez MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Makara Center for the Arts for a one-time donation amount of $1,000, subject to nonsubstantive changes approved by the City Manager and the City Attorney. 29B. DONATION AGREEMENT FOR THE WILLARD NEIGHBORHOOD CLEAN-UP INITIATIVE {STRATEGIC PLAN NO. 5, 41 - Councilmember Villegas MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with the Charitable Ventures of Orange County for a one- time donation amount of $1,500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. LAND USE MATTERS CONDITIONAL USE PERMITNARIANCES 31 A. CONDITIONAL USE PERMIT NO. 2017-14 TO ALLOW A HOLIDAY INN EXPRESS HOTEL AT 1600 EAST FIRST STREET - MICHAEL EICHNER, APPLICANT {STRATEGIC PLAN NO. 3, 2, 51 - Planning and Building Agency Planning Commission approved recommended action on April 24, 2017, by a vote of 5-0 (Alderete and Contreras -Leo absent). CITY COUNCIL MINUTES 26 MAY 16, 2017 1 OA -26 MOTION: Receive and file the staff report approving Conditional Use Permit No. 2017-14 as conditioned. "END OF CONSENT CALENDAR" CLERK OF THE COUNCIL HUIZAR ADMINSTERED THE OATH OF OFFICE TO CECILIA AGUINAGA, BOARD OF RECREATION AND PARKS MEMBER BUSINESS CALENDAR ITEMS RESOLUTIONS 55A. HISTORIC PROPERTY PRESERVATION AGREEMENT FEE REDUCTION AND PRIVATE PARTY NOMINATION TO SANTA ANA REGISTER OF HISTORICAL PROPERTIES FEE WAIVER {STRATEGIC PLAN NOS. 5, 2, 3} - Planning and Building Agency Historic Resources Commission approved recommended action on April 20, 2017, by a vote of 7-0 (Murashie absent). MOTION: Continue consideration of matter for 30 days, June 20, 2017. MOTION: Benavides SECOND: Solorio VOTE: AYES: Benavides, Martinez, Sarmiento, Solorio, Villegas (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Pulido, Tinajero (2) 556. APPROPRIATION ADJUSTMENT ACCEPTING FISCAL YEAR 2016 HOMELAND SECURITY GRANT PROGRAM AND RELATED AGREEMENTS FOR ANTI -TERRORISM EQUIPMENT, PLANNING, TRAINING, EXERCISES AND TECHNICAL ASSISTANCE {STRATEGIC PLAN NO.1,2 AND 6} - Police Department MOTION: CITY COUNCIL MINUTES 27 MAY 16, 2017 1 OA -27 1. Adopt a resolution. RESOLUTION NO. 2017-019 — RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER AND THE CHIEF OF POLICE OR THEIR DESIGNEE(S) TO ENTER INTO AN AGREEMENT WITH THE CITY OF ANAHEIM FOR THE FISCAL YEAR 2016 URBAN AREA SECURITY INITIATIVE FUNDING PROGRAM 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2017-111 - Recognizing the FY 2016 Urban Areas Security Initiative in the amount of $1,792,522 in revenue account and appropriate same in the FY 2016 Urban Areas Security Initiative Program Grant expenditure accounts. MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Sarmiento Benavides, Martinez, Sarmiento Solorio, Villegas (5) None (0) None (0) Pulido, Tinajero (2) 55C. RESOLUTION DECLARING "FILL IT FROM THE TAP" TO PROMOTE CONSUMPTION OF CITY WATER (STRATEGIC PLAN NOS. 5,2; 5,6F) - Public Works Agency MOTION: Adopt a resolution. RESOLUTION NO. 2017-020 — RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DECLARING "FILL IT FROM THE TAP" MOTION: Sarmiento SECOND: Benavides VOTE: AYES: Benavides, Martinez, Sarmiento Solorio, Villegas (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Pulido, Tinajero (2) CITY COUNCIL MINUTES 28 MAY 16, 2017 1 OA -28 55D. APPROVE NEW BYLAWS RELATED TO THE ENVIRONMENTAL AND TRANSPORTATION ADVISORY COMMITTEE (ETAC) (STRATEGIC PLAN NO. 6, 1 G) - Public Works Agency MOTION: Adopt a resolution. RESOLUTION NO. 2017-021 — RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING REVISED BYLAWS FOR THE ENVIRONMENTAL AND TRANSPORTATION ADVISORY COMMITTEE MOTION: Benavides SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Sarmiento Solorio, Villegas (5) NOES: None (0) ABSTAIN: None (0) ABSENT: PUBLIC HEARING Pulido, Tinajero (2) 75A. APPEAL NO. 2017-01 OF CONDITIONAL USE PERMIT NO. 2017-03 TO ALLOW THE SALE OF DISTILLED SPIRITS FOR ON -PREMISE CONSUMPTION AT MARISCOS HECTOR #1 LOCATED AT 1801 SOUTH MAIN STREET, UNIT E - Planning and Building Agency Planning Commission adopted a resolution denying Conditional Use Permit (CUP) No. 2017-03 on March 27, 2017 by a vote of 5-1 (Mendoza opposed, Alderete absent). Legal Notice published in the Orange County Reporter and notices mailed out on May 5, 2017. Consideration of matter withdrawn at the request of the applicant. Vol AI AIdILIYL-y PUBLIC COMMENTS — None CITY COUNCIL MINUTES 29 MAY 16, 2017 1 OA -29 90A. CITY MANAGER'S COMMENTS Interim City Manager Kurtz: • Honored to serve as Interim City Manager; • Announced that the Andalucia Apartments were selected as Orange County's Top Affordable & Workforce Housing Development at Annual Awards Ceremony; and • Orange County Fire Authority holding a training session live burn on Friday and Saturday that will be controlled. 90B. CITY COUNCILMEMBER COMMENTS: Councilmember Solorio: • Wished all a good evening; • Thanked staff for efforts; and • Welcomed newly appointed Interim City Manager Cynthia Kurtz. Councilmember Villegas: • Invited all to attend the Orange County Fire Authority and the Santa Ana Police Department's Open Houses on Saturday, May 20th; • Commented on success of Smoke Detector Installation event held this past weekend; and • Greeted Interim City Manager Kurtz. Councilmember Benavides: • Extended sincere welcome to Interim City Manager Kurtz; • Thanked staff for Cinco De Mayor and monthly Art Walk and all services provided for the benefit of our residents; and • Urged all to continue to support our local economy. Councilmember Sarmiento: • Conveyed appreciation to the Ad Hoc Committee that selected the Interim City Manager and offered warm welcome to Cynthia Kurtz; and • Thanked Deputy City Manager Cortez for acting role; and • Spoke of optimism, strong leadership and realignment needed to carry to continue carrying City forward. Mayor Pro Tem Martinez: • Commented of many achievements and innovation of many surrounding communities — need to capitalize on smart city policies; follow through and funding; and • Hosting one -day water tour on Tuesday, June 20th; and • Commented on success of Bike to Work day held earlier in the day. CITY COUNCIL MINUTES 30 MAY 16, 2017 1 OA -30 ADJOURNMENT - 9:54 p.m. - The next meeting of the City Council is scheduled for Tuesday, June 6, 2017 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Community Engagement Program • Fiscal Year 2017/18 City Budget Adoption • Labor Contracts CITY COUNCIL MINUTES 31 MAY 16, 2017 1 OA -31 1 OA -32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: BOARDS AND COMMISSIONS BIANNUAL ATTENDANCE REPORT JULY THROUGH DECEMBER 2016 {STRATEGIC PLAN NO. 5, 1}` RECOMMENDED ACTIONS 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 Receive and file Boards and Commissions Biannual Attendance Report. DISCUSSION The Boards and Commissions Attendance Report is prepared biannually to inform the Council regarding member attendance at Board or Commission meetings. This report covers the period of July through December 2016. Pursuant to Council policy, the City Council may remove board or commission members who incur four (4) unexcused absences within the six-month reporting period. Also, Charter Section 901(c) provides that a member of a board or commission who absents him/herself from two (2) regular meetings of such board or commission, consecutively, unless by permission of such board or commission expressed in its official minutes, or fails to attend at least one-half ('/2) of the regular meetings of such board or commission within a calendar year, the office shall become vacant and shall be so declared by the City Council. Examination of the attendance report reveals that no current members have exceeded the limits for permitted absences. Therefore, the only action required is to receive and file the report. STRATEGIC PLAN Approval of this matter allows us to meet Goal #5. Community Health, Livability, Engagement & Sustainability, Priority #1, Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities. 13A-1 Boards and Commission Biannual Report June 6, 2017 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Maria . Huizar Clerk of the Council Exhibit 1. Biannual Attendance Reports (9) 13A-2 J_ V Z 0 �0 V V Z LO N r 0 <0 Z LU A a Q IL W O Z0 N Q � 5 z W V W Q J Q z Q m Z O U) N O V W J _ V 0 Z Q FF - Q N N Y !D L) W to ❑ C Y d X W X X X X X N d Y R > ❑ O ❑ ZS Y 0 I` T w X X X X X X N ad. 16 Q of O:=_ d d N X X X X X X w d a� W N N r w X X X w X X N m Y N 7 c!) 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U) to x x x x x e. d p — aa�x m x W x x x x d a+ m M LO Pu m x x x x w W G o, m ��, mom_. o,. - ®, Z O eeC�1 r�v� C1 Q fC Q 9 N Q r�N✓/ U N LIi, .- n/, IL O LIQ M V W 44 ,.. fC CD y !. m< N4 mM W 0 LU i� �N Rm o n m LN c� m@ d`mLU m@ m 13A-18 J 0 d a c Q IB x w � �. W V z e( z W Q Z LU c� G O U 13A-19 13A-20 CITY OF SANTA ANA.i COUNCIL COMMITTEE MEETING AGENDA ECONOMIC DEVELOPMENT, INFRASTRUCTURE, BUDGET AND TECHNOLOGY COMMITTEE MONDAY, MARCH 13, 2017 5:00 P.M. CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Recording Secretary: Michele Martinez P. David Benavides Vicente Sarmiento Teresa Ramirez 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. Selection of Chair and Vice -Chair 2. Approval of Meeting Schedule 3. Review of By -Laws (direct staff to make changes as needed) 4. Introduction of New Auditors {Strategic Plan No. 4, 1) (Francisco Gutierrez, FMSA) 5. Review of City's Grant Related Single Audit (Strategic Plan No. 4, 1 c) (Francisco Gutierrez, FMSA) 6. Jail Operation Revenue Update {Strategic Plan No. 1, 4a} (Chief Carlos Rojas, PD) STAFF COMMENTS COMMITTEE MEMBER COMMENTS Santa Ana City Council Miguel A. Puloo, i Michele Martinez, i Vicente Sarmiento, I Jose Solorlo, j P. David Benavides, i Juan Villages, Sal Tinajero, Mayor Mayor Pro Tern, Ward 2 Ward 1 Ward 3 j Ward 4 Ward 5 Ward 6 Wrlldo(asanaan Warl'neg. snl-ana mey5emeno@U nta ana.o JSobrlo@o naan DBenavltles(Nsanla-ana.om JVIIIeoasGli sante-ana.om Sllne em(isen�a-ane om City Hall, 20 Civic Center Plaza a P.O. Box 1988 • Santa Ana, California 92702 Mayor & Council Telephone: 714-647-6900 • Agenda Item Inquiries: 714-647-6520 • Website: mr w.santa.ana.ore 13B-1 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY REGULAR MEETING MINUTES January 11, 2016 CALL TO ORDER: City Hall 20 Civic Center Plaza, Room 1600 Santa Ana, CA 5:36 p.m. ATTENDANCE: Council Committee members: Michele Martinez, Chairperson Vincent Sarmiento, Vice -Chairperson MEMBERS ABSENT: None STAFFPRESENT: GUESTS PRESENT: PUBLIC COMMENTS None AGENDA DISCUSSION ITEMS Francisco Gutierrez, FMSA Waldo Barela, FMSA Teresa Ramirez, FMSA Sarah Ro, FMSA Haney Mostafa, PSA Julie Castro -Cardenas, CMO David Cavazos, City Manager Kelly Reenders, CDA Marc Morley, CDA Jorge Garcia, CMO Alma Flores, CMO Alexa Smittle, RSG; Peter Katz, Com -Link 1. Approval of Minutes from the December 14, 2015 Special Meeting. MOTION: Sarmiento SECOND: Martinez VOTE: AYES: Martinez, Sarmiento (2) NOES: None (0) ABSENT: None (0) January 11, 2016 1 Finance, Economic Development, & Technology Minutes 13B-2 ITEMS MOVED TO NEXT COMMITTEE MEETING None PUBLIC COMMENTS: None STAFF MEMBER COMMENTS: City Manager David Cavazos: Update on CTIO (Chief Technology Innovation Officer) will be brought up at City Council Closed Session. Add to next agenda fiber optic network for the City. COMMITTEE MEMBER COMMENTS: Committee Chair Michele Martinez: Feds increased rate (.25%), what affect will that have on us. Update on Procure America and also HERO program for next agenda. Possibly City could do hack-a-thon partnering with education. Adjournment — 6:40 p.m. r Teresa R"irez, CAP -9M Recording Secretary,,,FMSA January 11, 2016 1 Finance, Economic Development, & Technology Minutes 13B-3 \. f nt � CITY OF SANTA ANA run-, COUN IL COMMITTEE SPECIAL MEETING AGENDA ECONOMIC DEVELOPMENT, INFRASTRUCTURE, BUDGET AND TECHNOLOGY COMMITTEE MONDAY, MAY 15, 2017 5:00 P.M. CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Recording Secretary: Michele Martinez P. David Benavides Vicente Sarmiento Teresa Ramirez 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. RECEIVE AND FILE MINUTES FROM REGULAR FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY COMMITTEE MEETING OF JANUARY 11, 2016. {Strategic Plan No. 5, 1) 2. APPROVAL OF MINUTES FROM REGULAR ECONMONIC DEVELOPMENT, INFRATRUCTURE, BUDGET AND TECHNOLOGY COMMITTEE MEETING OF MARCH 13, 2017. {Strategic Plan No. 5, 1) 3, SELECTION OF CHAIR AND VICE -CHAIR Matter continued from the March 13, 2017 Council Committee meeting by a vote of 2-0 (Martinez absent) 4. REVIEW OF BY-LAWS (direct staff to make changes as needed) Matter continued from the March 13, 2017 Council Committee meeting by a vote of 2-0 (Martinez absent) 5. FY 2017-18 & FY 2018-19 BUDGET PLAN {Strategic Plan No. 4, 11 (Francisco Gutierrez, FMSA) Santa Ana City Council Miguel A. Police, Michele Martinez, Vicente Sarmiento, Jose Selene, P. David Benavides, Juan Villegas, Sal Tinajero, Mayor Mayor Pro Tem, Ward Ward 1 Ward 3 Ward 4 Ward 5 Ward 6 Wulldoiusanaana a 2 VSannlenoralseneen o Jsolonorolsena ana Daenev Jesralsana an JV',raQaanta ana om ST'neero[@sena en MM.unezar-ta-ena.om City Hall, 20 Civic Center Plaza • 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 13B-4 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON ECONOMIC DEVELOPMENT, INFRASTRUCTURE, BUDGET AND TECHNOLOGY CALL TO ORDER: ATTENDANCE: MEMBERS ABSENT: REGULAR MEETING MINUTES March 13, 2017 City Hall 20 Civic Center Santa Ana, CA 5:05 P.M. Plaza, Room 1600 Council Committee members: P. David Benavides Vincent Sarmiento Michele Martinez STAFF PRESENT: Gerardo Mouet, Acting CM Ryan Hodge, CAO Robert Cortez, CMO/CDA Chief Carlos Rojas, PD Teresa Ramirez, FMSA Jack Ciulla, ITD Francisco Gutierrez, FMSA Fred Mousavipour, PWA Sergio Vidal, FMSA Hassan Haghani, PSA Waldo Barela, FMSA Robert Carroll, PD Marc Morley, CDA Jorge Garcia, CMO Judson Brown, CDA Christina Holland, PD GUESTS PRESENT: Peter Katz, Com -Link; Nitin Patel, WNDE; Daphnie Munoz, WNDE; Roberto Herrera PUBLIC COMMENTS None AGENDA DISCUSSION ITEMS 1. Selection of Chair and Vice -Chair Continued to next meeting. 2. Approval of Meeting Schedule MOTION: Sarmiento SECOND: Benavides VOTE: AYES: Benavides, Sarmiento (2) NOES: None (0) ABSENT: Martinez (1) March 13, 2017 1Economic Development, Infrastructure, Budget & Technology Minutes 13B-5 Jorge Garcia, Senior Management Assistant (CMO), provided status update on RFP for Jail Reuse Study. Two proposals received, evaluated and scored. Modification to scope of work may be called for due to ICE contract situation. Report should be ready for council in late April or early May. Acting City Manager, Gerardo Mouet, will work with team to expedite process as asked by Councilmembers Benavides and Sarmiento. Additional discussion ensued regarding RFP timeline and process, jail expenses, current bed occupancy/availability, acknowledging changes to come, impact on employees, and possible sole sourcing of contract to expedite. ITEMS MOVED TO NEXT COMMITTEE MEETING • Selection of Chair and Vice -Chair • Review of By -Laws (direct staff to make changes as needed) PUBLIC COMMENTS: None STAFF MEMBER COMMENTS: None COMMITTEE MEMBER COMMENTS: None Adjournment -6:07 p.m. , Teresa Rare irez, CAP- Record,ng P-Recording Secretary,/ MS March 13, 2017 1 Economic Development, Infrastructure, Budget & Technology Minutes 13B-6 Unapproved Minutes City of Santa Ana 20 Civic Center Plaza Ross Annex Santa Ana, California 92701 MINUTES Santa Ana Unified School District / City of Santa Ana Council Special Joint Policy Meeting July 11, 2016 CALL TO ORDER The meeting was called to order at 5:43 p.m. by City of Santa Ana Councilmember Sal Tinajero. SAUSD Board members present were Mr. John Palacio and Ms. Cecilia Iglesias. SAUSD staff members present were Dr. Miller, Superintendent of Schools; Mr. Williams, Assistant Superintendent, Facilities and Governmental Relations; Dr. David Haglund; and Suzie Lopez -Guerra, Director of Community Relations. City Council members present were Mr. Sal Tinajero, Mr. Roman Reyna and Ms. Angi Amezcua. City staff members present: David Cavazos, City Manager; Gerardo Mouet, PRCSA Executive Director; Ron Ono, Administrative Services Manager; Jeannie Jurado, Community Services Manager; John Funk, Deputy City Attorney; Hiram Uribe, Graphic Aide; Yasmin Vasquez, Executive Assistant; Julie Castro -Cardenas, Senior Management Assistant; Jorge Garcia, Senior Management Assistant; Robert Cortez, Special Assistant to the City Manager; Chief Rojas, City of Santa Ana Police; Nabil Saba, Water Resources Manager; Lynn Nguyen, Principal Librarian. 1.0 Approval of Minutes of the March 28, 2016 District/City Minutes Moved by Councilmember Reyna and seconded by Councilmember Amezcua to approve Minutes of March 28, 2016. 2.0 Graduation Fee Waivers Rick Miller indicated graduation at Centennial went well. Received one invoice for $1,700. Sal Tinajero indicated SAUSD 'held a successful Event at Centennial Park. Needed to know up front on the correct cost for graduation so we can work together. City could have done more. We are partners. Chief Rojas indicated SAPD provided an upfront cost of $10,000 and reduced it by 40 percent. City Manager indicated the City will absorb the $6,000 balance. 3.0 Davis Water Tower Lease Expiration, next steps and resolution, etc. Rick Miller indicated the City has a 99 year lease on the water tower property that will be expiring. The City needs to submit a letter requesting 1 13B-7 Unapproved Minutes an extension to January 1, 2017 to allow time to resolve negotiations. An appraisal should be done for a possible land swap. David Cavazos indicated a committee could help resolve negotiations or acquisition of the site. The water tower site occupies .465 acres. A land appraisal should be done to identify a trade of equal value. 4.0 DTSA 5K and Ciclovia & Fiesta Patrias 2016 Gerardo Mouet indicated this year we are combining the events. Last year the city had 200 runners for the 5K run that was held between 10am-2pm. The route looped through the Downtown area and the Stadium. A parade was held on September 11, 2015. Jeannie Jurado explained the 2016 parade application process and media contact. She also provided an update on the July 20`h Shakespeare in the Park and identified the performers at the event. Gerardo Monet thanked SAUSD participation on the July 4th event that drew 8000 people. Roman Reyna indicated race participants requested we should start an hour earlier (7:00am). Gets hot in the afternoon. Sal Tinajero asked if participants are able to register on-line and can students register on site? Cecilia Iglesias indicated the planning process for the July 4th event starts too late. Can it be earlier and can we have sponsors for the July 4t" event to make it bigger? Roman Reyna indicated SAUSD should participate in all of our events. John Palacio suggested combining the events and the Toast of Santa Ana Event 5.0 Partnerships 5.1 Possible Joint Use Agreements 5.1.1 Review Progress on Segerstrom High School Gerardo Mouet indicated the cost estimate for Segerstrom High Ballfield Sports Lighting and the Batting Cage is approximately $522,528. He mentioned that the Bristol property (north of the College Digital Center) will generate revenue for this project and the specifics and mechanics will be defined in the agreement. Staff estimates sale will close in September and funding would be available for City Council approval in December 2016. Cecilia Iglesias indicated maintenance cost of the facility should be considered as part of the agreement. Rick Miller indicated $50,000 identified for the Irrevocable Trust for maintenance of the facility needs to be prioritized in the agreement and funding. John Palacio asked if we could look at combining the purchasing of brick dust for the fields. 2 13B-8 Unapproved Minutes 5.1.2 Discuss New Collaborative for Community After School Use of Schools Roman Reyna indicated we need to start a pilot program in 6-8 weeks. We should look at starting the program at Monte Vista Elementary School to open up classrooms for Joint Use. Cecilia Iglesias ask why we are not using McFadden Library. Chief Rojas indicated McFadden Library currently is a PAAL Center. Gerardo Mouet indicated a Joint Use agreement will spell out the process to use school classrooms. There are issues that need to be considered such as Insurance and care of the room that need to be addressed. Sal Tinajero indicated we need to include Cecilia Iglesias in the process and identify a process to rotate participation. 5.2 Update on Roosevelt/Walker Project Gerardo Monet provided a brief summary of the project, indicating the City obtained a $5 million State Grant to build a 10,000 square foot Community Center and Park on the Roosevelt/Walker site. SAUSD is the project manager to implement the project. SAUSD received bids over the budget by $1.8 million. The SAUSD is value engineering the project to reduce cost and the City will be providing an additional $690,000 of CDBG funding for the project. Additional funding may still be needed. He also indicated the building will be programed as a technology center. We can work together to provide this to the community. John Palacio asked how we can maximize use of the facility as a community center, library and technology center that we both can use. Students can congregate in the library. Cecilia Iglesias indicated the facility should also have access to families. 5.3 City of Santa Ana Library Card for Every Student Project Lynn Nguyen indicated the library started the program in late fall of last year, Currently three schools (Middle School, Garfield School and Roosevelt School) are participating in the program. Lynn presented a handout and indicated Hero's Elementary will be the next school to participate in the program. John Palacio asked that we look at schools that are close to the Main and Newhope Library to incorporate into this program. Cecilia Iglesias indicated parents are concerned about the increase homeless in the Civic Center and are afraid to visit the Main Library. Gerardo Monet indicated a year ago the City installed security cameras around the library. The City will be adding 2 additional security guards and re- configuring the book shelves to make the reading areas more visible and safe. David Cavazos indicated the library is packed and well used. City will be adding security in the back and front of the library and additional porters to clean the restrooms. We need to address homes for the homeless. The Police Chief 3 13B-9 Unapproved Minutes will be meeting with the Judges next week to obtain their assistance in address the _ homeless situation in the Civic Center. 5.4 Utility Cabinet Art Program with Santa Ana Elementary Schools Jorge Garcia indicated this is the third program for the city and will focus on Elementary schools. The City needs to execute one agreement with the District. A $200 amount is identified for each Traffic Control Utility cabinet. SAUSD, PWA and City Manager staff will work together on the program. Roman Reyna indicated the District should re -paint every utility box in every elementary school. We also need to look at the State Law concerning murals. John Palacio indicated the city allows neighborhoods to paint behind signs. Need to identify maintenance of the signs. Jorge Garcia indicated once the cabinet is painted this has reduced the amount of graffiti on the cabinet and mural. Staff will be working with the City Art & Culture Commission and the School District. Program will be launched in September. 6.0 Future Items for Discussion and Planning Angi Amezcua indicated the City needs to notify the SAUSD ahead of time so we can work together with the district on events and issues. 7.0 Next scheduled meeting- Monday, September 26, 2016 at 5:30pm- Santa Ana Unified School District, 1601 E. Chestnut Ave., Santa Ana, California, in Board Room, located on the first floor at 5:30pm. There being no further business, the meeting was adjourned at 7:00 p.m. On May 22, 2017, the SAUSD/CITY Joint Policy Committee elected to suspend approval of the July 11, 2016 SAUSD/CITY Joint Policy Committee Minutes since new committee members were not present at the July 11, 2016 meeting. ATTEST: 0 13B-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: REQUEST FOR QUALIFICATIONS TO CREATE A LIST OF PRE -QUALIFIED CONSULTANTS TO PROVIDE ENVIRONMENTAL AND PLANNING SERVICES {STRATEGIC PLAN NO. 3, 3} ITY MANA RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the Planning and Building Agency to release the Request for Qualifications to create a list of pre -qualified professional consulting firms to provide environmental services, planning services and to perform related technical studies. DISCUSSION On October of 2014, the City Council approved a list of over 20 consultants that were qualified to assist staff and developers in the preparation of environmental documents and related technical studies in conjunction with development proposals. The list was approved for a period of three years. Being able to select a consultant from a pre -approved list eliminates the need to circulate a Request for Proposal, reducing the time it takes to hire a consultant and streamlining the development review process. As a result, staff is proposing to continue the program and is requesting authorization to distribute a Request for Qualifications (Exhibit 1). The scope of work includes any and all work efforts related to analysis of a proposed project for compliance with the California Environmental Quality Act and National Environmental Policy Act, historic assessment and general development review and planning services. The Statement of Qualifications received in response to this Request for Qualifications will be reviewed by staff and compiled into a list of qualified firms for City Council approval. Selected firms will remain on the City's official list for a period of three years and projects will be assigned as needed in an aggregate amount not to exceed $1,500,000. For development projects where environmental services are needed, the developer is required to submit payment to the City for the full cost of the contracted service plus a percentage for 19C-1 Request for Qualifications for Environmental and Planning Services June 6, 2017 Page 2 administrative services. When the environmental report is completed, the City pays the consultant for work completed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort 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). FISCAL IMPACT There is no fiscal impact associated with this action. Has ani, AICP Executive Director Planning and Building Agency SK:rb MACEQA ConsultantsWCA RFQ CEQA Consultants. oc FINAL.doc Exhibit: 1. Request for Qualifications 19C-2 REQUEST FOR QUALIFICATIONS (RFQ) FOR ENVIRONMENTAL AND PLANNING SERVICES RFQ #17-043 Issued By: CITY OF SANTA ANA PLANNING DIVISION, M-20 20 CIVIC CENTER PLAZA SANTA ANA, CALIFORNIA 92702 The City of Santa Ana reserves the right to reject any or all Proposals, to waive any informality in any Proposal, and to select the Proposals that best meet the City's needs. EXHIBIT 1 19C-3 REQUEST FOR QUALIFICATIONS (RFQ) FOR ENVIRONMENTAL AND PLANNING SERVICES Introduction The City of Santa Ana is seeking Statements of Qualifications from qualified professional consulting firms to provide environmental and planning services for the Planning Division of the City of Santa Ana. The scope of work may include any and all work efforts related to analysis of a proposed project for compliance with California Environmental Quality Act (CEQA) and National Environmental Policy Act (NEPA). This may include preparation of required technical studies, peer review of technical studies prepared by others, preparation of Initial Studies, Negative Declarations, Mitigated Negative Declarations, Environmental Impact Reports, Environmental Assessments, Environmental Impact Statements and staffing services on an as -needed basis. The City will review the qualification information received to establish a pre -qualified consultant list. Consultants will be utilized on an as -needed basis. The City will enter into separate agreements with each of the selected firms. Selection to be on the pre -qualified list does not guarantee work. II. General Information It is the intent of the City to establish a list of consulting firms to be utilized for a period of three (3) years, as -needed. Consulting firms shall enter into master agreements with the City on the City's Standard Agreement Form. A. This RFQ does not commit the City to pay costs incurred in preparation of a response. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety. All responses to the RFQ shall become property of the City. Applicants who wish to retrieve documents submitted as part of the response to the RFQ may do so after the list of pre -qualified consultants is established. B. All costs incurred in the preparation of the proposal, the submission of additional information and/or any aspect of a proposal prior to award of a written contract will be borne by the respondent. The City will provide only the staff assistance and documentation specifically referred to herein and will not be responsible for any cost or obligation of any kind, which may be incurred by the respondent. C. The City of Santa Ana will evaluate each proposal based on technical criteria and qualifications listed within the RFQ, reference checks, and other information, which will be gathered independently. A final listing of the most qualified Consultants will then be established and subsequently be approved by City Council. 1 19C-4 D. It should be noted that multiple firms may be selected to provide services and there is no guarantee of work. The City reserves the right to select consultants in any manner that will best serve the City's interests. E. At such time when the consultant's services are required, staff will forward a request for services, including a project description, any pertinent supporting information and technical studies, and copies of the proposed application and plans (as available). The consultant may be requested to provide additional services such as the preparation of supporting technical reports and studies for the project application or a peer review of applicant -submitted materials. The consultant will evaluate the proposal and in turn provide a Scope of Work and Cost Estimate for services. F. Firms will be selected based upon their ability to perform the required work within each project's schedule and budget constraints. All work prepared by the consultant will be performed for and at the direction of the City of Santa Ana. G. When appropriate, the City will furnish information in its possession relevant to preparation of the environmental documentation, including the General Plan and Zoning Code. H. The Consultant shall be responsible for retaining data, records and documentation for the preparation of the environmental documents. These materials shall be made available at the request of the City. I. All data, documents and other products used or developed during preparation of the environmental documentation will become property of the City. The City reserves the right to reject and replace any and all subcontractors, and reserves the right to approve all subcontractors. K. Progress review meetings for each assigned project shall be held at intervals deemed appropriate by the City. COORDINATION Coordination with the City, other consultants and agencies will be required to achieve satisfactory and timely delivery of the final work product. Coordination may include, but not be limited to; coordination with applicant/developer, neighborhood and civic groups, other local agencies and consultants, County of Orange, Airport Land Use Commission, State Agencies and Boards, Federal Aviation Administration, and Environmental Protection Agency. 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 Consultant's direct contact, by the Consultant acting through the City or by the City only. When coordination efforts require agreements, such agreements shall be coordinated through the City. 19C-5 PROFESSIONAL SERVICES AGREEMENT A Professional Services Agreement will be required. The Statement of Qualifications submitted in response to this Request for Qualifications will be attached and become part of the service agreement as an exhibit. INSURANCE All required insurance must be provided to the City in advance and renewed annually. A consultant may not work for the City of Santa Ana until the appropriate insurance has been approved. A copy of the Insurance Requirements for Consultants and additional insured Endorsement for Commercial General Liability Policy are included as Attachments "A and B". Please refer to these attachments for the necessary amounts of general liability, automotive, worker's compensation and professional liability insurance. The certificate shall include the City and its officers and employees as insured or additional insured. PRIME CONSULTANT RESPONSIBLITIES The selected Consultant will be required to assume responsibility for all services in their proposal. The selected Consultant will be the sole point of contact with regard to contractual matters, including payment of any and all charges resulting from the Agreement. RULES FOR PROPOSALS The signer of the proposal 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 principal proposer. ADDENDA Any subsequent changes in RFQ from the date of issuance to date of submittal will result in an addendum by the issuing office. III. Scope of Services Consultants will be expected to provide experienced and knowledgeable professional staff familiar with federal, state and local regulations including the Santa Ana Municipal Code and General Plan and the CEQA and NEPA. The Consultants' Project Manager and staff shall be responsive and maintain excellent working relationships with project applicant, property owners, developers and City staff. Consultants shall be committed to provide adequate staffing levels at all times in order to adhere to established schedules. All consultants shall provide services under the direction of City staff. Services may include attendance at appropriate City Council, City Commission and neighborhood meetings. 3 19C-6 A. Environmental Services Services include, but are not limited to preparation of documents, distribution and filing of environmental noticing, preparation of studies and technical reports as required by the CEQA and NEPA including, but not limited to: • Initial Study • Notice of Preparation • Notice of Availability • Notice of Determination • Categorical Exemption • Negative Declaration • Mitigated Negative Declaration B. Technical Studies • Environmental Impact Report (Program, Focused, Master, Staged) • EIR Addendum, Supplemental EIR, Subsequent EIR • Mitigation and Monitoring Program • Response to Comments • Statement of Overriding Considerations • NEPA compliance documents As necessary, prepare any technical studies needed to complete the environmental review or for development projects as -needed, including but not limited to: • Air Quality Study • Noise Impact Study • Biological Resource Assessment • Cultural Resource Study • Environmental Site Assessments • Geological/Soil Study • Greenhouse Gas Assessment C. Staffing Services • Health Risk Assessment • Historical Resource Assessment • Hydrology/Water Quality Study • Water Supply Assessment • Mineral Resource Study • Utility/Sewer Study • Traffic Study The Planning Division is also seeking qualified professional individuals, firms, or multi- disciplinary teams with experience in current and advanced planning, and historic preservation to assist with development projects and planning efforts on an as - needed basis. IV. Submittal Requirements The Request for Qualifications is intended to assess and evaluate each firm's capabilities as they apply to the City of Santa Ana. Each firm must address each of the following items in their response to the RFQ. A. Statement of Qualifications In order to maintain uniformity with each Consultant, the Statement of Qualifications must be limited to a maximum of 20 pages (excluding front and back covers, section El 19C-7 dividers and resumes). The page limitation includes all appendixes, attachments and supplemental information. The following information is required: 1. Cover Letter A letter signed by a principal or authorized officer who may make legally binding commitments for the entity. 2. Firm and Personnel Experience A profile of the firm's experience in producing environmental documents and technical studies and a brief resume of key personnel who may perform work for the City. 3. Scope of Services Clearly identify the scope of services that will be provided (if one, two or all three services can be provided). Services to be provided should be identified by both the letter and name that is listed in Section III above (i.e. "A. Environmental Services" and "B. Technical Studies— Historical Assessments"). 4. Relevant/Related Experience Provide a list of projects, which your firm or personnel have completed within the last 5 years, including significant work with public agencies. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. Firms that specialize in technical studies (biology, noise, air quality, traffic, etc.) shall submit materials describing their qualifications to prepare such studies. Technical firms will be placed on the list with a technical study annotation. 5. References Provide at least three (3) references that may be contacted for verification of the respondent's experience and qualifications. B. Project Contact The Project Manager/Principal Agent for the proposed work shall be identified. The project manager shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an interview. C. Insurance Verification Include a statement of understanding that all required insurance must be provided to the City in advance of any work performed and renewed annually. 5 19C-8 D. Fee Schedule The Consultant shall furnish a general fee schedule for environmental and planning services and technical studies. The fee schedule shall depict the general hourly rates for each personnel category to be used. Personnel hourly rates shall reflect all costs for office overhead, including phones, cellular phones, vehicles, mileage and other direct and indirect costs. V. Submittal Information and Deadline Submit three (3) bound copies and one (1) electronic version (USB flash drive or CD) of the proposal. Please submit your proposal in a sealed envelope labeled "RFQ Response for Environmental and Planning Services." Hard copies of the proposals are required; electronic and facsimile submittals will not be accepted. Proposals must be delivered to: City of Santa Ana Planning Division, attention to Selena Kelaher, Associate Planner, 20 Civic Center Plaza, Santa Ana, CA 92702 on or before July 7, 2017 by 5:00 p.m. Proposals received after the date and time specified in this RFQ will be rejected by the City as non-responsive. If proposals are mailed send to: Attn: Buyer, Eva Goods Purchasing Department, 4th Floor 20 Civic Center Plaza, Room 429 Santa Ana, CA 92701 For all questions and inquiries related to the Request for Qualification for Environmental and Planning Services please contact Selena Kelaher, Associate Planner at (714) 667- 2740 or SKelaher d).santa-ana.orc. LVA MM_ I .T.IiO�lTfiiLa'1 - The Consultant shall submit a monthly invoice to the City for the services rendered in that month. The invoice format shall be approved by the City and include a summary of and detailed breakdown of the services, the project title, the tasks, the hours, and hourly rates. VII. Proiect Control Control of the project shall remain the total responsibility of the City of Santa Ana VIII. Consultant Selection The City of Santa Ana will evaluate the consultants based on technical criteria and qualifications listed within the RFQ, reference checks, and other information, which will be gathered independently. Upon selection, the City will provide the firm with a new vendor packet. All information within the packet and any additionally requested N 19C-9 information must be submitted back to the City in order to be included on the final list for City Council approval. A final listing of the most qualified consultants will then be established and subsequently be approved by City Council. 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 RFQ or otherwise. IX. Filing a Protest Bidders may file a "protest" with the City's Planning Agency. In order for a vendor's protest to be considered valid, the protest must: 1. Be filed in writing within five (5) business days of either the RFP posted date or before 5:00 p.m. of the 5th business day following the posting of RFP results/Notice of Intent to Award Contract on the City's website; 2. Clearly identify the specific irregularity or accusation; 3. Clearly identify the specific City staff determination or recommendation being protested; 4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and 5. Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City's Planning Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The Planning Manager will provide a written decision to the protestor within fourteen (14) calendar days from receipt of protest. The decision from the Planning Manager, or her/her designee, is final and no further appeals will be considered. X. Attachments Attachment A - INSURANCE REQUIREMENTS FOR CONSULTANTS Attachment B - ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY 19C-10 ATTACHMENT A INSURANCE REQUIREMENTS FOR CONSULTANTS IMPORTANT - YOU MAY NOT COMMENCE WORK FOR THE CITY OF SANTA ANA UNTIL APPROPRIATE INSURANCE HAS BEEN APPROVED TYPES OF INSURANCE REQUIRED: CGL (Commercial General Liability) — CGL insurance is required when the Consultant will be performing services on City property or receiving City grant funds. A $1,000,000.00 per occurrence with $2,000,000.00 in the aggregate policy is required. The certificate of insurance must provide 30 days' notice of cancellation or material reduction in policy limits. Additionally, the City of Santa Ana, its officers, agents, volunteers and employees shall be named as an additional insured via an additional insured endorsement. The additional insured endorsement shall provide that the Consultant's insurance is primary to any insurance or self-insurance carried by the City as well as a separation of insured's clause. As an alternative, the City of Santa Ana offers vendor's liability insurance. Please call Briza Morales at 714-647-5475 for more details. Automobile - Automobile insurance is required when the Consultant will be driving from one City site to another City site in a non -City vehicle. A $1,000,000.00 per occurrence policy for owned, hired and non -owned automobiles is required. Worker's Compensation — In accordance with the provisions of Section 3300 of the California Labor Code, any Consultant with employees must maintain employer's liability insurance with limits not less than $1,000,000.00 per accident. Worker's Compensation is not required for sole proprietors or a partnership with no employees. However, these Consultants must complete a "Worker's Compensation Declaration." This form may be obtained from City staff. Professional Liability — Professional liability insurance is required for state licensed professionals, such as, engineers, architects, CPAs, attorneys and medical professionals. A $1,000,000.00 policy is required. 19C-11 ATTACHMENT B 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 92702; its officers, employees, agents, volunteers and representatives are named as additional insured's ("additional insured's") 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 insured's, 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 92702. (Completion of the following including countersignature, is required to make this endorsement effective. Effective Policy # _ Issued to this endorsement form as a part of Named Insured Countersigned by Authorized Representative 0 19C-12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: PUBLIC WORKS AGENCY STATUS OF PROJECTS - MONTHLY CAPITAL IMPROVEMENT PROGRAM EXECUTIVE REPORT FOR MAY 2017 (STRATEGIC PLANNO. 5, 1) �Z, CIT MANAGER LJ RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER The May 2017 Capital Improvement Program Executive Summary Schedule (Exhibit 1) provides departmental activity in alignment with the stated goals of the Strategic Plan. The report includes tasks, next steps, outcomes, and percentage completed for each project. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #1 (establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this item. re Mousavipour Executive Director Public Works Agency FM:Io Exhibit: 1. 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DISCUSSION On April 1, 2013, the City Council approved Resolution 2013-014 outlining the records retention schedule for the agencies, departments, and offices of the City. City records are governed by the Public Records Act which provides the period in which records need to be retained. The Citywide Records Team compiled the Citywide Records Retention Schedule which sets forth the retention period for a particular record. The Municipal Code requires that the destruction of a City record be approved by the City Attorney. In accordance with Section 5B of the Citywide Records Retention Schedule Resolution, the City Attorney has approved the list of records proposed for destruction from the departments as outlined in the attached documents. 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. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this item. Exhibit: 1. Memo Request for Destruction of Records — Finance and Management Services Agency 2. Memo Request for Destruction of Records — Police Department 19E-1 19E-2 To: Jose Sandoval, Chief Assistant City Attorney City Attorney's Office From: Executive Director of Finance & Management Services Subject: REQUEST FOR DESTRUCTION OF RECORDS 7017 MY 25 FM I: 39 CITY OF SANTA ANA CLERK OF Cr 1P_ Date: January 12, 2017 The Finance & Management Services Agency requests your consent to destroy city records relating to the Treasury Division on the attached listing, in accordance with the retention schedule outlined in City Council Resolution 2013-014. Thank you. Francisco Gutierrez WW Attachments C: Willard V. Holt, Treasury Division 19E-3 Exhibit 1 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE FINANCE & MANAGEMENT SERVICES AGENCY — TREASURY DIVISION 2016 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES BANKS Daily Bank Balance Reports of daily banking activity. 06130/2013 Report and Prior Deposit Slips Treasury's copy of all City deposit slips sent to bank 06/30/2013 and Prior Returned Checks Copies of customer checks returned b bank, letters sent P Y 06/30/2013 and Prior to customers and other miscellaneous documents Statements Statements relating to investment banking. 06130/2013nPrior Transfer Activity Records Documents pertaining to the wiring of funds to/from bank P 9 9 06/30(2013 accounts and Prior 06/3012013 BUSINESS Monthly Register Miscellaneous Business License Account Summary and Prior LICENSE TAX Reports Information reports. Deletion Records Deleted and/or cancelled accounts. 06/30/2013 and Prior Gross Receipts & Business License Tax statements filed by business 06/30/2013 Variable Assessments operators. and Prior Statements Miscellaneous Receipts Receipts for miscellaneous payments. 06/30/2013 and Prior Original Applications Original business license tax applications, 06/30/2013 amendments/correspondences for inactive accounts. and Prior Payment Records Statements relating to calculation and payment of 0 613 0/2 01 3 business license tax. and Prior Renewal Registration Statements relating to business owner information 06/30/2013 Records and Prior Payments / Daily Cash Business License Tax payments received and processed 0 6130 /2 01 3 Receipts via Treasury cashiers. and Prior CHECKS Voided / Canceled Checks voided/canceled; issued by the City; includes 06/30/2011 Checks & Related Housing Authority, Workers Compensation, Payroll and and Prior Reports Vendor; includes checks voided as a result of printer misali nment. 19E-4 ....___ ._.__.. . RECORD RECORD RECORD RECORD CATEGORY SERIES ` DESCRIPTION DATES CHECKS (cont)Paid Paid checks Issued by the City,, includes Hous 'n Au horny, Workers Payroll )endor _ 06(d30/2011 Compensaflon, and checks. an Prior Transmission of all List of all City checks issued to allow bank to clear 06/3 012 01 3 BChecks issued by City to ank. checks through account for Positive Pay purposes. and Prior DOG LICENSES Original Applications Application for Dog License and amendments/corrections 06/30/2013 for inactive accounts. and Prior Including Rabies Vaccination records. Reports Daily payment information; unpostabies; renewals; 06/30/2013 noncompliance; tag list; penalties and Prior Payments / Daily Cash Dog License payments received and processed via 06/30/2013 Receipts Treasury Cashiers, and Prior Cancellations Dog Licenses cancelled 06/3012013 and Prior HOTEL Filing Records Original Registration and amendments/corrections for 06/30/2013 VISITORS TAX inactive accounts. and Prior Payment Records Monthly filings and remittances and 06/30/2013 amendments/corrections for inactive accounts. and Prior WATER Applications for Service Ori final copies of ap li ations for installation of new 06/30/2013 ACCOUNTS wafer service origina�e� b Public Works and and Prior amendments/corrections tYor inactive accounts. MUNICIPAL m Billing Register Reports Computerized reports detailing accounts billed & 06/30/2013 ACCOUNTS respective charges and Prior Work Orders Investigations of water meter notices and meter 06/30/2013 exchanges and Prior Customer files Miscellaneous information / correspondence regarding 06/3012013 customer accounts and Prior Deposit Reports List of Municipal Utility Service accounts that have a 06/30/2013 deposit and Prior Payment Report Lists daily receipts processed via Treasury Cashiers to Municipal Utility Service 06/30/2013 accounts by account number and Prior Payments Daily receipts processed to Municipal Utility accounts by 06/30/2013 Services account number and Prior Municipal Utility Municipal Utility service Refunds requests and backup 06/3012013 Services information and Prior Aging Report Lists balances of all Municipal Utility Service accounts 06/30/2013 and Prior PARKING Collections Itemization of citation payments collected by contract 06/30/2013 CITATIONS service agency and Prior Register _ Parking Citation Payments process by Treasury Staff 3 PARKING and 0/20 CITATIONSPrior 19E-5 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION' DATES Amou�Cs;VYXittep-off List of parking citations written -off by DMV 06/30/2013 e or and Prior` ` Citations Referred to Itemization of citations referred to DMV for collection 06/30/2013 DMV and Prior DMV Collections DMV parking citation Collections 06/30/2013 and Prior REFUND Business Tax Office & Refund requests to Treasury Division; includes 06/30/2013 REQUESTS Misc. Refunds supporting documentation and Prior TREASURY Daily Treasurer's Reports Raport of daily revenues received with detail payment 06/30/2013 information and related working papers and Prior Treasury Investment All documents pertaining to Investment Activity 06/30/2013 Activity Records and Prior PREPARED BY: Minerva M. Mancha Date Treasury Services Supervisor 19E-6 CONSENT BY: -XvsN k )kXA ) " zftjz,�e? Francisco Gutierrez Date Executive Director Finance & Management Services APPROVED BY: ?. r Sonia R. Carvalho Date City Attorney Exhibit 2 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE POLICE DEPARTMENT Division Name: Police Communications Division Record Record Series Record Description Record Dates Category Supervisor Daily By Name -Supervisors' daily logs 12-31-2013 and Logs documenting daily shift activities prior Supervisor Daily By Shift -Supervisor daily record of 12-31-2013 and Assignment Logs assignments prior Fiscal -Payroll overtime records (copies) 12-31-2013 and -Part-time employee pay records prior (copies) Audio Recording -Audio requests for 12-31-2013 and Requests incoming/outgoing calls for prior service -Audio requests for radio activity -Tape requests "released to" logs General Records -Projected vacation 12-31-2013 and schedules/master calendar prior -Shift change schedules -CLETS entry logs -Parking validation logs -Public works logs Prepared by: Name: Lisa Barringer Title: Acting Police Communications Manager Date: 10-17-16 Number of boxes to be destroyed: 3 (lateral file drawers) CONSENT BY: James Sdhnabl, Acting Chief of Page 1 of 2 19E-7 5 --r-7® 1? Date CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE POLICE DEPARTMENT Division Name: Police Communications Division APPROVED BY: TA Mara og sian, Assistant City Attorney Date Records destroyed by: Print Name & Badge # Date of destruction: Signature Once your records have been destroyed return this form to the Records Manager and keep a copy of this form for your files. Page 2 of 2 19E-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: CONTRACT AWARD TO DILTEX INC. FOR HEWLETT PACKARD SUPPORT CONTRACT RENEWAL (SPEC. NO. 17-046) (STRATEGIC PLAN NO. 6,1 F) i CIT MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on1"Reading ❑ Ordinance on 2n°Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize a one-time purchase and payment of purchase order to Diltex, Inc. for the purchase of Hewlett Packard support contract renewal in the total amount of $35,860, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The City's two data centers support the continuous City business operations on a 24 hours a day/ 7 days a week/ 365 days a year (24/7/365) cycle. In order to provide this service level, the Information Technology Department maintains the computer infrastructure with manufacture supported 24/7/365 maintenance contracts. The Hewlett Packard servers and storage equipment within the data centers require provisions with access directly to the manufacturers' technical support centers. This level of support allows the manufacture to interactively diagnose system troubles and provide solutions to localized problems, returning -to -service as soon as possible. In addition, the support contract with Hewlett Packard includes access to bug fixes, patches, and upgrades. These are essential for preserving the fitness and considerable investment in the hardware. The notice inviting bids was advertised on April 25, 2017 and offers were solicited. A summary of the bids and offers received is as follows: 469 Vendors were notified 31 Vendors downloaded the bid 0 Bids received from a Santa Ana vendor 6 Bids received 22A-1 Contract Award for Hewlett Packard Support Contract Renewal June 6, 2017 Page 2 Bids were received and opened on May 8, 2017, (Exhibit 1). The bid received from Diltex, Inc. is responsive to the specifications and meets the City's requirements. STRATEGIC PLAN ALIGNMENT Approval of these 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 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). FISCAL IMPACT Funds for FY 2016-17 are available in the amount of $35,860 in the Finance Information Systems Strategic Plan Maintenance and Support account (no. 10920147-62307). 114 JA J4 Ciulla Clef Technology Innovations Officer Information Technology Department EG EXHIBIT: 1. Abstract of Bids APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Oo Executive Director Finance and Management Services Agency 22A-2 Contract Award for Hewlett Packard Support Contract Renewal June 6, 2017 Page 3 ABSTRACT OF BIDS CONTRACT AWARD FOR HP SUPPORT CONTRACT RENEWAL (17-046) VENDOR Diltex, Inc. Emaence vCloud Tech Inc. LOCATION West Covina, CA San Diego, CA Rolling Hills Estates, CA OFFER $35,857.75 $37,300.00 $38,336.23 VENDOR Starnet Data Design LOCATION West Covina, CA OFFER $40,420.45 Golden Star Technology Inc. Cerritos, CA $58,115.04 Exhibit 1 22A-3 Taborda Solutions, Inc. Folsom, CA $107,832.38 22A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: AMEND AGREEMENT WITH WESTERN AUDIO VISUAL TO PROVIDE AUDIO- VISUAL EQUIPMENT, INSTALLATION, AND SERVICES (STRATEGIC PLAN NO. 7, 5A) QdYM-ANAGER-) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 � Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to amend the agreement with Western Audio Visual to provide audio-visual equipment, installation, and on-call services; exercising a two-year optional term extension beginning June 21, 2017 through June 20, 2019; and increasing the compensation by $50,000, for a total agreement amount not to exceed $130,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION On June 21, 2016, at the culmination of a Request for Proposal process (Exhibit 1), the Public Works Agency entered into an agreement with Western Audio Visual to modernize two conference rooms in the Ross Annex Building with high resolution displays for meetings, presentations and technology for computer-based teleconferencing, including cameras, microphones and speakers (Exhibit 2). This agreement included options for two two-year extensions exercisable by the City Manager and City Attorney. Since completion of the installations, the systems in these conference rooms have been in continual use by staff and consultants for meetings and presentations. The Public Works Agency would like to standardize its remaining conference rooms with similar equipment. By means of the requested agreement amendment, the additional compensation of up to $50,000, along with the approved time extension option, would be sufficient to identify the scope and complete the remaining installations in the Ross Annex and at the City Yard (Exhibit 3). The scope of services for each conference room will be prepared and approved by the Public Works Agency prior to installation of the audio-visual equipment. 25A-1 Amend Agreement with Western Audio Visual June 6, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item 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. FISCAL IMPACT Funding in the amount of $50,000 is budgeted and available in the FY 2016/17 Public Works Administrative Services Fund (Account No. 10117601-62300) and will be encumbered for expenditure as follows: Fr d Mousavipour Executive Director Public Works Agency FM/MM/TB FISCAL YEAR AMOUNT FY 17/18 $45,000 FY 18/19 $5,000 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency EXHIBITS: 1. RFP — Audio -Visual Equipment, Installation and Services 2. Agreement with Western Audio Visual 3. First Amendment 25A-2 REQUEST FOR PROPOSALS (RFP) FOR AUDIO-VISUAL EQUIPMENT, INSTALLATION AND SERVICES RFP NO.: 16-044 CITY OF SANTA ANA Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 Trevor Burgan GIS Administrator (714) 647-56.57 Office tburganfa ,santa-ana.ore for Release: Fred Mousavipour Executive Director Public Works Agency KEY RFP DATES (Subiect to change at discretion of Cit_y): Issue Date: Wednesday, March 23, 2016 Deadline for Requests for Information: Monday, April 11, 2016; 9:00am. Pre -Proposal Meeting: Wednesday, March 30, 2016; 10:00arn. Ross Annex Rm# 4104 Proposal Due Date: Thursday, April 21, 2016; 4:00pm. Presentation/Interviews: Thursday, May 5, 2016 Projected Award Date: Tuesday, June 21, 2016 Exhibit 1 City of SMVIT 16-044 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for the AUDIO-VISUAL EQUIPMENT, INSTALLATION AND SERVICES. Responses to this Request for Proposals (RFP) will be accepted until Thursday, April 21, 2016 at 4:00 p.m. Proposals received after this date/time will not be considered. It is the responsibility of the proposer to ensure that any proposals submitted have sufficient time to be received by the City of Santa Ana prior to this proposal due date and time. Proposals shall be enclosed in a sealed envelope and marked clearly with following information, formatted as follows: "SEALED PROPOSAL FOR RFP NO. 16-044 AUDIO-VISUAL EQUIPMENT, INSTALLATION AND SERVICES IN THE CITY OF SANTA ANA DO NOT OPEN WITH REGULAR MAIL." City of Santa Ana Attn.: Trevor Burgan Public Works Agency; 20 Civic Center Plaza; 4th Floor Reception, Ross Annex Building Santa Ana, CA 92701 Proposals shall be mailed, hand delivered, or sent by courier service. Proposals shall NOT be sent via telegraphic, electronic or facsimile. All notifications, updates and addenda will be posted on the City's RFP Bid page at www.santa-ana.or /bg ids - r s. 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. City of Santa Ana RFP 16-044 ,Vage 20A-4 4 C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR AUDIO-VISUAL EQUIPMENT, INSTALLATION AND SERVICES RFP NO.: 16-044 TABLE OF CONTENTS I. GENERAL II. PROPOSAL TERMS AND CONDITIONS III. INSTRUCTIONS TO PROPOSERS A. CITY RESPONSIBILITIES B. PROPOSER RESPONSIBILITIES C. REQUEST FOR INFORMATION OR CLARIFICATION D. ADDENDA E. LICENSES & PERMITS F. INSURANCE G. PAYMENT INFORMATION PACKET H. PRE -PROPOSAL MEETING I. CITY RIGHT TO REJECT J. PROTESTS IV. SUBMITTAL REQUIREMENTS A. GENERAL B. PROPOSAL CONTENTS 1. STATEMENT OF QUALIFICATIONS 2, SCOPE OF SERVICES & SCHEDULE 3. FEE PROPOSAL 4. CERTIFICATIONS V. PROPOSAL REVIEW (CONSULTANT SELECTION) A. EVALUATION AND RATING B. SELECTION VI. AWARD OF AGREEMENT A. REQUEST FOR COUNCIL ACTION B, EXECUTION OF AGREEMENT VII. IMPLEMENTATION A. KICK-OFF MEETING B. NOTICE TO PROCEED VIII. PUBLIC RECORDS IX. APPENDIX ATTACHMENT 1: SCOPE OF WORK ATTACHMENT 2: STANDARD AGREEMENT ATTACHMENT 3: CERTIFICATIONS City of Santa Ana RFP 16-044 28vaA15 (9) CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR AUDIO-VISUAL EQUIPMENT, INSTALLATION AND SERVICES RFP NO.: 16-044 I. GENERAL Nature of Work: The City of Santa Ana is seeking a consultant to design, provide and install conference room audio / visual equipment. A detailed Scope of Work is included in the Appendix of this RFP as Attachment 1. Number of Proposals and Signature: The submittal shall include four (4) hard copies and one (1) digital file on a labeled USB Flash Drive (or equivalent). One (1) of the four (4) hard copies shall be marked as "ORIGINAL" and shall be signed by a company official with the power to bind the company. One (1) copy of your Fee Proposal shall be submitted. Proposal Evaluation and Rating: The criteria for evaluating the proposals submitted will take the following items into consideration: • Firm/Team Experience 25% • Understanding of Need 25% • Relevant Project Experience 20% • Availability and Project Schedule 10% • References 20% The City has established a proposal review committee to evaluate proposers based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. Term of Contract Agreement: The City desires to enter into a contract with the selected firm for an initial one (1) year term with a City option for two (2), two (2) year extensions. This term is outlined in the Standard Consultant Agreement, as contained in the Appendix of this RFP as Attachment 2. II. PROPOSAL TERMS AND CONDITIONS By submitting a Proposal, the Proposer acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFP as described below: A. EXAMINATION: Proposer represent that it has thoroughly examined and become familiar with the services and responsibilities required this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City's objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in the relation to this RFP are fully incorporated. City of Santa Ana RFP 16-044 4 20A-6 B. EXECUTION OF AGREEMENT: The City and the selected Proposer will enter into an Agreement similar to that as shown in Attachment 2, in the Appendix of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to select the next most qualified Proposer or call for new Proposals, whichever the City deems most appropriate. C. PROPOSAL VALIDITY: Services, pricing and warranties indicated in a respondent's Proposal must be valid for a period of 120 days after the submission of the Proposal. D. PRE -CONTRACTUAL EXPENSES: Santa Ana shall not, in any event, be liable for any pre- contractual expenses incurred by Proposers in the preparation of its proposal. E. JOINT OFFERS/SUB CONSULTANTS: Where two or more Proposers desire to submit a single Proposal in response to this RFP, they should do so on a prime-subconsultant basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of subconsultants be offered, the Proposer shall provide the same assurances of competence for the subconsultant plus the demonstrated ability to manage and supervise the subcontracted work. Subconsultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all subconsultants in the same manner as the Proposer. A. CITY RESPONSIBILITIES 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. B. PROPOSER RESPONSIBILITIES Point of Contact: The selected proposer will assume responsibility 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. Evidence of Financial Capacity: Proposer may be requested to 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. C. REQUEST FOR INFORMATION OR CLARIFICATION All questions or requested clarifications shall be made in writing via e-mail to the Project Manager (contact information as noted on the cover page to this RFP) by or before the "Deadline for Requests for Information" date noted on the cover page of this RFP. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP, as indicated in Section III.D. City of Santa Ana RFP 16-044 29A27 D. ADDENDA Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on City's website, www. santa-ana. org(bids-rfps E. LICENSES & PERMITS The selected Proposer may be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City Project Manager or designee prior to commencing any work in Santa Ana. Additionally, Proposer will be responsible for obtaining any licenses/permits required by the Scope of Work. F. INSURANCE The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of notice of award. G. PAYMENT INFORMATION PACKET The selected Proposer shall return a completed payment information packet within ten (10) business days after the successful Proposer has received notice that the agreement has been awarded. The packet is available on the City's website: www.santa-ana.or_ bids-rfps H. PRE -PROPOSAL MEETING A pre -proposal meeting will occur on the date, time and location identified below. The meeting will include discussion of the project scope, a walk-through of the conference room as noted in the scope of work and a question -and -answer session. It is highly recommended that the Proposer's key team members attend this meeting. Significant interpretations or clarifications will be addressed via addenda to this RFP, as described above in "Section III.D: Addenda". Meeting Date: Wednesday, March 30, 2016 Meeting Time: 10:00am Meeting Location: City of Santa Ana City Hall, Ross Annex Building, 4`" Floor, Room# 4104 20 Civic Center Plaza Santa Ana, CA 92701 I. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. 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 minor inconsistency, informality or technical defect in the proposal. 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. Subcontractors shall be the City of Santa Ana RFP 16-044 26K=b responsibility of the successful Proposer and the City shall assume no liability of such subcontractors. J. PROTESTS Proposers with concerns or rebuttal of any staff determination of non -responsiveness or non - responsibility may submit, in writing within five (5) business days, to the Project Manager, any concerns regarding the RFP process or staff determination. Such writing shall be considered by the City Manager or his designated representative, and may be acted upon within five (5) business days. If no action is taken within such time, there shall be no change to the staff determination. The exercise by Proposer of its right to submit written concerns shall be a condition precedent to seeking judicial review of any award of a contract hereunder. IV. SUBMITTAL REQUIREMENTS A. GENERAL 1. Number of Copies and signature: Refer to Section I: General. Deadline: Proposals are due to the City of Santa Ana, at the date, time, and location set forth above in the Notice Inviting Proposals. B. PROPOSAL CONTENTS A responsive proposal shall contain the following documentation: 1. STATEMENT OF QUALIFICATIONS The Statement of Qualifications shall be limited to a MAXIMUM of (10) DOUBLE -SIDED PAGES (excluding front and back covers, section dividers and attachments such as resumes, forms). Font size shall be minimum l I -point Arial. Proposal exhibits shall be maximum 11" x 17". The Statement of Qualifications includes the following: a. Cover Letter: Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity. b. Agreement Statement: Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in the standard agreement attached as Attachment 2, in the Appendix of this RFP. c. Firm and Team Experience: Proposal shall include a profile of the firm's experience. Include resumes of project team/sub-contractors that outline their technical and design experience. At a minimum, this should include the project manager/principal agent, associates in charge when project manager/principal agent is unavailable, key personnel, firm size, 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. City of Santa Ana RFP 16-044 25A'9 d. Understanding of Need: Proposal shall include an outline which demonstrates the firm's understanding of the scope of work. This outline should include anticipated approach, tasks necessary for successful completion, and suggestions or special concerns that the City should be made aware of. e. Relevant Project EUerience: Proposal shall include a list of relevant projects which your firm or personnel have completed within the last five (5) years, including significant work with public agencies. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. f. Availability: Proposal shall include a written statement which provides information on the proposer's current workload and how this project would be accommodated (availability of skilled labor force). This information should be included for all identified members of the project team. (Example statement: The project manager will complete 80% of the proposed project and will allocate 60% of his total time to the proposed project.) g. References: Proposal shall include references for three public entities for which Proposer has performed similar work within the past five (5) years h. Fee: Fees may or may not be included as part of evaluation criteria. Refer to "I. GENERAL", and IV. SUBMITTAL REQUIREMENTS, B.3 FEE PROPOSAL, below. (this item not part ofpage limit) 2. SCOPE OF SERVICES & PROJECT SCHEDULE Proposal shall include a Scope of Services and Project Schedule which details the work phases to be completed, the tasks to be accomplished, the deliverables to be provided, and the schedule /timeline to complete the project, based upon the requested Scope of Work, detailed in Attachment 1, which is included in the Appendix of this RFP. The Scope of Services and Project Schedule shall be limited to a MAXIMUM of (5) DOUBLE -SIDED PAGES. Font size shall be minimum 11 -point Arial. Proposal exhibits shall be maximum 11" x 17". 3. FEE PROPOSAL: Proposer's fee proposal shall be submitted concurrently with the technical proposal, but in a separately sealed envelope, clearly labeled as "Fee Proposal." This shall include the firm's Standard Hourly Fee Schedule, and/or a Project Fee Schedule where applicable and as outlined in the Scope of Work. Where fees are NOT included as part of evaluation criteria, the fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the consultant based on qualifications, and then negotiate a contract price based on available funding. Where fees ARE included as part of the evaluation criteria, the fee proposal will be opened and reviewed concurrently with the proposal, and weighted per the percentage identified in "I. GENERAL". City of Santa Ana RFP 16-044 25NA 0 4. CERTIFICATIONS: The following forms, included in Attachment 3 in the Appendix of this RFP shall be signed and included as part of the proposal submittal package: • Attachment 3-1: Non -Collusion Affidavit • Attachment 3-2: Non -Lobbying Certification • Attachment 3-3: Non -Discrimination Certification V. PROPOSAL REVIEW (CONSULTANT SELECTION) A. EVALUATION AND RATING Refer to Section I, General. B. SELECTION The committee may interview the top ranking proposers. The City will recommend award of the agreement to the proposer who will provide the best quality and value to the City. City reserves the right to begin negotiations and enter into an agreement without interview or further discussions. VL AWARD OF AGREEMENT A. REQUEST FOR COUNCIL ACTION Following evaluation and rating by the proposal review committee, the Executive Director will recommend award of an agreement to the proposer providing the best quality and value to the City. B. EXECUTION OF AGREEMENT A standard agreement is included as Attachment 2, in the Appendix of this RFP. "Proposer" will hereinafter be referred to as "Consultant' in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. VII. IMPLEMENTATION A. KICK-OFF MEETING A kick-off meeting will be held after award of contract. Consultant and its team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation process. B. NOTICE TO PROCEED Following the kick-off meeting, a formal Notice to Proceed (NTP) may be issued after the agreement is fully executed, and all insurance documents and contents of the Payment Information Packet have been received and approved. City of Santa Ana RFP 16-044 2EPA a 11 VIII. PUBLIC RECORDS All responses to the RFP shall become property of the City, and proposals will become public record after award of agreement. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. City of Santa Ana RFP 16-044 2 &.=42 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR AUDIO-VISUAL EQUIPMENT, INSTALLATION AND SERVICES RFP NO.: 16-044 Introduction and Background: The City of Santa Ana is seeking responses to this RFP from qualified vendors to provide and install a complete and working audiovisual presentation and web -enabled conferencing system in two locations at City Hall as described in the description of work. The project includes the purchase of new audiovisual and control equipment, installation, programming, documentation, training and extended warranty. The City also desires to enter into a contract with the selected vendor for an initial one (1) year term with a City option for two (2), two (2) year extensions. This contract will allow the city to purchase equipment and installation services for additional conference rooms as needed during the term of the agreement. The estimated budget for this project is $80,000 for both rooms combined. Each conference room shall be quoted separately in the sealed Fee Proposal envelope and each room will be considered a separate project with a separate schedule. Description of Work: The City is requesting a proposal to provide and install an audiovisual presentation system for the Ross Annex 401 Floor Large Conference room (RA Rm# 4104) and for the Ross Annex 3rd Floor Large Conference Room (RA Rm# 3004) with the following features and capabilities: Display One Sharp 80"-90" high definition monitor capable of displaying computer and video sources along with providing compatibility with PC-based video conferencing and the audio system. This monitor shall feature fall HD 1920 x 1080p resolution with a low profile bezel and anti -image retention technology and be mounted to the wall utilizing a heavy-duty tilting flat panel mount. The vendor will either install a new electrical outlet or relocate an existing electrical outlet behind the monitor so it is not visible. Sources One dedicated City -furnished computer will be located in the Vendor supplied equipment cabinet. The City will be responsible for the proper OS and software packages needed to perform the functions of the computer. A wireless keyboard/mouse will be provided by the Vendor, for use with the dedicated City computer. The City is responsible for providing the data connection for the computer, but the Vendor may be required to relocate the data connection as needed by the design of the conference room. The Vendor may suggest an appropriately sized computer to fit within the Vendor supplied equipment cabinet, if the City-fiunished computer is not appropriate. City of Santa Ana RFP 16-044 26A%L13 One wireless laptop connection solution for displaying video and audio wirelessly from a City provided laptop Two wired guest laptop connections, from a patch panel located near the equipment cabinet. The patch panel will offer VGA, sound and HDMI connectivity. The Vendor will provide two (2) 25 ft. VGA with audio cables for use with the guest laptops. The Vendor will provide two (2) 25 ft. HDMI cables that are thin and flexible. The City shall furnish one HD Cable TV tuner to be located in the Vendor supplied equipment cabinet. One DVD/Blu-Ray video connection. The vendor shall provide a DVD/Blu-Ray player, suitable for rack mounted installation in the Vendor supplied equipment cabinet. All sources shall be routed through a video scaling switcher located in the vendor provided equipment rack. This will allow the appropriate source to be displayed on the monitor. Video (PC-based Video Conferencine) The Vendor will specify, provide and install an HD video camera system suitable for use with web -based video conferencing software such as Skype for Business or GoToMeeting, etc. The camera system should have the ability to pan, zoom and tilt to offer views of different areas of the room and the system should integrate easily with all video conferencing software. The Vendor will also provide a quote for providing and installing a 360 -degree conference camera (similar to Polycom CX5100) as an additional option. Audio All computer and video sources shall include audio playback through ceiling mounted loudspeakers. The PC- based video conferencing calls will be heard through these same speakers. All audio signals are routed through a digital audio processor that provides the feedback suppression, echo and room noise cancellation and matrix routing to enable the appropriate signal distribution and audio control needed for each room. The PC-based video conferencing calls will be clear and articulate with natural two-way (full duplex) participation. Dialing and other PC-based video conferencing operations are done from the AV control touch screen. The audio processor has unused outputs for fixture system expansion. In order to allow the highest quality PC-based video conferencing calls while providing fast and simple operation without exposed cabling, the selected vendor shall design and install custom ceiling microphones that provide excellent coverage and intelligibility with a sleek, modem style. Control The City wishes to have a single unified AV control system utilizing a wireless, preferably color, approximately 6.4" touch screen that includes a docking/charging station. This type of system shall provide the reliability of a "wired" panel, as the touch screen is charged and active whenever it is in the docking station along with the flexibility of a wireless panel. The touch screen is programmed to provide a logical, easy to use AV interface for the non-technical user. The control functions shall include: City of Santa Ana RFP 16-044 2bA-f4 System on/off with user -selectable auto shut -down time Presentation Presets — simple one -button selection of up to three of the most common options Display —power, picture mute, auto PC adjust, input selection Visual source — computer source, cable HD tuner, etc. Cable HD TV Tuner —Tuner control including 6 favorite channel direct tune buttons Program Volume — up / down / mute Microphone Volume — up / down / mute Should the City require a more cost-effective control option, the Vendor will suggest a reasonably priced alternative to using a touch screen control panel. Equipment Rack All of the audiovisual equipment shall be stored in an appropriately sized custom audiovisual credenza with a laminate finish, locking front access doors, locking removable back panel and 16RU rack rails for the equipment bay(s). The color of the credenza will be determined with the City at a later date. The vendor will either install a new electrical outlet for the Equipment Rack or relocate an existing electrical outlet behind the Equipment Rack so it is not visible Installation Where possible, all cabling (audio, video, power, data, etc.) for the project will be routed behind walls, ceilings and floors and will be not be visible. Dry wall repair and re -painting services will be provided by the Vendor using a paint choice provided by the City. The Vendor is responsible for providing all required Electrical work. Vendor Responsibilities: Each conference room shall be quoted separately in the sealed Fee Proposal envelope and each room will be considered a separate project with a separate schedule. In the proposal, the Vendor shall specify all appropriate equipment to complete the project outcome or suggest alternate system and/or equipment that will effectively interface and integrate system requirements. In the proposal, the Vendor shall provide information related to service hours and response time for service calls. Include information for providing after-hours on-call support for meetings after regular business hours. The Vendor will create all systems documentation and system drawings describing all features and operations in detail. The Vendor will provide two (2) full color copies of the documentation bound in a protective cover and will also provide the documentation in Microsoft Word 2013 format on USB Flash Drive. Provide all labor, materials, transportation and equipment to complete the furnishing, installation, assembly, set up and testing of the systems, along with equipment provided by the City as noted in the description of work. Perform all work pursuant to a plan developed by the City City of Santa Ana RFP 16-044 29/1-1 5 Purchase, deliver, assemble, test, and modify audiovisual equipment as specified in the Vendor's proposal quote and work with the city to modify the proposal quote as needed to fit within the City's anticipated budget for each room. Furnish and install all necessary conduit, cabling, boxes, conversion, routing and switching equipment, and programming labor required for complete and fully operational systems. Provide all Electrical system work and provide documentation with all current licenses for performing Electrical system work. Marls all cables, regardless of length, with permanent, non -handwritten number of letter cable markers within six inches of both ends. There shall be no unmarked cables at any places in the system. Marking codes used on cables shall correspond to the codes shown on the Vendor supplied system documentation and drawings. Warranty the entire system installation for a minimum of one year from the date of system acceptance by the City. Individual component warranties shall be honored for the term established by the manufacturer, if greater than one year. All displays and speakers are to be suspended from the building structure or attached to rated framing. It is the responsibility of the Contractor to provide a safe support system for the loudspeakers and projectors using rated hardware from the manufacturer. Provide a designated project supervisor that will be present and in responsible charge on the project site during all phases of the installation and testing of the project. Test all audiovisual systems and demonstrate to the City that they are functioning effectively. The governing overall requirement is a complete and functional system. Provide a project maintenance binder with all manufacturer specific operating and maintenance instructions manuals for each piece of equipment installed. Provide two operator and maintenance training sessions on each completed system at reasonable convenience of the City during normal City business hours. Under the warranty, return within the first 60 days after the systems have been tuned over to the City for additional system configuration and fine-tuning. Provide all source code for the control system to the City upon completion of project installation. City Responsibilities: The City will assign a project manager for the work of this project after the bid is awarded. The City will make the project work space available during regular business hours and will coordinate with the selected Vendor to schedule the work space for the installation work. City of Santa Ana RFP 16-044 2v0ii46 Appendix ATTACHMENT 2 STANDARD AGREEMENT CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this day of , 201_ by and between a [insert type of business: sole ownership entity, LLP, etc.], (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 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: SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to 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 exceed $ during the term of this Agreement. b. Payment by City shall be made within # of days (XX) 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 and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on , 201X, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. City of Santa Ana RFP 16-044 25*11g7 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. 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance 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. 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 City of Santa Ana RFP 16-044 20AX-f8 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. (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 cancelled or reduced in coverage or changed in any other material aspect, by consultant, without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. 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. 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. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or City of Santa Ana RFP 16-044 26X-19 property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willfid misconduct of the Consultant. 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. City of Santa Ana RFP 16-044 20A-20 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: , Exec. Director , City Attorney XXXXX Agency City Attorney's Office City of Santa Ana City of Santa Ana 20 Civic Center Plaza (M-) 20 Civic Center Plaza (M-29) P.O. Box 1988 P.O. Box 1988 Santa Ana, California 92702 Santa Ana, California 92702 Fax 714- 647-XXXX Fax 714- 647-6515 To Consultant: 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 City of Santa Ana RFP 16-044 291=121 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: 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. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 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 and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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 City of Santa Ana RFP 16-044 Wige 20A-22 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. 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. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Name of Attorney Assistant City Attorney RECOMMENDED FOR APPROVAL: Name Executive Director — (Agency) CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: (name) (title) Tax 1D# City of Santa Ana RFP 16-044 2SA223 EXHIBIT A SCOPE OF SERVICES (from Attachment 1 of RFP, and/or Consultant Proposal) [Remove this note when assembling Agreement] EXHIBIT B FEE PROPOSAL, including hourly rates (from separately sealed envelope included with Consultant Proposal) [Remove this note when assembling Agreement] EXHIBIT C CERTIFICATIONS (from Attachment 3 of RFP) [Remove this note when assembling Agreement] EXHIBIT D ADDITIONAL PROVISIONS (from Attachment 4 of RFP) City of Santa Ana RFP 16-044 25444 APPENDIX ATTACHMENT 3-1: NON -COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR AUDIO-VISUAL EQUIPMENT, INSTALLATION AND SERVICES RFP NO.: 16-044 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 also constitute signature of this Non -collusion Affidavit. BIDDERS are cautioned that malting 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 City of Santa Ana RFP 16-044 299-15 APPENDIX ATTACHMENT 3-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR AUDIO-VISUAL EQUIPMENT, INSTALLATION AND SERVICES RFP NO.: 16-044 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 malting of any federal grant, the malting 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, aMember 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 malting or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 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 Signed and Printed Name: Title Date City of Santa Ana RFP 16-044 2 ,11 %0i -26 APPENDIX ATTACHMENT 3-3: NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR AUDIO-VISUAL EQUIPMENT, INSTALLATION AND SERVICES RFP NO.: 16-044 The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant 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 Consultant 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 Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant 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 Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant 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 Consultant 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 Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said riles, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant 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 11246 of September 24, 1965, or by mile, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The Consultant 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 City of Santa Ana RFP 16-044 29N-17 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 Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant 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 consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm: Date: City of Santa Ana RFP 16-044 25A-28 INSURANOE ON MIXA-20116-166 NloAK MA° PROCEED UNTIL INSLIRANCE EXPIRES t "a -- 11,k - 2.0 i (g CLERK OF COUNCIL i)ATE: -7 VQ —1 9L1NStJt,TANT AGREEMENT THIS AGREEMENT Is made and entered into this 21st day of June, 2016 by and between Western Audio Visual, a subchapter S corporation entity, (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of tine State of California (hereinafter "City"), U40LALA A. The City desires to retain a consultant having special skill and knowledge in the field of audiovisual equipment, service and support, Ell 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. The scope of services shall be in compliance with Proposal Submitted in response to the City's Request for Proposal, attached hereto as Exhibit E. 2, COMPENSATION a, City agrees to pay, and Consultant agrees to accept as total payment for its services, tine rates and charges Identified in Exhibit R The total sum to be expended under this Agreement shall not exceed $50,000 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 falls to meet the standards of performance set forth In the Recitals which may reasonably be expected by City. 6. TERM This Agreement shall commence on the date first written above and terminate on Juice 20, 2017, unless terminated earlier in accordance with Section 15, below. 'The terra of this Agreement may be extended for two suocessive two year periods, subject to nonsubstantive changes, 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 exerclse, 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 salarles and wages, employer's social security taxes, unemployment insurance Exhibit 2 25A-29 INSURANCE ONt'"ILI A-206456 WORK MAY PROCEED UNTIL INSURANCE EXPIRES ff�(V`2—I%,'-201tp VCLEFlKU�GCIUNGVL DATE: -7 .. (a - t tP CONSULTANT AGRE9MEfff THIS AGREEMENT is made and entered into this 21st day of June, 2016 by and between Western Audio Visual, a subchapter S corporation entity, (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 -999iTAL S A, The City desires to retain a consultant having special skill and knowledge in the field of audiovisual equipment, service and support. 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 �1 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: 4. SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. The scope of services shall be in compliance with Proposal Submitted in response to the City's Request for Proposal, attached hereto as Exhibit B. 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 exceed $BO,000 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 falls 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 20, 2017, unless terminated earlier in accordance with Section 16, below. The term of this Agreement may be extended for two successive two year periods, subject to nonsubstanttVe changes, 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 riot 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, employers social security taxes, unemployment insurance Exhibit 2 25A-30 and similar taxes relating to employees and shall be responsible for all applicable withholding taxes 6. 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. 6, INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below; a. Commercial General Liability insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured,(a) 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 occurrenoe 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 shalt 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 lobe 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 singie 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: (t) Consultant shall maintain all insurance requiredabove in full force and effect for the entire period covered by this Agreement. 25A-31 (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 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, INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons noting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may snake all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above Indemnity shall be limited, to the extent required by Civil Code Section 2782.6, to claims that arise out of, pertain to, or relats to the negligence, recklessness, or willful misconduct of the Consultant. 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" tetters patent, trademark, or copyright infringement, including costs, contained in the viork product or documents provided by Consultant to the City pursuant to this Agreement. 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 created pursuant to this Agreement during regular business hours. Consultant shall allow Inspection of all work, data, documents, proceedings, and activities related 25A-32 to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confldential 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 in Certifications, Exhibit D, attached hereto and incorporated in this Agreement by reference. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement aball 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 1985 Santa Ana, CA 92702-1988 Fax 714- 647-6915 With courtesy copies to: Fred Mousavipour, Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1958 Santa Ana, California 92702 Fax 714- 6475622 and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax 714-647-6115 25A-33 To Consultant: Western Audio Visual 1592 Batavia Street, Suite 2 Orange, CA 82867 Fax: 714-637-7272 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 untended 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. frothing 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 Consultent 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 taw, 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. 25A-34 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 notion or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement, 18. PROFESSIONAL LICENSE$ 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST; MARIA D. HUIZAR Cierk of the Council APPROVED AS TO FORK SONIA R, CARVALMO City Attorney J ANDOVAL Chi Asststan# City Attorney CITY Or SANTA ANA DAVID CAVA CSS City Manager 25A-35 FRECJ M USA IPO Executive irector Public Warks Agency APPROVAL: CON8ULTANT Tax 25A-36 PROPOSAL INCLUDING SCHEDULE (OR) RATES AND CHARGES 25A-37 EXNISIT 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 arlsing from the operations and uses performed by or on behalf of the nar red insured.. 2. With respeot 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 shali 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 this endorsement form as a part of Policy # _ Issued to Named Insured Countersigned by Authorized Representative 25A-38 EXHIBIT D CERTIFICATIONS 25A-39 ACOR�dD CERTIFICATE OF LIABILITY INSURANCE o'61'22/2o11YsYY THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW, THIS CERTIFICATE, OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the polley(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder In Ilea of such endorsement(s). PRODUCER Denise K Hudson Insurance Agency, InorFone Np �Fi LORRI E SASAN Ax--`-_, _.__--- License # OB86530 f .L 11:714.633-6118 qlNpI;714,633.3720 ARDRess:.lorde@denisekhudson,com StateFarfn , 1045 W Katclla Ave Ste 240 -- -- -- Orange, CA 92867 _INSURCR(9iAFrORDING COVERAGE NAIC/t INSURER A State Paan Cerleral Insurance Company . 05/16/2017 INSURED WEBTCRN AIV INC' mm l INSURER e 5tata.Farm Mutual Automobile nauranGB Company20170 ----- —� — — -- 1592 N BATAVIA ST STE 2 INSURER c: ORANGE, CA 92867 11 LsUReRp;_„_ INSURER E ...INSURERFf COVERAGES CERTIFICATE NUMBER; REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED 1'O THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED, NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN 18 SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES, LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. IN9R TYPE OF INSURANCE IND POLICY NUMBER MIDDIYYYY MM D Y VY LIMITS A X COMMERCIAL GENERAL LIABILITY CLAIMS.MADE LJ OCCUR Y 92 -EX -51664 05116/2016 05/16/2017 EACH OCCURRENCE $ 2,000,000 PgEMI9iE8_{Ea 300,000 I MEP EXP(Any, cnaramo�_ PERSONAL S ADV INJURY $ 1,000,000 GFNEPAL AGGREGATE $ 4,000,000 GEN'L ^,,,,,^,,,_,,,,_,_,._„-,___.,.._ AGGREGATE LIMIT APPLIES PER', T _ PRO. POLICY .,�JECT El LOC oniER, PRODUCTS-COMP/OPA00 BUSINESS PROP ..___—..._........-- 3 4,000,000 $ 230,100 B ,AUTOMOBILE LIABILITY •�."-"'' 375 9392 -F17 -75P 0611712016 12117/2016 CONIBIN D SINGLE LIMIT Ea Ov^clSlenlJ $ 1,000,060 BODILY INJURY (Per parson) $ ANY AUTO � ___ BODILY INJURY (Per uccidanl) $ __ ALL OWNED SCHEDULED X X _- AUTOS -- AUTOS ..X HIRED AUTOS X, AUTOS PROPERTY DAMAGE „(PuracrltloptL...__...._. _. _ A X UMBRELLA LIAR 1 X OCCUR 12114/2015 1 2714/261602•XC-0351.6 OCCURRERENCE $ —EACH AGGREGATE _ _,._....51000,000 _ $ _._._____....._._._._. $ ._i.-._..._ EXC BSS LIAB OLAIM9-p1ADE -.._....._...__....L..._._..,.. _......--....-...... DED RETEMI'IDN$ A WORKERS COMPENSATION ANDEMPLOYERS'LIABILIry YIN ANY PROPRIETOWPARTNER/EXECUTIVE r'� OFFICEPoMEMbER EXCLUDEDP (Mmdet.Orm NHl -”` NIA 92,L4-6790.1 61/0112016 0110112017 X PER „a - �rnnlTE ER E.L.EACH ACCIDENT $ 1.000,000 .-.........__..._,.._......T E.L. UISEABE-EA EMPLOYEE ....._.........................._.._.—.._ -._.-.,..,..__.. $ 1,000,000 _ __.....__._.._......_. Ryes dascrlbeunder DE36RIPTION OF OPERATIONS below E.L. DISEASE -POLICY LIMIT $ '1,006,000 Ones PTION OF OPERATIONS I LOCATIONS [VEHICLES (AGORD 1111, Audit[ onal Remarks Schedule, Ivey he attached if more space is requlmd) AUDIO VISUAL SERVICE & INSTALLATION Business Location #1 6353 Corte Del Abeto, Suite 106, Carlsbad, CA 92011/Business Looatlon #2 1592 N Batavia St., Ste 2, Orange, CA 92867 Certificate Holder, City of Santa Ana, its officers, employees, agents, volunteers & representatives are additional Insur it fdEVIEWED,BY: EUWCE HEfREgIA (PG / 4F.) CERTIFICATE HOLDER CANCELLATION © 1988.2014 ACORD CORPORATION. All rights reserved. ACORD 25 (2014101) The ACORD name and logo are registered marks of ACORD 1001486 132849.0 02-04-2014 25A-40 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE CITY OF SANTA ANA 'THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN 20 CIVIC CENTER PLAZA ACCORDANCE WITH THE POLICY PROVISIONS. SANTA ANA, CA 92701 AUTHORIZED REPRESENTATIVE © 1988.2014 ACORD CORPORATION. All rights reserved. ACORD 25 (2014101) The ACORD name and logo are registered marks of ACORD 1001486 132849.0 02-04-2014 25A-40 Fe•ssc9 Page 1 of 1 r t• s s j(► IiF3i1fTzr+7A x•;, a 4►Fili Policy No.: 92 -EX -5166-6 tea„ ••n» Ne dtnsured, WESTERN MING 1576 N BATAVIA ST STE 2 ORANGE CA SP867.3559 Additional Insured (include address); CITY OF SANTA ANA, ITS OFFICERS, EMPLOYEES, AGENTS, VOLUNTEERS & REPRESENTATIVES 20 CIVIC CENTER PLAZA SANTA ANA, CA 92701 WHO IS AN INSURSD, under SECTION II DESIGNATION OF INSURED, is amended to include as an insured the Additional Insured shown above, but only to the extent that liability is Imposed on that Additional Insured solely because of your work performed for that Additional Insured shown above. Any insurance provided to the Additional Insured shall only apply with respect to a claim made or suit brought for damages for which you are provided coverage. The Primary Insurance coverage below applies only when there is an "X" in the box. Primary insurance. The insurance provided to the Additional Insured shown above shall be primary Insurance. Any insurance carried by the Additional Insured shall be noncontributory with respect to coverage provided to you. All other provisions of the policy appty. CFYEVIF-41 gI ".j.V�d,'U 0.JY: E11fJICF I•iC1�.�EA (e'GZ=0 25A 25A-42 FIRST AMENDMENT TO AGREEMENT FOR INSTALLATION OF AUDIO-VISUAL EQUIPMENT THIS FIRST AMENDMENT to the above -referenced agreement is entered into on June _, 2017, by and between Western Audio Visual, a subchapter S corporation ("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 ("City"). RECITALS A. The parties entered into Agreement #A-2016-156, dated June 21, 2016 ("Agreement"), by which Consultant agreed to provide installation services of the audio-visual equipment to modernize two (2) conference rooms located in the Ross Annex listed as Rooms 3004 and 4104. B. The original term of the Agreement was from June 21, 2016 through June 20, 2017, and per Section 3 of the Agreement, may be extended for two successive two-year periods, upon a writing executed by the City Manager and the City Attorney. C. The parties wish to amend the Agreement to include an additional scope of services, include additional funds for services to be performed by the Consultant; and increase the term of the Agreement to complete the additional work. The Parties therefore agree: 1, Section 1, Scope of Services, is amended to include the modernization and installation of audio- visual equipment in the remaining conference rooms located in the Ross Annex and City Yard. A scope of services for each remaining conference room shall be provided and approved by the City's Public Works Agency prior to the commencement of the installation of the audio-visual equipment. 2. Section 2, Compensation, is amended to include an additional $50,000 for services to be performed by the Consultant so that the total sum to be expended under the Agreement shall not exceed $130,000. 3. Section 3, Term, is amended to extend the time period for this agreement for two (2) years from June 21, 2017 to June 20, 2019. 4. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Agreement on the date and year first written above. ATTEST CITY OF SANTA ANA MARIA D. HUIZAR Clerk of the Council Exhibit 3 25A-43 CYNTHIA J. KURTZ Interim City Manager Signature Page; First Amendment to Consultant Agreement with Western Audio Visual APPROVED AS TO FORM WESTERN AUDIO VISUAL SONIA R. CARVALHO City Attorney By: �t�ti�, JO M. FUNK Assistant City Attorney RECOMMENDED FOR APPROVAL FRED MOUSIVAPOUR Executive Director, Public Works Agency Name: Title: Page 2 of 2 25A-44 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: AGREEMENTS ANDWOU WITH WORKFORCE INNOVATION AND OPPORTUNITY ACT YOUTH SERVICE PROVIDERS- - {STRATEGIC PLAN NO. 2,'4} CI MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute agreements and memorandum of understanding with the following Youth Service Providers, for a one year term beginning July 1, 2017, subject to non -substantive changes approved by the City Manager and City Attorney: a. Orange County Children's Therapeutic Arts Center to provide occupational skills training in the areas of office administration, mental health paraprofessional, and childcare worker certification, offer job preparation, paid work experience, tutoring, mentoring, counseling, and supportive services, for 20 youth in the annual amount of $164,000; ' b. Orange County Conservation Corps to provide alternative secondary education that leads to a high school diploma, offer credential training in forklift operator, safe food handling, customer service, or computer software, provide job preparation, paid work experience, post -secondary education resources, and supportive services for 20 youth in the annual amount of $160,000; C. Santa Ana Public Library to provide post -secondary occupational skills training in the areas of digital technology, computer maintenance and repair, paid work experience, leadership development, tutoring, and mentoring for 22 youth in the annual amount of $160,000. WORKFORCE DEVELOPMENT BOARD ACTION At its regularly scheduled meeting on May 18, 2017, by a vote of 14:0 (Knitter, Korthuis, McGowan, Rutledge, Sanchez and Wadhera absent) the Workforce Development Board approved the recommended action: 25B-1 Agreements and MOU with Workforce Innovation And Opportunity Act Youth Service Providers June 6, 2017 Page 2 DISCUSSION Under the authority of the Workforce Innovation & Opportunity Act (WIOA), the Local Workforce Development Area is required to procure and fund Youth Service Providers to provide WIOA services to local eligible at -risk youth. Under the WIOA legislation there are six performance indicators, a requirement that at least 75% of the funds are spent on Out -of -School Youth, that 20% of youth funds are used for paid youth work experience activities, ensure youth services incorporate the mandated 14 WIOA Elements, and that at least 80% of the WIOA youth funds are obligated annually. January of 2015 a Request for Proposal (RFP) was released seeking organizations to provide WIOA youth services. This RFP and selection process is valid for a four year period and available to award contracts thru June 2019. Twelve organizations submitted proposals with a total combined request of more than $3.3 million in funds. The proposals were reviewed, veted, and ranked by the RFP Review Committee comprised of four Youth Council members. For the _ past two years four youth providers have been awarded contracts — Orange County Therapeutic Arts Center, Orange County Conservation Corps, City of Santa Ana, Library, and the Orange County Labor Federation. Recently the Orange County Labor Federation notified staff by letter of their intention to withdraw as a Youth Provider and did not wish to seek funding for the 2017- 2018 program year (PY). In whole, the Youth Providers have meet or exceeded state negotiated performance standards. The most current performance reporting data available from the State is for PY 2015-2016: 25B-2 Negotiated Actual PY 2015-2016 Performance Performance Success Rate Level Level Placement in Youth Employment/Education (14-21) 77.0% 110.0% 70.0% Attainment of Degree Youth or Certification (14-21) 93.0% 145.3% 64.0% Literacy or Numeracy Youth 69.5% 96.0% 138.1% Gains 14-21 25B-2 Agreements and MOU with Workforce Innovation And Opportunity Act Youth Service Providers June 6, 2017 Page 3 Youth socio -demographic barriers enrolled in the WIOA grant for PY 2015-16 were: Pregnant or Parenting 22% Drop Out 36% Homeless 8% Offender 10% Disability 18% Gang Affiliated 11% Foster Youth 8% The Employment Development Department - Workforce Services branch has released the WIOA Formula Planning Estimate Allocations for PY 2017-18 with Santa Ana to receive $2,519,406 of which $988,857 is specifically for youth activities. After review of the youth provider's past performance outcomes the WDB recommends awarding $484,000 to three youth providers for PY 2017-18 to serve 62 Santa Ana youth. Recommended WIOA Youth Service Providers # of Youth In Out Original Youth Council Cost Per Rank RFP Score Organization Type of Service to School of Funds Recommended Youth Serve Youth w/ Serve School Requested Funding Disabilites & Foster Youth; Exec. Admin OC Children's Cert; Childcare Worker Therapeutic Card; Mental Health 1 392 Arts Center Cert; Paid WEX 20 4 16 $315,166 $164,000 $8,200 Serve Probation Youth, OC Construction Training; Conservation Forklift Cert; Customer 2 381 Corps Service Cert; Paid WEX 20 0 20 $391,450 $160,000 $8,000 Serve At -Risk Youth, Microsoft Office Cert; Santa Ana Digital Media Cert, Paid 3 360 Public Library WEX 22 5 17 $294,294 $160,000 $7,273 Top 3 Youth Service Providers 62 9 53 $1,000,910 $484,000 $7,806.45 STRATEGIC PLAN ALIGNMENT Approval of this item assists the City in meeting Goal#2 — Youth, Education, Recreation, Objective #4 (Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents). 25B-3 Agreements and MOU with Workforce Innovation And Opportunity Act Youth Service Providers June 6, 2017 Page 4 FISCAL IMPACT Funds for these contracts will be available in the WIOA Youth accounts (account no. 12318750- 69135) upon City Council's adoption of the Fiscal Year 2017-2018 budget. �w Robert C. Cortez -- Deputy City Manager City Manager's Office RC/DS/If APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez, Executive Director Finance and Management Services Agency Exhibits: 1. Agreement — Orange County Children's Therapeutic Arts Center 2. Agreement — Orange County Conservation Corps 3. MOU — Santa Ana Public Library 25B-4 Exhibit 1 AGREEMENT UNDER THE WORKFORCE INNOVATION AND OPPORTUNITY ACT THIS SUBAWARD AGREEMENT, made and entered into this I" day of July, 2017, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("CITY') and Orange County Children's Therapeutic Arts Center, a non-profit corporation identified by the assigned Data Universal Numbering System (DUNS) Number 014317940 ("SUBRECIPIENT"), RECITALS: A. CITY has been designated a Local Workforce Development Area (LWDA under the Workforce Innovation and Opportunity Act of 2014, Public Law 1-113-128 ("the Act" Catalog of Federal Domestic Assistance (CFDA) Number 17.259 and Federal Award Identificatic Number (FAIN) AA253421455A6, B. The State of California has created the LWDA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWDA, CITY is entitled to receive federal funds to establish programs to increase the employment, retention and earnings of Participants, and increase occupational skills attainment by Participants, and as a result, improve the quality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the nation ("said program"). D. SUBRECIPIENT is experienced in operating workforce development programs for at -risk youth that provide preparation for secondary and post -secondary education, occupational training, and employment skills for entry into the labor market. E. SUBRECIPIENT is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. SUBRECIPIENT'S OBLIGATIONS A. SUBRECIPIENT agrees to provide the following services pursuant to said program, as more specifically set forth in SUBRECIPIENT'S Program Narrative contained in "Exhibit A", as required to be responsive to the Federal Funding Accountability and Transparency Act (FFATA) per 2 CFR §200.33 t(a)(1)(ix), and in the Performance Indicators contained in "Exhibit B", per 2 CPR §200.331(d) and 2 CFR §200.328, both attached hereto and by this reference incorporated. herein. SUBRECIPIENT'S failure to provide said services may be grounds for CITY to readjust the level of payment to SUBRECIPIENT otherwise provided for hereinafter. 25B-5 Page I of 17 B. SUBRECIPIENT agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("Participants") in accordance with the standards and requirements set forth in the Act. C. SUBRECIPIENT agrees to perform the services set forth herein in a professional, timely and diligent manner. D. SUBRECIPIENT shall provide wages and benefits to Participants in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. SUBRECIPIENT shall adhere to the Labor Standards described in the Act, including Section 181 of the Act. F. SUBRECIPIENT agrees to comply with the "Complaint handling Procedures Under the WIOA", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR 658.413. SUBRECIPIENT shall advise Participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by SUBRECIPIENT. SUBRECIPIENTS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to SUBRECIPIFNT from CITY, SUBRECIPIENT assures, with respect to operation of all programs or activities funded with fiords provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E,O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR .Parts 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. . H. SUBRFCIPIENT agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I, SUBRECIPIENT agrees to the following accounting, monitoring, auditing, and review requirements: 1. SUBRECIPIENT agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of SUBRECIPIENT'S services or activities, costs or other data, including but not limited to, Participants' attendance, payroll records and job duty statements. 25B-6 Page 2 of 17 2. SUBRECIPIENT agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 completed Workforce Innovation and Opportunity Act Application form and supporting documents; a complete Workforce Innovation and Opportunity Act Enrollment; any subsequent updates; Workforce Innovation and Opportunity Act Youth Test Scores form; Workforce Innovation and Opportunity Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Innovation and Opportunity Act Follow -Up form within 20 days following 30, 60, 90,180, 270, and 360 days of exit. SUBRECIPIENT agrees to enter information on the State of California's CalJobs database system as instructed and requested by the Santa Ana Work Center Administration. 3. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of SUBRECIPIENT'S activities, performance, books, documents, papers, and records of SUBRECIPIENT SUBRECIPIENTs, bookkeepers and accountants, and employees and Participants related to this Agreement. Such agencies or representatives shall also schedule on- site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and Participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of SUBRECIPIENT are kept (2 CFR §200.330). Nothing berein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 4. In the event SUBRECIPIENT does not make the above -referenced documents available within the City of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by CITY in.conducting any audit at the location where said records and books of account are maintained. 5. All accounting records and evidence pertaining to all costs of SUBRECIPIENT and all documents related to this Agreement shall be kept available at the location where SUBRECIPIENT conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it concerning Participants in accordance with the, requirements of federal and state law. Notwithstanding the foregoing, SUBRECIPIENT agrees to submit to CITY, the State of California and/or the United States Governnent or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. K. SUBRECIPIENT agrees to complete a monthly Invoice form showing in detail the amount of money already expended by SUBRECIPIENT bereimder, as this is a cash reimbursement 25B-7 Page 3 of 17 contract. Accounting records must be supported by such source doctunentation as invoices, bills, statements, proof of payment, such as cancelled checks, payment confirmations, account statements, paid bills, payroll records, time and attendance records, and contract and subgrant award documents (2 CFR §200101(b)(2)). SUBRECIPIENT agrees to submit the above -stated documents to the WDB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (I Oth) day of the month following the month in which SUBRECIPIENT'S services are performed. Should SUBRECIPIENT fail to deliver said documents to CITY within thirty (30) days of said deadline, CITY shall provide SUBRECIPIENT with written notice of such deficiency. If said deficiency is not corrected within thirty (30) days of mailing such written notice, CITY shall have the option to dcobligate SUBRECIPIENT's Rinds and cancel this Agreement by giving SUBRECIPIENT ten (10) days written notice thereof. SUBRECIPIENT shall either return to the CITY excess revenues over costs or use such excess revenues as program income for additional training activities authorized Linder the Act. L. SUBRECIPIENT agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations, SUBRECIPIENT also agrees to provide, at SUBRECIPIENT'S own expense, supplies and other costs of said PROGRAM. M. SUBRECIPIENT shall arrange independently for an audit that includes WIOA funds received from CITY, in accordance with the Act, 2 CPR 200.500. SUBRECIPIENT shall submit one original of each required audit report to CITY within thirty (30) days after the date received by SUBRECIPIENT. Should SUBRECIPIENT fail to comply with these requirements, CITY may, at its option, withhold payment of fiords, disallow funds, or suspend additional grant funds. N, SUBRECIPIENT shall not expend funds pursuant to this Agreement to provide services to any participant.where costs of training are paid for by any other person or entity. 0. SUBRECIPIENT shall comply with the provisions of Uniform Guidance 2 CFR Part 200 of the U.S. Office of Management and Budget (OMB) and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CPR Part 97. P. SUBRECIPIENT shall comply with the requirements of federal regulations found at 29 CFR Part 93, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to SUBRECIPIENT under the terms and conditions of this Agreement. Q. SUBRECIPIENT agrees to provide a drug-free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. 25B-8 Page 4 of 17 R. SUBRECIPIENT, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state slid federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. SUBRECIPIENT agrees to comply with all applicable provisions of the Act, and all applicable federal regulations, including, but not limited to, the Code of Federal Regulations, Subtitle A—Office of Management and Budget Guidance for Grants and Agreements, as well as all applicable state and local regulations, T. SUBRECIPIENT agrees to remain in compliance with the Certification Regarding Debarment (`'Exhibit F"), as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CFR Part 180). U. SUBRECIPIENT agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs tinder the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. SUBRECIPIENT acknowledges that the official name for the statewide system of providing employment and training through the WIOA partnerships and various other local programs is "America's Job Center". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". SUBRECIPIENT agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials, such as statements, press releases, brochures, advertisements, reports and other doctunents describing projects or programs funded in whole or in part with WIOA funds. When the America's Job Center logo is used, SUBRECIPIENT may accompany it with the following statement, "'T'he (Program Name) is a proud partner of the America's Job Center network". SUBRECIPIENT shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. On February 8, 2017, the CITY was awarded a Department of Labor Workforce Innovation and Opportunity Act youth grant of $988,857 for fiscal year 2017-2018. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal fluids are received under the provisions of the Act a sum not to exceed $164,000 for SUBR.ECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit G" and incorporated herein by reference, during the period of this Agreement. Said stun shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. 25B-9 Pages or 17 B. Pursuant to 2 CFR §200.331(a)(4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized indirect cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no such rate exists, either a rate negotiated between the CITY and the SUBRECIPIENT, or a de minimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. C. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase, D. CITY agrees to provide for on-site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. E. CITY has the right to de -obligate the funds hereunder, and take such funding back from SUBRECIPIENT, due to any of the following reasons: (a) lack of performance by SUBRECIPIENT; (b) lack of fiscal accountability of SUBRF,CIPIENT; or (c) decrease in available funding. III. TERM OF AGREEMENT A. This Agreement shall commence on July 1, 2017, and all duties arising under this Agreement shall have been performed by. June 30, 2018. The Term of this Agreement may be extended by a writing executed by the City Manager and the City Attorney. SUBRECIPIENT acknowledges and agrees that it must provide follow-up services for one (1) year after the Term, whether forded or not. B. SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CPR §200.343, including the following: 1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3, SUBRECIPIENT must promptly refund any balances ofunobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMB Circular A-129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR § §200.310-200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. 258-10 Page 6 of 17 IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. SUBRECIPIENT shall use appropriate funds received from CITY to provide workers' compensation to all those hired by SUBRECIPIENT under this Agreement. B. SUBRECIPIENT shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and SUBRECIPIENT maintains itself as an Equal Opportunity employer. VL APPLICABLE GUIDELINES A. The parties hereto agree that SUBRECIPIENT shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Indicators (Exhibit B) and general program requirements described in Sections 2 and 116 of the Act, and applicable regulations, and the U.S. Department of Labor guidelines anal regulations, inchlding amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made part of this Agreement as though fully set forth herein. B. SUBRECIPIENT also assures and certifies that: L SUBRECIPIENT acknowledges and confirms that the U.S. Department of Labor has established six (6) performance indicators for youth: (a) Percent of Participants who are in education/training activities, or in unsubsidized employment during the tad quarter after exit; (b) Percent of Participants who are in education/training, or in unsubsidized employment during the 4`" quarter after exit; (c) the median earnings of Participants in unsubsidized employment during the 2"a quarter after exit; (d) Percent of Participants who obtain recognized postsecondary credential or secondary diploma during participation or within I year after exit; (e) Percent of Participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment and who are achieving measurable skill gains; and, (f) effective in serving employers. SUBRECIPIENT agrees to implement and shall meet any additional performance indicators that may be subsequently required by the Workforce Innovation and Opportunity Act or by any other Federal, 25B-1 1 Page 7 of 17 State, and local law. 2. SUBRECIPIENT shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, requiring that no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. SUBRECIPIENT shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. SUBRECIPIENT shall comply with the requirements that no prograrn under the Act shall involve political activities. 5. RECORD INSPECTION. SUBRECIPIENT shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of fiends under this Agreement for a three-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any applicatign for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. SUBRECIPIENT shall maintain appropriate standards for health and safety in work and training situations. 8. SUBRECIPIENT shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit H" and incorporated herein. 9. EQUAL OPPORTCJNITY, Any literature distributed by SUBRECIPIENT for the pupose of apprising businesses, Participants, or the general public of its programs under this Agreement shall state that its prograrns are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity ernployer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIOA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CPR 37.35, SUBRECIPIENT must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English, if. SUBRECIPIENT certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the SUBRECIPIENT by the CITY and/or purchased by the SUBRECIPIENT with funds pursuant to this 25B-1 2 Page 8 of 17 Agreement, will be limited to use within the activities outlined in this agreement and will remain, the property of the United States Government and/or CITY. Upon termination of this Agreement, SUBRECIPIENT will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 12. SUBRECIPIENT certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The SUBRECIPIENT will disclose to the CITY any invention, written product, or computer program developed, or data assembled, as a result of performance of work under this Agreement, within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U,S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by SUBRECIPIENT, Upon written request, SUBRECIPIENT will transfer all pertinent information, specifications and right, title and interest to the designated agency. 1.4. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the-SUBRECIPIENT shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889), B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright- able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The SUBRECIPIENT and the Workforce Development Board (WDB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2, The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a SUBRECIPIENT purchases ownership with grant support; and, (c) SUBRECIPIENT shall comply with the requirements of 29 CFR Part 97.34. 25B-13 Page 9of17 C. ]tights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, SUBRECIPIENT mast comply with Section 306 of the Clean Air Act [(42 USC 1875(li)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 35) as any may now exist or be hereafter amended. Under these laws and regulations, the SUBRECIPIENT assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; and, (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. SUBRECIPIENT agrees to adhere to the following STANDARDS OF CONDUCT a. General Assurance. Every reasonable course of action will be taken by SUBRECIPIENT in order to maintain the integrity of this expenditure of public funds and to avoid" favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. SUBRECIPIENT, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employees. SUBRECIPIENT will ensure that airy of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of SUBRECIPIENT will receive favorable treatment when considered for enrollment in programs provided by, or employment with, SUBRECIPIENT, d. Conducting Business Involving Closeep tsonal Friends and Associates. Executives and employees of SUBRECIPIENT will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for SUBRECIPIENT to conduct business with a friend or associate of an executive or employee of SUBRECIPIENT, an elected official in the area or 25B-14 Page 10 of 17 a voting or non-voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e, Avoidance of Conflict of Economic Interest. No executive or employee of SUBRECIPIENT elected official in the area, or voting or non-voting member of a WDB, will solicit or accept money or any other consideration from a thirdperson, for the performance of an act reimbursed in whole or part by SUBRECIPIENT or CITY. Supplies, materials, equipment or services purchased with Agreement farads will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WDB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. f. Salary and Bonus Limitations. All Subrecipients of WIOA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. VII. HOLD HARMLESS A. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of SUBRECIPIENT, its employees or subcontractors. B. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or ,proceedings therefore, resulting from or arising out of the intentional or malicious acts of SUBRECIPIENT, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and SUBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence, with `62,000,000 in the aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) flays written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY (in substantially the form as 25B-1 5 Page 11 of 17 Exhibit 1, Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self-insurance. 2. Automobile Liability Coverage, SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by SUBRECIPIENT employees or Participants in perfornance of this Agreement, or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees, Participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, Participants, or agents as self-cartification of automobile insurance coverage. Governmental entities may substitute a certificate of self-insurance. 3. Workers' Compensation. If SUBRECIPIENT is an "employer", as set forth in California Labor Code Section 3300 or seq., or utilizes Participants as "employees," as set forth in California Labor Code Section 3350 et seq., SUBRECIPIENT shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by Participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. SUBRECIPIENT shall carry medical and accident insurance for those Participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. SUBRECIPIENT shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECIPIENT in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of sell -insurance. 5. Youth Protection. To maintain a safe environment, fiinded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least 52,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth Participants that are under the age of 18. 6. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPIENT understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATESTATUS All corporate SUBRECIPIENTs shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board or Internal Revenue Service. Arty change in corporate status or suspension shall be reported immediately to CITY. 25B_16 Page 12 of 17 X. ASSIGNABILITY None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY, SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. SU'BRECIPIENT acknowledges and agrees that it must follow procurement regulations for SUBRECIPIENTs (2 CFR §200.317). No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, SUBRECIPIENT shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 2 CFR 200 and 20 CFR. Parts 651 and 654 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, SUBRECIPIENT will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of SUBRECIPIENT by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acimowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. 2581 7 Page 13 of 17 XIII. FRAUD SUBRECIPIENT shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS SUBRECIPIENT acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of fiords is not forthcoming, or is otherwise limited, CITY shall immediately notify SUBRECIPIENT, Within twenty (20) days of receipt of such notice, SUBRECIPIENT shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, SUBRECIPIENT may not terminate this Agreement if undue hardship will result to any participant, B, In the event SUBRECIPIENT defaults by failing to fulfill all or any of its obligations herewider, CITY may declare a default and termination of this Agreement by, written notice to SUBRECIPIENT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, wrless such default is cared before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of farther liability or responsibility wider this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVL DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY, In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to SUBRECIPIENT. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from SUBRECIPIENT written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars, Pending final disposition of the appeal, SUBRECIPIENT shall act in accordance with CITY's decision unless the dispute involves a change order. 25B-1 8 Page 14 of 17 XVII. BREACH -SANCTIONS If, through any cause, SUBRECIPIENT violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by SUBRECIPIENT pursuant to this Agreement, or if SUBRECIPIENT reports inaccurately or if any Audit Report makes disallowances, SUBRECIPIENT shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of SUBRECIPIENT's violation, For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as SUBRECIPIENT fulfills its obligations or remedies all violations of this Agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice SUBRECIPIENT has failed to repay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to SUBRECIPIENT of such termination in accordance the notice provision in Paragraph XVIII herein below. XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WDB Administrative Office P.O. Box 1988 (1\4-76) Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 SUBRECIPIENT: Orange County Children's Therapeutic Arts Center 2215 N. Broadway, Santa Ana, CA 92706 Phone: (714) 547-5468 Pax: (714) 564-9690 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein, 25B-1 9 Page 15 of 17 XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parries to each of the terns of this Agreement, and shall indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn, b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25B-20 Page 16 of 17 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. Carvallio City m "CITY" By: Cynthia J. Kurtz Interim City Manager "SUBRECIPIENT" BY: Name: Dr. Ana Jimenez-Hami y Title: Executive Director Tax ID #: 33-0930891 RECOMMENDED FOR APPROVAL: Robert C. Cortez Deputy City Manager 25B-21 Page 17 of 17 Workforce Innovation & Opportunity Act Youth Program Provider • • �/ i` Therapeutice CT 2017-2018 EXHIBIT A 25B-22 2017-16 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 1. Experience/Qualifications: A. Agency description - The Orange County Children's Therapeutic Arts Center (OCCTAC) is recognized as one of Santa Ana's leading community builders for children, youth and families. We prioritize on serving at -risk youth, foster youth, and youth with disabilities, Including: learning disabilities, health impairments, developmental disabilities, and others, Our programs Integrate youth with and without disabilities in a nurturing, community-based environment that teaches respect, disability awareness, and full inclusion. B. List the facility address and address of headquarters if different location. Please include major cross streets. OCCTAC is located at 2215 N Broadway, Santa Ana, CA. 92706. Our major cross streets are North Broadway and Buffalo. C. Indicate hours of operation for facility D. Briefly Indicate what makes your facility youth friendly and suitable for the proposed program. OCCTAC has been providing great programs for Santa Ana youth during the past 15 years! We prioritize on a wide variety of programs that motivate and engage youth in a stimulating and friendly environment. Also, we are strategically located close to bus terminals for the convenience of the youth; and our facility is compliant with all ADA guidelines and regulations. In summary, our facility, hours of operations, location, and wide variety of programs make our services very accessible, a facility youth friendly and suitable for the proposed WIOA program. E. Provide brief Information on the following elements: 1. Average annual operating budget and sources of revenue - The average annual operating budget for the OCCTAC is approximately $750,000. OCCTAC's sources of revenue come from a variety of sources, including: county contracts, grants, fee for service, private donations, public donations, and fundraising. 2. Brief description of staff - OCCTAC is staffed by highly qualified bilingual staff, including: credentialed teachers, artists, therapists, counselors certified to provide services to youth with and without disabilities. There are 7 Full-time staff and 40 -part-time employees who are employed in various classes and programs at our agency. a. Executive Director—Dr, Ana Jimenez-Hami is the Founder and Executive Director of OCCTAC. She earned a doctoral degree in the fields of Educational Psychology and Special Education. She is also an Adjunct Faculty at Chapman University in the School of Education. Dr. Jimenez will be responsible for supervising the WIOA staff and ensure the success of the program, as well as monitoring the budget and overall program goals. Time allocation far this program is 20%- this is not a WIDA funded position. EXHIBITA 25B-23 ® V "iK-ld 1111M. ®• 1 :11• 2 1 : 11 M 1 11 / 11 1 1 : 1 • 11 • r D. Briefly Indicate what makes your facility youth friendly and suitable for the proposed program. OCCTAC has been providing great programs for Santa Ana youth during the past 15 years! We prioritize on a wide variety of programs that motivate and engage youth in a stimulating and friendly environment. Also, we are strategically located close to bus terminals for the convenience of the youth; and our facility is compliant with all ADA guidelines and regulations. In summary, our facility, hours of operations, location, and wide variety of programs make our services very accessible, a facility youth friendly and suitable for the proposed WIOA program. E. Provide brief Information on the following elements: 1. Average annual operating budget and sources of revenue - The average annual operating budget for the OCCTAC is approximately $750,000. OCCTAC's sources of revenue come from a variety of sources, including: county contracts, grants, fee for service, private donations, public donations, and fundraising. 2. Brief description of staff - OCCTAC is staffed by highly qualified bilingual staff, including: credentialed teachers, artists, therapists, counselors certified to provide services to youth with and without disabilities. There are 7 Full-time staff and 40 -part-time employees who are employed in various classes and programs at our agency. a. Executive Director—Dr, Ana Jimenez-Hami is the Founder and Executive Director of OCCTAC. She earned a doctoral degree in the fields of Educational Psychology and Special Education. She is also an Adjunct Faculty at Chapman University in the School of Education. Dr. Jimenez will be responsible for supervising the WIOA staff and ensure the success of the program, as well as monitoring the budget and overall program goals. Time allocation far this program is 20%- this is not a WIDA funded position. EXHIBITA 25B-23 2017-18 ®range County Children's Therapeutic Arts Center Youth Employment Program - WICIA Proposal Accounting Clerk- Veronica Maldonado has been working at OCCTAC for four years. Prior to working at OCCTAC, she worked at Digital Spectrum Solutions for 9 years as an accounting clerk and 3 years at Towne Inc. Her 12 years of experience in Accounting include: Accounts Receivable, Accounts Payable, and $12.OM Accounts reconciliations, Mass Merchant experience: price protection, marketing and co-op program monies, RTV deduction, research analysis & problem solving payment data issues, MAS90, EDI, and QuickBooks accounting software experience. Time allocation for this program is 23%- see budget narrative. c. W1OA-Progrom Coordinator— Will hold a Bachelors degree in Social Sciences or related field. They will have 3 years of experience working with transitional age youth (16-24) and minimum one year of experience working with youth with disabilities. Coordinator will work closely with the Case Manager in order to evaluate the youth for needs and allocate supportive services. Coordinator will assure that WIOA staff are meeting goals with youth, plan program year according to the 14 program elements in WIOA Directive. Time allocation for this program is 63%- see budget narrative. WIOA-Case Manager— Will hold a Bachelors degree in Social Sciences or related field. They will have 3 years of experience working with transitional age youth (16-24) and minimum one year of experience working with youth with disabilities. Case Manager will work closely with the youth in order to plan a program around their needs and assist them in achieving their goals. Time allocation for this program is 88% -see budget narrative, e. Career Counselor— Will hold a Bachelors degree in Social Sciences or related field. They will have 3 years of experience working with transitional age youth (16-24) and minimum one year of experience working with youth with disabilities. The career counselor must also have experience working with the different academic levels of 9th grade to 2nd year of college. The career counselor will assist youth with career exploration and provide academic support in order to help achieve performance goals. Time allocation for this program is 63%- see budget narrative. Arts/Technology Mentor—Arts and technology mentor will teach and mentor youth that are exploring their interests in the fields of art and technology. They are required to have some college education and have a job in the -field of arts and technology. Time allocation for this program is 30 %- see budget narrative. g. The Literacy/Math Tutor/Coach —The literacy/math tutor will provide one-on-one tutoring sessions in the area of Literacy and/or Math. The main role of the tutor will be to facilitate learning through effective guidance and coaching in order to aid the student in becoming a successful, independent learner in the subject matter, The purpose of tutoring sessions will be to increase and enhance mastery of grade -level reading comprehension skills, writing abilities and math. Time allocation for this program is 25% for the literacy coach and 25% for the math coach - see budget narrative. EXHIBIT A 25B-24 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 3. Past experience with WIOA programs or other youth programs - OCCTAC has been serving Santa Ana youth since the year 2000. For the past 17 years, OCCTAC has provided a wide variety of programs to the community, and served students of all ages, including young children and older youth (with and without disabilities). OCCTAC has operated WIA/WIOA programs for almost 20 years, since the year 20051 Every year our program grows and demonstrates success with our WIOA participants. We are very proud and excited to see the successes and great outcomes of our WIQA youth, year after year. 4. What kind of impact has your organization made on the youth community - OCCTAC has had a tremendous impact on the Santa Ana youth community) We are very proud of our accomplishments throughout the years, and especially our success stories with our "WIOA Youth"! As stated before, OCCTAC is committed to empowering youth with disabilities, foster youth and high school drop-out students, so they can reach their fullest potential in life. Through our innovative approach, which combines the arts, education, health and technology programs, participants are motivated, engaged and involved in a variety of programs at OCCTAC. In 2015-16 our WIOA participants attained employment/entered education at a rate of 70%, attained a credential at a rate of 100%, and attained Literacy and Numeracy gains a rate of 100%1 These outcomes demonstrate the commitment and dedication of our wonderful WIOA program staff. 2. Proposed Program: A, Provide an overview of the program's main objectives. - The WIOA program is an extension of our current educational services provided to older youth (with and without disabilities); it empowers and educates youth, and provides life -changing opportunities. OCCTAC has been working with WIOA participants since 2005. The WIOA program at OCCTAC will provide all 14• WIOA elements, including: educational services, job training, paid work experience, adult mentoring, literacy & math tutoring, career & educational counseling, alternative secondary school services, occupational skills training and education, supportive services, certificate programs, leadership opportunities, comprehensive counseling, financial literacy, entrepreneurial skills training, labor market information, activities to help youth prepare for post -secondary education and follow-up services. The basic program will take place primarily at our community-based center in Santa Ana. Participants will engage in a variety of educational and job training activities, Including classroom and workshop instruction. Participants will be required to meet individually with key staff, participate in daily and weekly educational trainings, and weekly workshops. Also, WIQA participants will also engage in weekly "hands-on" work experience and job training opportunities at our agency and other offsite job trainings in the community. Please see below Table 1 for an overview of the program timeline for the entire year. EXHIBIT A 25B-25 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal TABLE 1-- Praeram Timeline from Julv 2017 —June 30, 2018 k.WV1 AT"LA9MMP'9.�i n°M1'l� a • Aryt V i n _ v Orlentation of program and services with Case Manager Month 1- 2 Objectives: • Employability/Job Skills assessment with Case manager Program Overview, • Basic Skills/Academic levels assessment with Literacy and Numeracy tutor Assessments, • Career interest assessment and survey with Career Counselor Participant Goals • Determine Employment and Academic goals • Initiate bi-monthly meetings with Case Manager to discuss goals and service needs of participants Months 3-8 • Initiate paid work experience Ob'eeciives: • Initiate weekly Leadership/Job/Life skills workshops Educational Guidance, • Initiate weekly tutoring of Literacy and/or Numeracy skills Tutoring, Vocational • Continue bi-monthly meetings with Case Manager to discuss progress Training, Job Training, • Continue monthly meetings with Career Counselor for academic guidance Workshops & • Continue monthly support group with other WIOA participants and staff Work Experience Month 9-12 • Continue bi-monthly meetings with case manager to discuss program goals, Oblectives: and for intense employability skills and job search training Employability/Job Skills • Continue tutoring, if necessary & Job Search • Continue monthly life skills training • Continue weekly workshops with WIOA participants and staff B. Please see below in sections 111 -XV a full description of the program. 3. Population, A. Describe the total number of youth that will be served by this grant: The WIOA program at OCCTAC will serve a total of 20 WIOA participants, The program will serve 16 out of school youth (ages 16 — 24) and 4 in -school youth (ages 16 — 24) for a total of 20 youth. B. Describe the age range of the youth that will be served —The WIOA program will serve in - school and out of school youth 16-24 years of age. C. Describe any minimum requirements that youth need to have in order to be enrolled into your program (aside from the WIOA Youth eligibility requirements). Aside from the basic WIOA requirements of being a Santa Ana Resident (16— 24 yrs.), and having a right to work documentation, our participants have to complete the following: 1) complete a background check, 2) obtain a negative TB test, and 3) attend a mandatory orientation session before completing the eligibility documentation. D. Special consideration for organizations that can serve the following youth populations; (75% of Out -of -School youth (required); 10% of youth with disabilities; 10% of foster/emancipated youth; 10% youth that have dropped out of high school and 10% of youth on probation). See below Table 2 for past Enrollment Numbers, EXHIBIT A 25B-26 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WICIA Proposal Table 2- Percentages of Youth Population served at OCCTAC Out of School Youth 75% 75% Youth with Disabilities 25% 25% Foster Youth 15% 15% High School Dropouts 15% 30% Youth on Probation 5% 0% Homeless Youth 5% 5% As seen on Table 2, OCCTAC has exceeded the minimum percentage required by this grant in most youth population categories, except for youth on probation and youth that are homeless, Therefore, this year we will focus more on enrolling the "youth on probation" and expand our network and community partnerships to ensure the minimum of 10% for these target populations. We will continue to strengthen our community partnerships with the Santa Ana Unified School District, Community Day High School, as well as expand with others, such as, the Santa Ana Police Department, etc. E. Specify how the targeted youth populations (out-of-school, youth with disabilities, foster/emancipated, probation, dropouts) will be recruited - OCCTAC has excellent community partners that will help us fulfill our enrollment goals through referrals, and help us provide an excellent program for all our youth. Target group - Youth with Disabilities: OCCTAC has had a strong partnership with the Santa Ana Unified School District, Special Education, and Transition Partnership Program (TPP) during the past 11 years, in order to serve youth with disabilities exiting high school. This year we will expand this partnership by also serving the In -school youth papulation with disabilities. In partnership with the SAUSD TPP program staff, we will ensure that our enrollment goals will be met by the first quarter. The Case manager will work closely with the SAUSD, TPP staff for referrals of youth with disabilities, and to make sure that our participants will be successfully attain all their goals! 2. Target group — Foster Youth/ Emancipated: OCCTAC has partnered with the County of Orange, Social Services, Children and Families Services Division, Olive Crest and Orangewood to continue to serve more emancipated foster youth. OCCTAC has been a partner with the County since 2007, We are looking forward to continue to grow and strengthen our partnership with the County, Social Services to continue to provide and expand work experience placements, vocational training, academic /employment services and mentoring to foster youth in Orange County. 3, Target group — Probation Youth; In partnership with the City of Santa Ana and the Santa Ana Unified School District, OCCTAC has started a partnership with counselors and probation officers that work with this population. EXHIBIT A 25B-27 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 4. Target group — High School Dropout Youth: In partnership with the Santa Ana Unified School District and Pupil Support Services/School Climate Department, CICCTAC will target and serve the high school dropout youth in Santa Ana, Also, In partnership with College and Career Preparatory Academy we obtain referrals from Janet Gamache which refers youth that have dropped out and are interested in our service. We are looking forward to creating and growing our partnership with the Santa Ana Unified School District to continue to provide and expand work experience placements, vocational training, academic/employment services and mentoring to youth who have dropped out yet want to achieve their high school diploma. Lastly, CCCTAC will continue to conduct community outreach and special community events throughout the year to promote our programs and inform the youth in the Santa Ana community about this wonderful WICA program. Some of these community events include Expos, Health Fairs, Summer Family Festivals, etc. These events aid in the promotion of our services and recruitment of youth. These events are staffed by employees and volunteers at CICCTAC, as well as youth 1 WIOA participants are also encouraged to participate in these events as a way to gain leadership skills, work experience, and practice with public speaking. F. Include a Letter(s) of Support from organizations that have agreed to refer youth to your program as Attachment C. G. Describe your recruitment plan that will fulfill the requirement of enrolling 100% of youth by the 2nd quarter of the program (December 31, 2015)— Please see Table 3 below. Ta6ifa 2— Rarniltm ant Plan to arimire 1000K enrollment of youth by 2nd quarter EXHIBIT A 25B-28 Last Friday of Last Friday of the st Last Friday of the e x Last Friday of the )-t a Last Friday of Orientation what is the month month Month Month the Month W IOAP Presentatlons All High School All Youth In Classes with orangewood chlldrenwlth and Olive Crest disabilities in Meetings the Santa Ana School District outreach Summer Summer Attend all back to Provide Community Fairs Community Fairs school community information and Events— and Events events—attend at noche de Provide Flyers to transitional altars event all community partnership agencies In Santa community event Ana Referrals Inform Set appointments Set appointments Set appointments Set community with all youth with all youth with all youth appointments partners thatwe referred to referred to referred to program with all youth will start taking program program referred to referrals staring program EXHIBIT A 25B-28 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 4. Assessment : A. Youth Service Providers are required to use the Test for Adult Basic Education (TABS) assessment tool, but may use other assessment tools upon approval. — Yes, of course. TABE testing will be used to asses all WIOA Youth B. Describe how your program will conduct assessments for youth participants, elaborate on the type of assessment tools or surveys that will be used. — At intake, all participants will be given a TABE test to determine the participant's Educational Functional Level in literacy/Numeracy. The TABE test will determine the needs of the participants in both academic areas. Additionally, they will aid in the facilitation of the weekly tutoring sessions. Youth will be assessed after 3 months of tutoring to see their progress In each academic/subject area being tested. if the youth goes up by 2 grade levels or more, the youth can take the final Post Test assessment. All participants will continue with the tutoring sessions if they score under 9.1 level. C. Describe knowledge of the barriers that youth encounter - OCCTAC's primary focus will be youth with disabilities, foster youth, high school dropouts and Homeless youth, OCCTAC realized that there is a desperate need in serving youth who are HIS dropouts in addition to foster youth. This data is reflective on the youth we are currently serving during the 2016 — 2017 program year. Out of the 20 youth served, 5 had a disability, 6 were HS dropouts, 3 foster youth, and 1 homeless youth. D. Specify how your organization will address the barriers that youth encounter - OCCTAC WIOA staff is very dedicated land has been for the past 11 years!) to this amazing program for our Santa Ana youth. We are committed to ensure that all participants overcome the barriers they face in a variety of ways. All youth will be assigned to a TEAM of dedicated staff and passionate individuals who will mentor and assist youth during the entire program year. First, a Case manager will be assigned to all youth to provide mentorship, while also assisting in the attainment of employment goals, such as writing a resume and preparing for an interview. In addition, the participants will also be required to attend monthly job skills/life skills workshops focusing anywhere from employment attainment/retention, to how to improve and change their own personal lives, and the community in which they livel Furthermore, to aid in academic barriers that youth experience, they will be assigned to an Educational counselor who will provide direction EXHIBIT A 25B-29 { Jul 1° Contact Youth contact all Set appointments Set appointments youth that with youth with with youth with where prior interest prior Interest Interested in WIOA 2016 - 2017 year after full enrollment. 4. Assessment : A. Youth Service Providers are required to use the Test for Adult Basic Education (TABS) assessment tool, but may use other assessment tools upon approval. — Yes, of course. TABE testing will be used to asses all WIOA Youth B. Describe how your program will conduct assessments for youth participants, elaborate on the type of assessment tools or surveys that will be used. — At intake, all participants will be given a TABE test to determine the participant's Educational Functional Level in literacy/Numeracy. The TABE test will determine the needs of the participants in both academic areas. Additionally, they will aid in the facilitation of the weekly tutoring sessions. Youth will be assessed after 3 months of tutoring to see their progress In each academic/subject area being tested. if the youth goes up by 2 grade levels or more, the youth can take the final Post Test assessment. All participants will continue with the tutoring sessions if they score under 9.1 level. C. Describe knowledge of the barriers that youth encounter - OCCTAC's primary focus will be youth with disabilities, foster youth, high school dropouts and Homeless youth, OCCTAC realized that there is a desperate need in serving youth who are HIS dropouts in addition to foster youth. This data is reflective on the youth we are currently serving during the 2016 — 2017 program year. Out of the 20 youth served, 5 had a disability, 6 were HS dropouts, 3 foster youth, and 1 homeless youth. D. Specify how your organization will address the barriers that youth encounter - OCCTAC WIOA staff is very dedicated land has been for the past 11 years!) to this amazing program for our Santa Ana youth. We are committed to ensure that all participants overcome the barriers they face in a variety of ways. All youth will be assigned to a TEAM of dedicated staff and passionate individuals who will mentor and assist youth during the entire program year. First, a Case manager will be assigned to all youth to provide mentorship, while also assisting in the attainment of employment goals, such as writing a resume and preparing for an interview. In addition, the participants will also be required to attend monthly job skills/life skills workshops focusing anywhere from employment attainment/retention, to how to improve and change their own personal lives, and the community in which they livel Furthermore, to aid in academic barriers that youth experience, they will be assigned to an Educational counselor who will provide direction EXHIBIT A 25B-29 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal and coaching on any academic aspect, such as scholarship writing and enrollment into an institution of their interest. This service is crucial for all youth participating In the program because it will allow them to learn about various academic paths, including vocational training, HS recovery programs and 4 -year institutions, while narrowing down a career of interest and actually committing to a program, In addition, all participants will be provided with tutoring, psychological counseling (if needed), and other important support services. OCCTNs environment is very nurturing, fun and supportive, and provides youth opportunities to maintain a high level of involvement in our programs. WIOA youth are supported emotionally throughout the entire year at OCCTAC, and are provided with a positive and welcoming environment that also encourages youth to partake on various leadership roles within the various programs and activities at our agency. These additional activities provide youth with an opportunity to gain self-confidence, self-esteem and leadership skills, and also experience a safe haven at our center. Our goal is to empower youth and provide a life changing opportunity through this WIOA program! S. Paid & Unpaid Work Experience: A. Describe in detail the paid and unpaid work experience opportunities that will be offered to the youth such as, Summer employment, Pre -apprenticeship programs, Internships or job shadowing, and on -the -Job training opportunities. Youth will engage in weekly "hands-on" work experience and job training opportunities at our agency and other community sites. The following tables (Tables 4, 5 & 6), demonstrate the variety of programs that we offer at OCCTAC and at offsite work experience locations, WIOA participants can choose from any of these programs/fields to fulfill their career goals and work experience. Please see below Table 4 for an overview of the various "hands-on" job -training programs, mentoring and work experience opportunities at OCCTAC. TART F a• Muntnrino ]b Inh Training Prnaramq nt OCCTAC ¢�reaUf 'f;` �; ��*r �6 �lacern �t �du��twnai�Tr.amlhgA��gqW %14Li`k'£ �, ,JobTitle� a 15ai rKe 3'hefy�l,�,�=pr7"1vV 1G V1/orkxpeYrenpe .' .. ,. SC ,Ah �y �{�d Ciarrjcylum ti , ,_.n,._xra` Al Health Case Manager Intern OCCTAC, MECCA and SAC Curriculum & Case Community Sites *State Certificate Program Management Child Care Child Care Worker Early Start Program at SAC Curriculum OCCTAC and Wilson *State Certificate Program Elementary School Office/Reception Executive/Administrative OCCTAC office SAC curriculum Customer Service Assistant & Community sites *State Certificate Program Computers Education Tutor or Learning Academy at OCCTAC & Host Curriculum Instructional Assistant OCCTAC & community sites EXHIBIT A 25B-30 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal Furthermore, WIOA youth will be encouraged to participate in additional programs that we have at our agency to give youth more opportunities and "hands-on" experience on a variety of fields (health, education, arts and technology), so they can gain as much work experience as possible, TABLE 5: Additional Job Training Programs for WIOA Youth mentored by NON-WIOA staff DE Early Start Program Education Teaching Assistant Early Intervention/ First Five Early Childhood 8:30 am —11:30 am Early Start Program at curriculum, High Scope & "Hands with their parents, it aims at enhancing students' cognitive, OCCTAC on Training" Arts Education Teaching Assistant After -School Arts Program CA Performing Arts Standards Wednesdays & Program at OCCTAC and Engage 360 Curriculum and "Hands-on" Arts and children work together in a creative and nurturing at various SAUSD schools Training Technology Technology Assistant Computers/Media LAB at SAC, Digital Media Center 10:30 —12:30 pm Graphic Artist OCCTAC & Santa Ana OCCTAC curriculums & Program Audio Engineer Intern Business Owners "Hands-on" Photoshop & training to at -risk youth, and children with disabilities In the Film Production Intern St. Andrews Church Illustrator, & graphic design 9:00 am — 4:00 pm Therapeutic Arts Rytmo & other Recording training, Recording Technology Program ages and special needs, including: learning disability, health Studios Training softwares, Pro -Tools & Impairments, physical disability, developmental disabilities Saturdays Sybellius Furthermore, WIOA youth will be encouraged to participate in additional programs that we have at our agency to give youth more opportunities and "hands-on" experience on a variety of fields (health, education, arts and technology), so they can gain as much work experience as possible, TABLE 5: Additional Job Training Programs for WIOA Youth mentored by NON-WIOA staff EXHIBIT A 25B-31 DE Early Start Program The Early Start program is and early intervention program that Mondays & Tuesdays integrates very young children (6 months to 3 years of age) 8:30 am —11:30 am with and without special in a natural community environment Fridays with their parents, it aims at enhancing students' cognitive, 8:30 am —10:30 am language, motor and social development. Pre -Kinder Arts The Pre -Kinder Arts program Is a bilingual school readiness Wednesdays & Program program that serves children ages 3- 4 years old. The parents Thursdays and children work together in a creative and nurturing 8:30 am —11:30 am environment by engaging In music, art, literacy, and parenting Fridays classes to prepare children for school. 10:30 —12:30 pm After school Arts The ASA for fife program provides artistic training in the fields Monday — Friday Program of Music, Visual Arts, Dance, Musical'rheatre, and Technology 3:30 pm —8:00 pm training to at -risk youth, and children with disabilities In the and Saturdays community. 9:00 am — 4:00 pm Therapeutic Arts This program serves children and youth with disabilities of all Monday— Friday Program ages and special needs, including: learning disability, health 3:30 pm —8:00 pm Impairments, physical disability, developmental disabilities Saturdays and others. 9:00 am —4:00 pm Learning Academy & This program provides homework support and tutoring to Monday — Friday Tutoring Program students (ages 5 —16 yrs) in Language Arts (reading and 4:00 — 8:00 pm writing), math, and other academic subjects. Saturdays 9:00 am — 5:00 pm OCCTAC This program provides outreach, prevention, referrals and Monday — Friday Family Wellness engagement with individuals at -risk of mental health 8:30 am —8:30 pm Program problems. Other support services include parenCing, and weekends counseling, and support groups. EXHIBIT A 25B-31 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal B. Special consideration will be given to organizations that can prepare youth for targeted in -demand industries as identified in the SAWIB's five-year plan: (Manufacturing/Advanced Manufacturing, Healthcare and associated social services, Hospitality/entertainment and Green/clean/environment). OCCTAC's Youth employment program targets 3 of the in -demand industries stated above 1) Healthcare 2) social services and 3) Entertainment/Arts, C. Special Consideration for organizations that offer job training/preparation In the Industries of: Science, Technology, Engineering, the Arts and Math. OCCTAC offers job training/preparation in three of the industries mentioned above: 1) Technology, 2) the Arts and 3) Education/Math. D. List some of the employers that will assist in the paid and unpaid work experience opportunities. Please see below Table 6 for offsite job trainings for our youth, TABLE 6: Mentoring & Job Training Programs OFF SITE EXHIBITA 25B-32 Administrative Assistant/Customer Service Assistant/Social Monday -Sunday Genesis Bridal Boutique Media & Outreach: Intern is responsible for making calls to previous and interested clients, conducting outreach events such 1C:OOam-6:00pm as creating and distributing flyers and business cards. Intern is also responsible for speaking with clients by showing them the boutique and answering questions about boutique merchandise. Intern will help with computer programs, such as translation Fundoc16n de Administrative Assistant/Receptionist/Outreach: Intern Is Monday -Sunday Sobrevivlentes de responsible for working in the front desk area and speaking to Traflco Humana clients and answering phone calls. Intern is also responsible for 10:OOam-8:00pm inputting referral form data into database and making follow up phone calls to clients that are interested. Intern will be printing, organizing, and filing documents. Lastly, Intern will be assisting in outreach events in the community to provide Information about services given at the center. State Farm Administrative Assistant/CustomerService: Monday -Friday Insurance Intern Is responsible for answering phone calls and directing them to their designated department. Intern is also responsible for 8:00am-5:00pm printing, organizing, and filing documents. Intern will be responsible for assisting clients with questions on insurance and providing an overview. Teresa'sJewelers Administrative Assistant/Customer Service: Intern is responsible Monday -Saturday for making calls to previous and Interested clients and inform on merchandise. Intern Is also responsible for answering phone calls 9:00pm-6:00pm and providing assistance to clients and directing them to the necessary department. Intern will also work with clients in person and assist with any questions about jewelry merchandise. Chick -FII -A Team Member: Guest service job duties Include greeting Monday -Saturday customers, taking customer orders, and completing transactions on the cash register. Food preparation duties consist of cooking EXHIBITA 25B-32 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal E. Include Letters of Commitment from employers as Attachment D. Please see attached letters of commitment to OCCTAC from various community partners/ employers for our youth. Attachments include letters of Commitment from: f.ilia Cerpas (Genesis Bridal Boutique), Eddie Quillares Jr. (State Farm), Teresa Saldivar (Teresa's Jewelers), Heather Sanders (Chick-Fil-A), Dr. Patricia Adelekan, DTM (Youth on the Move Education International), John Walcutt (Shakespeare Orange County). F. Include a copy of the Work Experience policy as Attachment E. Please see attached OCCTAC's Work Experience Policy. 6. Alternative Secondary School Services: A. Describe in detail the alternative secondary school services or dropout recovery services that will be made available for youth. Youth will meet with the Educational Counselor at least once a month to receive assistance as they decide to pursue their education. Youth and Counselor will meet and create monthly goals, which will lead to youth obtaining their diploma/GED. Counselor will provide youth with the various options available to them and will provide guidance along the way. Counselor and youth will write down the path youth decides to take. Counselor will check in with youth periodically to ensure that youth is fulfilling all requirements. Prior to meeting with youth, the Educational Counselor will research the alternative secondary school services available near the youth. Counselor will gather information in terms of: requirements, costs, rules, schedules, entrance exams, etc. After conducting research, the Counselor will meet with each youth to obtain a better understanding of the participants' needs. During this meeting, the Counselor will gather more information relevant to the youth's needs. Together, Counselor and youth will conduct further research and ultimately find the program that best suits the participant, Then, they will call and set up an appointment to meet with the representative of the program. The Counselor will attend the meeting to advocate for the participant's best option. After this meeting, the participant and the counselor will strategize on how to further proceed. During that period of time, the Counselor will provide youth with additional services such as tutoring, time management lessons, and study skills. Also, the counselor will provide youth some examples of alternative secondary school services EXHIBIT A 25B-33 food and assembling sandwiches. Additional team member duties include operating the drive-thru window, unloading deliveries, and maintaining a clean store environment. 630am-10:00pm Youth on the Move Administrative Assistant/ Social Media Intern: Monday -Friday Education Intern Is responsible for computer literacy, updating social media, International making phone calls to participants to update contact Information, 8:00am-6:00pm and some fundralsing. Intern Is also responsible for clerical duties such as filing documents, answering phone calls and scrapbooking. Shakespeare Graphic Arts Intern/Marketing Intern/Administrative Assistant: Monday-Saurday Orange County Intern is responsible for assisting in the creation of logos and flyers for marketing. Intern is also responsible for updating social 9:00am-6;00pm media and some administrative duties such a filing, organizing, and data entry. E. Include Letters of Commitment from employers as Attachment D. Please see attached letters of commitment to OCCTAC from various community partners/ employers for our youth. Attachments include letters of Commitment from: f.ilia Cerpas (Genesis Bridal Boutique), Eddie Quillares Jr. (State Farm), Teresa Saldivar (Teresa's Jewelers), Heather Sanders (Chick-Fil-A), Dr. Patricia Adelekan, DTM (Youth on the Move Education International), John Walcutt (Shakespeare Orange County). F. Include a copy of the Work Experience policy as Attachment E. Please see attached OCCTAC's Work Experience Policy. 6. Alternative Secondary School Services: A. Describe in detail the alternative secondary school services or dropout recovery services that will be made available for youth. Youth will meet with the Educational Counselor at least once a month to receive assistance as they decide to pursue their education. Youth and Counselor will meet and create monthly goals, which will lead to youth obtaining their diploma/GED. Counselor will provide youth with the various options available to them and will provide guidance along the way. Counselor and youth will write down the path youth decides to take. Counselor will check in with youth periodically to ensure that youth is fulfilling all requirements. Prior to meeting with youth, the Educational Counselor will research the alternative secondary school services available near the youth. Counselor will gather information in terms of: requirements, costs, rules, schedules, entrance exams, etc. After conducting research, the Counselor will meet with each youth to obtain a better understanding of the participants' needs. During this meeting, the Counselor will gather more information relevant to the youth's needs. Together, Counselor and youth will conduct further research and ultimately find the program that best suits the participant, Then, they will call and set up an appointment to meet with the representative of the program. The Counselor will attend the meeting to advocate for the participant's best option. After this meeting, the participant and the counselor will strategize on how to further proceed. During that period of time, the Counselor will provide youth with additional services such as tutoring, time management lessons, and study skills. Also, the counselor will provide youth some examples of alternative secondary school services EXHIBIT A 25B-33 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal located In Santa Ana, provided below in T. Table 7 — Alternative Secondary Schools located In Santa Ana College 1699 E. Wilshire 714) 796.8795 http://www.ocde.us/CCPA/Pages/default.asp N/A and Career Ave., Ste. cos x Preparator Santa.Ana, 92705x�os Academy Community 804 N Fairview 714) 796-9000 htt www.sausd.us Pae 12603, N/A Day High St. Santa Ana CA School 92703 Independent 333 E. Walnut St. 714) 565-5400 htip://www.sausd.LISZ/Site/Default;aspx?PagelD=1N/A APEX (onilne 6692 Study Program Santa Ana, CA classes) 92701 Hillview High 154000 714) 730-7356 httD://www.tustin,1<12.ca.us/hillviewhs N/A Continuatio School Lansdowne Rd. n School ustin, CA 92782 (Credit Recovery) Santa Ana 2906 W. Edinger 714) 241-5720 htt s: www.sac,edu/Co,ntinulneFducation/Prc1ra N/A Adult High ms „P es FlighSehooLas x College -- Ave, Santa Ana, School School of California 92704 2 Locations—Centennial Education Center &Santa Diploma Continuing Ana College Program Education B. Describe in detail the activities that will lead youth to attainment of secondary school diploma or equivalent, All Youth will be encouraged to continue their education, since this is such an important factor in their overall improvement and success in life, Youth will work closely with the Educational Counselor on a ane -on -one basis where they will receive encouragement and guidance. Youth will be encouraged to attend field trips throughout the year, and be exposed to different college campuses, as well as a wide variety of majors. By visiting a variety of colleges, youth will better understand the application process as well as all requirements needed. The Counselor will also assist and provide youth with outside tutoring as needed. Also, the Counselor will work with the Volunteer Coordinator to locate a tutor who can meet with youth on a weekly basis and help with classes. The Counselor will keep in communication with the tutor, and ensure that youth is receiving the assistance needed to pass classes. Aside from tutoring, the Counselor will meet with youth during bi-weekly meetings and support youth in developing all the skills necessary to succeed. The meetings will focus on: time management, test -taking strategies, and study skills. Furthermore, the counselor will also map out a plan that will help youth work towards their goals. Youth and Counselor will also set goals and will work to achieve goals. During every meeting, Counselor will inquire about youth's progression. Counselor will also work closely with Case Manger to ensure that youth Is receiving assistance needed from two different parties. C. Special consideration for organizations that offer dropout prevention or dropout recovery services, As mentioned previously, OCCTAC has partnered this year with the Santa Ana Unified School District, Pupil Support Services/School Climate Department. In partnership EXHIBIT A 25B-34 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal with Dr. Sonia Rodarte Llamas and Counselor Patrick Yrarrazaval-Correa, we will target and serve the high school dropout youth in Santa Ana, and offer dropout prevention or recovery services. 7. Preparation for Postsecondary Education and Training: A. Note; WIOA only accepts certificates that are accredited by a State recognized educational entity or are recognized by employers. OCCTAC provides State recognized Certificate programs in partnership with the Santa Ana College, Therefore, any employer should recognize these certificate programs. We are extremely grateful for this wonderful partnership with the Santa Ana College. B. Special consideration for organizations that offer preparation for postsecondary education and training in high -demand Industries. Because of the certificate programs provided at OCCTA, youth apply to the following positions and receive above minimum wage. • Global Cash card $11.00 + Benefits • Lowes - $11.45 • Micro Center $12.00 + Benefits • Daikin AC $12.00 • Providence Speech $13.00+ Benefits • United verification $11.00 + Benefits • Real Time Staffing $11.00 • Optimum Employer Solutions $11.00 • Non profit work $11.00 • Omni Print $11,00 + Partial Benefits • Budget Mobile $11.00 C. Identify and/or develop a pathway for youth that can lead them from high school to career or college. please elaborate on the specific pathway(s). Yes! This is a high priority for us at OCCTAC to inspire and motivate our WIOA youth to continue to enhance their educational goals, so they can be more successful in life. Please see below a pathway that we have created at our agency to assist and lead our WIOA participants from high school to college. EXHIBIT A 25B-35 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal Pathway for Post Secondary Education Participants will; 1. Meet educational counselor and identify interest and possible careers. 2. Research Necessary education and courses to reach a particular career. athe I 3. Visit different campuses and apply to ones they feel the most comfortable. 4. Take placement exams after ling accepted to his or her school. 5. Research major and minor requirements for achievement 6. Apply to programs that will provide additional services that youth will need while In post secondary education (FAFSA, BOG, DEPS, FOPS ect.) 7. Create educational plan and registration to courses. D. Describe in detail how the program will prepare youth for postsecondary education and training. The WIOA case manager and career counselor meet regularly with each WIOA youth to discuss job leads, employment opportunities and post -secondary education. The case manager helps youth with employment, and the career counselor helps youth with entering post -secondary education. The Educational Counselor will assess all youth using ONETto learn about their career preference, interests and skills, and then match them with carriers of their choice, Youth will then be able to obtain assistance in researching different majors, vocational training and certificate programs that will allow them to enter into post secondary education in their field of interest and succeed! The Educational Counselor will also provide assistance in completing all necessary financial aid or dream act applications, such as scholarships to minimize any stress and anxiety on financial burdens. E. How will your organization expose youth to the various post -secondary educational institutions (colleges, universities, vocational training schools, apprenticeships, etc.). All year round, the WIOA youth attend field trips to the various colleges and universities so they can get motivated and encouraged to enroll in any of these institutions with the help of the case manager and the career/educational counselor at OCCTAC. All certificate programs are taught at our facility, Currently we offer WIOA participants 2 state certificate programs at our agency: Child Care Worker Certificate and the Office Clerk/Executive Administrative Certificate Programs. Please see below (Table 8) for a brief description of these certificate programs in partnership with the Santa Ana College. Furthermore, we are in the process of incorporating a new Health Certificate program at OCCTAC, in partnership with the California School of Health EXHIBIT A 25B-36 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal Sciences, an Institute owned by one of our new Board of Directors. OCCTAC is always looking for new and exciting opportunities to expand the level of education and job opportunities for our WIOA participants! Table 8 - State Certificate Programs at OCCTAC in partnership with the Santa Ana College Include data and research that supports the industries or pathways listed above. According to O Net Online the following position and many other administration positions considered those with a bright outlook and rising opening. 43-4171.00 Receptionist and information clerks 43-6013.00 Medical Secretaries 43-3021.00 Billing and Positing Clerks According to O Net online the following position and many other in child worker are considered those with bright outlook and rising opening as well. 39-9011.00 Child care worker 25- 2011.00 Preschool Teachers, except special education. G. Include Letters of Intent from training agencies as Attachment F. Please see attachments from our community partners. 8. Tutoring: H. Note: Youth Service Providers are required to use the Test for Adult Basic Education (TABE) on ALL youth to assess their literacy and numeracy skills. Youth who score 8.9 and below are considered "basic skills deficient" whom should receive tutoring or remedial training to Improve their literacy and numeracy skills. OCCTAC currently uses and will continue to use TABE test and TABE testing materials with our WIOA participants. Describe in detail the tutoring resources that will be provided to youth. OCCTAC has demonstrated commitment in helping WIOA youth with and without disabilities improve their EXHIBIT A 25B-37 SSC UN fT'mes Office Clerk State Certificate This program prepares students for in-depth training in Monday and Program executive secretary/administrative assistant positions. Wednesday The open-entry/open exit, competency -based format promotes success in a high employment occupatlonal 4:30-7:30 pm field. The program develops skills in research, report and correspondence preparation, advanced computer software applications, database management, interactive presentations, customer service and telephone techniques, and other advanced office procedures. Child Care Worker Certificate Students learn about health Information required for M, T, W, Th, Fr Program licensing and skills necessary for successful operation of a childcare business. Also, students learn soft skills for 8:00 am —12:00 those who would prefer to be employed by a childcare pm business. Include data and research that supports the industries or pathways listed above. According to O Net Online the following position and many other administration positions considered those with a bright outlook and rising opening. 43-4171.00 Receptionist and information clerks 43-6013.00 Medical Secretaries 43-3021.00 Billing and Positing Clerks According to O Net online the following position and many other in child worker are considered those with bright outlook and rising opening as well. 39-9011.00 Child care worker 25- 2011.00 Preschool Teachers, except special education. G. Include Letters of Intent from training agencies as Attachment F. Please see attachments from our community partners. 8. Tutoring: H. Note: Youth Service Providers are required to use the Test for Adult Basic Education (TABE) on ALL youth to assess their literacy and numeracy skills. Youth who score 8.9 and below are considered "basic skills deficient" whom should receive tutoring or remedial training to Improve their literacy and numeracy skills. OCCTAC currently uses and will continue to use TABE test and TABE testing materials with our WIOA participants. Describe in detail the tutoring resources that will be provided to youth. OCCTAC has demonstrated commitment in helping WIOA youth with and without disabilities improve their EXHIBIT A 25B-37 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal literacy and numeracy skills as evidenced every year with our participantsi Please see Outcomes table in last year's outcomes (95Y6)! in summary, our WIOA Literacy and Numeracy tutors will meet with each participant at least once a week upon the completion of the initial TABS assessment. Our agency's goal is that each youth increases by at least two Educational Functional Levels at time of post-test. By providing effective and individualized tutoring sessions we can ensure that our youth are able to increase their basic skills. In the past, OCCTAC has been very successful in the attainment of these goals, and thus is committed in continuing to assist participants with and without disabilities, As stated above, OCCTAC has demonstrated commitment in helping WIOA youth with and without disabilities improve their literacy and numeracy skills as evidenced in last year's outcomes. 9. Mentoring;: J. Specify how your organization will provide mentoring to youth. Our agency has some amazing staff that is dedicated and committed to empowering and supporting our WIOA youth. Not only will our WIOA youth be able to gain mentoring from the WIOA Staff, but also from all the staff working at other OCCTAC programs, such as (After School Arts, Therapeutic Arts, Early Start & Pre -Kinder Arts, Learning Academy, Wraparound Program, Family Wellness Program, etc.) Youth have the opportunity to obtain interviews, get all their questions answered, and shadow many magnificent professionals in the fields such as Music, Art, Technology, Marketing, Psychology, Social Ecology, Education, and many more. These youth will not only be able to gain hands on work experience in these fields as well, but also have the opportunity to gain insight from these professionals on the do's and don'ts of these fields and the many different paths they can take one day, and pave the paths to their very own careers. K. Specify what types of support your organization will offer youth who are facing challenging obstacles such as: family dysfunctions, mental health issues, low self-esteem, probation, gang Issues, parenting Issues, etc, OCCTAC has entered two new partnerships this year with the following institutions; Pepperdine University, Graduate School of Education and Psychology, and USC, School of Social Work. (Please see letters of support in attachments section). Both institutions will assign their interns to OCCTAC and provide Mental Health Counseling to all our WIOA youth, if needed. Participants can enroll in individual counseling, as well as group counseling and support groups. Also, all Youth will be able to take workshops and training on where to obtain additional information and resources on some of these subjects. Case Mangers will also be able to refer youth to additional specialists, if needed. Finally youth will also be able to participate in any of the support groups and classes provided by the FAMILY WELNESS programs at OCCTAC, to help them with low self-esteem, parenting issues, etc. and gain assistance in working through all of these challenges. L. Will your organization offer mental health services or referrals to mental health agencies, describe. YESI As stated above, OCCTAC has entered two new partnerships this year with the following institutions: Pepperdine University, Graduate School of Education and Psychology, and USC, School of Social Work. (Please see letters of support in attachments section). Both institutions will assign their interns to OCCTAC and provide Mental Health Counseling to all our WIOA youth, if needed. Thus, our staff can now make direct referrals EXHIBIT A 25B-38 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA proposal to provide free mental health services and onsite counseling on a weekly basis for our WIOA youth M. Describe how your organization will provide or refer youth to comprehensive guidance and counseling for drug and alcohol, etc. In partnership with the community services program, we are be able to provide youth with a workshop on drugs and alcohol, and also provide them information recourses, and referrals for counseling, if needed. 10.Worlcshops: O. Provide Information about the following workshops and how or when the workshops will be provided to youth in the program: - All participants will be required to attend Life Skills and Job Skills training that will encompass all of the following components. Youth will be asked to attend 3 workshop series that will assist them in their overall achievement in this program, as well as their personal lives. Workshops will be weekly. Starting in September 2017 and ending in June 2018. OCCTAC Training Series: • Financial Literacy: This workshop series will allow WIOA participants to understand the importance of budgeting their money and savings. They will gain an insight on how to become finically stable now in order to further assist them with their career and educational goals. See attachments section for a sample. • Job Skills: This workshop series will allow youth to learn and create materials needed for employment purposes, with the ultimate goal of when completed, they are able to assemble an employment portfolio that can be presented at any job fair, interview, and new potential employer. See attachments section for a sample. • Life Skills: This workshop series will help our youth with day to day life skills information to assist them in making healthy and reasonable choices in their lives. See attachments section for a sample, 1. Financial Literacy/ Budget Management — These are one of the most basic and important workshop series that we offer at OCCTAC for several yearsl As mentioned above, WIOA participant will earn about financial literacy and budgeting, and these workshops will allow our youth to think not only about the present, but of their future. They will learn the basic of opening a checking and savings account, and how to plan for retirement and future expenses. 2. Entrepreneur Skills Training — This workshop will be the perfect opportunity for innovative young adults in Orange County to learn what it takes to be successful when launching their entrepreneurial ventures. They will learn how to do this via three key strategies: Business plan competition, Networking and collaboration. 3. Labor Market Information — This workshop will provide youth with valuable information for today's labor market, so that you can make an educated decision on which career path is best suited to your skills and abilities. EXHIBIT A 25B-39 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal G, Family Planning — Planned Parenthood and Human Options will provide our WIQA youth with information on healthy relationship and birth control. These workshops are intended to help assist youth with their future and current family stabilities. S. Worker's Rights/Labor Laws — Participants will be able to learn and understand their rights as an employee in California from things like mandatory break times and benefits. Participant will also be able to learn and understand how to ask and receive accommodations that must be provided to those who have same type of learning or physical disability. As well as questions that may not be asked in an interview or after becoming an employee. 6. Analytical Skills at the Workplace — All WIQA youth will be provided with a task analysis and literacy analysis, skills assessments, job profiling, and pre-employment work skills. Each of these sills can provide a path to improve the participant's ability to perform basic job skills in the field or job they have or may have in the future. 7. Health Resources — Participants will be given resources from our community partners, including Planned Parenthood on how to be healthy and safe, and how to obtain medical services. Additionally, our MECCA coalition, Pepperdine University, USC, School of Social Work, and the County of Orange, Health Agency will provide WIQA participants with other health resources and mental health specialists, if needed. 8, Public Speaking Skills —AII Youth will be asked to take a training that will allow them to learn the necessary skills for public speaking, including how to speak to employers and/or new offsite work placements and new potential employers. Also, youth will learn how to create and give oral presentations, as well as how to speak to people when networking for future connections. 11.Civic Engagement and/or Leadership Development A. Can your organization offer a civic engagement opportunity or leadership development opportunity for WIOA youth and other youth in the community, if so, please describe. — AII WIOA youth will be asked to participate in the youth council meetings. They will be asked to contribute Ideas/information on how to better serve the youth in Santa Ana. Youth will also be asked to assist MECCA collaborative, by engaging with our partner agencies, and creating and presenting employment workshops to other transitional age youth and adults at those sites, in order to contribute to a better future for our OC community) B. Indicate the number of youth that will participate In the civic engagement or leadership development opportunity — All WIOA youth will be asked to engage In leadership development opportunities at OCCTAC and the community, through civic engagement activities that will help their community be a better place to live in 1 C. Special consideration for organizations that can leverage funds to provide services to non-WIOA youth participants — Yes, but this would require more discussion and coordination with ALL WIOA Agencies involved, so the responsibility is equally divided between all partner agencies. EXHIBITA 25B-40 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 12. Supportive Services: A. Will your organization provide supportive services to youth such as gas cards, bus pass, childcare assistance, etc. If so, please describe. — Yes. All youth will be provided with supportive services during all phases of the WIOA program, Supportive services are available to those youth approved for the program that show limited resources to meet basic needs, and have expressed to our case manager or educational counselor the need for additional support services. INIOA Youth enrolled at OCCiAC are eligible for the following (as long as funds are available): 1. 30 day bus passes: Every month as long as they provide proof of a steady attendance to all WIOA activities and or accomplish employment or educational goals 2. ACCESS Coupon Books: Every other week as long as they provide proof of a steady attendance to all WIOA activities and or accomplish employment or educational goals 3. Gas Cards: Every month as long as they provide proof of a steady attendance to all WIOA activities and or need to accomplish employment or educational goals. As well as proof of their license. 4. Academic Supplies: All WIOA participants are eligible for academic supplies, such as: planners, USB drives and backpacks. For students who have entered post -secondary education we are able to purchase some, if not all, of their college course books. For those who have entered a credential program some if not all fees can be paid off. 5. Work Related: All participants are eligible for work related material when needed, to help obtain or keep employment such as portfolios, clothing etc. B. Include the Supportive Service Policy as Attachment G. Please see attached OCCTAC Support Service Policy for more specific details. 13. Incentives: A. Will your organization provide incentives to youth for accomplishing program benchmarks or personal goals, if so, please describe. -- Yes WIOA staff will be providing youth with incentives that will encourage them to accomplish their goals, and obtain the necessary skills to move forward in employment and education. Please see Incentive Policy as attachment H. Some of Examples of incentives are as follows: • Stipends: participants are eligible to obtain $600 during their completion of their first 80 hours. • Attendance: Youth in secondary education will receive a $50 incentive for one month of perfect attendance. • High School Dropout students: participants are eligible to obtain $50 for every two courses they are able to complete during the first year of the program. • Employment Services: participants are eligible for gift cards or check incentives after they set up Interviews; obtain employment, or are employed for 3 consecutive months. • Post -Secondary Education: participants are eligible to obtain a $100 gift card or check Incentive after obtaining credentials, or registering for upcoming classes and EXHIBIT A 25B-41 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIAA Proposal applying for FASFA/Dream Act Applications. B. Include the Incentive Policy as Attachment H. Please see attached OCCTAC Incentive Policy for more specific details. 14.Follow-Up Services (8 pages max) A. Youth Service Providers are required to provide follow-up services to youth participants 12 months after exit. Follow-up documentation will be required 30 days after exit, 60 days after exit, and 1°Y, 2nd, 3rd, and 4th quarter after exit. Yes, OCCTAC staff will comply with all WIOA required regulations and program requirements. Please see below Table 9 that delineates all follow-up services. B. Elaborate on the types of services that will be provided to youth during each quarter during the 12 month follow-up period. The following table describes the services that can be obtained and provided to youth during any part of their 12 month follow up period. Please see below Table 9 for follow-up services. TART.IT. Q _ Vnllnw TTn gervirna C. Describe if your organization will provide case management, job retention services, mentoring, and ensure the participants attain their goals. -- All participants are asked to meet with the case managers and the educational counselor at least once a month during the first quarter after exit, in order to ensure that youth accomplish and continue meeting their goals. Youth have the option of meeting with the job developer and case manager to gain additional skills and training needed; and to obtain employment and retain employment after exit. Participants are also contacted via phone or/and a -mail during 2nd, 3rd, and 4th quarter to get updates from youth on post secondary education and EXHIBIT 25B-42 arrw4J,p .err_d 2"Quarter 3` Quarter 4 Quarter 30 day 60 day 1` Quarter Case Monthly and Monthly and Monthly and Quarterly and Quarterly Quarterly and Management (Updates as needed as needed as needed as needed and as As needed and Meetings) needed Educational Counseling Monthly and Monthly and Monthly and As needed As needed As needed (Updates and Meetings) as needed as needed as needed Employment Services As Needed As Needed As Needed As Needed As Needed As Needed (Job Development Meetings Credential Services As Needed As Needed As Needed As Needed As Needed As Needed (Registration) Supportive Service As funds As funds As funds Allow As funds As funds Allow (Transportation)Allow Allow Allow Supportive Services As funds As funds As funds Allow As funds As funds Allow (School Materials)Allow ENeeded Allow Allow Referrals (Housing, As As Needed As Needed As Needed As Needed Mental Health, FoodNeeded Distributions, Health, Counseling, other C. Describe if your organization will provide case management, job retention services, mentoring, and ensure the participants attain their goals. -- All participants are asked to meet with the case managers and the educational counselor at least once a month during the first quarter after exit, in order to ensure that youth accomplish and continue meeting their goals. Youth have the option of meeting with the job developer and case manager to gain additional skills and training needed; and to obtain employment and retain employment after exit. Participants are also contacted via phone or/and a -mail during 2nd, 3rd, and 4th quarter to get updates from youth on post secondary education and EXHIBIT 25B-42 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal employment. Youth have the option of coming in person to meet with the WIOA staff to meetings, tutoring, training, and or any other services at OCCTAC, and to ensure that youth keep a good GPA in school, and continue to move forward In their employment. D. Describe how your organization will ensure that youth meet the Performance Indicators during the follow-up period. —The following table 10 indicates how often the WIOA staff will contact youth, and set up meetings/appointments to provide them with additional assistance, and support their goals to retain employment and stay in post secondary education. TABLE 10 — Freauenev of Follow on Services iSIMMER ro a ,p e 30 day 60 day 1 Quarter 2" Quarter 3' Quarter 4 tA Education credential Employment Quarter Follow Up Case Manager Monthly and Monthly and Monthly and As Needed As Needed As Needed Meetings as needed as needed as needed Supportive Gas card —Academic Fallow Up Calls/Emails Monthly and Monthly and Monthly and Quarterly and Quarterly Quarterly as needed as needed as needed as needed and as and as Education fall or spring classes credential needed needed Follow Up Job Developer As As Needed As Needed As Needed As Needed As Needed Meeting Needed Follow Up Educational Monthly and Monthly and Monthly and As Needed As Needed As Needed Counselor Meetings as needed as needed as needed Job development trainings As Needed As Needed As Needed As Needed As Needed As Needed (Resume, cover letter, applications, follow calls, Interview assistance etc.) Post SecondaryTrainings No service at No service at No service at As Needed As Needed As Needed (Study Skills, FASFA, this time this time this time registration, transferrin etc. €. Describe if your organization will provide youth with incentives or supportive services during follow-up to assist youth retention. Yesl This year we will be providing youth with both supportive services and incentives while in the process of completing their goals, and after accomplishing an important benchmark. The following table 11 explains when they are eligible to obtain supportive services and/or incentives. Please see Incentives Policy for details on how many incentives participants can earn for each category. TABLE 1"I—Snnnort Services/Tncentivea fnr WTnA nsrtieinanfs EXHIBIT A 25B-43 Post Secondary Earning Accredited Job Search Obtaining Retaining Education credential Employment employm ent 30 day Buss pass or 30 day Buss Supportive Gas card —Academic pass or Gas Service Supplies card $25 for registering to $25 for obtaining Education fall or spring classes credential EXHIBIT A 25B-43 2017.18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal F. How often will the youth be engaged or receive service during the follow-up period. — Ail Youth will be asked to keep in contact and meet regularly with the case managers and the educational counselor every month for the As` quarter. After that, they are asked to contact and speak with the case manager on a quarterly basis. However, youth are encouraged to engage as frequently as possible with the WIOA staff! Depending on the youth's needs, they are able to meet with any WICA Staff as often as needed, Also, they are given the opportunity to take any credential programs offered at our agency, Life Skills classes, and any Workshops/trainings offered during any of their follow up periods. This will provide our youth the opportunity to continue to be engaged in our center, on a weekly basis. 15.WIOA Performance Indicators A. Include a flow chart or visual aid or brief explanation of how your organization will meet the following WICA Performance Indicators: How OCCTAC will meet the % of participants who are in education or training or unsubsidized emniovment durine the 2nd quarter after exit. e Research classes to register for $25 for $50 for $50 for Employment Summer—Meet With Educational scheduling and obtaining every Start Applkng to different positions Register for summer classes— Meet attending employment quarter Apply to different positions and Research classes to register for Fall Interview Session — Meet With Educational they are Manager Counselor August Set up Interviews and continue to Register for Fall Classes — Meet With employed send out Applications— Meet with Educational Counselor- incentives Case Manager— provide Incentives provided to youth who register for as funds to those who set up interviews classes September Practice interview Skills and meet Register for 8 week courses— Meet allow F. How often will the youth be engaged or receive service during the follow-up period. — Ail Youth will be asked to keep in contact and meet regularly with the case managers and the educational counselor every month for the As` quarter. After that, they are asked to contact and speak with the case manager on a quarterly basis. However, youth are encouraged to engage as frequently as possible with the WIOA staff! Depending on the youth's needs, they are able to meet with any WICA Staff as often as needed, Also, they are given the opportunity to take any credential programs offered at our agency, Life Skills classes, and any Workshops/trainings offered during any of their follow up periods. This will provide our youth the opportunity to continue to be engaged in our center, on a weekly basis. 15.WIOA Performance Indicators A. Include a flow chart or visual aid or brief explanation of how your organization will meet the following WICA Performance Indicators: How OCCTAC will meet the % of participants who are in education or training or unsubsidized emniovment durine the 2nd quarter after exit. e Research classes to register for May Mock Interview Session —Start Job Search Summer—Meet With Educational Counselor June Start Applkng to different positions Register for summer classes— Meet — Meet with case manager With Educational Counselor July Apply to different positions and Research classes to register for Fall follow up calls — Meet with Case Session — Meet With Educational Manager Counselor August Set up Interviews and continue to Register for Fall Classes — Meet With send out Applications— Meet with Educational Counselor- incentives Case Manager— provide Incentives provided to youth who register for to those who set up interviews classes September Practice interview Skills and meet Register for 8 week courses— Meet with Case Manager—Incentives With Educational Counselor - provided to those who obtain incentives provided to youth who employment register for classes October Continue to meet with Case Classes in session Manager & job Developer as needed November Continue to meet with Case Research classes to register for EXHIBIT A 25B-44 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 2. How OCCTAC will meet the % of participants who are in education or training or unsubsidized employment during the 4'h quarter after exit. January Manager & job Developer as Intersession -- Meet with educational needed counselor as needed December Provide Incentives to those who Research classes to register for Spring February have 3 consecutive months on the —Meet with educational counselor as job needed 2. How OCCTAC will meet the % of participants who are in education or training or unsubsidized employment during the 4'h quarter after exit. January Set appointments with Case Assist Youth in Registering to Spring Manager and Job Developer as Classes- incentive provided to youth Needed who register for classes February Set appointments with Case Assist youth in registering to 8 week Manager and Job Developer as courses - incentive provided to youth Needed who register for classes March Provide youth Incentives for Classes in Session having been employed for 3 consecutive months April Set appointments with Case Classes In Session Manager and Job Developer as Needed May Set appointments with Case Assist youth in researching possible Manager and Job Developer as summer registrations Needed June Provide youth Incentives for Assist youth in registering for having been employed for 3 summer classes consecutive months Document the median earnings of participants in unsubsidized employment during the 2"d quarter after exit. During the second quarter after exit, all youth will be asked to fill out a follow-up form which contains information on wages, location of hire, and length of employment. The information on wages will be extracted from all currently employed youth to determine the median earnings of participants during the second quarter. 4. Percent of participants who obtain recognized postsecondary credential or secondary diploma during participation or within 1 year after exit. At the beginning of the program, the Educational Counselor and the Case Manager will enroll all of the participants in a recognized credential program. Every month, the Educational Counselor will check on the students' progress, Moreover, the Counselor will build a relationship with the Postsecondary credential Instructors, and receive a monthly progress report. The Counselor will then schedule a meeting with those students who have not advanced. For those students who did not complete a credential during the I" year of the program, the Counselor will meet with the participants, and re -enroll in a credential program during the 1st quarter follow-up, The Counselor will once again check on the participant's progress, and EXHIBIT A 25B-45 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal encourage and support participants to complete credentials. When participants complete their credential, they receive an incentive during the 2nd quarter of the follow up, During the 3rd quarter follow up, the Counselor will once again check on the participant's progress. The Counselor will meet with the participants bi-weekly, and make any scheduled changes to best fit the participant. If participant completes a credential, they will receive an incentive during 4th quarter follow up. 5. Percent of participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment AND who are achieving measurable skills gains. Participants will meet with the educational counselor every month to discuss their educational goals. They will take an ONET assessment that will guide them in figuring out their strengths and weaknesses, as well as potential careers that fall in that category. Furthermore, meetings will be tailored to research majors and schools that contain the adequate resources to be successful. All participants will be enrolled in a credential program at the beginning of the program. The Counselor will meet with participants to receive monthly updates, and verify the participant's progress with the teacher. 6. Effectiveness in serving employers. WIOA Participants are eligible to continue to meet with the Case Manager and Job developer though out the year, and as necessary, to continue to gain employment training to improve their work ethics, and job skills to keep moving forward and improving at their current work sites. 16. Prior Outcomes A. If your organization was previously awarded a WIOA contract through the Santa Ana Workforce Investment Board, OC Workforce Investment Board or Anaheim Workforce Investment Board please disclose your organization's past performance outcomes for the past 1-2 years from each WIB if applicable: OCCTAC has been providing the WIOA program to Santa Ana youth for the past 9 yearsl Please see bellow our outcomes for the last 3 years, PERFORMANCE OUTCOMES (Santa Ana WIB) ;Megsures+ y s, 'wz +,,optmorl 2Q11u12 _ is `r,t i012 S3 +"1013 14il, _ y w c '} tW x�? z � „fix, +,� es r1 �<in °•. t r , � r�( �, ui rt � t"t'Pd`^ u� �'rr' , t'y" .fy Increased Literacy/Numeracy Skills 19/21=90% 17/23=74% 19/20= 95% Entered Employment or 18/22=81% 20/21=95% 11/15= 73% Post -Secondary Attained Credential/ Diploma/ 13/14=92% 14/17=82% 4/6 = 67% Certificate 17.Fiscal Competency EXHIBITA 25B-46 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WlOA Proposal A. Describe the process used to capture and report fiscal data. All invoices or vendor statements will be Initialed by the Executive Director prior to signingthe check to pay that bill or invoice. After checks are printed and signed, the accountant shall mark "Paid" with the date of payment and check number utilized for payment. All disbursements shall be reviewed and approved by the Executive Director, A monthly review of all disbursements shall be conducted by the Accounting clerk and reviewed bythe Executive Director and the Finance Committee for verification of accuracy, documentation and appropriate approval. The Executive Director shall be authorized to expend funds as approved by the Board of Directors under the organization's annual operating budget. B. Attach a copy of the organization's procurement policies and procedures as Attachment 1. Please see attached OCCTAC's Procurement Policies and procedures. C. What systems are used to ensure fiscal accountability, appropriate expenditures, and planned costs. All requests for reimbursement shall be reviewed and approved by the Executive Director and Finance Committee. All reimbursements are subject to budgetary limitations as established in the organization's approved operating budget, No reimbursements are made without appropriate backup documentation. Please see details below of the accounting system used at OCCTAC: • Accounting Method: OCCTAC utilizes a modified accrual -based account methodology. • Cost Allocation Method: Costs are allocated using the Direct Cost Allocation Method (OBM Circular A-122). OCCTAC classifies each item to a specific program, department, site, grant or contact that it directly relates to. Indirect expenses like general administration and general expenses are allocated based on the allowable budgeted portion of each program with the remaining portion to the center's administrative category. OCCTAC shall produce financial reporting for each of the Center's program functions. In consolidation, these programs shall make up the overall financial position of OCCTAC. All transactions (Payments and cash receipts) that occur at the center shall be classified under identified categories and programs. When program funding is split between two or more sources, the cost allocation for this program shall conform to the budget allocations established in the program. • Budgets: Under the guidance of the Finance Committee and prior to the beginning of each fiscal year, the Executive Director prepares an Operational Budget, including Program Budgets. Tuition fees, Service fee rates, etc., shall be approved by the Board. Any gifts (monetary or otherwise) resulting from fund-raising activities, solicitations and acceptance of gifts or contributions that are presented with restrictions of use shall be approved by the Board of Directors and submitted to the finance committee to verify the appropriate method of accounting and reporting. • Receivables: Receivables shall be aged monthly and delinquent accounts shall be followed up for collection. Receivables from miscellaneous sources shall be reviewed periodically by the Treasurer and significant amounts shall be reported to the Board of Directors. All write-offs shall require approval from the Finance Committee prior to implementation. The Board shall review all write-offs from uncollectible accounts receivables. • Deposits and Receipt of Monies: Deposit of monies are made on a weekly basis, or EXHIBITA 25B-47 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal whenever more than one thousand dollars (in either cash or check) has been received and recorded by the OCCTAC office. All items to be deposited are and shall be stamped "For Deposit Only" to the Account of OCCTAC with the appropriate bank account number. A deposit form for established OCCTAC accounts shall be completed with deposit slip details for cash or multiple checks. A copy of the deposit form, slip and all items to be deposited shall be made for accounting purposes and upon completion of the deposit attached to the deposit slip and turned into the accounting revenue in -box. To ensure appropriate financial controls, the individual making deposits shall not be the same person reconciling the OCCTAC account. All funds received shall be recorded in the accounting system and filed in the locked accounting file cabinet. • Disbursements: All disbursements are and shall be made by checks drawn on the established operating checking account for the OCCTAC. All disbursements shall utilize pre -numbered checks used in sequence. Any and all "voided" checks are and shall be mutilated and notes on the voided check stub. At no time shall disbursements be made to "bearer" or to "cash". All banking materials, records, blank checks, and deposit books are and shall be maintained in secure cabinets in the OCCTAC office under the supervision of the Executive Director and Accounting clerk. Only those individuals authorized to handle check stock as their part of their accounting duties for OCCTAC account shall have access to these banking materials. Disbursements are prepared from original invoices. Each disbursement shall require submission of a purchase request form and appropriate backup documentation. Invoices shall be date stamped upon receipt and marked "approved for payment." • Reconciliation of Accounts: All OCCTAC bank accounts are reconciled monthly. A monthly review of all accounts and financial reports are prepared by the Board Treasurer or designated Finance Committee Member. • Files and Records: OCCTAC shall maintain hard copy files for all operational and business transactions that occur. Files shall be separated into the following categories: a) Accounting records, b) Grant documentation, c) Tax filings; Donors, d) Legal/Insurance/License /Permits, e) OCCTAC Programs, f) Personnel documents and files, g) Vendor and Client contracts and other documents. OCCTAC maintains electronic and hardcopy records of all accounting transactions and financial reporting. All electronic records are be copied and stored in a secure, off site location or in a web based file storage system, which is the server. All financial and accounting hardcopy files are stored in secure --lockable file cabinets. Requests for financial documentation get processed through the accounting staff i.e, copy of original document. Original financial documentation remains in the file/s cabinet at all times. D. Describe invoicing process and list qualifications of staff assigned to task. OCCTAC accounting clerk creates monthly WIOA invoices to submit to the City based on expenses incurred during the month. After the Coordinator and the Executive Director review and approve the program expenses, the Accounting clerk enters the data from the participants' stipends and/or time sheets, program staff as well as related expenses into the accounting system to generate an invoice. The invoice will be on the appropriate form provided bythe WIOA Contract and submitted for reimbursement. EXHIBITA 25B-48 2017-18 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal E. Describe how your organization's financial stability is not dependent on WIOA funds. The Orange County Children's Therapeutic Arts Center has a variety of funding sources: (1) contracts, (2) grants, (3) donations, (4) fee for service, and (5) fundraising. OCCTAC continues to maintain current contracts, as well as enter into new contracts with key community partners. Three years ago, OCCTAC started a new contract with MECCA and the County of Orange, Health Care Agency to provide prevention and family wellness programs. We anticipate a steady revenue increase, as we continue to grow each year with our MECCA and county partners. In addition, and as part of the OCCTAC's long-term sustainability plan, the Executive Director and our board of directors have agreed to continue to diversify OCCTAC's funding sources by focusing some more on (1) donor solicitation, and (2) fundraising, and (3) social enterprise ventures. F. Identify the percentage of budget that will go directly to youth (Le.: work experience payments, direct training, supportive services, incentives, etc.) versus the percentage of overhead and administrative costs. (ex: 50% of budget will be directly spent on youth in the form of work experience and training, etc.). 50% of budget will be directly spent allocated for OCCTAC will go directly to youth in the form of work experience, payments, direct training, support services, incentives, etc. for the year 2015-2016. For 2016-2017 fiscal year, 52% of budget will be directly spent on youth in the form of work experience, payments, direct training, support services, incentives, etc. G. Submit most recent 2 years of audited financial statements as Attachment T & U with the Audited Financial Statement Form signed (Attachment S). Please see 990s for 2012- 13 and 2013-14 fiscal years. 18. Additional Attachments A. You may include additional documents such as flyers, brochures, training descriptions, and/or testimonials that support your proposal and/or further describe the program, as Attachment W. Please see additional attachments included. Attachments Include WIOA Youth Brochures (Spanish and English). EXHIBIT A 25B-49 lCHILDREN'S ,LLd. T 2215 N Broadway • Santa Ana, CA 92706 • 714.547,5468 • Fox 714,564.9690 • www.occtac,org 501(c)3 Federal Tax [D# 33-0930891 Incentive Policy and Procedures WIOA Program 2017 — 2018 Purpose, To establish guldeI!nes for the incentives to participants who successfully commit and complete goals establish during program participation. Goal is to aid enrolled youth with their successful completion of OCCTAC's WIOA program. Procedures: . All incentives will be distributed It funding is available, Stipends Period (All Enrolled Youth): Youth will receive 4 stipends, each of $1.50,00, upon successful completion of first 80 hours of program participation. Please refer to "Work Based Learning Policy 2017 — 2018" for additional information on stipend period, 20 hours $150,00 20 hours $150.00 20 hours $150.0C 20 hours $150.00 TOTAL: 80 hours TOTAL: $500 HS Dropouts: Individuals who are HS dropouts at time of enrollment will be encouraged to attain a HS diploma or GED. Those who enroll into an institution yielding to a HS diploma or GED will be eligible to receive a $50.00 Check for every two (2) subjects they complete while enrolled in all phases of the WIOA program. Doing so will encourage these WIOA participants to commit to their educational goal and thus attain a secondary credential within a reasonable amount of time, Case Manager, educational counselor and school representatives will communicate regularly to Insure that students enrolled Into their institution commit to their schedule to complete missing credits on a timely manner. Youth in Secondary Education; Obtaining Credential: Any youth in secondary education that obtains their High School Diploma or GED during current year or follow up will receive a $100 check incentive. This Is to encourage youth for completing their educational goal of obtaining a 25B-50 a "aCHILDREN'S v r 2215 N Broadway • Santa And, CA 92706 • 714,547.5468 ° Fax 714,564,9690 • www,occtac,org 501 (c)3 Federal Tax ID# 33-0930891 credential for finishing their secondary education in a timely manner, Because this is a high demand credential by employers we want to use this incentive as a way to also help them achieve For Follow-up youth: check incentive will be $50 Attendance: Youth in secondary education will receive a $50 check incentive for every month of perfect attendance. This is to encourage attendance so that youth may achieve their educational goals, Basic Skills Deficient BSD) Youth: WIOA participants who at time of enrolment are BSD will receive weekly tutoring in Math and/or Literacy. To encourage these participants, the weekly tutoring sessions will count towards their "stipend Period" as well as "hourly rate". Thus, essentially participants will get paid for committing to their weekly tutoring schedule. This Incentive will aid in literacy, numeracy gain of each client, Empl moment: In order to motivate youth to complete their employment goals we encourage participants will be eligible to receive a $50 check incentive in form of check in if they meet one of the following goals and provide substantial proof: • Turn in application for a job and get an interview • Obtain employment • Employed for 3 consecutive months For youth in Follow up: • Turn In application for a job and get an interview: $25 check Incentive Obtain employment: $50 check Incentive For each quarter employed: $50 check incentive Post-Secondarv_Education: Participants are encouraged to complete their goals toward post -secondary education so that they may advance in their careers and increase their chances of earning higher hourly wages, Participants will be eligible for a $100 check incentive if they have achieved one of the following goals toward postsecondary education. * Obtain Credentials such as: Associates Degree or Certification + Registering for classes for spring or fall semester and FAFSA/Dream Act Application For youth in Follow up: • Registering for Fall or Spring classes: $25 check Incentive • Obtaining a Credential: $25 check incentive 25B-51 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714,564.9690 • www.occtac.org 501 (c)3 Federal Tax ID# 33-0930891 Supportive Services Policies and Procedures WIOA Program 2017— 2015 Purpose: To establish guidelines for the issuance of supportive services to participants who are identified in need of such services. Goal is to aid this youth with their successful completion of OCCTAC's WIOA program, Procedures: Eligibility: Supportive services are available to those identified as approved WIOA participants; have limited resources to meet basic needs; and have expressed the need of additional support to the Case Manager. Supportive services will be made available to participants while they are enrolled in all phases of the WIOA program. These services are contingent upon approval by the Case Manager and OCCTAC Director. Provision of supportive service is not an entitlement. Availability of Funds and Assessment of Need: The fiscal advisor or the accounting clerk and the Executive Director will verify the availability of funds and notify the case manager. Supportive services are delivered contingent upon availability of funds, the need of the participant and given on a first come, first serve basis. Initial assessment on need will be determined by the case manager and will be reviewed regularly, Logs of services will be kept on a regular basis and service(s) will also be case noted for documentation purposes. Transportation Assistance Guidelines: After identifying the need to transportation assistance and eliminating other resources, the case manager and the participant will develop a service plan and update progress in the case notes. Transportation assistance is defined as the provision of a gas voucher, bus pass or ACCESS coupon book. No replacement bus pass, gas card or ACCESS coupon book will be issued in the event the participant loses his/her bus pass, gas card or ACCESS coupon book. EXHIBIT A 25B-52 2215 N Broadway - Santa Ana, CA 92706. 714.547.5468 . Fax 714.564,9690 • www.occiac.org 501(c)3 federal Tax ID# 33-0930891 Fingerprinting—Live Scan and TB Test: Participants who work with children and are placed in an educational setting will be required to undergo Fingerprinting—Live Scan through the Department of Justice and show a cleared TB Test. This supportive service will be available for participants on a case-by-case basis and determined by the case manager. Books and/or Uniforms—Work Related Equipment A participant may need to purchase books, skill building tools or work related equipment to fully participate in returning to school and or a new job opportunity, All Funding will be allocated for specific needs on a case-by-case basis, i.e. Working Wardrobe—Interview outfit. Portfolios -Resume -Business Cards Related items for Job Search Tools Participants may put together a professional portfolio of work demonstrating their skills in the area of marketing, graphic arts and design related to Job -Search. Other: Any other miscellaneous type expenses not mentioned above may be considered with proper authorization. The request must be fully documented and all receipts in proper order. EXHIBIT A 25B-53 2215 N Broadway • Santa Ana, CA 92706. 714.547.5468 • Fax 714.564.9690 • www.occtac.org 501 (c)3 Federal Tax D# 33-0930891 Purpose: Procedures: Work Experience Policy WI®A Program 2017 — 7018 To establish guidelines for the youth's paid work experience placements while enrolled in OCCTAC's Workforce Investment ACT (WIOA) program Stipend Period: Four Stipend Periods — First 80 hours of participant Most youth are able to complete their First 80 hours participants in about 2 months. During the first 2 months of participation, all youth will be required to attend regularly for about 10 to 20 hours a week. For their consistent participation youth will receive $150.00 stipend after they complete the first 20 hours. Youth will receive 3 more stipends, each of $150.00, upon completion of their 2"a, 3ra and 0 set of 20 hours, for a total of 80 hours, The stipend hours will be accomplished through different venues: case management meetings, workshops, educational counseling services, work experience placement, job skills training, weekly tutoring, etc. Hourly Rate: Once Youth completed the four Stipend Periods Immediately after the completion of the first 80 hours of participation, those youth that have shown consistency will be encouraged to work between 10 to 20 hours per week until there job training period is complete. These youth will be paid $10.50 per hour or the minimum wage requirement for California EXHIBITA 25B-54 YSPN MEMBER PERFORMANCE PLAN 2017-2018 Orange County Children's Therapeutic Art Center WIOAYOUTH POPULATION (NOTE: 100% OF YOUTH MUST BE ENROLLED BY 2N° QUARTER -DECEMBER 31, 2016) Youth Population Ages # of Youth to'be Served In-Sch,dol - 16-18 4 Out-of-School.(75%minimum) . 16-24 16 " TOTAL NUMBER OF YOUTH TO BE SERVED 20 PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 100% OF YOUTH MUST BE ENROLLED BY 2N° QUARTER -DECEMBER 31, 2016) Quarter # of Enrollments Estimated Expenditures per Quarter per Quarter 1s° - 10 $32,800 .2" -(100% Enrollment RdquirBd)... 20 $43,723 3` - - 20 $43,723 '4` 20 $43,754 TOTAL- 20 $164,000 14 WICA ELEMENTS PERFORMANCE MEASURES mark a "x" next to the elements provided in your program July 1, 2017 -June 30, 2018 (Projected Benchmarks subject to change) X 1. Tutoring, study skills training, dropout prevention 1. %of Participants who are in education/training, strategies or in unsubsidized employment during the 2nd quarter after exit X 2. Alternative secondary school services or dropout recovery Benchmark: 66% 3. Paid & unpaid work experience that have academic^ 2. %of Participants who are In:education/tra,11and occupational components, which may include: or in unsubsidized employmenng the 4`X summer employment, pre -apprenticeship, internships quarter after exit &job -shadowing, or On -the -Jab training (20%of enchmafunds must be used for this element) 4, Occupational skills training—priority for recognized 3. The median earnings of Participants in credentials aligned with sectors in -demand unsubsidized employment during the 2°d qua X after exit Benchmark: Pendlna* *Pending further State and Federal guidance. X S. Education offered concurrently with workforce 4. % of participants who, during the program, are in reparation activities education or training that leads to a recognized postsecondary credential or ernployment AND who X 6. Leadership development -community service & peer centered activities are achieving measurable skill gains Benchmark: Pendia* *Pending furtherState and Federol guidance, X 7, Supportive Services X 8. Adult mentoring X 9. Follow-up services for not less than 12 months after 6. % of Participants who obtain a recognized exit (required) postsecondary credential or secondary diploma during participation OR within 1 year after exit X 10. Comprehensive guidance & counseling drug & alcohol, etc. Benchmark: 58% X 11. Financial literacy 7. Effectiveness in serving employers Benchmarir. Pen in * 12. Entrepreneurial skills training 13. Labor marker information -career awareness and L exploration *Pending further State and Federal guldance. 14. Activities to help youth prepare for and transition to postsecondary education EXHIBIT B 25B-55 WIOA 2017-2018 Grant Personnel S91,428.75 Coordinator—.50FTEfor 49 weeks: (Benefits Included) 20 hours a week for 49 weeks @ $20.00 per hour The Coordinator will work 20 hours a week for 49 weeks providing: recruitment & eligibility Intake, assessment, documentation & case notes; identify barriers and goals; monitor progress & goals; meet regularly with individual WIA participants to train on employment and job skills; represent OCCTAC in provider network and youth council meetings; organize and attend OCCTAC— WIA Staff Meetings and document input; organize relative activities. Distribute WEX hours to youth and keep track of all paid hours and supportive service activities. Also, the coordinator will provide assistance to youth during follow-ups, and complete any related documentation. Job Developer/Case Manager—.88 FTEfor48 weeks (Benefits Included) 35 hours a week for 48 weeks @ $17.00 per hour The Job developer is responsible for creatingjob opportunities for clients by researching, identifying and soliciting commitrnents from possible sources of employment; and provide clients with soft skills and job search training. Job developer will also locate employment opportunities that fit each Individual youth depending on barrier such as Disability, probation, or parenting youth. The Case manager portion of this position Includes providing documentation & case notes; identify barriers and goals; monitor progress & goals; meeting regularly with individual WIA participants to train on employment and job skills; represent OCCTAC In provider network ad youth council meetings; organize and attend OCCTAC- WIA Staff meetings and document input; organize related activities, such as: workshops, mock Interviews etc. Career Counselor—.83 F7Efor44 weeks: (Benefits Included) 25 hours a week for 44 weeks @ $16.00 per hour: The respective position will be responsible for providing educational and career training to all WIA participants; mentoring and assisting with related work experience placement; observing and monitoring participants with technical/artistic skills; documenting progress throughout the program; meeting regularly 8L Individually with WIA participants to train on related curriculum; and attending regular team meetings. Technology Instructor --.13 FTE for 33 weeks: (Benefits Included) 5 Hours a week for 33 weeks @17.00 per hour: The respective position will be responsible for providing educational and career training to all WIA participants as it relates to the technology field; mentoring and assisting participants with related work experience placements; observing and monitoring participants with technical skills; documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular tem meetings. Arts Instructor—.13 FTE for33 weeks: (Benefits Included) 5 Hours a week for 33 weeks @17.00 per hour: The respective position will be responsible for providing educational and career training In the Arts to all WIA participants; mentoring and assisting participants with related work experience placements; observing and monitoring participants with artistic skills; documentation progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings. Literacy/Instructor—,25FTEfor33 weeks: (Benefits Included) 10 hours a week for 33 weeks @$15.00 EXHIBIT G 25B-56 The respective position is responsible for assessing the literacy and basic skills of all WIA participants; teaching WIA participants learning and literacy strategies; monitoring & documenting literacy progress throughout the program; meeting regularly with WIA participants and attending regular team meeting, Numeracy Coach/Instructor—.25 FTE for33 weeks: (Benefits Included) 10 hours a week for 33 weeks @$15,00 The respective position will be responsible for assessing the numeric and basic skills of all participants; teaching WIA participant's learning and mathematical problem solving strategies; monitor & documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings. Rent S0.00 ll $0.00 Phones $0.00 Internet 50.00 Parking Fees $ 150.00 Funds allocated for parking fees at CWA Conference, Trainings, and Campus visits, Security 50.00 M@intenance 50.00 Insurance 50.00 Eamiument rental 0 0 Accountine_Services 50.00 Ygb ' Lease S 1 000.00 Funds Allocated for the rental of 4 buses for Field trips Bus Rental $250 each office Expenses_ $2.300.00 Office Supplies: as needed for 1 year $660 Office supplies (copy paper, files, folders, pens, highlighters, paper clips etc.) will be purchased as need by WIOA staff members though out the year In order to assist in administration work and resource information or youth. Office Supplies as needed for workshops and meetings and classes for 1 year $700 Food: as needed for Field Trip and Conference: $640 4 field trips: 4 X $60 = $340 2 conference tralnings $300 25B-57 TABS Test Material $300 Purchase necessary TABE Test score sheets to asses' students before and after program session Leeal Assistance _ S0.00 Auditing Services 5100 Staff Trainina $300.00 Staff Conferences 5500.00 CWA conference registration fee for 1 or 2 case managers Staff Travel/Mileage 5500.00 Mileage for WIA Staff as needed for 1 year $450 Mileage reimbursement will be made for WIA Staff for driving to WIA required events. Such as YSPN meetings, Staff trainings, driving youth to necessary events (fields trips, Youth council meetings, City Council Meetings, WEX placements, resource or referral appointments) Stipends and Wages for 20 Participants S 40 859.50 Training Stipends (in school —out of school youth) — 34participants First 20 hours: participants given $150 stipend to participate in program Second 20 hours: participants given $150 stipend to participate in program Third 20 hours: participants given $150 stipend to participate in program Fourth 20 hours: participants given $150 stipend to participate in program After stipends completion Months 3 —11: participants paid $10.50 per hour for Work based learning (5 -10 hours per week or as funds become available) Supportive Service 51U 4UU.QD Buss Pas/Gas Voucher: As needed for 20 participants $5,733,00 12 bus passes @65.55each for 5 months $3,933.00 4 gas cards @$50. Each month for 9 months $1,800,00 Funds are allocated for youth who are in need of transportation related support Need Based Services: As needed for 20 — participants $1,000:00 $111 per month will be spent to distribute services for to 20 participants. Work Related supplies: As needed for 20 participants $1633.50 Work related and Skills building tools, book, portfolios, Items needed for Job interviews, Employment opportunity, employment enhancement trainings and clothing, supplies, Academic Support: As needed for 20—participants $1633,50 Tuition Support for certificates or other related academic programs for 20 participants; books for related course work, tutoring supplies, and college field trips and other academic supplies. Fingerprinting/TB Test; as needed for 20 participants $400,00 20 fingerprinting @$10 each $320,00 and 20 TB test @$10 each $320.00 Funds allocated for Dept, of Justice Clearance & TB test for employment. 25B-58 Program Incentives 51.45Q.00 High School Drop Outs $50 Incentive for every two modules or classes completed leading to a High School Diploma 3 Youth x 7 (14 modules) = 21 x $50 = $ 1,050.00 CAHSEE $50 incentive for every portion of the CAHSEE exam that is passed 4 youth X 2 (English and math) — 8 W $400 Youth Conferences $800 CWA conference registration fee for 2 currently enrolled youth Indirect Cost 910,311 75 10% de Minimis Program Documents: a. WIA Youth Sign in Sheet: Participants will log and track all activities and hours accumulated on a day by day basis and have supervisor sign to confirm time of arrival and departure to their activities. Activities can include Work Base Learning Hours, Class training, case management and education counseling meetings, Math/English tutoring session etc. b. WIA Youth Time Sheet: Participant will turn in a weekly time sheet with all hours accumulated throughout the weeks In activities attended. Youth will be asked to log there task in detail in order to provide proof of activities attended. Activities can include Work Base Learning Hours, Class training, case management and education counseling meetings, Math/English tutoring session and any other supplemental hours approved by supervisor. c. WIA Staff Time sheet: Staff will turn in a weekly time sheet with hours worked for meetings with WIA youth, WIA administration, teaching a WIA class or Workshop, or Tutoring and preparing for youth appointments, as well as any additional supplemental hours approved by WIA staff supervisor and administrator Intended for WIA program purposes only. 45% of budget will be directly spent on youth In the form of paid work experience, stipends, certificates training, college tuition support and other support services. 25B-59 BUIDGET FORM 2017-2018 25B-60 Total WIOA Cost Match/In Kind � V1 PiGl or , )'helwWAVIO"'w s -e �'T IN 1. Program Coordinator 50 FTE 49 weeks $20/hr 20 Irrs, per wk. $19,600,00 $19600100 M Ext, Director $35,000 2. Job Developer & Case Manager .88 FTE 48 weeks $17/hr 35 Firs. per wk, $28,560.00 $28,560,00 Acct. Clerk --LI-1000 3, Career Counselor,63 FTE 44 weeks $16/hr 25 hrs, per wk. $17,600.00 $17,600.00 Office Mgr. $20,000 4, Technology Instructor .13 FTE 33 weeks $17/hr 5 hrs,per wk. $2,805.00 5. Arts Instructor .13 FTE 33 weeks $17/hr 5 hrs, per w1i. $2,805.00 ,$2,805.00 $2,805= Program Staff $80,000 6, Literacy Coach 25 FTE 33 weeks $3.5/hr 10 hrs, per wk. $4,950.00 $4,950.00 Exec, Admin/ Computer $60,000 7. Numeracy Coach 25 FTE 33 weeks $15/hr 10 firs. per wk. $4,950.00 $4,950,00 Child Dev. Certificate $54,000 Rersonn ell Benefits, "J 1, Program Coordinator $2,450,00 $2,450.00 4,375 2. Job Case Manager $3,570.00 $3,570,003, 'Developer& Career counselor $2,200.00 $2,200.00 2,500 4. Technology I nstructor $350.63 $350.63 5, Arts Instructor$350,52 $350.62 10,000 6. Literacy coach $618.75 $618-75 7,500 7, Numeracy Coach $618,75 $618.75 6,750 Total Personnel Salaries & Benefits $91,428,75 $91,428.75 291,125.00 Cperathgg'r 'X Rent $92,000 Utilities $11,200 Phones $14,000 Internet Fees See phone Parking Fees $150.00 $150.00 N/A Security N/A Maintenance $4,000.00 Insurance $6,800 Equipment rental fees N/A Accounting Services $33,570 Vehicle lease $1,000.00 $1,000.00 N/A office expenses (consumables $2'30o'00 $2,300,00 $15,000 Legal Services N/A Auditing Services N/A Indirect Cost N/A StaffTraInIng $300,00 $300 N/A Staff Conferences $500,00 $500 N/A Staff Travel/Mfleage $500,00 $500 N/A Participant Wages $40,859.50 $40,859.50 N/A Supportive Services $10,400.00 $10,400 N/A Participant Incentives $1,450 $1,450 N/A Youth Conferences $800,00 $800 N/A Indirect Cost $10,311,75 $10,311.75 N/A Follow Up $4,000,00 $4,000,00 N' Total Operating Expenses $72,571.25 $72,571.25 $17G,570,00 GRAND TOTAL (Personnel + operating) 164,000.00 164,000.00 $467,695.00 25B-60 COMPLAINT HANDLING UNDER THE WORKFORCE DEVLEOPMENT ACT SANTA ANA Santa Ana Local Workforce Development Area Revised May 1, 2017 25B-61 Table of Contents I. Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy 2: Civil Rights 4 3. Nondiscrimination laws under WiOA 4 4. How to Pile Your Com B. Criminal Complaints 6 II. General Procedures for Handling Non -Criminal Violations of the Act_6 III. Procedures for Handling Complaints at the LWDA 0 IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 1 b VI. Procedures for Handling Handicap Complaints by Participants _ 17 GLOSSARY OF WIOA TERM 2 EXHIBIT C 25B-62 I, Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIOA, all contractors in the Santa Ana LWDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to; • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2014 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the Unified States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal opportunity Program. 2, Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA, • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIOA sponsor has established a mechanism for handling complaints and grievances, Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40-70. The Rehabilitation Act of 1973 EXHIBIT C 25B-64 Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education ortraining program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS; Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No. 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with; EXgBIT 5 Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D,C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The WIOA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non -Criminal Violations of the FWAM111 The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 106.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level for the EXHIBIT C 25B-66 receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIOA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: 1. All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for-profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. WWI A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. 5. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. III, Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the WIOA regulations found at 20 CFR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, Investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; EXHIBIT C 25B-68 What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step, 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint, Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr, Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5348 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d, Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. so EXHIBIT C 25B-70 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he/she so desires. Other he/she is limited to his/her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. The practice In Informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board, C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. as EXHIBIT C 25B-71 D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for-profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CFR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record 12 EXHIBIT C 25B-72 established at the LWDA level and shall issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will be heard by an Independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWDA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level 13 EXHIBIT C 25B-73 If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWDA b. Name, address, and telephone number of the LWDA C. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter, Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. 14 EXHIBIT C 25B-74 Decisions issued by this panel, under the authority of the Governor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section II (A). zs 1919I�% No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision shouid have been issued. Handling of complaints filed at LWIA level arising In connection with WIA programs operated by LWDAs Informal Resolution Process Unsatisfactory Decision or LWDA Decision not issued within 60 days Request for State Review Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 16 EXHIBIT C 25B-76 w ro 0 Q a 0 O t R 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 Vl. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504• of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision, 3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 EXHIBIT C 25B-78 No later than 180 days of alleged discrimination Filed within 30 days of LWDA/State Decision or 90 days from date of initial filing of complaints Filing of complaint on the basis Of Handicap with LWDA Informal Resolution If no resolution reached Request for Hearing Notice of Hearing Hearing Conducted LWDA Decision Unsatisfactory Decision or No Decision State Review Governor's Decision Appeal to Assistant Secretary Department of Labor Day 1 Day /45 Day 60 Days GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subreciplent or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and Interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP) COMPLAINANT GRIEVANT OR AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . HANDICAPPED INDIVIDUAL —Any individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC 20 EXHIBIT C 25B-80 unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice 'joint complaints" are normally investigated by OCR. JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined and (2) Who is receiving subsidized employment, training services) funded under the Act, following intake, except for an and/or intake and assessment services. 21 EXHIBIT C 25B-81 eligible for participation upon intake; or services (except post -termination individual who receives only outreach CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS,-GRANTS,.LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers (including 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 transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. rantee/Contractor Organization Program Title Signature Name of Certifying Official Signature EXHIBIT D 25B-82 Date Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug-free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug-free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an EXHIBIT E 25B-83 employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached 'Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised `Place of Performance" form. Date Dr. Ana Jimenez-Haml Orange County Children's Therapeutic Art Center EXHIBIT E DIVISION OF EMPLOYMENT SERVICES FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS Name: Orange County Children's Therapeutic Arts Center WIOA Program Name of Contractor: Orange County Children's Therapeutic Art Center Contractor Number: A -2017 - Date: July 1, 2017 - June 30, 2018 The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 2215 N. Broadway, Santa Ana, CA 92705 Address I0:I0 1111211M 25B-85 Certification Regarding Debarment, Suspension Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160-19211), (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e, grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; It. Have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three-year period preceding this application/proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Orange County Children's Therapeutic Arts Center Grantee/Contractor Organization Name and Title of Official Authorized to certify Signature of Official Authorized to Certify Date EXHIBIT F r INSTRUCTION FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective recipient of Federal assistance funds is providing the certification as 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 recipient of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of Federal assistance funds shall provide Immediate written notice to the person to which this proposal is submitted if at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous whom submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction", "debarment", "suspended", "ineligible", "lower tier covered transaction", "participant", "person", "primary covered transaction", "principle", "proposal", and "voluntarily excluded", as used in this cause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to whom this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective recipient of Federal assistance funds agrees by submitting this proposal 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 debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of Federal assistance funds agrees by submitting this proposal, that it will include the clause title "Certification Regarding Debarment, Suspension, Ineligible, orvoluntarily excluded from the covered transaction unless it (mows that the certification is erroneous. 7. 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 to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 8. Except for transactions authorized under paragraph S of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. EXHIBIT F 25B-87 Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Development Board on all contracts. I recognize that I must give assurances for each item below, If I cannot, this proposal will be automatically rejected, Please initial each box. ❑ I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. ❑ We are not currently on any Federal, State of California, or local Debarment list. ❑ We will provide records to show that we are fiscally solvent, if needed. ❑ We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIA finds will be used as required by law and contract. ❑ We have additional funding sources and will not be dependent on WIA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. Those include, but are not limited to: ❑ Records accurately reflect actual performance. ❑ Maintain record confidentiality, as required, ❑ Reporting financial, participant, and performance data, as required. ❑ Comply with State and Federal fiscal and program activity audits. ❑ Complying with Federal and State non-discrimination provisions. ❑ Meeting requirements of Section 504 of the Rehabilitation Act of 1973. ❑ Meeting requirements of the American's with Disabilities Act of 1990. (submit completed survey) ❑ Meeting all applicable labor law, including Child Labor Law standards. ❑ Agree to provide a drug free workplace. ❑ Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability Coverage in the amount of $1,000,000.00 policy. ❑ Agree to provide all participants with Grievance Procedures. ❑ Agree to insure proposer's employees through Workers Compensation Insurance (including part-time employees) ❑ Procurement policies and procedures are in place and meet federal guidelines. We will not: ❑ Place a youth in a position that will displace a current employee. ❑ Use WIA money to assist, promote, or deter union organizing, ❑ Use funds to employ or train of persons in sectarian activities. ❑ Use finds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. ❑ Use WIA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. ❑ Use WIA funds to cavy out programs funded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIA. ❑ Use WIA money under this contract to purchase any equipment. I hereby assure that all of the above are true. Name Title Date EXHIBIT H ADDITIONAL INSURED ENDORSEMENT Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702; its officers, employees, agents and volunteers are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be canceled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective , this endorsement form as a part of Policy # Issued to Named Insured Countersigned by EXHIBIT I r - • • Authorized Representative 25B-90 Exhibit 2 AGREEMENT UNDER THE WORKFORCE INNOVATION AND OPPORTUNITY ACT THIS SUBAWARD AGREEMENT, made and entered into this I" day of July, 2017, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("CITY") and Orange County Conservation Corps, a non-profit corporation identified by the assigned Data Universal Numbering System (DUNS) Number 835566431 ("SUBRECIPIENT"). RECITALS: A. CITY has been designated a Local Workforce Development Area (LWDA) under the Workforce Innovation and Opportunity Act of 2014, Public Law 1-113-128 ("the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.259 and Federal Award Identificati Number (FAIN) AA253421455A6. B. The State of California has created the LWDA to administer the Act progra operated by the State of California pursuant to the Act. C. As a LWDA, CITY is entitled to receive federal fiends to establish programs to increase the employment, retention and earnings of Participants, and increase occupational skills attainment by Participants, and as a result, improve the duality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the nation ("said program"). D. SUBRECIPIENT is experienced.in operating workforce development programs for at -risk youth that provide preparation for secondary and post -secondary education, occupational training, and employment skills for entry into the labor market. E. SUBRECIPIENT is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. SUBRECIPIENT'S OBLIGATIONS A, SUBRECIPIENT agrees to provide the following services pursuant to said program, as more specifically set forth in SUBRECIPIENT'S Program Narrative contained in "Exhibit A", as required to be responsive to the Federal Funding Accountability and Transparency Act (FFATA) per 2 CFR §200.331(a)(1)(ix), and in the Performance Indicators contained in "Exhibit B", per 2 CFR, §200.331(d) and 2 CFR §200.328, both attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to provide said services may be grounds for CITY to readjust the level of payment to SUBRECIPIENT otherwise provided for hereinafter. 25B-91 Page 1 of 17 B. SUBRECIPIENT agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("Participants") in accordance with the standards and requirements set forth in the Act. C. SUBRECIPIENT agrees to perform the services set forth herein in a professional, timely and diligent manner. D. SUBRECIPIENT shall provide wages and benefits to Participants in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. SUBRECIPIENT shall adhere to the Labor Standards described, in the Act, including Section 181 of the Act. F. SUBRECIPIENT agrees to comply with the "Complaint Handling Procedures Under the WIOA", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR 658.413. SUBRECIPIENT shall advise Participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by SUBRECIPIENT. SUBRECIPIENTS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition, of this award of financial assistance under the Act to SUBRECIPIENT from CITY, SUBRECIPIENT assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Pail 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation. Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CPR Parts 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance, H. SUBRECIPIENT agrees that no participants) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. SUBRECIPIENT agrees to the following accounting, monitoring, auditing, and review requirements: 1. SUBRECIPIENT agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such tines as CITY may request or require regarding the performance of SUBRECIPIENT'S services or activities, costs or other data, including but not limited to, Participants' attendance, payroll records and job duty statements. 25B-92 Page 2 of 17 2. SUBRECIPIENT agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 completed Workforce Innovation and Opportunity Act Application form and supporting documents; a complete Workforce Innovation and Opportunity Act Enrollment; any subsequent updates; Workforce Innovation and Opportunity Act Youth Test Scores .form; Workforce Trmovation and Opportunity Act Exit form upon completion/termination of active enrolltnent of participant; and the Workforce Innovation and Opportunity Act Follow -Up form within 20 days following 30, 60, 90,180, 270, and 360 days of exit. SUBRECIPIENT agrees to enter information on the State of California's CalJobs database system as instructed and requested by the Santa Ana Work Center Administration. 3. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of SUBRECIPIENT'S activities, performance, books, documents, papers, and records of SUBRECIPIENT SUBRECIPIENTs, bookkeepers and accountants, and employees and Participants related to this Agreement. Such agencies or representatives shall also schedule on- site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and Participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of SUBRECIPIENT are kept (2 CER §200.330). Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 4. In the event SUBRECIPIENT does not make the above -referenced documents available within the City of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. 5, All accounting records and evidence pertaining to all costs of SUBRECIPIENT and all documents related to this Agreement shall be kept available at the location where SUBRECIPIENT conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years atter completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it concerning Participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, SUBRECIPIENT agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. K. SUBRECIPIENT agrees to complete a monthly Invoice, form showing in detail the amount of money already expended by SUBRECIPIENT hereunder, as this is a cash reimbursement 25B-93 Page 3 of 17 contract, Accounting records must be supported by such source documentation as invoices, bills, statements, proof of payment, such as cancelled checks, payment confirmations, account statements, paid bills, payroll records, time and attendance records, and contract and s'ubgrant award documents (2 CFR §200.101(b)(2)), SUBRECIPIENT agrees to submit the above -stated documents to the WDB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which SUBRECIPIENT'S services are performed. Should SUBRECIPIENT fail to deliver said documents to CITY within thirty (30) days of said deadline, CITY shall provide SUBRECIPIENT with written notice of such deficiency. If said deficiency is not corrected within thirty (30) days of mailing such written notice, CITY shall have the option to deobligate SUBRECIPIENT's fiords and cancel this Agreement by giving SUBRECIPIENT ten (10) days written notice thereof. SUBRECIPIENT shall either return to the CITY excess revenues over costs or use such excess revenues as program income for additional training activities authorized under the Act, L. SUBRECIPIENT agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. SUBRECIPIENT also agrees to provide, at SUBRECIPIENT'S own expense, supplies and other costs of said PROGRAM. M. SUBRECIPIENT shall arrange independently for an audit that includes WIOA funds received from CITY, in accordance with the Act, 2 CFR 200.500, SUBRECIPIENT shall submit one original of each required audit report to CITY within thirty (30) days after the date received by SUBRECIPIENT. Should SUBRECIPIENT fail to comply with these requirements, CITY may, at its option, withhold payment of fiords, disallow Rinds, or suspend additional grant fiords. N. SUBRECIPIENT shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. SUBRECIPIENT shall comply with the provisions of Uniform Guidance 2 CFR Part 200 of the U.S. Office of Management and Budget (OMB) and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. SUBRECIPIENT shall comply with the requirements of federal regulations found at 29 CFR Part 93, which provide that no appropriated Rinds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said signed Certification to CITY prior to performing any of its obligations tinder this Agreement and prior to any obligation arising on the part of CITY to pay any stuns to SUBRECIPIENT under the terms and conditions of this Agreement. Q. SUBRECIPIENT agrees to provide a drug-free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. 25B-94 Page of 17 R. SUBRECIPIENT, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. SUBRECIPIENT agrees to comply with all applicable provisions of the Act, and all applicable federal regulations, including, but not limited to, the Code of Federal Regulations, Subtitle A—Office of Management and Budget Guidance for Grants and Agreements, as well as all applicable state and local regulations. T. SUBRECIPIENT agrees to remain in compliance with the Certification Regarding Debarment (6°Exhibit F"), as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CFR Part 180). U. SUBRECIPIENT agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. SUBRECIPIENT acknowledges that the official name for the statewide system of providing employment and training through the WIOA partnerships and various other local programs is "America's Job Center". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". SUBRECIPIENT agrees to place the America's Job Center logo, in accordance with. the State of California guidelines for such use, on all public materials, such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIOA fluids. When the America's Job Center logo is used, SUBRECIPIENT may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network". SUBRECIPIENT shall not use the America's Job Center logo in any mariner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. On February 8, 2017, the CITY was awarded a Department of Labor Workforce Innovation and Opportunity Act youth grant of $988,857 for fiscal year 2017-2018. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received under the provisions of the Act a siun not to exceed $160,000 for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit G" and incorporated herein by reference, during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. 25B-95 Page of 17 B. Pursuant to 2 CFR §200.331(a)(4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized, indirect cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no such rate exists, either a rate negotiated between the CITY and the SUBRECIPIENT, or a de rninimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. C. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. D. CITY agrees to provide for on-site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. E. CITY has the right to de -obligate the fiords hereunder, and take such funding back from SUBRECIPIENT, due to any of the following reasons: (a) lack of performance by SUBRECIPIENT; (b) lack of fiscal accountability of SUBRECIPIENT; or (c) decrease in available funding. III. TERM OF AGREEMENT A. This Agreement shall commence on July 1, 2017, and all duties arising under this Agreement shall have been performed by Jrme 30, 2018. The Term of this Agreement may be extended by a writing executed by the City Manager and the City Attorney. SUBRECIPIENT acknowledges and agrees that it must provide follow-up services for one (1) year after the Term, whether funded or not. B. SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR §200.343, including the following: I. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMB Circular A-129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal fiords or received from the Federal government in accordance with 2 CFR §§200.310-200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. 25B-96 Page 6 of 17 IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. SUBRECIPIENT shall use appropriate funds received from CITY to provide workers' compensation to all those hired by SUBRECIPIENT under this Agreement. B. SUBRECIPIENT shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and SUBRECIPIENT maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that SUBRECIPIENT shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Indicators (Exhibit B) and general program requirements described in Sections 2 and 116 of the Act, and applicable regulations, and the U.S. Department of Labor guidelines card regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made part of this Agreement as though fully set forth herein. B. SUBRECIPIENT also assures and certifies that: I. SUBRECIPIENT acknowledges and confirms that the U.S. Department of Labor has established six (6) performance indicators for youth: (a) Percent of Participants who are in education/training activities, or in unsubsidized employment during the tad quarter after exit; (b Percent of Participants who are in education/traming, or in unsubsidized employment during the 4t quartet after exit; (c) the median earnings of Participants in amsubsidized employment during the 2n6 quarter after exit; (d) Percent of Participants who obtain recognized postsecondary credential or secondary diploma during participation or within 1 year after exit; (e) Percent of Participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment and who are achieving measurable skill gains; and, (f) effective in serving employers. SUBRECIPIENT agrees to implement and shall meet any additional performance indicators that may be subsequently required by the Workforce Innovation and Opportunity Act or by any other Federal, 25B-97 Page 7 o£„ State, and local law. 2. SUBRECIPIENT shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, requiring that no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. SUBRECIPIENT shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement, 4. SUBRECIPIENT shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. SUBRECIPIENT shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period. from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. SUBRECIPIENT shall maintain appropriate standards for health and safety in work and training situations, 8. SUBRECIPIENT shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit H" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by SUBRECIPIENT for the purpose of apprising businesses, Participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and. the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIOA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CPR 37.35, SUBRECIPIENT must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. SUBRECIPIENT certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY, In addition, any tools and/or equipment furnished to the SUBRECIPIENT by the CITY and/or purchased by the SUBRECIPIENT with funds pursuant to this 25B-98 Page 8 or t7 Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY, Upon termination of this Agreement, SUBRECIPIENT will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 12. SUBRECIPIENT certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The SUBRECIPIENT will disclose to the CITY any invention, written product, or computer program developed, or data assembled, as a result of performance of work under this Agreement, within seventy four (74) days of invention, development or assembly, The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data, generated by SUBRECIPIENT. Upon written request, SUBRECIPIENT will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the SUBRECIPIENT shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL, shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright- able material is developed in the course of or tinder a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The SUBRECIPIENT and the Workforce Development Board (WDB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any wort, developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a SUBRECIPIENT purchases ownership with grant support; and, (e) SUBRECIPIENT shall comply with the requirements of 29 CFR Part 97.34. 25B-99 Page 9 of 17 C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under. this Agrecrnent. 15, CLEAN AIR / CLEAN WATER ACT, If the grant hereunder exceeds $100,000, SUBRECIPIENT must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 35) as any may now exist or be hereafter amended„ Under these laws and regulations, the SUBRECIPIENT assures that: (a) No facility to be utilized, in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized, for the grant is under consideration to be listed on the EPA List of Violating Facilities; and, (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. SUBRECIPIENT agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will be talcen by SUBRECIPIENT in order to maintain the integrity of this expenditure of public fiords and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. SUBRECIPIENT, its officers and employees, in administering this Agreement, wilt avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Emplownent of Former State or CITY Employees. SUBRECIPIENT will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment, c. Conducting Business Involving Relatives, No relative by blood, adoption or marriage of any executive or employee of SUBRECIPIENT will receive favorable treatment when considered for enrollment in programs provided by, or employment with, SUBRECIPIENT. d. Conducting Business Involving Close personal Friends and Associates. Executives and employees of SUBRECIPIENT will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for SUBRECIPIENT to conduct business with a fiiend or associate of an executive or employee of SUBRECIPIENT, an elected official in the area or 25B-1 00 Page 10 of 17 a voting or non-voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest, No executive or employee of SUBRECIPIENT elected official in the area, or voting or non-voting member of a WDB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by SUBRECIPIENT or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed ander this Agreement. No voting member of the WDB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. f. Salary and Bonus Limitations. All Subrecipients of WIOA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. VII. HOLD HARMLESS A. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and, all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of SUBRECIPIENT, its employees or subcontractors. B. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of SUBRECIPIENT, its employees or subcontractors, VIII. INSURANCE 1. Commercial, General Liability. SUBRECIPIENT agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and SUBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollar ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence, with $2,000,000 in the aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY (in substantially the form as 25B-101 Pagett oft? Exhibit I , Additional Insured Endorsement, attached hereto), Governmental entities may substitute a certificate of self-insurance. 2. Automobile Liability Coverage. SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by SUBRECIPIENT employees or Participants in performance of this Agreement, or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees, Participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, Participants, or agents as self -certification of automobile insurance coverage, Governmental entities may substitute a certificate of self-insurance. 3. Workers' Compensation. If SUBRECIPIENT is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes Participants as "employees," as set forth in California Labor Code Section 3350 et seq., SUBRECIPIENT shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by Participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification, SUBRECIPIENT shall carry medical and accident insurance for those Participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. E uipment Coverage. SUBRECIPIENT shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECIPIENT in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self-insurance. 5. Youth Protection. To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth Participants that are under the age of 18. 6. Proof of insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPIENT understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. Ix. CORPORATE STATUS All corporate SUBRECIPIENTs shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board or Internal Revenue Service, Any change in corporate status or suspension shall be reported immediately to CITY. 25B-1 02 Page 12 of 17 X. ASSIGNABILITY None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. SUBRECIPIENT acknowledges and agrees that it must follow procurement regulations for SUBRECIPIENTs (2 CFR §200.317). No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, SUBRECIPIENT shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 2 CFR 200 and 20 CPR. Parts 651 and 654 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, SUBRECIPIENT will comply with such or will notify CITY alter enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of SUBRECIPIENT by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. 258-103 Page 13 of 17 XIII. FRAUD SUBRECIPIENT shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS SUBRECIPIENT acknowledges that approval of and funding for this Agreement is contingent upon State approval, and fiords received or obligated from the State of California to CITY. If such approval of fiends is not forthcoming, or is otherwise limited, CITY shall immediately notify SUBRECIPIENT. Within twenty (20) days of receipt of such notice, SUBRECIPIENT shall modify or cease operations as directed by CITY and negotiate necessary modification to tivs Agreement and/or reimbursement of costs incurred hereunder. XV. TERMINATION A. This Agreement may be tenni.nated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, SUBRECIPIENT may not terminate this Agreement if undue hardship will result to any participant. B. In the event SUBRECIPIENT defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to SUBRECIPIENT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of farther liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for sei vices satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to SUBRECIPIENT. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from SUBRECIPIENT written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars, Pending final disposition of the appeal, SUBRECIPIENT shall act in accordance with CITY's decision unless the dispute involves a change order, 258-104 Page 14 of 17 XVII. BREACH -SANCTIONS If, through any cause, SUBRECIPIENT violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by SUBRECIPIENT pursuant to this Agreement, or if SUBRECIPIENT reports inaccurately or if any Audit Report makes disallowances, SUBRECIPIENT shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of SUBRECIPIENT's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as SUBRECIPIENT fulfills its obligations or remedies all violations of this Agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice SUBRECIPIENT has failed to repay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to SUBRECIPIENT of such termination in accordance the notice provision in Paragraph XVIII herein below. XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WDB Administrative Office P.O. Box 1988 (M-76) Santa Ana, CA 92702 CLERK: Cleric of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P,O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 SUBRECIPIENT: Orange County Conservation Corps 1853 N, Raymond Avenue, Anaheim, CA 92801 Phone: (714) 956-6222 Fax: (714) 956-1944 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. 25B-105 Page 15 of 17 XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void, or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25B-106 Purge 16 of 17 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above -written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City By: "CITY" IM Cynthia J. Kurtz Interim City Manager "SUB RECIPIENT" BY: Name: Katharyn Bandoni y Title: Executive Director Tax ID #: 33-0563781 RECOMMENDED FOR APPROVAL: Robert C. Cortez Deputy City Manager 25B-107 Page 17 of 17 Workforce Innovation & Opportunity Act Youth Program Provider 2017-2018 EXHIBIT A 25B-108 ORANGE C;C NTY CON N CORPS '%,y E'arrr_Lis4m... 5erve... Tools to Green the Future! Program Narrative toll free: (888) 641 -CORP (M77) www,hireyouth.org It Is the philosophy of OCCC to engage at risk youth in ways that both support educational attainment and job training while recognizing their need to simultaneously earn a living to support themselves and possibly their family as well. We are able to do this by integrating and supporting education and employment as mutually exclusive goals. We Integrate the concept of community service into our services to attract young people and to benefit the community. Furthermore, OCCC recognizes the value of young adults as contributing to our economy and society and those at risk young adults that need the support In order to build future generations of contributors. WIOA participants will be provided or will obtain services necessary to ensure that youth achieve the ultimate goal of employment. Services include, but are not limited to: • Support services; referrals for legal, medical, substance abuse, health, housing, familylpersonal guidance and counseling; help with tools, books, clothing, other items reeded for Interviews, job requirements, advanced training, transportation, etc. • OCCC staff members serve as adult mentors and tutors • Access to the OCCC computer lab, fax, voice mail, and printer for resumes, applications, financial aid, job search, job retention, on-line services • Transition assistance such as: job placement! vocational certification/ education opportunities/ career guidance The OCCC program is a transitional work/school program that combines work and school daily in a structured, supervised program, inclusive of the following program components: • Provide jobs for foster/emancipated youth, youth with disabilities and youth on probation and who are Older and/or Out -of -School WIOA eligible youth and are Santa Ana residents • Meet/exceed the WIOA outcomes for entered employment or education, credential attainment, and skill gains as outlined by the Santa Ana Youth Council • Youth who are unemployed and out of school will be enrolled into the Orange County Conservation Corps partnered Charter School to earn their high school diploma • Provide "soft" and "hard" occupational skills training needed to complete Orange County Conservation Corps work projects (Le. evasive species removal, reforestation, irrigation, construction, recycling) • Provide paid work experience, tralnings, and certificates to develop and/or Improve their resumes for future employment EXHIBIT A 25B-109 RANG COUNTY ?,RANGE- CORPS Develop and maintaln a portfolio that highlights their work/school/credential accomplishments to use In seeking employment post-program • Improve basic skills and improve at least two grade levels on a standardized tests (Le. TARE) • Earn scholarships for post -secondary Instruction Develop leadership skills through various crew based and individual trainings Transition successfully from the OCCC program into employment and/or post -secondary Continuing education • Complete work projects that benefit our local communities and instill a sense of community service and pride in their communities As a part of their training, participants are placed in on-the-job training, and they are paid for the work they do. These paid work experience placements have been developed by the OCCC to assist local cities, county agencies, and other nonprofit agencies with their conservation and land management needs. OCCC work projects are environmentally driven and benefit the community. Under this grant, OCCC will enroll 20 Santa Ana's youth ages 18 to 24 to participate in the OCCC program. EXHIBIT A 25B-110 ORANGE COUNTY CONSERVATION CORPS SANTA ANA YOUTH WORKFORCE INVESTMENT ACT PROPOSAL 2017-2018 1. Experience/Qualifications A, Briefly describe your agency. The Orange County Conservation Corps (OCCC) is a nonprofit, certified local conservation corps, one of 14 certified local conservation corps in California. As a certified local conservation corps, the OCCC operates under the California Public Resources Code which mandates several program components, including paid work experience, job training, education, life skills and pre-employment training, B. List the facility address and address of headquarters if different location. Please include major cross streets, Orange County—The Education Corps Cross streets: Walnut and South Acacia in Fullerton 1548 E. Walnut Fullerton, CA 92831 (714)956-6222 Administrative Headquarters Cross Streets: Raymond and Kimberly in Anaheim 1853 Raymond Ave. Anaheim, CA 92801 (714) 956-6222 C. Indicate hours of operation for facility. OCCC offices are open Monday—Thursday from 7:00 am to 5:00 pm and Friday from 8:00 am to 12:OOpm. Additional week -end and evening hours to be arranged depending on individual participant needs, scheduled events, and activities. D. Briefly indicate what makes your facility youth friendly and suitable for the proposed program, The facility is designed in a regular classroom setting with a certificated teacher assigned to each classroom. All classrooms are equipped with computers and internet access for Corpsmember use, Pictures of Corpsmember accomplishments and success boards are displayed throughout the facility. A resource area is designated for Corpsmembers to access medical, health, community information, and job leads as well there are two computer labs, in which tutoring sessions, online courses, workshops, career exploration assessments, and many other activities take place. The Corps -to -Career Specialist has a private office equipped with two computers in order to provide individual guidance, mock interviews, resume development assistance, and career exploration tools, There are spaces available in which case managers work with Corpsmembers one-on-one to provide needed support services. A feedback box is available for Corpsmembers to provide suggestions or request additional services. The facility is close to public transportation, and the OCCC provides transportation assistance in the form of bus passes, gas cards, and company vehicles. Online classes are also available for students for whom transportation or childcare is difficult, EXHIBIT A 25B-111 E. Provide brief information on the following elements: 1. Average annual operating budget and sources of revenue The Fiscal Year 2017 annual operating budget for the Orange County Conservation Corps is: fia aaR_nnn 2, Brief description of staff: OCCC has 40 staff members committed to helping Corpsmembers achieve their goals. There is a dedicated full-time case manager for the Santa Ana region, who has many years of experience with the OCCC and the youth we serve. OCCC also has support staff that help guide and mentor Corpsmembers. Beyond the Santa Ana WIOA case managers, we have other case managers who can assist Corpsmembers with supportive services and provide mentorship. The Corps -to -Career Specialist and assistant job developer helps Corpsmembers discern their career and education goals, helps them create their resumes, coordinates externships and on-the-job training, and provides job leads. The Charter School has five certificated teachers who provide direct instruction in classrooms with state-of-the-art technology. A fulltime guidance counselor provides one-on-one support, including: planning their career paths, tracking credits and graduation requirements, facilitating workshops on anger management, substance abuse, vocational education, and post- secondary education. OCCC management team has over 66 years of experience working directly with the business aspects associated with the OCCC. The Chief Executive Officer brings over 21 years of leadership and executive management. 3, Past experience with WIOA programs or other youth programs: OCCC has incorporated a variety of best practices from various state and national models for youth and workforce development to serve this population. OCCC's basic program design has been in place since 1995 and has expanded and enhanced its WIOA program services since the inception of WIOA funding in 1998, OCCC's program design provides comprehensive and coordinated activities for at -risk youth to meet and exceed planned expected outcomes in literacy and numeracy gains, attainment of a degree or certificate and placement in employment or post -secondary education, 4. What kind of impact your agency has made on the youth community: According to a 2012 study conducted by New York University and Columbia University on the Economic Value of Opportunity (at -risk) Youth, disconnected youth (unemployed and under educated) ages 16 to 24 cost the taxpayer an average of $37,450 per year. EXHIBIT A 25B-112 Workforce Investment Fee For Source CalRec cle Board Services Others Amount __IL823 000 547,000 1,125,000 903 000 2, Brief description of staff: OCCC has 40 staff members committed to helping Corpsmembers achieve their goals. There is a dedicated full-time case manager for the Santa Ana region, who has many years of experience with the OCCC and the youth we serve. OCCC also has support staff that help guide and mentor Corpsmembers. Beyond the Santa Ana WIOA case managers, we have other case managers who can assist Corpsmembers with supportive services and provide mentorship. The Corps -to -Career Specialist and assistant job developer helps Corpsmembers discern their career and education goals, helps them create their resumes, coordinates externships and on-the-job training, and provides job leads. The Charter School has five certificated teachers who provide direct instruction in classrooms with state-of-the-art technology. A fulltime guidance counselor provides one-on-one support, including: planning their career paths, tracking credits and graduation requirements, facilitating workshops on anger management, substance abuse, vocational education, and post- secondary education. OCCC management team has over 66 years of experience working directly with the business aspects associated with the OCCC. The Chief Executive Officer brings over 21 years of leadership and executive management. 3, Past experience with WIOA programs or other youth programs: OCCC has incorporated a variety of best practices from various state and national models for youth and workforce development to serve this population. OCCC's basic program design has been in place since 1995 and has expanded and enhanced its WIOA program services since the inception of WIOA funding in 1998, OCCC's program design provides comprehensive and coordinated activities for at -risk youth to meet and exceed planned expected outcomes in literacy and numeracy gains, attainment of a degree or certificate and placement in employment or post -secondary education, 4. What kind of impact your agency has made on the youth community: According to a 2012 study conducted by New York University and Columbia University on the Economic Value of Opportunity (at -risk) Youth, disconnected youth (unemployed and under educated) ages 16 to 24 cost the taxpayer an average of $37,450 per year. EXHIBIT A 25B-112 Every year OCCC produces up to 100 high school diploma graduates, provides paid employment and on the job training to nearly 300 at risk- youth and reduces taxpayer burden for these youth to the savings of $5,617,500 annually (estimate 150 youth X $37,450). OCCC enrolls the neediest at -risk youth as designated by the Santa Ana Youth Council, those who need to learn how to work and go to school. The OCCC is a six to twelve month comprehensive program with various components and strategies designed to guide and support youth into being employable, trainable, self-sufficient adults. The program's support services and paid work experience help the youth to stabilize their lives and help them deal with the many issues they face on a daily basis so they can first maintain their employment and education program. Once the youth become stable and are able to maintain employment and education, they continue to be assisted in furthering their education, improving their work skills, and seeking better employment post -corps, leading to a life of self-sufficiency. 2. Proposed program A. Provide an overview of the program's main objectives. It is the philosophy of OCCC to engage at risk youth in ways that both support educational attainment and job training while recognizing their need to simultaneously earn a living to support themselves and possibly their family as well, We are able to do this by integrating and supporting education and employment as mutually exclusive goals. We integrate the concept of community service into our services to attract young people and to benefit the community. Furthermore OCCC recognizes the value of young adults as contributing to our economy and society and those at risk young adults that need the support in order to build future generations of contributors. WIOA Corpsmembers will be provided or will obtain services necessary to ensure that youth achieve the ultimate goal of employment. Services include, but are not limited to: • Support services; referrals for legal, medical, substance abuse, health, housing, family/personal guidance and counseling; help with tools, books, clothing, other items needed for interviews, job requirements, advanced training, transportation, etc. P OCCC staff members serve as adult mentors and tutors • Access to the OCCC computer lab, fax, voice mail, and printer for resumes, applications, financial aid, job search, job retention, on-line services • Transition assistance such as: job placement / vocational certification / education opportunities / career guidance The OCCC program is a transitional work/school program that combines work and school daily in a structured, supervised program, inclusive of the following program components: EXHIBIT A 25B-113 • Provide jobs for foster/emancipated youth, youth with disabilities and youth on probation and who are Older and/or Out -of -School WIOA eligible youth and are Santa Ana residents • Meet/exceed the WIOA outcomes for entered employment or education, credential attainment, and skill gains as outlined by the Santa Ana Youth Council; • Youth who are unemployed and out of school will be enrolled into the Orange County Education Corps Charter School to earn their high school diploma • Provide "soft" and "hard" occupational skills training needed to complete Orange County Conservation Corps work projects (i.e. evasive species removal, reforestation, irrigation, construction, recycling); • Provide paid work experience, trainings, and certificates to develop and/or improve their resumes for future employment; e Develop and maintain a portfolio that highlights their work/school/credential accomplishments to use in seeking employment post -program • Improve basic skills and Improve at least two grade levels on a standardized tests (i.e., STAR, TABE); • Earn scholarships for post -secondary instruction; • Develop leadership skills through various crew based and individual trainings; • Transition successfully from the OCCC program into employment and/or post -secondary Continuing education; • Complete work projects that benefit our local communities and instill a sense of community service and pride in their communities. As a part of their training, Corpsmembers are placed in on-the-job training, and they are paid for the work they do. These paid work experience placements have been developed by the OCCC to assist local cities, county agencies, and other nonprofit agencies with their conservation and land management needs. OCCC work projects are environmentally -driven and benefit the community. 3. Population A. Describe the total number of youth that will be served by this grant This grant will allow 20 of Santa Ana's youth to participate in the OCCC program. B. Describe the age range of the youth that will be served. The OCCC serves youth/young adults ages 18 to 24. C. Describe any minimum requirements that youth need to have in order to be enrolled into your program. EXHIBIT A 25B-114 The OCCC has no minimum requirements in addition to the WIOA Youth eligibility requirements. D. Special considerations for youth services OCCC intends to serve at least 80% of out-of-school youth. At least 10% of youth with disabilities, at least 10% of foster/emancipated youth, at least 10% of youth that has dropped out of high school and 10% of youth on probation. Historically, OCCC has met or exceeded these expectations and is evident within our annual program audits from our WIB contractors. E. Specify how the targeted youth populations will be recruited. The outreach and recruitment plan for this program will target youth most in need and will be recruited through the following: • Local school districts and alternative schools • County alternative schools • Probation officers • Youth and Family Resource Center • Word-of-mouth • Job fairs/presentations In addition to the normal recruitment strategies of job fairs, partner networks, and presentations to and referrals from local groups and organizations, the OCCC will employ "street outreach" to recruit the WIOA participants. Street outreach entails handing out flyers with the OCCC's toll-free telephone number (888.641.2677) and website address (www.hireyouth.org); and interacting with youth where youth "hang out" in parks, malls, food courts, week -end community events, and even walking local neighborhoods. Historically the OCCC's most effective recruitment strategy has been referrals from former and current Corpsmembers, their family, and friends, as well as through Craigslist and advertisements in other media such as Facebook. See attached recruitment flyer in Attachment W. F. Include letters of Support from organizations that have agreed to refer youth to your program. See Attachment C. See letters from Young Invincibles, YWCA, Western Youth, Community Services, CCCOE/CDCR Probation, and the OC Department of Education Accountability Commitment Program. G. Describe your recruitment plan that will fulfill the requirement of enrolling 100% of youth by the 2nd quarter of the program (December 31, 2017). We have been successful at recruitment and enrolling youth in the program in the past and do not expect any difficulty enrolling youth by December 31, 2017. Our partners rely on our services and regularly refer their clients to us. The full-time case manager and the recruitment team will provide needed resources to complete full enrollment by December 31, 2017. EXHIBIT A 25B-115 4. Assessment A. Youth Services are required to use the Test for Adult Basic Education assessment tool. OCCC Intends on continuing to use the TABE and should another assessment tool be warranted we will seek approval prior to implementation. B. Describe how your program will conduct assessments for youth participants, elaborate on the type of assessment tools or surveys that will be used. Youth will be enrolled in the OCCC program for academic and vocational assessment and orientation to the OCCC, The timeline of services, as per the attached customer flow chart, will consist of up to 12 month direct services. This entails enrollment, assessments, and service provision with target outcomes for each participant. Each participant will also be eligible for 12 months post exit follow up services. The OCCC's Program Specialist, in conjunction with the WIOA participant, will develop the youth's Individual Service Plan (ISP) inclusive of assessment results, work readiness evaluation, and counseling and guidance for personal needs. Case Managers will review IEP's if needed, ONET Profiler and conduct work readiness pre and post tests. C, Describe knowledge of the barriers that the youth encounter. Currently we serve participants with the following known barriers, have not completed high school at the time of entry (under educated), are or have been court -involved, including on probation/parole, are single parents, are or have been in foster care, are or have been gang - affiliated, had incarcerated parents during childhood years, are at two years below ninth grade literacy fluency, are below ninth grade level, qualify for the Free/Reduced Lunch Program (low income), have limited or no means of transportation. D. Specify how your agency will address the barriers that youth encounter. These disenfranchised youth need to work—often they need to work to make a living for themselves and in many cases, their families. Too many programs serving youth don't offer a paid work experience component—this negates the acquisition of basic skills for many youth because they don't see the relevancy of instruction. They need training that will lead to a career, and they need education that is relevant to their jobs and makes sense to them. The OCCC can help them understand how earning a high school diploma will benefit their employability and help them achieve their goals. Many Corpsmembers come to the program with very specific needs based on their barriers. For instance, our agency provides services to both young mothers and parenting fathers, connecting them to needed resources. OCCC plans to be a part of the collaborative to connect services available to pregnant and parenting youth, Homeless youth also have very specific needs, often having a history of abuse, financial hardships, drug addiction, lack of self-esteem, EXHIBIT A 25B-116 lack of employment skills, etc. They face great dangers staying on the streets and are always flagged in our enrollment protocols to receive most immediate services. The OCCC will also refer youth to other agencies, based on need. The OCCC strongly believes In the All Youth, One System concept. This belief is demonstrated by the way the OCCC networks with many outside entities, helping to ensure that all participants are linked to appropriate and necessary support services in the community. Equally important we have onsite individual and group counseling, provide nutritious meals and transportation services at specified pick-up point locations. 5. Paid & Unpaid Work Experience A. Describe in detail the paid and unpaid work experience opportunities that will be offered. Corpsmembers may remain at the OCCC for up to two years to earn... learn... and serve. This gives Corpsmembers the time necessary to develop the skills to enter the workforce and become self-sufficient. The OCCC program provides an opportunity for Corpsmembers to earn a living through paid work experience, learn job skills and further their education, while they serve their community by completing work projects. Summer employment — Employment opportunities are available all year round but for those attending full time school or unable to work year round, summer employment will be available. Pre -apprenticeship programs - Because a big part of our mission involves getting our participants prepared to enter the workforce and become self-sufficient, we have been expanding our work experience program to include summer or seasonal service. OCCC program participants who are selected to participate are 18-25 years old and receive paid work experience with our partner companies, like Goodwill Industries, Smart & Final, CVS Pharmacy, Party City, Marshalls, Costco, and many others. They are allowed to work a maximum of 29 hours per week, nights and weekends if needed, for up to 90 days while they earn their diploma. Internships or job shadowing- Job shadowing is available for new trainees to observe their peers as working Corpsmembers and also to experience different positions in the labor market. Ride-alongs on work crew projects give new participants the opportunity to see firsthand the duties and expectations of Corpsmembers on conservation projects. Also many of our job development placements have job shadowing as part of a new hire training period. On-the-job training provides Corpsmembers the opportunity to earn while they learn, with business, leadership, and teamwork skills. They train with professionals in a variety of fields, gain confidence in their own abilities, and pursue their career goals. Corpsmembers' time at the OCCC is largely spent serving their communities. OCCC projects and on-the-job training opportunities cover Orange County, aiding recycling efforts, restoring its native habitats, protecting water supplies, and working on fee for service projects throughout Orange County. Corpsmembers leave, worker's compensation and liability insurance is paid through OCCC's grant funding, along with any uniforms the partner business requires. Assistance with transportation and other supportive services are also provided. Under the mentorship of the EXHIBIT A 25B-117 partner's employees, our participants learn valuable job skills that enhance their knowledge and ability. B. Special Consideration for targeted in demand Industries as identified in the SAWIB's five year pian. The OCCC strives to help Corpsmembers enter the workforce successfully. The following career pathways have been listed as Orange County's top industries: Manufacturing/Advanced Manufacturing- OCCC intends to identify manufacturing resources within Orange County and develop opportunities for our participants to gain the exposure, training and apprenticeships necessary to be prepared for such employment. Also, Corpsmembers have the opportunity to obtain certifications in forklift operation and truck driving through the OCCC or its partners. OCCC has a partnership with Prominent Staffing that place work ready participants in manufacturing jobs within Orange County. Healthcare and social services — Many Corpsmembers have obtained externships with CVS and Walgreens Pharmacies, exposing them to the field of healthcare. Other Corpsmembers have gone on to further their education in healthcare fields. One former Corpsmember graduated from American Career College as a dental assistant after having worked with an orthodontist while attending classes. The OCCC will continue to expose Corpsmembers to healthcare agencies through •trips to local businesses, educational opportunities, and speakers and workshops at OCCC facilities. The OCCC will strive to expose Corpsmembers to the medical field and connect them with career certifications. OCCC has a rich history and strong partnerships with other Orange County non -profits such as Goodwill Industries, Habitat for Humanity, Boys and Girls Club of Santa Ana, Working Wardrobes and many others. All of which are open to providing social service training experiences for our participants. Additionally, these agencies seek out OCCC for participant referrals for their open positions. Hospitality/Entertainment — Corpsmembers have a variety of opportunities in this field. Corpsmembers have the opportunity to receive food handler's licenses and National Retail Federation certifications in customer service. Externships, on-the-job training, and job shadowing opportunities through partners like Goodwill Industries, CVS and Walgreens Pharmacies, Costco, Dollar Tree, Smart & Final, and others provide hands-on customer service experience. A Corpsmember recently started an externship at a local hotel and spa. Corpsmembers have participated in a partnership with the Fullerton Arboretum and local social enterprise Monkey Business Cafe, which benefits foster youth, called "Farm to Table." Corpsmembers work both on the arboretum's farm and at the cafe, developing a strong connection between where food grows and the process involved in delivering it to the table. EXHIBIT A 25B-118 OCCC also has a partnership with Contract Services Group that exclusively provide job placement for our participants within Orange County entertainment venues and hotels and Anaheim Resort Transportation providing hotel to amusement park transportation. Green/clean/environment -- Corpsmembers will participate in a large way in the expansion of the OCCC's waste management and recycling program to include oil, e -waste, bottle and Can and tire recycling. They get real-world experience by planning and executing OCCC projects around the county, Some specific labor markets include green building operations, solar panel installation, and water treatment, aiding bottle and can recycling efforts, restoring native habitats, protecting water supplies, and working on fee for service projects throughout Orange County. OCCC also has a rick experience in working with the National Park systems, Department of Fish and Game, National Forestry Service, Laguna Canyon Foundation and the newly formed Santa Ana Conservancy. The WIOA Participants' paid work experience, certifications, and career training will be focused on our partnerships with those that can further provide experience in relevant and growing industries including information technology, manufacturing, healthcare, hospitality and entertainment, and environmental. The OCCC strives to create career pathways for Corpsmembers in these fields. All training will be designed to address those occupations which are in demand to help assure the successful employment of the WIOA youth. C. Special Consideration for organizations that offer job training/preparation in the industries of science, technology, engineering, the arts and math. It is the intent of OCCC to provide the appropriate exposure and necessary training to our participants in the fields of science, technology, engineering, the arts and math through extensive education and promoting secondary education opportunities in those fields. D. List some of the employers that will assist in the paid and unpaid work experience opportunities, 211 Orange County—Santa Ana A Live Scan Center—Anaheim Anaheim Resort Transportation -Anaheim Bella Dia Salon -- La Habra Anaheim Public Library — Haskett Branch Boys & Girls Club —Garden Grove Boys & Girls Club — Santa Ana Boys & Girls Club - Cypress Costco — La Habra EXHIBIT A 25B-119 City ofYorba Linda City of Aliso Viejo CVS Pharmacy —All cities Dollar Tree —Buena Park Goodwill of Orange County —All stores La Palma Public Library Habitat for Humanity- Santa Ana Mesa Cold Storage - Fullerton Monkey Business Caf6 — Fullerton Orange County Child Abuse Prevention — Santa Ana Orange County Public Works Orange County Therapeutic Arts — Santa Ana Orangethorpe Elementary School — Fullerton Santa Ana Public Library Santa Ana Work Center Smart & Final Extra —AII Orange County stores Starbucks - Fullerton Terra Pacific Waste Management —Anaheim The Friendly Center—Orange The ElegantTouch— Orange Custom Hair — Buena Park Walgreens —All Orange County locations E. Include Letters of Commitment from employers as Attachment D. See attached letters from Laguna Canyon Foundation, City of Garden Grove, City of Irvine, Prominence Staffing, and Audubon California. F. Include a copy of the Work Experience policy as Attachment E. 6. Alternative Secondary School Services A. Describe in detail the alternative secondary school services or dropout recovery services that will be made available for youth. The OCCC's organizational purpose is to empower youth and young adults to become self- sufficient contributing members of their community, The OCCC accomplishes this by providing WIOA Corpsmembers opportunities to complete their high school education through our WASC accredited Charter School, professional, and personal development through our employment EXHIBIT A 25B-120 services classes and workshops and providing paid employment on conservation crews that make a difference to our community and environment, thus creating the necessary skills to develop and maintain a positive work ethic while building self-sufficiency. The intent of exposure to various post -secondary educational institutions is to provide a lasting foundation to enable youth to enterthe workforce and be successful, productive, members of society. 8. Describe In detail the activities that will lead youth to attainment of secondary school diploma or equivalent. WIOA Corpsmembers will obtain services necessary to ensure that youth will enter post- secondary education. Services include, but not limited to: • Support services; referrals for legal, medical, substance abuse, health, housing, family/personal guidance and counseling; help with books, clothing, other items needed for post -secondary education, advanced training, etc. • OCCC staff members serve as adults mentors • Access to the OCCC's computer lab, fax, voice mail, and printer for college applications, financial aid, on-line services • Transition assistance such as: vocational certification / education opportunities/ school enrollment assistance C. Special Consideration for organizations that offer dropout prevention or dropout recovery services. OCCC offers a unique opportunity for those individuals who have dropped out of school by offering our Charter School educational services. Thus reducing the dropout statistics and recovering those individuals who would have otherwise been part of our County's dropout rate. Our Charter School provides them with a high school diploma, not a GED. Studies have found GED recipients have a lifetime earnings rate that is close to dropout rates than those with high school diplomas. A 2012 study Opportunity Road indicates that the long-term effects of youth not having a high school diploma and employment lead to higher rates of poverty, continued unemployment throughout adulthood and the likelihood of incarceration. The study shows that the taxpayer burden could be reduced by $707 billion if at risk youth received education, economic and social supports to fully integrate them in to either the education system or labor market. For out-of-school youth, a high school education is strongly tied to securing employment. With high unemployment and high competition for jobs, youth without a high school diploma do not stand a chance to compete in today's job market. The 2012 study also revealed that high school dropouts earn on average $18,900 per year and those with high school diplomas earn on average $25,900, The OCCC also provides a multitude of services, workshops, and resources for its Corpsmembers. Obtaining a high school diploma through the Education Corps is a huge step towards self-sufficiency for high school dropouts. Paid work experience, job shadowing, on-the- job training, and externship opportunities provide valuable experience for Corpsmembers to put on their resume. The OCCC provides workshops on job retention, resume writing, filling out applications, mock interviews, career exploration, and many other topics, Corpsmembers can EXHIBIT A 25B-121 also receive certifications in customer service, forldift and chainsaw operation, safe food handling, and computer software. No other organizations in Orange County provide as many hours of work experience—up to 29 hours a week. Corpsmembers participate In on-the-job training in a variety of industries throughout the county. They do not simply visit companies and businesses in various industries; they work there. Corpsmembers have done externships in many industries, including the hospitality/tourism industry at local hotels, spas, and restaurants. They have also participated in a partnership with the Fullerton Arboretum on the campus of California State University Fullerton and local social enterprise Monkey Business Caf6, which benefits foster youth, called "Farm to Table." Corpsmembers work both on the arboretum's farm and at the caf6, developing a strong connection between where food grows and the process involved in delivering it to the table. OCCC crews provide recycling services to many companies and businesses, including Downtown Disney. We have Corpsmembers working at a number of CVS Pharmacies throughout Orange County, giving them experience in the field of healthcare. Corpsmembers have also worked at the Santa Ana One Stop Center, exposing them to a variety of career opportunities. Additionally, we have partnered with Vital Link services that provide hands-on career exploration experiences for youth, helping them carve out their own unique career path. Trips and tours to local businesses help youth sort through their interests, get excited, and "try on" a career for a day. Corpsmembers and students have many opportunities to hear from employers, to attend job fairs and participate in career exploration workshops. Corpsmembers participating In on-the- job training receive feedback and evaluations from their employers and supervisors regularly. 7. preparation for post -secondary Education and Training A. WIOA only accepts certifications that are accredited by a State recognized educational entity or are recognized by employers. The Education Corps is a fully accredited c h a r t e r school recognized by the State of California. This collaborative allows the Target Population, for In -School Youth and Out -of - School Youth in need of educational services, to earn high school credits that count toward a high school diploma, build skills to pass the California High School Exit Exam, and increase Literacy/Numeracy Skills. B. Special consideration for organizations that offer preparation for postsecondary education and training in high -demand Industries. WIOA Corpsmembers research jobs on O*NET to obtain expected job growth, wages and educational requirements. Subsequently, depending on the training that is needed, Corpsmembers are referred to ROP, Community Colleges, Apprenticeship Programs and EXHIBIT A 25B-122 Technical Schools. Additionally, presenters are scheduled from a variety of high -demand industries Including green jobs, medical careers, etc, C. Identify and/or develop a pathway for youth that can lead them from high school to career or college. Please elaborate on specific pathways. Training and education will assist youth in obtaining employment because the youth will learn how to work and go the school. As a result of the OCCC's six to twelve month comprehensive program, support services and paid work experience, youth are able to stabilize their lives and lean how to deal with the many issues they face on a daily basis. The Corps -2 -Career Specialist works one on one with WIOA participants to develop personalized goals (post -secondary education, job placement, and career development) that lead to self-sufficiency. Once the youth become stable and are able to maintain employment and education, they will continue to be assisted in furthering their education, improving their work skills, and seeking better employment post -corps, leading to a life of self-sufficiency. The ultimate path for out participants is building a bridge from education to work, with multiple steps along the way to develop the infrastructures necessary for retention, OCCC bridges the participant with employers, while creating a myriad of support services to ensure individual goals are met. D. Describe in detail how the program will prepare youth for postsecondary education and training. The needs of these disconnected youth are immense, whether they are pregnant/parenting, children of incarcerated parents, homeless, high school dropouts, offenders, foster/emancipated, or have a poor work history. They are facing financial hardships, drug addiction, lack of self-esteem; lack of basic skills, no employment, no skills, etc. With such a myriad of needs, a coordinated, articulated program, rich with varied approaches and learning opportunities needs to be provided. We will address the following needs: "soft" and "hard" occupational skills training; completion of high school credits to earn a high school diploma; increase math/literacy rates; improve basic skills; develop leadership skills; develop a sense of community service. They will leave the OCCC program with a high school diploma, work experience, certifications and training, supportive services, and mentorship, which will allow them to enroll in higher education, obtain employment on a career path in a growing industry, and become self-sufficient. E. Now will your organization expose youth to the various post -secondary educational institutions? OCCC plans to coordinate and schedule field trips to the local college campuses such as Cal State Fullerton, Cypress Community College, Rancho Santiago Community College and Fullerton Community College. OCCC has developed extensive relationship with these secondary EXHIBIT A 25B-123 education facilities and will also invite representative to provide workshops onsite at OCCC for our participants. F. Describe the certificates that youth be able to earn while in your program or within a year after exit. Youth are able to earn various state recognized credentials through our partners, ITA accounts and on-the-job earned certifications which include forklift operator, safe food handling, national retail federation, and computer software. Corpsmembers can receive vouchers to reduce the cost of getting their driver's license, and some of our partners can help them get their truck driving license. In addition to its classroom -based classes, the Education Corps Charter School provides online courses through a special partnership to enable a flexible schedule and tailor its program to the Individual needs and interests of its students. FlipSwitch is the result of more than ten years of research and development in the online learning industry. Founded in 2001 as American Virtual Academy (AVA) by visionary Damian Creamer, the company started as the exclusive technology and curriculum partner for a young, upstart institution in Arizona named Primavera Online High School. FlipSwitch has the following certifications: UC Certified (3 year process, complete 2012), A -G Certified (Complete High School Diploma), and NCAA Certified Courses (98% courses certified by NCAA). Flip Switch offers over 200 courses in language arts, social studies, mathematics, science, world languages, fine arts & vocational, health & physical education, and electives. The Education Corps Charter School will provide high school diploma instruction; vocational and occupational skills training; life skills, pre-employment skills, etc,; specialized trainings (CPR/First Aid, Forklift, Chainsaw certification, etc.); safety demonstrations, leadership development, support services and educational topics (health, substance abuse, financial literacy, etc.); and instill the participants with a sense of community service and pride. The OCCC will provide the WIOA Corpsmembers with hard skills (on the job training, certifications, etc.) and soft skills (responsibility, discipline, punctuality, uniform standards, etc.) which lead to job retention. The WIOA Corpsmembers will be exposed to presentations, workshops, and fteldtrips to assist them in developing career paths. The Corps -2 -Career Specialist will work individually with the WIOA Corpsmembers to develop personalized goals (post -secondary education, job placement, and career development) that lead them to self- sufficiency. Through their Corps -2 -Career classroom training, the participants will learn that the fields of environment and conservation, green jobs, green technologies, healthcare and manufacturing are the jobs of the future and that they offer non-traditional opportunities for both male and female. WIOA participants will learn about food production, manufacturing, introduction to technology and computer software. G. Include data and research that supports the Industries or pathways listed above. EXHIBIT A 25B-124 According to the Economic Value of Opportunity Youth study of 2012 by the University of New York and Columbia University, "youth who receive constructive engagement of services to build pathways that offer support to navigate the labor market and gain education necessary to sustain self-sufficiency are successful In reducing the social and taxpayer burden then those who do not receive services." The same study also went on to say that organizations that offer education coupled with paid work services are highly successful and preferred by opportunity youth and stating that 69% of opportunity youth surveyed stated they are looking for work but feel that they need support in the form of education and employment services. H. Include Letters of Intent from the training agencies, as Attachment F. See letters from OC Re -Entry Partnership, Working Wardrobes, Women Helping Women, ProSafe, and Contract Services Group, Inc. 8. Tutoring A. Describe In detail the tutoring resources that will be provided to youth The Education Corps Charter School credentialed teachers will interact with WIOA Corpsmembers on a daily basis as they attend class five days a week, Monday -Friday, and provide additional one on one tutoring as needed. Week -end work/school activities will be scheduled as needed and appropriate. The WIOA Program Specialist (case manager) will meet at least monthly to monitor the participant's progress in meeting their Individual Service Strategy goals, and other work/school/personal issues that may arise. Other organizations such as social services, counseling centers, probation/parole, etc., may be providing outside support services as in-kind support for this proposal. Many WIOA participants may come to the Corps already involved is such services while others may be referred. The Corps strongly believes in the All Youth, One System Concept which promotes networking with many outside entities to ensure all WIOA Corpsmembers are linked to a variety of support services in the community. 9. Mentoring A. Specify how your organization will provide mentoring to youth OCCC staff members will meet daily with WIOA Corpsmembers to deliver program components. Corpsmembers will be assigned to work in a crew which is supervised by one of the OCCC's Crew Supervisors. The Crew Supervisor will work Monday -Thursday with WIOA Corpsmembers to complete assigned work projects. Other OCCC staff or interns meet with WIOA Corpsmembers as needed for specialized trainings, workshops, or individualized follow up regarding work/school/personal issues that may arise. EXHIBIT A 25B-125 B. Specify what types of support your organization will offer youth who are facing challenging obstacles such as: family dysfunctions, mental health issues, substance abuse, low self- esteem, probation, gang issues, parenting issues, etc. WIOA Corpsmembers will be provided with supportive services such as referrals for legal, medical, substance abuse, health, housing, family/personal guidance and counseling. It is important to note that the OCCC has added a key position to our programs and service with the addition of a Guidance Counselor we are able to hold group sessions and individual counseling sessions on the issues and challenges that face our participants. C. Will your organization offer mental health services or referrals? please describe. The OCCC has an onsite counselor with a Master's degree in Guidance and Counseling and a counselor who is has a degree in Marriage and Family Therapy, both will be able to assess and refer the participant to the appropriate facilities for mental health assistance and provide individual and group counseling as needed. D. Describe how your organization will provide or refer youth to comprehensive guidance and counseling for drug and alcohol, etc. When necessary case managers refer participants to local Alcohol Anonymous or Narcotics Anonymous agencies, but it is equally important to note that one of our case managers is a certified drug and alcohol counselor and we also have a Marriage and Family Therapist on staff as well. 10. Workshops A. Provide information about the following workshops and how or when the workshops will be provided to youth in the program. The OCCC provides weekly workshops such as practice interviews, career exploration, personal finance, smoking cessation, parenting skills, customer service, job retention, resume preparation, communication skills, and many other topics. Of most importance, in close proximity to the OCCC administrative offices, the Education Corps site houses all program services, (education, case management, transition services, follow up, etc.) are delivered. Having all services at one site and in close proximity to the administrative headquarters enhances the coordination of the program and eliminates duplication and redundancy. All instruction will be classroom based; field based, on-line, individual, small/large group, crew based, demonstrations, lectures, packets, guest speakers, and individual research. Financial Literacy/ Budget Management - The Education Corps Charter School provides an entire course on financial literacy. They discuss how to set up a checking and a savings account, how to create a budget, what an IRA is and how to set one up, the math behind compound interest, how to read the fine print on a credit card, how to establish and/or fix one's credit, car loans, and how to file income taxes. EXHIBIT A 25B-126 Entrepreneur Skills Training- Workshops will be held to identify fundamentals in creating your own business or being an independent contractor. Financial skills, marketing strategies, customer service techniques and basic business organization will be taught. Labor Market Information- A job board is maintained in participant areas and contains current job postings throughout Orange County. Participants also receive a workshop on how to access jobs opportunities online and within newspapers. Family Planning- Planned Parenthood has offered workshops at the OCCC, discussing things like sexual health, birth control, pregnancy, and relationships. Parent -to -parent has done parenting workshops at the OCCC, complete with childcare for participants' convenience. They discuss how to relate to your child, boundaries and discipline, and nurturing relationships with both children and partners. Parenting classes are also offered at our Charter School as an elective and are open to WIOA participants. Worker's Rights/Labor Laws- OCCC organizes visits to local labor unions to educate Corpsmembers about how labor unions operate. CalOptima recently presented a workshop on Covered California, providing information and support to both Corpsmembers and students. Also, all Department of Labor and California Labor Codes are posted as well as worker's compensation and employee grievance policies as required for our staff and will be reviewed with our participants. Analytical Skills at the Workplace - The OCCC provides many work readiness and career exploration workshops. Our Corps -to -Career Specialist and other staff provide workshops about job retention, resume writing, filling out applications, mock interviews, career exploration, and many others. During their OCCC orientation, Corpsmembers take the O*NET assessment to help them discover how their strengths and interests can connect to a career path. Health Resources - Besides family planning and parenting workshops, the OCCC provides workshops on health resources. The OCCC has provided workshops on smoking cessation and smoking's effect on the environment, tattoo removal services, substance abuse workshops, self-esteem and body image workshops, and many others. The OCCC would like to host a free flu shot clinic in the future. Corpsmembers and students also receive referrals to other organizations for healthcare needs and information. Public Speaking Skills - The OCCC has sponsored public speaking workshops in the past and will continue to do so. For the annual OCCC graduation ceremony, students have the opportunity to audition to present a speech. OCCC and Education Corps staff provides private and group coaching and the selected students present their speeches at the graduation ceremony in front of several hundred people. 11. Civic Engagement or Leadership Development A. Can your organization offer a civic engagement opportunity or leadership development opportunity for WIOA youth in the community, please describe. EXHIBIT A 25B-127 OCCC students and Corpsmembers also have the opportunity to participate in field trips and educational outings. Last year students took a field trip to the Museum of Tolerance in Los Angeles, connecting them to history and fostering compassion for all people. The OCCC brings Corpsmembers to the California Workforce Association's annual Youth Conference, where they meet local and state leaders in workforce development, take part in career exploration, participate in workshops and peer mentoring, and network with a wide variety of professionals and leaders. The OCCC will continue to offer civic education opportunities like this for WIOA and non-WIOA youth in orderto develop community engagement. The OCCC already promotes civic engagement in its Corpsmembers through participation in community events. This year some of our youth assisted in hosting the Children's Water Education Festival held at the University of California, Irvine, The OCCC Corpsmembers operated the recycling stations throughout the festival, teaching children what to recycle and compost. They were able to empower other youth in our community to be environmentally conscious and learned important hands-on leadership skills. Through OCCC projects, Corpsmembers have a large community impact. Recently, through the Adopt -a -Channel project in association with Disneyland Resort, they have met important community leaders and contributed to removing over 5,000 pounds of debris and abatement of over 15,000 square feet of graffiti. Through the Sheriffs Department, Corpsmembers take pictures of the graffiti before its removal to help the Sheriffs Department record graffiti marks. This highly important project is environmentally beneficial in protecting our ocean and keeping our beaches clean. The OCCC will also be supporting Santa Ana River Conservancy, which will involve the restoration of the Santa Ana River, providing needed recreational opportunities, water quality protection, and land restoration to the Santa Ana community. The OCCC also has a partnership with local social enterprise Monkey Business Cafe as well as the Fullerton Arboretum in their "Farm to Table" program. Corpsmembers obtain externships through this partnership, in which they alternate growing produce on the arboretum's farm and cooking the harvest in the kitchen of the Monkey Business Cafe. This enriches the community and brings a stronger connection to the Earth for Corpsmembers and cafe patrons alike. Every year, three or four Corpsmembers, the CEO, and the Program Manager go to Sacramento for the California Association of Local Conservation Corps (CALCC) and California Conservation Crops, Government Education Day. They meet with senators and assembly members, tour the Capitol, participated in educational activities like develop a mock state budget, and learned about California's government. They have the opportunity to engage with Corpsmembers from other conservation corps around the state and observed our state government at work. OCCC has for the last three elections served as a polling place at our Charter School site and utilized Corpsmembers as volunteers which provided experience and education concerning the voting process. OCCC also offers assistance to participants in enrollment in selective service and voter registration. Often times our participants are called for jury duty but have no idea of what to do, we assist them in the process. EXHIBIT A 25B-128 OCCC has a strong commitment to civic service. "Serve" is a foundation concept in OCCC's mission. Participants' time at the OCCC is largely spent serving their communities. OCCC projects and on-the-job training opportunities cover Orange County: aiding recycling efforts, restoring its native habitats, protecting water supplies, and working on fee for service projects throughout the county. Corpsmembers and students leave the OCCC program with an understanding of our natural resources and why we must preserve them. B. Indicate the number of youth that will participate in the civic engagement or leadership development opportunity. These opportunities will be open to all OCCC students and Corpsmembers. In addition, the OCCC will collaborate with other Santa Ana Youth Service Provider Network organizations to engage additional youth. C. Special consideration for organizations that can leverage funds to provide services to non- WIOA youth participants. All services are open to 18 to 25 year old regardless of WIQA participation. 12. Supportive Services A. Will your organization provide supportive services to youth such as gas cards, bus passes, childcare assistance, etc., please describe WIOA participants receive monthly transportation assistance in the form of bus passes or gas cards to help them get to interviews and jobs. When transportation is not possible by bus then it will be provided by OCCC to assist the participant in maintaining employment. OCCC also provides interview attire, work uniforms, advanced training and certificates. Participants can receive many of these services even after they complete the OCCC program. WIQA Corpsmembers will also have access to a full time Placement Specialist who will assist with the placement of WIOA Corpsmembers after their work experience is completed. OCCC is now approved to provide a free daily lunch program for participants starting in the fall of 2015. Childcare is provided by onsite volunteers during school or workshop trainings. B. Include Supportive Service Policy Attachment G See attached Supportive Service Policy 13. Incentives A. Will your organization provide incentives to youth for accomplishing program benchmarks or personal goals? If so, please describe Yes, OCCC provides incentives to youth in the program from the onset of completing orientation throughout program service and at completion of service. Please see attachment H for a complete list of incentives EXHIBIT A 25B-129 B. include the Incentive Policy as Attachment H. See attached Incentive Policy Attachment H. 14 Follow -Up Services A. Elaborate on the type of services that will be provided to youth during each quarter during the 12 month follow-up period. Case Managers continue to provide referrals, bridge community resources as needed and all of our other support services, Case Managers will continue to assess exited participant success and identify barriers that may require assistance in order to maintain retention of employment or continued education. B. Describe if your organization will provide case management, job retention services, mentoring and ensure the participants attains their goals. Case management will continue to be provided to ensure challenges are identified and services implemented for job retention. Mentoring and tutoring will also be provided as needed to ensure goals are achieved. C. Describe how your organization will ensure that youth meet the performance indicators during the follow-up period. Case managers keep contact logs on exited participants and file monthly reports and quarter reports on status, barriers identified and individual progress. Case Managers also during the follow-up period are sources of encouragement for the participant to seek higher education or develop new attainable goals for continued success. Documentation to provide evidence of performance includes but is not limited to: pay stubs, direct contact with employers, participant probation or employment reviews. Communication is a key component to the follow-up services and consistent reminders that OCCC support services will continue to be available to assist with needs. D. Describe if your organization will provide youth with incentives or supportive services during follow-up to assist youth retention. Santa Ana WIOA participants will receive follow-up services for twelve months after they finish the program. Their case manager will contact them once a month or more, as needed. They can receive monthly transportation services: a bus pass or gas card. They will receive job leads from both their case manager and the Corps -to -Career Specialist, as well as resume help and other work readiness assistance. They are eligible for help with interview outfits and/or work uniforms. In addition OCCC will also refer those who qualify to the Americorps scholarship program. The OCCC will also refer them to other organizations for additional services. E. How often will the youth be engaged or receive services during the follow-up period. EXHIBIT A 25B-130 At a minimum our case managers make contact monthly but are available on an as needed basis. 15. WIOA Performance Indicators A. Include a flow chart or visual aid or brief explanation of how your organization will meet the following WIOA Performance Indicators: See the attached flow chart immediately following the narrative to the questions below. Percent of participants who are in education or training or unsubsidized employment during the 2"d quarter after exit. Participants will complete objective assessments in work readiness, skill assessments and career exploration in the beginning of the program. Work readiness workshops that will cover topics such as work ethic, job retention, conflict resolution, and college success will be offered to participants throughout the program. 2. Percent of participants who are in education or training or unsubsidized employment during the 4th quarter after exit. In addition to the objectives assessments and workshops offered throughout the program, follow up services will include transportation assistance in the form of bus passes and gas cards in order to have reliable transportation to work and or school. These services will help ensure that participants are entering into employment/education and are able to remain employed and stay in school. Document the median earnings of participants in unsubsidized employment during the 2"d quarter after exit. Paycheck stubs are collected from the participants in order to have an accurate record of participants' earnings. 4. Percent of participants who obtain recognized postsecondary credential or secondary diploma during participation or within 1 year after exit. Participants will obtain credentials that lead to employment that is in demand, Examples of credentials that will be offered are high school diplomas, forklift license, food handler's license, security guard card and customer service. Participants will be connected to institutions that offer these credentials. 5. Percent of participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment AND who are achieving measurable skills gains. Participants will be enrolled in training programs for credentials that lead to in demand jobs. Skills will be assessed during program participation by the WEX supervisor and case manager. EXHIBIT A 25B-131 6. Effectiveness in serving employers Participants placed with employers for WEX will be prescreened based on employers' standards and expectations. All participants will also have participated in work readiness workshops prior to WEX placement. Follow up with employers will take place regularly in order to assist the employer with any additional training or skills needed for the participant to be successful during the program. 16, Prior Outcomes A. If your organization was previously awarded a WIOA contract through the Santa Ana Workforce Investment Board, OC Workforce Investment Board or Anaheim Workforce Investment Board please disclose your organization's past performance outcomes for the past 1-2 years from each WIB if applicable: V 3 `da'bx re ,� " +� /✓ a a'TMfOr", °„ }; orrrtanc,ytcons 4 43 su 5arttaAn N%a rant h ;tC ti , ,a 1.G1 A 4 �COIVIIV�ON�)Yl ASURES 01� Sf 'Mq',45 2' a n• N{ W 9 ,� .f, A 94Yr 0,G5tld}rsel`FH i*kf tfti!xA Y" LAy 4�nL} t'!-,4451¢ Wv.'t} wU "v�+'i of%.µ 4Y ➢Ak3 sY tv.�rn y Yyy 4( i? ��?��n3 .,Lc�.3cr:<q' t7 �;.r,. 3, yY a�� ii �(Expmple �,S a,-.�l.$,r, a'33/o�.-' e.��ExdlYlpae �� G�.�sa Increased Literacy/Numeracy Skills 21 22 = 95 % Skills 23 24 = 96 % 115 154 = 75 % Entered Employment or Post- 9 + 22 = 41 % Secondary Attained 6 14 = 43 % Attained Credential/Diploma/Certificate 1o1 + 133 = 76 % Credential/Diploma/Certificate 18 + 20 = 90 % 13 : 20 = 65 % Perfphmance uottes vUlB bAll (OC granfi) COMMON M�MURI r, 5a A 2`0,12 L h 2 13 n 4y, J66 Increased Literacy/Numeracy 64 + 97 = % Skills 64 + 106 = 60 Vo Entered Employment or Post- 115 154 = 75 % Secondary 104 + 154 = 68 % Attained Credential/Diploma/Certificate 1o1 + 133 = 76 % 97 + 123 — 79 % EXHIBIT A 25B-132 e„rfo»> g ut# es to1 .19 M, I y+,pufCNre�'��'��"/{�MJ 4'�vM�'vrC+ho Sm'M auripre( . vX•xrWa'S” .P.^• M..' Increased Literacy/Numeracy 25 28 _ 89 %" Skills 21 22 = 95 % Entered Employment or Post- 4 11 = 36 % Secondary 9 16 = 56 % Attained Credential/Diploma/Certificate 3 — 3 = 100 % 1 12 = 13 = 92 % 17. Fiscal Competency A. Describe the process used to capture and report fiscal data. The OCCC is regularly monitored and audited by all funding agencies to assure compliance with grant budgetary and expenditure requirements, as well as having an annual independent audit by an outside CPA firm. Over the past five years, the OCCC has consistently received unqualified opinions on all of our annual audits conducted by an independent CPA firm. With multiple revenue streams (federal, state, and local), the OCCC utilizes fund accounting to allocate, capture, and report fiscal data. Fund accounting allows expenses to be tracked and allocated to individual funding sources using a specific fund account and project code(s) for that fund account. The Santa Ana WIOA contract will be assigned a specific fund number and a specific project code. All allowable expenses will be tracked using the assigned project code(s). Direct program costs such as staff time, WIOA participants' salary, employer taxes, and other expenses will be tracked using the appropriate fund and project code(s) on time sheets. We have dedicated accounting software MIP500, timekeeping software NovaTime 3000, and payroll system M3 to manage our fiscal responsibility. We also have several customized program/grant-specific databases (such as the Virtual One Stop system), ClientTrack on-line database, internally developed forms and custom databases to track a wide variety of program and grant outcomes, are utilized, OCCC reports fiscal data to the OCCC's Board of Directors on a monthly basis and invoices contracts on a monthly basis. The OCCC ensures accountability and that expenditures are appropriate and planned. In order for staff to submit a purchase request, it must first be determined that the purchase is within budget and which appropriate fund will be charged for the purchase. All budgets and line item accounts are tracked and maintained on a monthly basis for all OCCC contracts/grants/departments. All purchase requests are reviewed by the Chief financial Officer before payment is made. Any Purchase Request that appears to be over budget or not planned will be flagged by the Chief Financial Officer and reviewed by the Chief Executive Officer for final disposition. The Chief Financial Officer reviews monthly financials with the entire management team and with the Board of Directors. EXHIBIT A 25B-133 OCCC invoices between the 20th and the 30th of each month for services provided in the previous month. Invoices are prepared by the Chief Financial Officer and approved by the Chief Executive Officer. All invoices are accompanied with proper supporting documentation. Once all costs for the month have been entered, an invoice is prepared along with all supporting documentation. B. Attach a copy of the organization's procurement policies and procedures, Attachment I. See attachment procurement policies and procedures. C. What systems are used to ensure fiscal accountability, appropriate expenditures, and planned costs? The OCCC uses MIP500 accounting software to track all our expenditure and planned costs. This grant will be assigned a unique fund number to track all financially related information. In addition to the accounting software, the OCCC also uses an Excel spreadsheet to track and present information to appropriate party. Also built into our operation is the multi -layered approval process for any expenditure incurred. Financial reports are reviewed monthly to ensure we stay in expenditure compliance and within planned costs. D. Describe invoicing process and list qualifications of staff assigned to task. invoices are prepared on a monthly basis by the Chief Financial Officer and approved by the Chief Executive Officer. Financial reports are generated out of MIP500 and then translated onto an Excel spreadsheet and formatted as required for the invoice. Supporting documentation is then gathered to support the invoice. The CFO has a Bachelor of Science degree in Business Administration; option in Accounting and minored in Economics; a Master of Business Administration emphasis in Finance and over 16 years of managing non-profit grants. The CFO has direct experience with the SAWIOA grant for the past 7 years. E. Describe how your organization's financial stability is not dependent on WIOA funds. The OCCC is well diversified in our funding base. The OCCC has an operating budget of more than $4.3 mil and more than 8 different sources of funding to ensure the overall operation will not suffer should we lose any single funding source or dependent of WIOA funding. The OCCC has and continues to work with our existing funders while continuing to explore funding opportunities, as we see an urgent need for our services. F. Identify the percentage of budget that will go directly to youth (i.e.: work experience payments, direct training, supportive services, incentives, etc.) versus the percentage of overhead and administrative costs. (ex: 50% of budget will be directly spent on youth in the form of work experience and training, etc.). EXHIBIT A 25B-134 A total of 93% will go directly to the youth in the form of wages, taxes, and benefits, supportive services, incentives, training, and project transportation, Specifically, 40% of the budget will go to participant wages, taxes, and benefits, 53% will be directed toward their training and case management with a remaining 7% as budgeted overhead. G. Submit most recent 2 years of audited financial statements as Attachment T & U with the Audited Financial Statement Form signed (Attachment S). See attached financial statements 18. Additional Attachments You may include additional documents such as flyers, brochures, training descriptions, and/or testimonials that support your proposal and/or further describe the program, as Attachment W. See attached agency brochures, organization chart, Board of Directors list, recruitment flyer and participant email. EXHIBIT A 25B-135 YSPN MEMBER PERFORMANCE PLAN 2017-2018 Orange_County Conservation Corps WIOA YOUTH POPULATION Youth Population Ages # of Youth to be Served - In -School 16-18 9 Out -of -School (BO%minimum) 16-24 20 - - TOTAL NUMBER OF YOUTH TO BE SERVED $40,000 PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 100Y. OF YOUTH MUST BE ENROLLED BY 2N° QUARTER -DECEMBER 31, 2017) # of Enrollments Quarter Estimated Expenditures per Quarter perQuarter, , 9 $35,000 2" -'(100% Enrollment Required)_ 11 $35,000 _ g`. $40,000 4` $50,000 TOTAL $160,000 wWrrr�r� 14 WIOA ELEMENTS PERFORMANCE MEASURES mark a "x" next to the elements provided In your program July 1, 2017 -June 30, 2018 (Projected Benchmarks sub'ect to change) X 1. Tutoring, study skills training, dropout prevention 1. % of Participants who are In education/training, strategies or in unsubsidized employment during the 2nd quarter after exit X 2. Alternative secondary school services or dropout recovery Benchmark: 66% X 3. Paid & unpaid work experience that have academic _ 2, Vo of Participants who are in education/training, and occupational components, which may include: or In unsubsidized employment during the 4°h summer employment, pre -apprenticeship, internships quarter after exit & job -shadowing, or On -the -Job training (20% of Benchmark: 68% funds must be used for this element) X 4. Occupational skills training—priority for recognized S. The median earnings of Participants In credentials aligned with sectors in -demand unsubsidized employment during the 20d quarter after exit Benchmark: Pending* *Pending further State and Federal guidance. X S. Education offered concurrently with workforce 4. % of participants who, during the program, are in preparation activities education or training that leads to a recognized postsecondary credential or employment AND who X 6. Leadership development -community service & peer centered activities are achieving measurable skill gains Benchmark: Pending* *Pending further State and Federal guidance. X 7. Supportive Services X 8. Adult mentoring X 9, Follow-up services for not less than 12 months after 6. Yo of Participants who obtain a recognized exit (required) postsecondary credential or secondary diploma during participation OR within 1 year after exit X 10. Comprehensive guidance & counseling drug & alcohol, etc. Benchmark: 58% X 11. Financial literacy 7. Effectiveness In serving employers Benchmark: Pendine* X 12, Entrepreneurial skills training X 13, Labor marker Information -career awareness and exploration *Pending further State and Federai guldonce, X 14. Activities to help youth prepare for and transition to postsecondary education EXHIBIT 3 25B-136 COMPLAINT HANDLING UNDER THE WORKFORCE DEVLEOPMENT ACT SANTA ANA 1 i • Santa Ana Local Workforce Development Area Revised May 1, 2017 EXHIBIT C 25B-137 Table of Contents I. Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints -3 1. Policy 2. Civil Rig rd 3. Nondiscrimination laws under WIOA 4 4. How to File Your Comp B. Criminal Complaints 6 Il. General Procedures for Handling Non -Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWDA Level 8 IV, Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants, 15 VI. Procedures for Handling Handicap Complaints by Participants 17 GLOSSARY OF WIOA TERMS 2 EXHIBIT C 25B-138 Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WICA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIOA, all contractors in the Santa Ana LWDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2014 In keeping with our commitment, no Individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. T- Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs. This means that —for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Pair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Aqe Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40-70. The Rehabilitation Act of 1973 EXHIBIT C 25B-140 Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No. 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to (File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with; 25B-141 Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The WIOA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is stili unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you, It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 at seq.) at the State and LWDA level for the EXHIBIT C 25B-142 receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements underthe Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the W ICA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: 1. All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for-profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. M I A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant as defined herein. 5. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the WIOA regulations found at 20 CPR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving Issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information; a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; EXHIBIT C 25B-144 d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint, Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5348 EXHIBIT C 25B-145 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer, 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. so EXHIBIT C 25B-146 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he/she so desires. Other he/she is limited to his/her own abilities and those to the hearing officer in obtaining testimony in the case, 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited, 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence, 8, The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. & A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. az 290--147 D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for-profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: 1. Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CFR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record iz EXHIBIT C 25B-148 established at the LWDA level and shall issue a decision based on the information contained therein, Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint, 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c, A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWDA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level 13 299'U9 If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWDA b. Name, address, and telephone number of the LWDA C. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. 14 EXHIBIT C 25B-150 Decisions issued by this panel, under the authority of the Governor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section II (A). is 2581191 No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision should have been issued. Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LWDAs Informal Resolution Process Unsatisfactory Decision or LWDA Decision not issued within 60 days Request for State Review Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 15 EXHIBIT C 25B-152 4 O k 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing, 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5157 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level 1, The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference, 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. v EXHIBIT C 25B-153 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. 3, The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 EXHIBIT C 25B-154 No later than 180 days of alleged discrtminatlon Filed within 30 days of LWDA/State Decision or 90 days from date of initlal filing of complaints Filing of complaint on the basis Of Handicap with LWDA Informal Resolution If no resolution reached Request for Hearing Notice of Hearing Hearing Conducted LWDA Decision Unsatisfactory Decision or No Decision State Review Governor's Decision Appeal to Assistant Secretary Department of Labor 19 EXHIBIT C 25B-155 Day 1 Day /4S Day 60 Days GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP) COMPLAINANT, GRIEVANT OR AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . HANDICAPPED INDIVIDUAL — Any individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. INTAKE -- Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT -- A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual joint complaints" are normally investigated by EEOC 20 EXHIBIT C 25B-156 unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who Is receiving subsidized employment, training or services (except post -termination services) funded under the Act, following intake, except for an individual who receives only outreach and/or intake and assessment services. zl 2Bi1 97 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers (including 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 transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. Grantee/Contractor Organization Program Title Signature Date of Certifying Official Signature EXHIBIT D 25B-158 Certification Regarding Drug -Free Workplace Reguirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug-free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug-free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an EXHIBIT E 25B-159 employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of Performance" form. Date Katharyn Bandoni Orange County Conservation Corps EXHIBIT E 25B-160 DIVISION OF EMPLOYMENT SERVICES FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS Name: Orange County Conservation Corps WIOA Youth Program Name of Contractor: Orange County Conservation Corps Contractor Number: A -2017 - Date: July 1, 2017 - June 30, 2018 The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 1853 Raymond Avenue, Anaheim CA 92801 Address EXHIBIT E 25B-161 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160-19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and Its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by anyfederal department or agency; b. Have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three-year period preceding this application/proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Orange County Conservation Corps Grantee/Contractor Organization Katharvn Muniz Bandoni, Executive Director Name and Title of Official Authorized to Certify Signature of Official Authorized to Certify Date EXHIBIT F 25B-162 INSTRUCTION FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective recipient of Federal assistance funds is providing the certification as 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 recipient of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous whom submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction", "debarment", "suspended", "ineligible", "lower tier covered transaction", "participant", "person", "primary covered transaction", "principle", "proposal", and "voluntarily excluded", as used in this cause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to whom this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective recipient of Federal assistance funds agrees by submitting this proposal 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 debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of Federal assistance funds agrees by submitting this proposal, that it will include the clause title "Certification Regarding Debarment, Suspension, Ineligible, or voluntarily excluded from the covered transaction unless it knows that the certification is erroneous. 7. Nothing contained in the foregoing shall be construed to require establishment of a system of records in orderto render in good faith the certification required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 8. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lowertier covered transaction with a person who is suspended, debarred, ineligible, orvoluntary excluded from participation In this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. EXHIBIT F 25B-163 Orange County Conservation Corps Santa Ana Workforce Investment Board - The Youth Service Provider Network PY 201712018 ORANGE COUNTS' CONSERVATION CORPS BUDGET NARRATIVE Administrative Staff —.14 FTE — 6% of budget Administrative staff consists of 4 individuals holding various positions at the Corps. These positions are allocated and charged to this grant at various fractions of FTE totaling .14 FTE. Each of the respective staff is to perform various administrative functions including; leadership, general & financial management, payroll, Accounts Payable and office coordination. Administrative Staff Taxes and Benefits - 1% of budget Taxes and benefits include state unemployment at 6.2% of first $7,000 earned, 7.65% FICA and an allocated, % of respective health benefits cost, Program Staff —1.75 FTE — 43% of budget Program staff consists of 8 individuals of which 1 'Program Specialist will be exclusively dedicated to ensuring the programmatic success of the grant which inhales recruit, enroll youths and overall case management. Other progi<am supportive staffs are also involved to ensure the successful transition of the youths. Other program staff includes; Programs Manager is charged to provide overall leadership and management, Director of Operation is charged to oversee projects acquisition and project management, Project Manager is charged to coordinate projects, two Crew Supervisors for direct daily participants supervision and mentorship, Program Staff Taxes and Benefits —10% of budget These include taxes and fringe benefits associated with each staff and their corresponding percentage of time spent on fulfilling all progTammatic aspect of the grant, 6,21/0 for State Unemployment Insurance for first $7,000 earned, 7.65% for FICA slid an allocated % of respective health benefits cost for each associated staff. Project Transportation — 4°/4 of budget Project transportation includes vehicle, insurance, fuel, repair and maintenance. Costs ate allocated based on the number of participant hours on the grant compared to overall Corps total participants hours. These costs are allocated based on participants hours worked during the month in comparison to the overall Corps hours. Staff Training -.06% of budget Staff training includes direct cost associated directly with training and development staffs who are directly working on the grant, These costs include career development, workshop and conferences. EXHIBIT G 25B-164 Orange County Conservation Corps Santa Ana Workforce Investment Board - The Youth Service Provider Network pY 2017/2018 Participant Wages, Taxes and Benefits — 30% of budget Wages are paid directly to participants who earn a minimum of $10.50 per hour/$11 per hour effective January 1, 2018 and are scheduled to work up to 29 hours per week while enrolled in our program. Taxes and workers compensations are directly associated with participants wages and are paid by the Corps. 20 participants @12 weeks with up to 29 hours per week average @$10,50 per hour and @$11 per hour effective January 1, 2018. OCCC will match wages above budgeted wages to each participant to ensure better outcomes. Support Services — 51/0 of budget Supportive Services mainly include uniforms, bus passes and gas cards. Other supportive service may include hotel voucher, car repair, tattoo removal, dress for success, material and supply for certification training and any other related costs in helping the participants to successfully complete the program, There are 20 participants @$375 each,. Incentives — 2% budget Incentives are costs associated with prepaid cards given directly to the participants for successfully completing or accomplishing certain required or encouraged milestones. These include obtaining certification, earning a high school diploma and other milestones. "there are 20 participants @$150 each, Budget Summary Overall, 92% of the budget is budgeted toward programmatic expenses where over 40% directly benefiting the ,participants in forms of wages, benefits, incentives and supportive services. In addition to the budget, the Corps will also be leveraging approximately $149,855 of various costs associated with operating the program. These costs represent an additional 49% of our proposed budget for this program. Follow -rip Services — Follow-up services for 20 participants at overall cost of $200 each, a total of $4,000 which includes staff time and supportive services. Tracking OCCC uses finger biometric to track all participant hours in additional to daily field sign -in sheet, Time cards are generated bi-weekly and are signed off by participants with tine corresponding supervisor. Various labor distribution. reports are used to track participant hours and earnings, Incentives are requested through au incentive form with proper approval before incentives are distributed, Incentives report cavi be generated at will from our tracking database. EXHIBIT G 25B-165 Santa Ana Workforce Investmet BoardYouth Council Workforce Innovation & Opportunity Act Program Year 2017/2018 Budget Farm Orange County Conservation Corps Administrative Program Total W10A nt'finr.,:x''s Salaries (List titles and F'1'Es)* 9,9001 69,010 76,910 Benefits* 1,270 15,482 16,763 Total Personnel 11,170 84,492 95,663 O"ervtiri E`shses • ",, a, !u' Rent - Occupancy Related* Utilitles Phones Internet fees Parking fees Security Maintanance Insurance Equlpment rental fees* Vehicle lease charges (vehicles may not be purchased) Office expenses (consumables) Accounting Services Project Expenses Adminstrative Services Indirect costs (attach indirect cost rate plan*) Proresslonal Services - MarketinglMembership Finance Charges uu Staff training 100 100 Staff travol/mileage Participant Wages & Benefits* 46,6_67 46,667 Support services* � 7,500 7,600 Profit (for profits only) Other (I [at)* Incentives 3,000 3,000 Project Transportation 6,871 6,671 Charter School Total Operating Expenses 64,358 64,336 GRAND TOTAL (Total Personnel +Total Operating Expenses) $ 11,170 $ 148,830 $ 160,000 Follow-up Services (20 x $400) (staff time +fol up Svcs) Grand Total with Follow-up Services $ 11,170 $ 148,830 $ 160 000 Matohlln Kind 900 149,855 Santa Ana Workforce Invostmet BoardYouth Council OCCC Stag Salaries & Wages OCCC Workforce Innovation & Opportunity Act Taxes & Benefits $ Direct program Expenses Program Year 2017/2016 $ 23,434 OCCC Charter School $ 29,200 OCCC Expenses .$ WIOA Total OCCC Cash 81n kind OCCC Staff Wagos/Solorles $ 149,866 Amount Adminlstetiye Steif Chief Executive Officer 21900 Chief Financial Officer 2,600 Executive Assistant 2,100 Payroll Specialist 2,300 SubtotalAdmin Staff $ 9,900 Employer Taxes $ 757 Workers Compensation $ 99 Benefits $ 414 Subtotal Adneln Staff Taxes7Blneflts $ 1,270 Total Adminlstrative Personnel $ 11,170 Prouram Staff Programs Manager/Si Lead $ 2,500 WIOA Program Speclalist $ 34,400 CM Delopment Specialist $ 1,550 Director of Operations $ 2,850 Project Manager $ 2,510 Crow $uparvlsor $ 13,950 Crew Supervisor $ 9,600 Subtotal Program Staff $ 69,010 Employer Taxes $ 5,344 Workers Compensation $ 2,818 Benefits $ 7,320 Subtotal Program Staff Taxos/Beneffts $ 16,462 Total program Personnel $ 84,492 Program Expenses Project Transportation (vehicle, Insurance, fuel, repair & malnt) $ 6,871 $ 6,871 Staff Training $ 100 $ 100 Occupancy Related (rental. utilities, repair & molnt) $ $ - Corpsmember (CM) Expenses Average Total hrs/ WIOA CM Stipends Sof CIWs Hourly Rate CM Amount CMa (up to 29 hr/wk) 20 $10.50 to $11 2018 3,980 $ 39,836 Carryovers CMs'rotal Hours/Paid Work Experience 3,960 Employer Taxes $ 3,047 Workers Compensation $ 3,984 CM Wages and Benefits Total 20 $ 46,667 $ 46,867 Supportive Services/Uniforms/bus passes/gas cards/books/tuflon/others 20 $ 375 $ 7,500 $ 7,500 CM Incentives 20 $ 150 $ 3,000 $ 3,000 Subtotal Cms Expenses $ 64,338 Total WIA $ 160,000 COCO Match OCCC Stag Salaries & Wages $ 42,140 Taxes & Benefits $ 8,076 OCCC Match- Participant "ages &Benefits $ 23,434 OCCC Charter School $ 29,200 OCCC Expenses .$ 47,005 Total OCCC Cash 81n kind $ 149,866 25BE="?187 O b O O O O O O O O O O 9 O O OO W �'1 1/1 N M O U1 vl O 0� �O .-I M IX1 W Lfl h M vl ✓� V b' U W N hl hl N M NI N h M N N lO N U c UY O sl a W M fR 0 0 00c 0 0 O b O O m 0W 9 m m 8i S��� r. t+ d N N H 41 N N m N M W N O N QI e•I N 1� M m N N N U � Q w M N T LIN 25B-168 � o a o ,-i cY ri ri Fi r`i ui ri m m ¢ a, O_ o o� �0 00©rYi R00 tt0tt000C�� oa o oryN q' N m V N N tND N ri N N fll 0 a Na J a u V N U N N W co s I/l N �. VI U U IL a C O d w m U `—'.� Um N 0 �9 25B-168 � o a o ,-i cY ri ri Fi r`i ui ri m m ¢ a, O_ o o� �0 00©rYi R00 tt0tt000C�� oa o oryN q' N m V N N tND N ri N N fll 0 a Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Development Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected, Please initial each box. ❑ 1 am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. ❑ We are not currently on any Federal, State of California, or local Debarment list. ❑ We will provide records to show that we are fiscally solvent, if needed. ❑ We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIA funds will be used as required by law and contract, ❑ We have additional funding sources and will not be dependent on WIA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements, These include, but are not limited to: ❑ Records accurately reflect actual performance. ❑ Maintain record confidentiality, as required. ❑ Reporting financial, participant, and performance data, as required. ❑ Comply with State and Federal fiscal and program activity audits. ❑ Complying with Federal and State non-discrimination provisions. ❑ Meeting requirements of Section 504 of the Rehabilitation Act of 1973.. ❑ Meeting requirements of the American's with Disabilities Act of 1990. (submit completed survey) ❑ Meeting all applicable labor 'law, including Child. Labor Law standards. ❑ Agree to provide a drug free workplace. F„] Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability Coverage in the amount of $1,000,000.00 policy, ❑ Agree to provide all participants with Grievance Procedures. ❑ Agree to insure proposer's employees through Workers Compensation Insurance (including part-time employees) ❑ Procurement policies and procedures are in place and meet federal guidelines, We will not: ❑ Place a youth in a. position that will displace a current employee. ❑ Use WIA money to assist, promote, or deter union organizing. ❑ Use fiords to employ or train of persons in sectarian activities. ❑ Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. ❑ Use WIA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. ❑ Use WIA funds to carry out programs funded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate tinder WIA. ❑ Use WIA money raider this contract to purchase any equipment, I hereby assure that all of the above are true. Name Title Date EXHIBIT H 25B-169 ADDITIONAL INSURED ENDORSEMENT Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702; its officers, employees, agents and volunteers are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this Insurance shall not be canceled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective , this endorsement form as a part of Policy # Issued to Named Insured Countersigned by EXHIBIT I 25B-170 Authorized Representative Exhibit 3 MEMORANDUM OF UNDERSTANDING UNDER THE WORKFORCE INNOVATION AND OPPORTUNITY ACT THIS SUBAWARD AGREEMENT, made and entered into this I" day of July, 2017, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("CITY") and the City of Santa Ana/Santa Ana Public Library, identified by the assigned Data Universal Numbering System (DUNS) Number 08-3153247 ("SUBRECIPIENT"). RECITALS: A. CITY has been designated a Local Workforce Development Area (LWDA) under the Workforce Innovation and Opportunity Act of 2014, Public Law 1-113-128 ("the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.259 and Federal Award Identification Number (FAN) AA253421455A6, B. The State of California has created the LWDA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWDA, CITY is entitled to receive federal funds to establish programs to increase the employment, retention and earnings of Participants, and increase occupational skill attainment by Participants, and as a result, improve the quality of the workforce, reduce welfar, dependency, and enhance the productivity and competitiveness of the nation ("said program") D. SUBRECIPIENT is experienced in operating workforce development programs for at -risk youth that provide preparation for secondary and post -secondary education, occupational training, and employment skills for entry into the labor market. E. SUBRECIPIENT is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. SUBRECIPIENT'S OBLIGATIONS A. SUBRECIPIENT agrees to provide the following services pursuant to said program, as more specifically set forth in SUBRECIPIENT'S Program Narrative contained in "Exhibit A", as required to be responsive to the Federal Funding Accountability and Transparency Act (FFATA) per 2 CPR §200,33 1 (a)(1)(ix), and in the Performance Indicators contained in "Exhibit II", per 2 CFR §200.331(d) and 2 CFR §200.328, both attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to provide said services may be grounds for CITY to readjust the level of payment to SUBRECIPIENT otherwise provided for hereinafter. 25B-1 71 Page l of 17 B. SUBRECIPIENT agrees to provide benefits to individuals who participate in the activities and services fitnded by this Agreement ("Participants") in accordance with the standards and requirements set forth in the Act. C. SUBRECIPIENT agrees to perform the services set forth herein in a professional, timely and diligent manner. D. SUBRECIPIENT shall provide wages and benefits Participants in accordance with the standards and requirements of the Art, including Section 181 of the Act. E. SUBRECIPIENT shall adhere to the Labor Standards described in the Act, including Section 181 of the Act. F. SUBRECIPIENT agrees to comply with the "Complaint Handling Procedures Under the WIOA", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR 683.600. SUBRECIPIENT shall advise Participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shalt be binding and followed by SUBRECIPIENT. SUBRECIPIENTS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance tinder the Act to SUBRECIPIENT from CITY, SUBRECIPIENT assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fitlly with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E,O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Art of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Parts 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. SUBRECIPIENT agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. SUBRECIPIENT agrees to the following accounting, monitoring, auditing, and review requirements; 1. SUBRECIPIENT agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of SUBRECIPIENT'S services or activities, costs or other data, including but not limited to, Participants' attendance, payroll records and job duty statements. 25B-172 Page 2 of 17 2, SUBRECIPIENT agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 completed Workforce Innovation and Opportunity Act Application form and supporting documents; a complete Workforce Innovation and Opportunity Act Enrollment; any subsequent updates; Workforce Innovation and Opportunity Act Youth Test Scores form; Workforce Innovation and Opportunity Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Innovation and Opportunity Act Follow -Up form within 20 days following 30, 60, 90,180, 270, and 360 days of exit. SUBRECIPIENT agrees to enter information on the State of California's CalJobs database system as instructed and requested by the Santa Ana Work Center Administration. 3. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of SUBRECIPIENT'S activities, performance, books, documents, papers, and records of SUBRECIPIENT SUBRECIPIENTs, bookkeepers and accountants, and employees and Participants related to this Agreement. Such agencies or representatives shall also schedule on- site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and Participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of SUBRECIPIENT are kept (2 CFR §200.330). Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 4. In the event SUBRECIPIENT does not make the above -referenced documents available within the City of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained, 5. All accounting records and evidence pertaining to all costs of SUBRECIPIENT and all documents related to this Agreement shall be kept available at the location where SUBRECIPIENT conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions, J. Without prejudice to any other section of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it concerning Participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, SUBRECIPIENT agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. K. SUBRECIPIENT agrees to complete a monthly Invoice form showing in detail the amount of money already expended by SUBRECIPIENT hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation as invoices, bills, 25B-173 Page 3 of 17 statements, proof of payment, such as cancelled checks, payment continuations, account statements, paid bills, payroll records, time and attendance records, and contract and subgrant award documents(2 CFR §200.101(b)(2)). SUBRECIPIENT agrees to submit the above -stated documents to the WDB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which SUBRECIPIENT'S services are performed. Should SUBRECIPIENT fail to deliver said documents to CITY within thirty (30) days of said deadline, CITY shall provide SUBRECIPIENT with written notice of such deficiency. If said deficiency is not corrected within thirty (30) days of mailing such written notice, CITY shall have the option to deobligate SUBRECIPIENT's Rinds and cancel this Agreement by giving SUBRECIPIENT ten (10) days written notice thereof. SUBRECIPIENT shall either return to the CITY excess revenues over costs or use such excess revenues as program income for additional training activities authorized under the Act. L. SUBRECIPIENT agrees to expend all Rinds in accordance with all applicable federal, state and local laws and regulations. SUBRECIPIENT also agrees to provide, at SUBRECIPIENT'S own expense, supplies and other costs of said PROGRAM. M. SUBRECIPIENT shall arrange independently for an audit that includes WIOA funds received from CITY, in accordance with the Act, 2 CFR 200.500. SUBRECIPIENT shall submit one original of each required audit report to CITY within thirty (30) days after the date received by SUBRECIPIENT. Should SUBRECIPIENT fail to comply with these requirements, CITY may, at its option, withhold payment of funds, disallow fiords, or suspend additional grant funds. N. SUBRECIPIENT shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. SUBRECIPIENT shall comply with the provisions of Circular A-102 of the U.S. Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Govermnent", Subpart C, paragraphs 37 and 42, Circular A-12$, and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. SUBRECIPIENT shall comply with the requirements of federal regulations found at 29 CFR Part 93, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay ally person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any stuns to SUBRECIPIENT under the terms and conditions of this Agreement. Q. SUBRECIPIENT agrees to provide a dnig-free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. 25B-174 Page of 17 R. SUBRECIPIENT, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. SUBRECIPIENT agrees to comply with all applicable provisions of the Act, and all applicable federal regulations, including, but not limited to, the Code of Federal Regulations, Subtitle A—Office of Management and Budget Guidance for Grants and Agreements, as well as all applicable state and local regulations. T. SUBRECIPIENT agrees to remain in compliance with the Certification Regarding Debarment (46Exhibit F"), as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CFR Part 180). U. SUBRECIPIENT agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008, V. SUBRECIPIENT acknowledges that the official naive for the statewide system of providing employment and training through the WIOA partnerships and various other local programs is "America's Job Center % To achieve the goals of this grant, it is important that the public has a quick and, easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". SUBRECIPIENT agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such, use, on all public materials, such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIOA funds. When the America's Job Center logo is used, SUBRECIPIENT may accompany it with the following statement, "The (Program. Name) is a proud partner of the America's Job Center network". SUBRECIPIENT shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. On February 8, 2017, the CITY was awarded $988,857 in youth funds under the Act for fiscal year 2017-2018 from the Department of Labor, Employment and Training Administration. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal finds are received under the provisions of the Act a sum not to exceed $160,000 for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit G" and incorporated herein by reference, during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. 25B-175 Page 5 of 17 B. Pursuant to 2 CFR §200.331(a)(4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized indirect cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no such rate exists, either a rate negotiated between the CITY and the SUBRECIPIENT, or a de minimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. C. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. D. CITY agrees to provide for on-site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. E. CITY has the right to de -obligate the funds hereunder, and take such funding back from SUBRECIPIENT, due to any of the following reasons: (a) lack of performance by SUBRECIPIENT; (b) lack of fiscal accountability of SUBRECIPIENT; or (c) decrease in available funding. III. TERM OF AGREEMENT A. This Agreement shall commence on July 1, 2017, and all duties arising under this Agreement shall have been performed by June 30, 2018. The Term of this Agreement may be extended by a writing executed by the City Manager and the City Attorney. SUBRECIPIENT acknowledges and agrees that it must provide follow-up services for one (1) year after the Term, whether funded or not. B. SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR §200.343, including the following: 1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMB Circular A-129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal hands or received from the Federal government in accordance with 2 CFR §§200.31.0-200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. 258-176 Page 6 of 17 IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City, This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant perforans the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. SUBRECIPIENT shall use appropriate funds received from CITY to provide workers' compensation to all those hired by SUBRECIPIENT under this Agreement. B. SUBRECIPIENT shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and SUBRECIPIENT maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that SUBRECIPIENT shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Indicators (Exhibit B) and general program requirements described in Sections 2 and 116 of the Act, and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement, Said applicable laws are hereby incorporated by reference and made part of this Agreement as though fully set forth herein. B. SUBRECIPIENT also assures and certifies that: 1. SUBRECIPIENT acknowledges and confirms that the U.S. Department of Labor has established six (6) performance indicators for youth: (a) Percent of Participants who are in education/training activities, or in unsubsidized employment during the 2'd quarter after exit; (b) Percent of Participants who are in education/training, or in unsubsidized employment during the 0' quarter after exit; (c) the median earnings of Participants in unsubsidized employment during the 2 d quarter after exit; (d) Percent of Participants who obtain recognized postsecondary credential or secondary diploma during participation or within I year after exit; (e) Percent of Participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment and who are achieving measurable skill gains; and, (f) effective in serving employers. SUBRECIPIENT agrees to implement and shall meet any additional performance indicators that may be subsequently required by the Workforce Innovation and Opportunity Act or by any other Federal, 25B-177 Page 7of17 State, and local law. 2. SUBRECIPIENT shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, requiring that no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. SUBRECIPIENT shall comply with any and all federal laws limiting the political activity of employees hired, under this Agreement, 4. SUBRECIPIENT shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. SUBRECIPIENT shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. SUBRECIPIENT shall maintain appropriate standards for health and safety in work and training situations. 8. SUBRECIPIENT shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit I3[" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by SUBRECIPIENT for the purpose of apprising businesses,, Participants, or the general public of its programs uurder this Agreement shall state that its programs are supported by the City of Santa. Ana and the Santa Aria Workforce Investment Board, and shall state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIOA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity, Pursuant to 29 CFR 37.35, SUBRECIPIENT must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. SUBRECIPIENT certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased trader this Agreement, will be disposed of in accordance with the direction of the CITY, In addition, any tools and/or equipment furnished to the SUBRECIPIENT by the CITY and/or purchased by the SUBRECIPIENT with funds pursuant to this 25B-1 78 Page 8 of 17 Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, SUBRECIPIENT will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 12. SUBRECIPIENT certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA, The SUBRECIPIENT will disclose to the CITY any invention, written product, or computer program developed, or data assembled, as a result of performance of work under this Agreement, within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by SUBRECIPIENT. Upon written request, SUBRECIPIENT will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work. under a U.S. Department of Labor (DOL) grant or agreement, the SUBRECIPIENT shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL, Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Governnent Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright- able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The SUBRECIPIENT and the Workforce Development Board (WDB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a SUBRECIPIENT purchases ownership with grant support; and, (c) SUBRECIPIENT shall comply with the requirements of 29 CFR Part 97.34. 258-179 Page of 17 C. nights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, SUBRECIPIENT must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the SUBRECIPIENT assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any connnunication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; and, (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations, 16. SUBRECIPIENT agrees to adhere to the following STANDARDS OF CONDUCT: a, General Assurance, Every reasonable course of action will be taken by SUBRECIPIENT in order to maintain th.e integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. SUBRECIPIENT, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain, b. Employment of Former State or CITY Employ. SUBRECIPIENT will ensure that any of its employees who were fonnerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of SUBRECIPIENT will receive favorable treatment when considered for enrollment in programs provided by, or employment with, SUBRECIPIENT. d. Conducting Business Involving Close personal Friends and Associates. Executives and employees of SUBRECIPIENT will be particularly aware of the varying degrees of influence that can be exerted by personal fxiends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for SUBRECIPIENT to conduct business with a friend or associate of an executive or employee of SUBRECIPIENT, an elected official in the area or a voting or non-voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. 25B-1 80 Page 10 of 17 e. Avoidance of Conflict of Economic Interest. No executive or employee of SUBRECIPIENT elected official in the area, or voting or non-voting member of a WDB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by SUBRECIPIENT or CITY, Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WDB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. f. Salary and Bonus Limitations. All Subrecipients of WIOA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. V1I. HOLD HARMLESS A. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation., workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of SUBRECIPIENT, its employees or subcontractors. B. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting frorn or arising out of the intentional or malicious acts of SUBRECIPIENT, its employees or subcontractors. VIII. INSURANCE L Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and SUBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement, Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence, with $2,000,000 in the aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY (in substantially the form as 258-181 Page 11 of 17 Exhibit I , Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self-insurance. 2. Automobile Liability Coverage, SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by SUBRECIPIENT employees or Participants in performance of this Agreement, or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees, Participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, Participants, or agents as self -certification of automobile insurance coverage. Goverranental entities may substitute a certificate of self-insurance. 3. Workers' Compensation, If SUBRECIPIENT is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes Participants as "employees," as set forth in California Labor Code Section 3350 et seq., SUBRECIPIENT shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by Participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. SUBRECIPIENT shall carry medical and accident insurance for those Participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage, SUBRECIPIENT shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECIPIENT in accordance with this Agreement, Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a. certificate of self-insurance, 5. Youth Protection, To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth Participants that are under the age of 18. 6. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPIENT understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATESTATUS All corporate SUBRECIPIENTs shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board or Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. 258-182 Page 12 of 17 X. ASSIGNABILITY None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY, SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. SUBRECIPIENT acknowledges and agrees that it must follow procurement regulations for SUBRECIPIENTs (2 CFR §200.317). No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, SUBRECIPIENT shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 2 CFR 200 and 20 CFR.. Parts 651 and 654 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, proeedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, SUBRECIPIENT will comply with such or will notify CITY after enactment or modification that it caimot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of SUBRECIPIENT by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. 258-183 Page 13 of 1.7 XIII. FRAUD SUBRECIPIENT shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt: of funds under this Agreement. XIV. CONTINGENCY OF FUNDS SUBRECIPIENT acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of fiords is not forthcoming, or is otherwise limited, CITY shall immediately notify SUBRECIPIENT, Within twenty (20) days of receipt of such notice, SUBRECIPIENT shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the. date of mailing. However, SUBRECIPIENT may not terminate this Agreement if undue hardship will result to any participant. B. In the event SUBRECIPIENT defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to SUBRECIPIENT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to SUBRECIPIENT. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from SUBRECIPIENT written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of 25B-1 84 Page 14 of 17 California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, SUBRECIPIENT shall act in accordance with CITY's decision unless the dispute involves a change order. XVII. BREACH -SANCTIONS If, tbrough any cause, SUBRECIPIENT violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by SUBRECIPIENT pursuant to this Agreement, or if SUBRECIPIENT reports inaccurately or if any Audit Report makes disallowances, SUBRECIPIENT shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of SUBRECIPIENT's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as SUBRECIPIENT fulfills its obligations or remedies all violations of this Agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice SUBRECIPIENT has failed to repay same or a repayment schedule has not been made; and/or (3) terniinate this Agreement by giving written notice to SUBRECIPIENT of such termination in accordance the notice provision in Paragraph XVIII herein below, XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WDB Administrative Office P.O. Box 1988 (M-76) Santa Ana, CA 92702 CLERK,: Cleric of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Tele£acsimile (714) 647-6956 SUBRECIPIENT: City of Santa Ana / Santa Ana Public Library 26 Civic Center Plaza, Santa Ana, CA 92702 Phone: (714) 647-5288 Fax: (714)647-6913 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total uriderstanding of the parties. There are no oral understandings of the parties or terns and conditions other than as 25B-185 Page 15 of 17 stated herein. XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement, XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and light to bind their respective parties to each of the terms of this Agreement, and shalt 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. 258-186 Page 16 of 17 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above -written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City BY: RECOMMENDED FOR APPROVAL: Robert C. Cortez Deputy City Manager "CITY" By: Cynthia J. Kurtz Interim City Manager "SUBRECIPIENT" BY: Name: Gerardo Monet Title: Executive Director Tax ID #; 95-6000785 25B-187 Page 17 of 17 Workforce Innovation & Opportunity Act Youth Program Provider 2017-2018, EXHIBIT A 25B-188 1. Experiences and Qualifications The Seeds to Trees Academy apprenticeship program will be operated by the Santa Ana Public Library in partnership with Santa Ana College. The experience and qualifications of both agencies will be described in this section, A. Briefly describe your organization- Santa Ana Public Library: The Santa Ana Public library (SAPL) is a division of the City of Santa Ana's Parks and Recreation Department (PRCSA). SAPL's purpose is to respond, to our community's informational, educational, and personal interest needs using books, materials, technology, and professional expertise. The library is subdivided into 4 primary departments: young adult services, adult services, youth services and technology and support services. B. & C. List the facility address and address of headquarters if different location. Please include mai or cross streets. Indicate hours of operation for facility. • The Santa Ana Public Library Main Branch located at 26 Civic Center Plaza, at the cross - streets of Civic Center and Ross in Santa Ana will be headquarters for the program. Hours: 10 am -9 pra Monday -Thursday and 10 am — 6 pm Friday and Saturday. Computer labs and classroom space available to students are located in the TeenSpace, the basement of the Main Library, and the Mezzanine. All three areas are wired for data transmission using the City's ptgic access nternet. • The Digital Media lab and Teen Center at Garfield Joint Use Community Center located at 850 Brown St. at the cross -streets of 4`' Street and Lacy, ;=lours: 3:00 p.m. -6:00 p.m, Monday -Friday. Facility is equipped with a digital media production studio and a classroom - structured computer lab utilizing state of the art Mac computers. • The TeenSpace at Jerome Recreation Center located at 726 S, Center Street, at the cross - streets of Center and McFadden. Hours: 3:00 pm — 8:00 pm Monday -Thursday and 3:00 pm - 6:00 pm Friday. • Roosevelt E -library: Scheduled to be completed February 2018 D. Briefly indicate what makes your facility youth friendly and suitable for the proposed program. All three locations offer young adults a designated, specially designed space for them to train, learn, work, relax, do homework and meet friends, and are ADA compliant, E. Provide brief information on the followhra elements: 1. Average annual operating budget and sources of revenue -- The Library's allocation of City General Fund monies for 2014-15 was $3,194,170, Other sources of revenue include a CDBG block grant of $250,000 to support homework Help Centers, We anticipate an equivalent CDBG grant for the 2015-2016 fiscal year and were recently awarded a $495,000 IMLS grant for history related programing. 2. Brief description of staff - The library employs 10 full-time librarians, 8 full-time paraprofessionals and 8 full-time clerical personnel, We currently employ 70 part time clerks and tutors in children's, teen and adult programs. Some of our part-timers are paid through the General Fund and others through various grants. Please refer to attachment W-2 for brief biographies of all TeenSpace staff who will participate in the Seeds to Trees Academy Program. EXHIBIT A 25B-189 3. Past experience with W1OA programs or other youth programs - The trained staff contributing to this project will be; Young Adult Principal Librarian, Technology and Support Principal Librarian, Lead Case Manager, Out of School Youth Assistant Caseworker, and an In - School Youth Assistant Caseworker, WIOA Program Cleric, lead Out -of -School Youth Sr. Tutor and lead In -School Youth Tutor, Assistant Librarian, Youth Services Technician and Library Operations Manager. The Young Adult Principal Librarian has been the project director for the past 4 iterations of the Seeds to Trees WIA program and will devote approximately half of her work time to guiding and overseeing the program. The Technology and Support; Principal Librarian is in charge of CTV-3 programming for the city and has been and will continue to be responsible for effective cooperation with Santa Ana College and its School of Continuing Education to insure that class schedules and locations, content and student monitoring are implemented and problems solved promptly. She also has had and will continue to have oversight of the work experience of the youth participants focused on CTV3 programming, coordinating frlrning, editing, and web content design through the efforts of her staff. Assistant Librarian Saidy Valdez will serve as Lead Caseworker overseeing the entire program. This will be her second year overseeing the program. An Out -Of -School Youth Assistant Caseworker, an In -School Youth Assistant Caseworker and a WIOA Program Cleric will be recruited and hired for the project. It is anticipated that priority hiring will be given to staff that have previous experience working with the Seeds to Trees WIA program at the library, Lead in -School Tutor and lead out-of-school Sr. Tutors will be drawn from current pool of staff. Additional current staff will have roles as tutors and project mentors. 4. What kind of impact has your organization made on the youth community? The library has maintained a high number of ongoing apprenticeship programs for teens, including a very intensive Summer Volunteer Institute (SVI) that encourages teens to find self worth and civic engagement though giving back to their community. In 2013-2014 the Young Adult department hosted 825 teen programs in which 3988 teens participated. That same year, the Young Adult department hosted 449 Buddy Programs in which both school -aged children and their teen mentors participated. The buddy programs had a total of 3,294 participants. The library's 350 volunteers completed 8,710 hours of volunteer work, and a majority of the hours were completed through the Young Adult department. At present, teens continue to volunteer through the school year in math, reading, fitness and art "Buddy" programs alined at young children. There are daily activities for teens at both library branches and the Jerome Recreation Center. Half of our part time staff are involved exclusively in assisting with these projects, and are experienced and committed to the growth and development of the young people they work with. The majority of teens hired through our grant programs have begun their contact with the library through the volunteer program, Our volunteers are mentored by staff and older teens and transition age young adults (18-24), and encouraged to develop personal and academic goals and an understanding of the importance of their work to themselves and others. The library has also been unusually effective in working with probation youth volunteers. Annually, forty to fifty probation youth complete their community service at the library. Ten to fifteen of those continue volunteering at Che library when their community service responsibilities are concluded. The TeenSpace program Circle of Mentoring is advised by the Teen Library Club. As a group, these teens have contributed many thousands of hours of community service to the library and to EXHIBIT A 25B-190 various civic engagement projects around the city. Ninety-eight percent have graduated from high school and 90 percent have gone on to higher education. These are teens that do not represent the top 10-20 percent of their high school class. They are not involved in student government or school activities. They are the quiet at -risk youth whom no one notices. But at our TeenSpace, they are noticed, nurtured and appreciated. In all of our youth -centered programs, two guiding principles have been primary: The Circle of Mentoring concept and its successor, the Seeds to Trees concept. The first emphasizes the value to both mentor and mentee of a close and lasting supportive relationship, and the second the value of providing long-term mentoring, ,teaching and financial support for developing youth, These principles are the basis of our success with WIA youth in our previous programs. All full- time employees at the library are involved in mentoring the students we employ under WIA, In collaboration, the efforts of staff members have produced notable successes, especially with WIA-mandated goals. The program has achieved full enrollment very early in the cycle for the previous and current WIA programs. In recent years, a total of sixty participants completed the first phase of the training successfully, and were awarded certificates from Rancho Santiago Community College District (RSCCD) testifying to their mastery of digital media preproduction skills. 29 (90%) of youth participants of the 2014-2015 program have successfully attained their Microsoft Office certifications and the remaining youth are currently working with their tutors to complete their certifications. 4 (100%) of our 2014-2015 out -o£ -school participants have been enrolled in Santa Ana College and are currently receiving training in Business and Digital Media. Participants have been able to take part in the RSCCD 'Young Entrepreneurs Program, which exposes youth to mechanisms and methods of increasing the marketability of their products and skills. In November of 2014 the TeenSpace Circle of Mentoring Program was recognized with an award from the President's Committee on the Arts and the Humanities (PCAH) which was presented by First Lady Michelle Obama at a ceremony at the White House, The award recognizes the country's best creative youth development programs for using engagement in the arts and the humanities to increase academic achievement, graduation rates, and college enrollment. The awardees—chosen from a pool of more than 350 nominations —are chosen for their impact on the youth of their community. A. Briefly describe your agency - Santa Ana College/ School of Continuing Education: Santa Ana College (SAC) has had a long history of serving Santa Ana youth. Santa Ana College was founded in 1915 as a department within Santa Ana High School. As such, the campus has focused on serving the youth of Santa Ana from its very inception. In 1947 Santa Ana College moved to a permanent cannpus at 17th and Bristol. It was the second junior college founded in Orange County and the fourth oldest in all of California. The college has evolved into one of the most energetic and fastest-growing comprehensive community colleges in the nation, currently serving 29,318 credit and non-credit students per semester. Santa Ana College provides a dynamic learning environment that prepares students for transfer to four-year institutions, careers and lifelong intellectual pursuits in a global community. The Middle College High School program provides college level instruction to high -school -aged youth. EXHIBIT A 25B-191 The Centennial Education Center operated by Santa Ana College is the only major Adult Education provider in the City of Santa Ana, The programs offered at Centennial Education Center are award winning, receiving 4 major awards in 2013 from agencies which include the California Department of Education. All programs and services offered at the Centennial Education Center are Tuition Free. SAC also provides access to the (DMC) Digital Media Center, a 28,000 -square -foot, innovative, state-of-the-art that features a business incubator for start-up companies, instructional space for SAC's digital media arts, TV/video production and digital music programs. The facility also houses a collection of business seminars related to the digital media and business industries. B & C List the facility address and address of headquarters if different location. Please include major cross streets Indicate hours of operation for facility. �1. Centennial Education Center - 2900 W Edinger Ave, Santa Ana, CA 9270, Cross Street Edinger and Fairview — Hours: Monday— Thursday 8:00 AM— 6:45 PM; Friday 8:OOAM — 4:30PM 2. Santa Ana. College Main Campus - 1530 W 17th St, Santa Ana, CA 92706, Cross Street 17« and Bristol — hours: Monday — Thursday 8:00 AM- 6:45 PM; Friday 8:OOAM — 4:30PM 3. Digital Media Center - 1300 S. Bristol Santa Ana, CA 92704 Cross Street Edinger and Bristol — Hours: Monday — Thursday 8:00 AM— 6:45 PM; Friday 8:OOAM — 4:30PM D Briefly indicate what makes your facility youth friendly and suitable for the proposed program. In 2002, voters approved a $337 million general obligation bond to renovate existing campus buildings and construct new classrooms for the RSCCD that provided improved facilities for SAC. ht November of 2012, additional fluids were provided to improve facilities at Santa Ana College. These improved and expanded facilities are now available to provide the best possible educational setting for the next generation of Santa Ana Youth, E. Provide brief information on the following elements: 1. Average annual operating budget and sources of revenue - A majority of the classes will be undertaken the (CEC) Centennial Education Center. Their annual budget is $13,662,882. These funds come from various state, county, and local, sources and are managed by Santa Ana College and the Ranch Santiago Community College District. 2. Brief description of staff - The Centennial Education Center has 5 administrators, 11 Full- time Faculty and Counselors, 297 part time faculty and counselors, along with 103 support staff. The management team is made up of Interim Vice President ,Tim Kennedy, Dean Nilo Lipiz, Dean Dr. Sergio Sotelo, Associate Dean Christine Kosko, and Associate Registrar Phuong Nguyen. 3. Past experience with WIOA programs or other youth programs - The Adult Education center has had a long history of serving nontraditional high school students of all ages. Their GED and high school diploma programs have been utilized by many members of the Santa Ana community. The faculty and staff are very experienced in helping nontraditional students reenroll into productive educational courses. The Adult Education Center will also have access to the resources that are typically made available to other incoming community college students. 4. What kind of impact your organization has made on the youth community? According to the US Census, 48% of adults over the age of 25 in Santa Ana (over 89,000 residents) do not EXHIBIT A 25B-192 have a High School Diploma or GED equivalent. Over 20% of households in the city do not have a member in the household over the age of 14 that can speak English fluently. The Continuing Education Center has answered these needs for the last 33 years by providing a place where students lacking a high school diploma could take the steps needed to complete their secondary education. Last year a total of 13,072 courses were completed by all students in the program. The Center served a total of 24,259 students enrolled in various programs. Of these, 4,558 were full-time equivalent students working towards a degree or credential. In addition, Centennial Education Center students earned over 1,400 state approved certificates in English as a second language and career and technical education programs. 2. Proposed Promram A. Provide an overview of the program's main objectives The "Seeds to Trees Academy: Digital Media Technology Institute" program developed by the Santa Ana Public Library in partnership with Santa Ana College (SAC) is a free comprehensive apprenticeship program comprised of paid training and work -experience consisting of student internships and externships for 22 youth ages 14-24 leading to certifications and college credit in the fields of digital media, business, and computer information technology. Of these 22 WIOA eligible student interns, 17 youth (80%) will be "Out -Of -School Youth" (ages 16-24) and 5 youth (25%) will be "In -School Youth" (ages 14-21). At least 4 (20%) will be foster or probation youth, youth with learning disabilities and/or youth who have dropped out of high school, In addition to the youth populations mentioned above, the program will be recruiting returning veterans who are out—of=school youth (18-24). The program is an evolutionary outgrowth of the library's previously successful WIA funded "Seeds to Trees Digital Media Technology" program that the library implemented successfully for 3 years in partnership with the Rancho Santiago Community College District's (RSCCD) Corporate Training Institute (CTI). This program was revamped for 2014-2015 by modifying the Seeds to Trees approachto include additional elements considered beneficial to the participants of the program. These additional elements are: 1) enrolling all participants in Santa Ana College and paid training leading to transferable college credit; 2) increased focus on work - experience internships and externships at local businesses and city departments leading to potential employment and; 3) a program element that introduces participants to post -secondary Massive Online Open Courses (MOOCs) in a structured staff/tutor led classroom setting. We will continue to focus on providing youth participants with these three additional elements for 2017-2018. (Please refer to attachment W3 for a farther explanation of MOOC' S) The program will provide participants with WIOA Elements 1-14. 1) The program will offer students tutoring, study skills training, and instruction leading to the completion of a high school diploma and post -secondary education readiness. 2) Students who are high school dropouts will have the opportunity to complete their high school diploma or attain their GED via programs provided by the SAC School of Continuing Education. 3) Students will have access to occupational skill training in clerical office skills, as well as media technology through Santa Ana College and its Continuing Education Center Program. 4 &5) Students will have work experience and on -the job training opportunities at the library creating design/content for various agency and affiliate web sites, producing videos for the city's CTV-3 BXIIIBIT A 25B-193 charaiel, and work experience at externship sites at local businesses and city departments. 6) During their work experience, the youth will operate in teams, where the need for teamwork will help them to develop an understanding of the importance of responsible behavior and an opportunity to display leadership. They will also participate in a Teen Community Leadership Institute program that will be coordinated by library's Youth Civic Engagement internship program. 7) Students will be provided with the educational materials and equipment required to successfully complete the program, as well as transportation to and from program sites from the library. 8) During the entire learning and working period, youth will be mentored and supported by adults and responsible young adults from the library and the College. 9) Follow-up services for a minimum of 12 months after program completion will be provided for youth to support educational and/or employment endeavors. 10) A Masters in Counseling intern and Doctor of Psychology skilled, in a variety of fields, including addiction and family counseling, will be available to students as needed to provide counseling and referral services. 11) All youth participants will be provided workshops that will train them in financial literacy, 12) in entrepreneurial skills training and, 13) in labor market information leading to career awareness and exploration. 14) Fieldtrips to post -secondary education institutions, enrollment in SAC study skills, business and/or digital media classes, one-on-one college counseling sessions and workshops , as well as Padres Promotores workshops for youth and parents of in -school youth will serve to help youth prepare for and transition to postsecondary education. Upon eligibility determination, all 22 participants will be streamed.into 3 program tracks. Trach 1: Out—oF-School Youth: Microsoft O cceAgplications certifications and Intermediate Digital Media Apprenticeships (9 participants; 300 hours ); Digital Media Arts 100 Course (3 Units): 56 hours, Video Production: 20 hours, One-on-one Educational Cormseling: 3 hours, MOOC's based certification trainings: 28 hours, Workshops, Field Trips, Trainings: 23 hours, Civic EngagementNolumteer projects: 20 hours ,Work -Experience Internship/ Extermships: 150 hours. Track 2. Out—of-School Youth: Microsoft O eeApplications certi,Ccations and Beginner Digital Media Apprenticeships (S participants; 250 hours ): Digital Media Arts 100 Course (3 Units): 56 hours, Video Production: 20 hours, One-on-one Educational Counseling: 3 hours, MOOC's based certification trainings: 28 hours, Workshops, Field Trips, Trainings: 23 hours , Civic Engagement/Volunteer projects: 20 hours ,Work -Experience Internship/ Externships: 100 hours Track 2: In -School Youth • Microsoft Office Applications certifications and Bezinner Digital Media Apprenticeships (5 participants• 150 hours ): Digital Media Arts 100 Course (3 Units): 56 hours, Video Production: 12 hours, MOOC's based certification trainings: 28 hours, Workshops, Field, Trips, Trainings: 12 hours, Civic Engagement/Volunteer projects: 12 hours, Work Experience Internship/ Extemships: 30 hours The duration of the Seeds to Trees program is approximately one year (44 weeks), from August 2017 to June 2018 of the following year for the first iteration and from August 2018 -June 2019 for the second. In order for a youth apprentice to receive the maximum benefits of the program, we require that he/she must commit to between 5-12 hours a week of participation. These hours per week include instruction and work experience in addition to workshops to enhance participant skills. EXHIBIT A 25B-194 There will be one full-time lead Case Manager assigned to oversee this program. There will be one Assistant Case Manager for Out—of—School Youth. Case managers will be assisted by part- time Clerk, Sr. Tutor and Tutor staff assigned to the project. Students have the opportunity of interacting with their respective Case Manager at each class, work experience or workshop. On average students and Case Managers will interact 4-5 times a week. For more intensive needs of the students, the Case Manager and/ or additional support staff will be available. 3, Population A. Describe the total number of youth that will be served by this grant. The Seeds to Trees Academy program will serve 22 youth. B. Describe the age range of the youth that will be served. Of the 22 youth, 17 will be "out-of-school youth" (ages 16-24) and 5 will be "in -school youth" (ages 14-21). C, Describe any minimum requirements that youth need to have in order to be enrolled In addition to WIOA Youth eligibility requirements, priority enrollment will be provided to WIOA eligible returning military veterans who are out-of-school youth (refer to letter of support. fiom SAC Veteran Upward Bound program), Additional priority enrollment will be provided to WIOA eligible youth who have completed a minimum of 30 hours of volunteer service in Santa Ana Public Library and/or Parks and Recreation programs. 1. At least 80% of Out -of -School youth (required): Yes we will serve 80% this population 2. At least 10% of youth with disabilities: Yes 10% will be this population 3. At least 10% of foster/emancipated youth: Yes 10% will be this population 4. At least 10% youth that have dropped out of high school: Yes 10% will be this population 5. At least 10% of youth on probation: Yes 10% will be this population E. Specify how the targeted youth populations (out-of-school, youth with disabilities, foster/emancipated, probation, dropouts) will be recruited. • Out -of -School and dropout youth will be recruited via referrals from SAC Continuing Education Program, SAUSD (refer C2),Access California services (refer to letter of intent F9) and at outreach events. We will also post flyers and recruit for the program among library patrons (refer to attachment W4), • Youth with Disabilities: The library has had a successful association with serving as a work experience site for the Santa Ana Unified School District's Special Education Program Youth. The Transition Center has agreed to continue to refer youth with disabilities to the Seeds to Trees Academy (please refer to Letter C4 from SAUSD Transition Center). Youth with physical disabilities will be welcome in the program, as will youth with mild learning disorders. We have had tremendous success working with youth who are autistic, and have started a partnership with Easter Seals Autistic Services program. They have agreed to refer youth to our program as well (please refer to letter EXHIBIT A 25B-195 C5 from Easter Seals Autistic services). Youth with severe cognitive disabilities will find the educational components of the program too demanding. With space in the program limited, it is necessary to offer the training only to those who can benefit from it. Foster Youtlr: The library has developed a successful association with Orangewood Children's Foundation which serves foster youth in Orange County, and they have agreed to refer emancipated foster youth for participation in the program (refer to Letter C7 from Orangewood Children's Foundation). Further, the Project Director has been attending meetings of the Foster Youth Breakthrough Collaborative since 2009 and the Orange County Social Services Agency has agreed to refer foster youth to the program (refer to Letter C6 from the Orange County Social Services Agency). Since several project employees are former emancipated foster youth from Orange County, we will have staff on hand uniquely qualified to assist foster youth interns. Probation Youth: The "Seeds to Trees Academy" program plans to recruit youth who are on probation through our partnership with the Orange County Probation Department who have agreed to refer probation youth for participation in the program (refer to Letter C8 from Orange County Department of Probation). We have had great success with probation youth community service volunteers. Forty to fifty probation youth volunteer at the library annually, and ten to fifteen of those remain as volunteers after their service hours are completed. We are currently piloting a program specifically aimed at probation youth that includes workshops on adolescent behavior and attitudes and how they resonate in a student's life, as well as classes in needed academic subjects. F. Inelnde a Letter(s) of Support from organizations that have agreed to referyoutlr to your program as Attachment C. Refer to Attachment C for letters of support. Recruitment and outreach for the program will occur at the start of the grant cycle 7/1/2017. Prior to the start of the program, the library TeenSpace staff will promote the upcoming "Seeds To Trees" program dwing its Summer Volunteer Institute program which annually recruits over 120 simmer volunteers, many of which are WIOA eligible, and it's Probation Youth Community Service program which has an average annual participation of 40- 50 youth on probation. In addition, staff will make presentations at Orange County FYO (Foster Youth Outcomes) meetings, CASA (Court Appointed Social Advocates) meetings and at local Santa Ana High Schools, to recruit candidates for this program. In addition to Foster Youth, Probation and Youth with disability referrals, Access program OC, and the Veteran's Upward. Bound program have agreed to provide referrals of interested participants to our program as well. We will begin accepting notices of interest in the "Seeds To Trees Academy: Digital Media Technology Institute" in May 2017 (refer to attachment W4 for recruitment flyer), and distributing and accepting applications, including gathering all documents required by the S ervice Navigator to determine youth WIOA eligibility, in July 2017. Once youth eligibility is confirmed, youth will be hired as Work Experience employees (WEX). It is anticipated that all this will occur in the month of August, 2017 in anticipation of the certificate and courses which simulate a college semester. The goal at this point is to have recruited and enrolled at least 17 (75%) of total 22 youth participants planned in the program. EXHIBIT A 25B-196 4. Assessment A. Youth Service Providers are required to use the Test for Adult Basic Education (TARE) assessment tool, but may use other assessment tools upon approval. Yes we will utilize the TABE test as an assessment tool. B. Describe how your program will conduct assessments for youth participants, elaborate on the type of assessment tools or surveys that will be used. During the initial recruitment and eligibility determination phase, all student participants will take a TABE assessment test to determine their basic skill level. C. Describe knowledge of the barriers that youth encounter. • Basic Skills Deficiency: Among the youth served by the Santa Ana Public Library, there are a number of barriers associated with poverty preventing the achievement of short and/or long term goals. The most common barrier as revealed by the TABE test is basic skills deficiency. A majority of students tested are performing at or below an equivalency of 8.9 grade level. These students often have difficulties in the completion of their education, are likely to fall behind in semester credits and in tum eventually drop out of high school. • Poor Work History: Students with poor work history are defined as at least 19 years of age and have never had a full-time job. As students continue to search for opportunities in a competitive job market, their limited education and work experience limit their opportunities. Many of the youth do not have reliable transportation to and from school or to the place of employment. As a result it causes an attendance and/or punctuality issue, Many do not have professional clothing readily available for employment interviews or professional events. These barriers are often setbacks for students, • High School Drop -Outs/ Lack of High School Diploma/GEA: A significant number of youth in our community come from economically disadvantaged families. Low socio- economic status often leads to a number of impediments to student success such as educational underachievement, higher likelihood of dropping out of school, offender status, teen parenthood, and welfare dependency, Latino students comprise a majority of the student population in the Santa Ana Unified School District. Nearly seventy-two percent of these are reported as dropping out. Statistically, high school dropouts earn lower wages, are more likely to commit crimes, and are considered less healthy both physically and emotionally than students that graduate. Many jobs in the market require a high school diploma, so that youth who do not graduate contribute to increasing unemployment rates among youth, juvenile arrests, gang affiliation and births to teens, perpetuating the poverty cycle. • Lack of post -secondary education/ training: Many our students graduating high school do not enroll, in post -secondary institutions and enter the workforce to assist their families financially. But with limited education, training, and/or experience it is difficult to find employment with sustainable earnings. As a result many youth become frustrated and resort to substance abuse for escape. Additionally, our students who do enroll in post- secondary education are often first generation students and have difficulties adjusting to the role of college student. Students are often unaware of the resources on campus EXHIBIT A 25B-197 available to assist them with the completion of their degree. Therefore, many students perform poorly and eventually drop out of college. The "Seeds to Trees" program plans to recruit youth with barriers to employment, educational advancement, and, a successful future. The Seeds to Trees program will supports students by providing resources, knowledge and/or informational tools to find personal connections for educational and local workforce opportunities. Students will partake in various activities to enhance their educational, employment and life skills. Youth who are TABE tested and determined basic skills deficient will be provided with one-on- one tutoring in order to assist them to improve those skills. All youth participants will be provided with valuable work experience via internship and extemship opportunities offered by the Seeds to Trees Institute. Youth participants who are drop -outs or in danger of dropping out will be enrolled in the SAC School of Continuing Education high school diploma or GED completion program, and will be provided with one-on-one tutoring to assist them with classes. All youth participants will be provided work training leading to state recognized certificates in computer maintenance and repair or general clerical as well as industry recognized certificates in customer service and digital media disciplines. To address the barriers to post -secondary education, all youth will be enrolled into Santa Ana College, and will be provided specialized college course training leading to college credits upon completion. Given the dramatic 13% decline in the employment prospects of American teens recently reported by the Brookings Institution, it is vital that training programs offer flexible education models that can adapt to changing needs of employers. The Brookings report found that many of teens would face permanent effects of being locked out of the job market. Per the research findings in the report, we believe that our MOOC pilot program cohorts can help to link high school students to post -secondary educational credentials. Furthermore these courses will help to strengthen career and technical education opportunities in industry specific areas. An additional benefit of these courses is that they are highly adaptable to local job market conditions and can be tailored to the regional labor market as the Brookings institution suggests. 5. Paid & Unpaid Work Experience A Describe in detail the paid and unpaid work experience opportunities that will be offered to the youth such as: 1. Summer Employment: 5-8 youth participants of 2017-2018 Seeds to Trees Academy program will be hired on as library page interns in the summer of 2018. 2. Fre-apprenticeship programs; 3. Internships or job -shadowing; 4. On -the -Job training opportunities: The entire format of the "Seeds to Trees" program focuses on work -based learning opportunities via an apprenticeship approach, All 22 WIA eligible youth are hired as apprentice Work Experience employees (WEX) and paid an hourly wage to receive a complete in -class and on-the-job training work experience that they can use to propel them into higher education, employment and/or self-employment as a freelance entrepreneur. As part of their work experience, all apprentices will be provided opportunities to obtain internships onsite working on various digital media productions for CTV3, as well externships at sites that have EXHIBIT A 25B-198 committed to hosting interns from our program. Job shadowing and work based learning will be a part of this program. B. Special consideration, will be given to organizations that can prepare youth for targeted in -demand industries as identified in the SAWIBIs five year plan: This WIOA program will have a variety of supportive partnerships to guide youth into in - demand career fields, Youth interns interested in pursuing careers in manufacturing will have the opportunity to work with artisan manufacturers at the People's Soap Company or to pursue a career in a variety of construction related careers though referrals to the OC Labor Federation. Those interested in healthcare and social services fields will work closely with the OC Chapter of the National Association of Hispanic Nurses to identify employers that can utilize the intern's digital media training. These interns will also have the opportunity to intern at the LGBT Center to help them provide social services to their populations. As a result of the proximity to several downtown hospitality and entertainment businesses the interns will have a number of nearby options to pursue after their training, Marcas Gallery, and MC Gallery have agreed to host and train interns from this program in the requirements needed to run art related businesses. Additional entertainment options include positions at Downtown Inc. and the online ticketing/event company EventFire. Interns aged 21 and over will also have the option to intern with event coordinators at the Copper Door as part of their social media team. Environmentally interested interns will be able to work with the Santa Ana Zoo and Heritage house on promoting and implementing sustainability programs at each site. As part of their training, youth will be trained to provide digital media support and promotion for all the above industries. Additionally, youth will be trained to work in the government sector that has many of the components of the above industries, such as recreation centers, library, and public works. All youth will have opportunity to work part of their externship hours at the newly built Roosevelt E -Library (projected to be built 2/2018) assisting with implementing new programs at the center. C. Special Consideration for organizations that offer job training/preparation in the, industries of: 1. Science, 2.Technology, 3, Engineering, 4. The Arts, 5. Math The Digital Media Institute will prepare interns to enter a wide range of STEAM -relayed industries by providing them a solid foundation in how to capture, edit, and distribute media content for their employer. This training will introduce the interns to real world applications for digital media technology within a flexible framework that can be applied across different industries. This built-in flexibility emphasizes the need for each intern to approach their future careers by merging science and technology with an understanding of artistic considerations across industry barriers. D. List some of the employers that will assist in the paid and unpaid work experience opportunities. The Santa Ana Public Library has agreed to hire youth apprentices who have interned/externed at the agency contingent upon youth work performance and availability of resources. Additional potential employers who have committed to hosting interns, and may hire youth apprentices who have interned in their sites are: the Frida Cinema, the Bower's Kidscum, Heritage Museum of EXHIBIT A 25B-199 Orange County, Batch co-op space, the People's Soap Company, Marcas Gallery, the LGBT Center OC, Downtown Inc., Left of the Dial Records, and the Copper Door. Additionally, OC Animal Care confirmed that they will give youth apprentices the information and workshops intended to advance a career in animal care, (Refer to attachment F12) Staff will continue to pursue additional employer partnerships during the course of the program to ensure that youth get a wide variety of employment options. SAPL staff members are working closely with the following City departments to identify additional positions: Treasury Department of the Finance and Management Services Agency, the Planning and Building Agency, the City Attorney's Office, and the Santa Ana Zoo. E. Include Letters of Commitment from employers as Attachment D. (Attached) F. Include a copy of the Work Experience policy as Attachment E. (Attached) 6. Alternative Secondary School Services A. Describe in detail the alternative secondary school services or dropout recovery services that will be made available for youth. The program will be partnering with Santa Ana College's Adult Continuing Education program to provide additional dropout recovery education support programs to out-of-school youth participating in the program (Please refer to Letter F2 fiom Sac Continuing Ed prograrnj. B Describe in detail the activities that will lead youth to attainment of secondary school diploma or equivalent. The following classes will be provided at no cost to out-of-school participants at the designated Parks and Recreation -Library "Seeds To Trees" program training sites: • Adult High School Diploma Program • High School Exit Exam Preparation (GED, HSET, etc.) for participants requiring the services • Adult Basic Education (0 to 8th grade level) for participants needing additional assistance in improving their basic literacy/numeracy skills. These classes will aid greatly in dropout prevention and dropout recovery for youth participants who are struggling with high school completion. Additionally, youth who have dropped out or are in danger of dropping out will have additional hours assigned to their designated dropout prevention/ recovery mentor. They will meet weekly with their mentor and receive ane -on -one help with their completion programs. 7. Preparation for Postsecondary Education and Trainin A. Note: WIOA only accepts certificates that are, aceredited by a State recognized educational entity or are recognized by employers. Certificates and college credit courses will be, provided by Santa Ana College and/or SAC Continuing Ed program. Students will be receiving certificates of completion for Microsoft EXHIBIT A 25B-200 Office basics from industry recognized MOOC providers, as well as Digital Media Certificates from CTV3. B. Special consideration for organizations that offer preparation for postsecondary education and training in high -demand industries. Students will receive training in Digital Media arts and business, both high demand industries. C. Identify and/or develop a pathway for youth that can lead them from high school to career or college. Please elaborate on the specific pathway(s), The program will seek to work with small and large businesses to identify current and evolving job opportunities and to learn what employers look for in candidates. The apprenticeship will give students the chance to earn college credit in career related fields. 2013-2014 job shortages included positions in marketing, computer programing, computer science marketing, and systems analysis. We will continue to expand our program's focus on providing the skills necessary for oar participants to engage high value jobs in the region's emerging industries. The training provided in our work plan provides the participants with the first steps they will need to take in order to begin the process of obtaining the education needed to begin a career in these high demand fields. The use of MOOCs is a tool with which the students are introduced and guided through college level course work. The introduction to college via classes in business and intermediate digital media arts will reinforce this as well. It is our belief that this early introduction to a college education will encourage them to pursue a degree after the program is completed. Additionally, the high level of computer programming and technology to which the digital media technology courses and MOOC's will expose our youth will help them transition into other computer -programming -related fields. D. Describe in detail how the program will prepare youth for postsecondary education and training. 1. The Seeds to Trees Academy program utilizes a blended program approach that combines traditional post -secondary education, in-person training and educational methods with cutting edge online post -secondary training and educational methods via MOOC's. 2, All youth participants in the Seeds to Trees Academy will be enrolled in Santa Ana College, and will be able to obtain at least 3 college credits via the completion of an Intro Digital Media Basics course 3. All youth will receive one-on-one and group higher education counseling hours and workshops from Santa Ana College. They will work with their counselor to develop a higher Education plan. 4. In -school youth and their parents will participate in youth higher education preparation workshops put on by Padres Promotores for Iligher Education from Santa Ana College. 5. Youth in follow-up year will also have access to one-on-one college counseling sessions and workshops. 6. All youth will attend College Scholarship workshops that will provide them the opportunity to apply for college scholarships (please refer to attachment W-5). E. How will your organization expose youth to the various post -secondary educational institutions (colleges, universities, vocational training schools, apprenticeships, etc.). EX 11131T A 25B-201 1. Out -of -School youth will be enrolled in college level SAC courses in the field of digital media. This will insure that our program will enroll each one of our participants in a center for higher education by the end of the first quarter. 2. Participants will be introduced to post -secondary education via MOOC's that will provide access to courses from some of the most elite universities in the U,S and the world. 3. Interns will attend workshops on college searches, college applications, scholarships and financial aid, as part of their on-the-job training. Interns will also be taken on field, trips to local colleges such as Santa Ana College, Cal State Fullerton, Chapman University, the Art Institute in Santa Ana, Cal State Long Beach and UC Irvine. 4. The Santa Ana Public Library works closely with the Adelante program at Santa Ana College, an initiative advocating for a college degree in every home in the city, High school students may enroll in the Adelame program and upon completion of general education requirements are guaranteed admission to either University of California Irvine or California State University Fullerton. 5. Santa Ana College and Santa Ana Public Library have recently partnered to create a Higher Education Center (EEC) at the Santa Ana Central Library. Youth will be provided access to all services/programs planned at the HEC (Please refer to attachment W-5 for list of HEC services/programs) F Describe the certificates thatyouthwill be able to earn while in your program or within 1 year after exit. 1. Santa Ana College Course Credits • 3 College Credits: Art 195: Intro to Digital Media Arts (15-25 Youth) 2. Santa Ana College School of Continuing Education • Adult High School Diploma Program • High School Exit Exam Preparation (GED, HSET, etc,) for participants requiring the services • Vocational courses leading to the attainment of state -approved certificates in areas of entry-level high employment potential, This will be provided in follow-up year. 3. Massive Open Online Course (MOOC) Pilot Program Certificates: • A:LISON — Advanced Learning Interactive Systems Online (Alison.com), Provides industry recognized free certified training in a variety of subjects, Currently used by Empla Florida and VirgL is Workforce Connection to train job seekers requiring additional skills and certifications. • Microsoft Digital Literacy- IT Basics, Internet & Productivity Programs Diploma (35 youth) - Diploma is verified by Microsoft and is industry recognized. (Completed during program year) • Google Applications Certifications – courses and certificates developed and verified by Google and are industry recognized. (Offered during Follow-up year) o Google Webmaster Certificate o Google Fundamentals of Marketing Youth Business Online Certificate o Fundamentals Google Docs Certificate o Exploring Google Apps Certificate o Google Applications for Business certificate o Fundamentals of Google Android Development Certificate o Google AdSense Certificate EXHIBIT A 25B-202 o Google Analytics Certificate o Google SketchUp for 3D Modeling certificate EdX- "is a not-for-profit offering the highest quality education, both online and in the classroom, Founded by the Massachusetts Institute of Technology (MIT) and Harvard University, EdX offers online learning to on -campus students and to millions of people around the world. EdX is building an open -source online learning platform and hosts a web portal at www.edx.ore for online education". In addition to providing courses leading to certificates of completion from Harvard and MIT, EdX also provides access to courses and certificates of completion from a host of highly accredited Universities throughout the U.S and the world, Will be offered in follow-up year. Youth Participants will be able to participate in tutor assisted online courses leading to "Honor Code Certificates of Achievement" from the tmiversity that administers the course. We will focus on tutor assisted courses focused on Digital Media, Information Technology, and/or Business application topics, depending on the availability of these courses on the EdX platform. G. Include data and research that supports the industries or pathways listed above. Caring mentors and teachers are only a part of the overall program designed to ensure that participants are able to find gainful employment upon exiting the program. More importantly the "Seeds to Trees Academy: Digital Media and Information Technology Institute" enables youth to undertake apprenticeship training in technologically advanced fields. An examination of the California Occupational Employment Projections for 2010-2020 suggests that computer technology -related skills is such a field. According to this study the top 50 fastest growing occupations include software related fields that will grow at the projected rates of 31.9 with a median annual wage of more than $100,000. Other growing fields requiring a bachelor's degree include Marketing Specialists (24,600 jobs), Database Administrators (3,600 jobs), and Software Developers (24,100 jobs). There will also be 31,200 jobs for Computer Support Specialists that will not require a college degree. These positions will be filled with individuals with the technical training needed to meet that positions industry recognized requirements. Advances in information technology have inundated the lives of millions with a vast amount of media. User generated content has fast become a source of news, entertainment, and artistic expression for an entire generation of web savvy individuals. As e-commerce continues to grow at faster rates than the rest of the economy, the ability to express one's insights with multimedia presentations has become an increasingly marketable skill. Those individuals with the proper training and knowledge of software tools will be in a prime position to excel in a 21st century economy. Many of our local youth are already naturally web savvy and are open to the idea that they could one clay follow a career in software creation. In this way, the academy taps into a youth's desire for self-expression and teaches valuable work skills in the process. In addition, the training from this program will open up to students the possibility of working in one of the industry clusters that the WIB board identified in their 5 year strategic plan. These clusters include established fields of hospitality, government positions, and clerical positions in finance, insurance, and real estate clusters. Opportunities for job growth also exist within the emerging clusters of advanced manufacturing, information technology, and other scientific EXHIBIT A 25B-203 services. In the longer term, the Bureau of Labor Statistics' latest Occupational Outlook (ht!p://www.bls.gov/oco/ocos09O.htm) suggests that video and web design -related employment will grow between 8 and 24 percent in the next ten years (Please refer to attachment W-6 for more detailed breakdown). H Include Letters of Intent from training agencies as Attachment F. Please refer to attachment Fl and F2 for letters of intent from Santa Ana College, The School of Continuing Education and the Youth Entrepreneurship Programs, 8. Tntoainlx I & d Note: Youth Service Providers are required to use the Test for Adult Basic Education (TABE) on ALL youth to assess their Diteracv and numeracy skills. Youth who The Santa Ana Public Library currently operates an after-school tutoring program in its Central Library and Newhope Learning Centers as well as in its Jerome and Garfield TeenSpace programs. All student interns will have access to these tutoring services. Prior to acceptance into the program, all WIOA enrolled youth will take a TABE test to assess their levels of basic skills. All enrolled youth who are basic skills deficient will be assigned a TeenSpace Sr, Tutor or Tutor mentor who will schedule time to tutor them on a daily or weeldy one-on-one basis to increase their basic skills to the 9"' grade level. Students who are not basic skills deficient will also have access to one-on-one hands-on tutoring, primarily in English (as this is what is most needed in the production field) with the goal of increasing the grade levels of their English abilities. Tutoring help will be provided to in -school youth who are in 12`x' grade to complete their high school diploma. Out of school youth who do not possess a high school diploma must enroll in the SAC Continuing Education High School Diploma or GED completion program. These youth will be assigned a Tutor mentor to assist them with their diploma or GED test preparation. Sr. Tutor and Tutor mentors will utilize TeenSpace math and English computer software applications and MOOC courses as a creative strategy to assist all their students to increase their literacy and numeracy gains. 9. Mentoring Mentorship has always been a cornerstone of the Santa Ana Public Library's Teen (12-18) and Young Adult (18-24) programming, and it will be a cornerstone of the "Seeds to Trees Academy" program as well. All program participants will be assigned a Tutor Mentor, who they will meet with individually on a weekly basis for 30 minutes as part of their on -the job training. They will discuss the progress of their vocational and on -the job training as well as any additional educational tutoring and support service needs that they may have. Tutor Mentors will provide the necessary resources to meet their mentees' needs. Tutor Mentors will also schedule their mentees' tutoring time at this meeting, In addition to mentoring from their assigned Tutor Mentors, interns will also receive mentorsbip on their particular production EXHIBIT A 25B-204 projects from project mentors. These Project Mentors will be responsible for helping interns develop and produce content for programming on specific topics, They will also receive mentoring from the Case Managers who will meet with them on a bi-monthly basis to track their progress and needs. Interns will also receive additional mentoring from their in -class vocational training instructors and externship employers. L. Specify what types of support your organization will offer youth who are facing challenging obstacles such as: family dysfunctions, mental health issues, low self-esteem, probation, gang issues, parenting issues, etc. Dr. Lawrence Singer, who has a Doctorate in Psychology, will be on -staff to provide guidance with life skills workshops, and referrals to counseling services to help youth in successful development (Refer to Attachment W-7). Counselors will compile a resource binder for use in referring youth to (Please refer to attachment W-7 for resumes of both counseling staff members). M. Will your organization offer mental health services or referrals to mental health agencies, describe. Yes, we will offer counseling per previous answer and will provide referral service to local. service providers. N. Describe how your organization will provide or refer youth to comprehensive guidance and counseling for drug and alcohol, etc. The program provides referrals for youth to comprehensive guidance and counseling for drug and alcohol. We will get support for these referrals from our counselors on staff and from our health agency partners. Additionally we will be providing "The Truth about Drugs" drug education program workshops in partnership with drugfreeworld.org. These workshops will also serve as a referral point. (Please refer to attachment W8 for a referral list of drug and alcohol counseling providers and for a description of the drigfreeworld.org program.) 10. Workshops O. Provide information about the following workshops and how or when the workshops will be provided toyouth in the program: 1. Financial Literacy/ Budget Management A Workplace Financial Education Program will be presented by Orange County Credit Union (refer to Letter of intent F3) 2. Entrepreneur Skills Training Rancho Santiago Community College District's Youth Entrepreneurship Program (YEP) will provide a 5 week series of two hour workshops that will teach youth the basics of entrepreneurship (refer to Letter of Intent 174) 3. Labor Market Information WHW (WornenHelphlgWomen/Men2Work) will provide workshops on labor market information, as well as employment readiness (Refer to Letter of Intent F5), Additionally, staff BxI-EBIT A 25B-205 will provide workshops on navigating the 0 -Net https://www.onetonline.ore/ online tool for career exploration and job analysis. 4. Family Planning The Cal State University Fullerton Community Nursing program will provide a series of workshops on pregnancy prevention and sexual health (refer to Letter of Intent F6) 5. Worker's Rights/Labor Laws The Orange County Labor Federation will provide workshops on Labor Laws and Worker Rights (refer to Letter of Intent F7). Additionally, the Library's former SEIU Union representative (1/2010-1/2015) Zulma Zepeda will provide training/workshops on Santa Ana employee Worker's Rights/ Labor Laws, 6. Analytical Skills at the Workplace HR Consultant Quinn Hedrick, will provide workshops on Workplace Analytical Skills (Refer to letter of Intent F8 and attachment W-9 for a brief biography of Mr. Hedrick). Additionally, Access California Services will provide employment preparation workshops (Letter of Intent F9). 7. Health Resources The Orange County Chapter of the National Association of Hispanic Nurses (OCNAHN) will provide several health education workshops on a variety of health topics, as well as workshops on health careers (Refer to Letter of Intent Flo) 8. Public Speaking Skills Latin Leaders Toastmasters organization will provide workshops on communication and leadership. Interns will be assigned to attend these workshops during the course of their work - experience (Refer to Letter of Intent Fl 1). 11. Civic Enrazement or Leadership Develoyment A Can your organization offer a civic engagement opportunity or leadership development opportunity for WIOA youth and other Youth in the community, if so, please describe. In response to the priorities set in the five year strategic plan, the City of Santa Ana has begun to implement a youth civic engagement program designed to encourage youth to become actively involved in the Santa Ana community. These efforts have resulted in the creation of the Youth Civic Engagement (YCE) internship program. The youth selected for the YCE program have a mandate to identify and implement strategies designed to increase civic participation among youth in Santa Ana. In 2015 & 2016 the YCE interns will organize a 6 week long Summer Youth Leadership Institute (refer to attachment W-10 for a tentative proposal for this program). This program will begin with a Summer Youth Volunteer Fair. The event will assemble fifteen or more local organizations at an outdoor venue where they will have the opportunity to meet and recruit youth in Santa Ana to become civically engaged via summer volunteer opportunities (refer to attachment W-11 for a proposal of this fair). This is an opportunity for youth to build their resrmaes, learn about the breadth of volunteer opportunities available in their community, and develop civic awareness and leadership skills. In addition, the Civic Engagement Interns will have the opportunity to participate in the Teen Library Club volunteer program, and join in the many community and library volunteer service projects the Club undertakes, including the Santiago Creek Clean-ups, OC Marathon Clean-ups, Heritage House Gala Fundraisers, Autism Walls, Library Halloween Haunted House, Santa's EXHIBIT A 25B-206 Corner, and Library Book Sales. Opportunities added to the program this year include the organization and promotion of photo scanning events to preserve and share local history. Additionally, all student interns will spend a portion of their on-the-job work time assisting Teen5pace staff in one of our "Buddy" programs. As part of the "Buddy" program, student interns will learn to mentor and serve as role models to younger children (4-11) in a variety of ongoing "Buddy" programs such as "Reading Buddy", "Math Buddy", "Art Buddy", "Sports Buddy", "Healthy Buddy", "Garden Buddy", "Acting Buddy" and "Science Buddy". Access California Services (Letter of Intent P9) and Latin Leaders (Letter of Intent Fl 1) will provide several leadership workshops to youth interns as well. B. Indicate the number of youth that will participate in the civic engagement or leadership development opoortunity. The Summer Youth Leadership Institute program will target Santa Ana youth between the ages of 14 and 24 years. Youth will be recruited through a combination of planned entertainment, free food and beverages, and, partnerships with the represented agencies. Given previous experience working with organizing community fairs, our department estimates that we will have roughly 200 youth in attendance at the fair. The YCE will organize a curriculum for up to 80 youth to participate in the 6 week leadership program following the volunteer fair. These youth will be drawn from interns from other WIOA programs as well as from the general young adult (14-24) population of Santa Ana. These 80 youth will be given an overview of the basics of civic participation including but not limited to lessons on the organizational structure of the City of Santa Ana, the various locally elected positions, and differences between City, SAUSD, and County government, The participants will then be divided into smaller cohorts to work on specialized civic projects of their own choosing. All 35 WIOA youth will be part of these civic engagement projects. The attendance at the individual events ranges from 5-60 people depending on the size of the event. Most of the sessions will take place in groups of less than 20. C. Special consideration for organizations that can leverage funds to provide services to non-WIOA youth participants. We are able to leverage our funding to include the WIOA youth participants in a host of civic engagement events throughout the programing calendar. The active engagement of Santa Ana youth in civic affairs is part of the core mission of the SAPL TeenSpace program. The Youth Leadership Institute program will leverage fields from the general fund allocation to Civic Engagement to meet the strategic goals of both WIOA and the YCE programs. Youth from WIOA will be given a priority in applying for this institute, although the program will be open to all Santa Ana youth age 14-24. 12. Supportive Services P. Will your organization provide supportive services to youth such as gas cards, bus pass, childcare assistance, etc. If so, please describe. Seeds to Trees Academy program will provide supportive services, in the form of transportation to and fiom training sites, professional clothing assistance, college course books, portfolios and EXII MT A 25B-207 background checks/live-scans. Additionally, youth WIOA participants will be able to participate in the City of Santa Ana Employee Blue Skies program and receive incentives for using an alternate mode of transportation to cormnute to and from work each day ( please refer to letter of intent F13 and attachment W-12 for benefits of the Blue Skies program) Q Include the Supportive Service Policy as Attachment G.: Attached 13. Incentives A Will your organization provide incentives to youth for accomplishing program benchmarks or personal goals, if so, please describe. No, we do not provide incentives as our focus is in providing a paid work experience and training. We do however have a scholarship program that has been established by one of our previous WIA Seeds to Trees youth interns; "The Moises Garcia Seeds to Trees" Scholarship which provides an annual scholarship of $300 to a WIOA youth, Incentives are provided via the Blue Skies supportive service program that all WIOA youth will be enrolled in. The youth will be eligible for the following incentives from the Blue Sky program: Carpooling $20-$60 a month, Bus users: $45 a month; Biking and walking $20-$45 B Include the Incentive Policy as attachment H — Not Applicable 14. Follow -Up Services A Youth Service Providers are required to provide follow-up services to youth participants The Seeds to Trees program will provide follow up services for these time periods. B Elaborate on the types of services that will be provided to Youth during each quarter during the 12 month follow-up period. Youth will be provided the following services and activities during the 12 month follow up period: 1. College Counseling (Provided by Santa Ana College): Santa Ana College will continue to provide up to 2 hours of one-on-one College Counseling to youth after exit, to help them keep on track in the post -secondary educational pursuits. 2.2016 Summer Youth Leadership Institute: Youth Interns will continue internships in the summer months at the Summer Youth Leadership Institute Program. 3. Digital Media Apprenticeships: 5-10 interns from 2015-2016 will be hired as library pages in July of 2016,and will serve as digital media apprentices and peer mentors for the 2016-2017 incoming WIOA youth. C Describe if your organization will provide case management job retention services, mentoring and ensure the participants attains their goals. EXHIBIT A 25B-208 We will continue to provide one-on-one mentoring, tutoring and case -management services. Additionally, we will provide skills development workshops as well as advanced MOOC workshops to reinforce what they have learned. D. Describe how your organization will ensure that youth meet the Performance Indicators during the follow-up period. Interns will attend career skills on-site instructor -based and MOOC-based workshops on resume and cover letter creation, interviewing techniques and "Dressing for Success" as part of their on- the-job training. Towards the completion of their program, interns will also attend workshops on job searches, submit applications, and post their resumes on several sites. The youth are brought into contact with potential employers and taught to present themselves effectively in the job market. Students have access to an employment binder where a number of job postings are included weekly. In addition the Case Manager sends several job leads to each participant's email weekly. Atter exit, students will continue to have access to the employment binder and also receive emails from Case Manager in regards to possible job leads E. Describe if your organization will provide youth with incentives or supportive services during follow-up to assist youth retention. Youth will continue to receive college counseling, referrals, and access to all services that library provides for free. We will not provide incentives, other than inviting youth to eciebration events, and providing food and entertainment, F. How often will the youth be engaged or receive service during the follow-up period. At minimum, youth will be contacted on a monthly basis and will be encouraged to continue meeting with their mentors on a monthly basis. Additionally, youth will be part of a mailing list with invites to all library/TeenSpace events, special programs and workshops, 15. WIOA Performance Indicators A. Include a flow chart or visual aid or brief explanation of how your organization will meet the following WIOA Performance Indicators: (Please see attachment for Performance indicators) 16. Prior Outcomes A. If your organization was previously awarded a WIA contract through the Santa An Workforce Investment Board OC Workforce Investment Board or Anaheim Workforce Investment Board please disclose your organization's past performance outcomes for the past 1-2 years from each WIB if aRplicable: in'4�hs5`� �1, Th�� Y:. Lb'�z r��t u' , S�el'fOY"m3tLeQ�011teOm�'8r r�'antR �A •}r: �I � s'ts�u 1:14jd Tib'' vT �b� a4 r i'a , EXIIIBIT A 25B-209 17. Fiscal Competency A. Describe the process used to capture and report fiscal data. The City of Santa Ana uses the Lawson Financial Management System to capture, report, and monitor revenues and expenditures. Grants are provided a unique accounting unit and activities are used to track grant program expenditures and grant matching fluids. Every expenditure requires an accounting unit and activity number. Lawson is capable of generating reports at the accounting unit or activity number levet. 1. (Attached) C What systems are used to ensure fiscal accountability, appropriate expenditures, and planned costs. The management of the City of Santa Ana has established a comprehensive internal control framework that is designed both to protect the government's assets from loss, theft, or misuse and to compile sufficient reliable information for the preparation of the City's financial statements in conformity with GAAP. Because the cost of internal controls should not outweigh their benefits, the City of Santa Ana's comprehensive framework of internal controls has been designed to provide reasonable rather than absolute assurance that the financial statements will be froe.from material misstatement. As the City, we assert that, to the best of our knowledge and belief, the financial information is complete and reliable in all material respects. Additionally, the City is also required to tinidergo an annual "Single Audit" in conformity with the provisions of the Single Audit Act of 1996 and U.S. Office of Management and Budget (OMB) Circular A-133, Audits of States, Local Governments, and Noxi -Profit Organizations, The standards governing Single Audit engagements require the independent auditor to report not only on the fair presentation of the financial statements, but also on the audited government's internal controls and compliance with legal requirements, with special emphasis on internal controls and legal requirements involving the administration of federal awards. D. Describe invoicing process and list qualifications of staff assigned to task. The invoicing process will consist of a review of each period's expenditures, identifying eligible expenditures and submitting a periodic report documenting eligible expenditures. Staff assigned to this task has many years of experience in reporting to local, state and federal agencies. Additionally, staff assigned to the task has performed this function during prior grant EXHIBIT A 25B-210 years. With each WIA report submitted staff continues to gain experience to provide information more efficiently and effectively. E. Describe how your organization's financial stability is not dependent on WIOA funds. The City receives over $400 million in revenue each year. Additionally, Parks, Recreation, and Community Services Agency (PRCSA) is appropriated approximately $17.7 million from the General Fund. The amount requested in WIA funds is approximately $400,000, which represents approximately 2% of the Agency's General Fund appropriation and therefore the Agency's financial stability is not dependent on WIA funding. On the other hand, while the amount of WIA funding is small in comparison to PRCSA General Funds, these funds allow PRCSA to provide very valuable educational opportunities to Santa Ana residents. With such a large City the demand for services often exceeds the available resources. For this reason PRCSA is requesting WIA funding to provide services that otherwise would not be provided by the City due to the limitation of funds. F. Identify the percentage of budget that will go directly to youth (i.e.: work experience payments, direct training, supportive services, incentives, etc.) versus the percentage of overhead and administrative costs. 90% of the budget will be directly spent on youth in the form of work experience, training, supervision and mentoring. G. Submit most recent 2 years of audited financial statements as Attachment T & U with the Audited Financial Statement Form signed (Attachment S) For a complete look at the 2 latest Comprehensive Annual Financial Reports for the City of Santa Ana please visit: http://www.santa-ana.org/firranco/cafr/defetilt.asp H. Please include 1 budget form and 1 budget narrative for PY 2015-2016 and one budget form (but not a narrative) for 2016-2017. (Attached) 18. Additional Attachments A. You may include additional documents such as fivers, brochures, training descriptions, and/or testimonials that support your proposal and/or further describe the program, as Attachment W. Please see following page for list of additional attachments, W-# Example: WIOA Youth Brochure W-1 Letter of Support from Congresswoman Loretta Sanchez W-2 TeenSpace Staff Biographies W-3 Description of MOOC's W-4 Recruitment Flyer for Seeds To Trees Academy v EXHIBIT A 25B-211 W-5 SAC Higher Education Center @ SAPL Programming W-6 Occupational Outlook W-7 Resume's for Counseling Staff: Dr. Larry Singer (PsyD) and Krystal Zavala (MS Counseling) W-8 List of Referrals for Drug and Alcohol Recovery Programs and Description of drugfreeworld.org W-9 Quinn Hedrick— HR Consultant Biography W-10 Summer Youth Leadership Institute Proposal W-11 Summer Youth Volunteer Falr W-12 Blue Skies : Commuter Services Program Brochure W-13 List of Planned Field Trips W-14 List of CTV3 Past Videos produced Youth Interns W-15 Life -Skills and Self -Esteem Workshop Syllabus W-16 Santa Ana College GASP Program Brochure W-17 TeenSpace Program Schedule and Flyers W-18 Testimonials from Past and Present WIA youth BXIBBIT A 25B-212 YSPN MEMBER PERFORMANCE PLAN 2017-2018 Santa Ana Public Library WIOA YOUTH POPULATION (NOTE: 100% OF YOUTH MUST BE ENROLLED BY 2NI QUARTER -DECEMBER 31, 2016) 1%,1181,04N-1 $ �1111014'401 Otwti�,Sd 10 R "A g AWNUANOR 'n 16-18 1(75W� 16-24 6 17 R 22 PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 100% OF YOUTH MUST BE ENROLLED BY 2NI QUARTER -DECEMBER 31, 2016) Estmatad � WV F� FF M�, r' atter } L_ 75 % $40,000 JE66lmi6It'Re6` recl)',"., 25% $40,000 $40,000 $40,000 100% $160,000 24 WIOA ELEMENTS PERFORMANCE MEASURES mark a "x" next to the elements provided In your program July 1, 2017 -June 30, 2018 (Projected Benchmarks subject to change) X 1. Tutoring, study skills training, dropout prevention 2. % of Participants who are in education/training, strategies or In unsubsidized employment during the 2nd quarter after exit X 2. Alternative secondary school services or dropout recovery Benchmark: 66% 3. Paid & unpaid work experience that have academic 2. % of Participants who are in education/training, and occupational components, which may include: or In unsubsldlzed employment during the 4`h summer employment, pre -apprenticeship, internships quarter after exit & job -shadowing, or On-the-job training (20% of Benchmark: 68% funds must be used for this element) X 4. Occupational skills training—priority for recognized 3. The median earnings of Participants in credentials aligned with sectors in -demand unsubsidized employment during the 2"d quarter after exit Benchmark: Pending *Pending further State and Federal guidance. X S. Education offered concurrently with workforce 4. % of participants who, during the program, are in preparation activities education or training that leads to a recognized postsecondary credential or employment AND who 6. Leadership development -community service & peer centered activities are achieving measurable skill gains Benchmark: Pending* X 7. Supportive Services 7 B. Adult mentoring *Pending further State and Federal guidance. X 9. Follow-up services for not less than 12 months after 6. % of Participants who obtain a recognized — exit (required) postsecondary credential or secondary diploma during participation OR within I year after exit X 10. Comprehensive guidance & counseling drug & alcohol, etc. Benchmark: 589/ 11. Financial literacy 7. Effectiveness in serving employers Benchmark: Pending* . Entrepreneurial skills training X 13. Labor marker information -career awareness and exploration *Pending further State and Federal guidance. 14. Activities to help youth prepare for and transition to postsecondary education EXHIBIT B 25B-213 COMPLAINT HANDLING UNDER THE Santa Ana Local Workforce Development Area Revised May 1, 2617 EXI3IBIT C 25B-214 Table of Contents 1. Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy Statement 3 2. Civil El 3. Nondiscrimination laws under WIOA 4 4. How to File Your Comp B. Criminal Complaints 6 11. General Procedures for Handling Non -Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWDA Level 8 IV. Procedures for Handling Complaints at the State 12 V, Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Handicap Complaints by Participants 17 GLOSSARY OF WIOA 2 EXHIBIT C 25B-215 I. Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible Individuals to obtain productive employment, In implementing WIOA, all contractors in the Santa Ana _WDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2014 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. EXHIBIT C 25B-216 Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs, This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40-70. The Rehabilitation Act of 1973 EXHIBIT C 25B-217 Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: EXHIBIT C 25B-218 Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The W ICA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II, General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level for the 299 8R9 receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIOA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure, A. The following principles and rules apply to all complaints at all steps of the complaint procedures: 1. All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for-profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. EXHIBIT C 25B-220 A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor, 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the WIOA regulations found at 20 CFR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint Is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; EXHIBIT C 25B-221 d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint, A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 EXHIBIT C 25B-222 b, A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b, The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 1. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated bythe EEO Officerto function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. 10 EXHIBIT C 25B-223 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof, Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he/she so desires. Other he/she is limited to his/her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts, However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board, C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue a written decision to all parties by first class mail, The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. 11 EXHIBIT C 25B-224 IV, D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record, Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for-profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall bE issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CPR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record 12 EXHIBIT C 25B-225 established at the LWDA level and shall issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint, 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWDA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level 13 EXHIBIT C 25B-226 If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWDA b. Name, address, and telephone number of the LWDA C. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. 14 EXHIBIT C 25B-227 V Decisions issued by this panel, under the authority of the Governor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing, Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1, It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section I I (A). 15 EXHIBIT C 25B-228 No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision should have been issued. Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LWDAs Informal Resolution Process Unsatisfactory Decision or LWDA Decision not issued within 60 days Request for State Review Governor's Deoiaian issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 16 EXHIBIT C 25B-229 w 0 a 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5157 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2, An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. 17 EXHIBIT C 25B-230 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. 3. The Chief -WI D, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 EXHIBIT C 25B-231 No later than 180 days of alleged discrimination Filed within 30 days of LW DA/State Decision or 90 days from date of initial filing of complaints Filing of complaint on the basis Of Handicap with LWDA Informal Resolution If no resolution reached Request for Hearing Notice of Hearing Hearing Conducted LWDA Decision Unsatisfactory Decision or No Decision State Review Governor's Decision Appeal to Assistant secretary Department of Labor 19 EXHIBIT C 25B-232 Day 1 Day 145 Day 60 Days GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP). COMPLAINANT, GRIEVANT, OR AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . HANDICAPPED INDIVIDUAL — Any Individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC 20 EXHIBIT C 25B-233 unless OCR has a compelling reason to investigate. 'Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has; (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post -termination services) funded under the Act, following intake, except for an individual who receives only outreach and/or intake and assessment services. 21 EXHIBIT C 25B-234 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS, GRANTS, LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to Influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers (including 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 transaction imposed by 31 U.S.C, 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. Grantee/Contractor Organization Signature Name of Certifying Official Signature EXHIBIT D 25B-235 Program Title Date Certification Regarding Drum -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug-free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug-free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug-free workplace; (8) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction, (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an EXHIBIT E 25B-236 employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached 'Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) ,the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised 'Place of Performance" form. Date Gerardo Mouet City of Santa Ana/Santa Ana Library EXHIBIT P 25B-237 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS Name: City of Santa Ana/ Santa Ana Library Name of Contractor: City of Santa Ana/ Santa Ana Library Contractor Number: A -2017 - Date: July 1 2017 - June 30, 2018 The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 26 Civic Center Plaza Santa Ana, CA 92702 Address EXHIBIT E 25B-238 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160-19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b. Have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three-year period preceding this application/proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Orange County Children's Therapeutic Arts Center Grantee/Contractor Organization Name and Title of Official Authorized to Certify Signature of Official Authorized to Certify Date EXHIBIT F 25B-239 INSTRUCTION FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective recipient of Federal assistance funds is providing the certification as 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 laterdetermined that the prospective recipient of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous whom submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction", "debarment", "suspended", "ineligible", "lower tier covered transaction", "participant", "person", "primary covered transaction", "principle", "proposal", and "voluntarily excluded", as used in this cause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to whom this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective recipient of Federal assistance funds agrees by submitting this proposal 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 debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of Federal assistance funds agrees by submitting this proposal, that it will include the clause title "Certification Regarding Debarment, Suspension, Ineligible, or voluntarily excluded from the covered transaction unless it knows that the certification is erroneous. 7. 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 to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 8. 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 suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. FW1:11:1129 25B-240 BUDGET NARRATIVE Organization: Santa Ana Public Library 2017-2018 Instructions: This Budget Narrative provides a detailed description of each line item reflected on the Budget Form (Attachment B). Only need to submit 1 Budget Narrative for Program Year 2015-2016. However, you will need to fill out two Budget Forms, one for 2015-2016 and one for 2016-2017. Please include the cost allocation of each line item within this budget narrative. Please align the budget narrative with the budget form. Each section of this budget narrative describes the cost allocation, formula, and/or bases for the costs of the program, The Budget Narrative and Budget Form may be amended and/or modified during the program year to adjust line items, but not to exceed the total grant amount, with the approval of the contractor's Executive Director and City of Santa Ana's approval. Please elaborate on the appropriate line item budget narrative how the program will fulfill at least 20% of funds will be used for work experience. 1. Personnel Salaries a. List each individual position dedicated to this project. List the staff title, percentage of full time equivalent (FTE) or the amount of time to be charged to this project and indicate cost for each staff b. Briefly describe their role and how the grant will benefit from their role I.) Lead Case Manager—TBD (Assistant Librarian); 100% FTE for 12 months: $ 51,104 (80% OSY = 40,883 WIOA Funds [30% OSY WEX = $12,265]); [20% ISY WEX = $20441 Responsible for management of all student interns, maintaining WIA compliance, mentoring of several youth, follow up services to previous year WIA youth and management of all employment and library based training components. The Case Manager will dedicate 100% of their time to WIOA for 12 months to recruit and enroll youth, provide WIOA youth with case management, work readiness preparation, educational resources, coordinate work experience sites, and assist youth in obtaining employment, training, and State recognized certificates. Supervise interns working on e -library web portal for Youth College and Career preparation. ii.) Program Director --Cheryl A. Eberly (Principal Librarian): 35% FTE for 12 Months: $28,749 In - Kind. Responsible for general oversight and direction of program. Principal Librarian – Cheryl A. Eberly. 35%(700 hrs) of $82,140 (annual salary) = $28,749.00 In-kind (In -Kind) iii. ) Technology/CTV3 Coordinator– Lynn Nguyen (Principal Librarian) : 25% FTE for 12 Months: $20,535.00 In-kind. Responsible for oversight and management of technology aspects of the grant, website and CTV3 television programming. Iv.) Library Operations Manager–Heather Folmar (Library Operations Manager):15% FTE for 12 Months: $15,276.00 In -Kind. Responsible for supervising library operations in relation to this grant. v.) Support Staff/ Tutor/Mentors EXHIBIT G 25B-241 IJ Out -Of -School Youth Assistant Caseworker — Assistant Librarian (TBD): 10 % FTE for 12 Months: $3,792.00 WIOA (100% OSY = $3,792 WIOA Funds [50% OSY WEX = $1,896]). We will hire an assistant librarian, to assist In assist in employment services, and higher education support, 3.) Clerical Support Staff — Clerk (TBD): 10% FTE for 12 Months: $3,274.00 WIOA (80% OSY = $2,619 WIOA Funds) Assist in document management, recruitment, eligibility determination, payroll of staff, assist with overall operations, and inquiries and information technology courses. 4.) Out -of -School Youth Tutors/Mentors: 85% FTE for 12 Months: $24,429.00 In -Kind. One -on -ane mentoring and tutoring of out-of-school youth, and coordination and instruction of several workshop/ MOOC components. 5.) In -School Youth Tutor/Mentors: 40% FTE for 12 Months: $9,688 in -Kind. One-on-one mentoring and tutoring of In -school youth, and coordination and instruction of several workshop/ MOOC components. 6.) MOOC's coordinator— Martha Torres (Librarian): 35% FTE for 12 Months: $19,950 In -Kind. Responsible for management of all MOOC based training elements of program, will mentor several out-of-school youth. 7.) Garfield Site Coordinator— David Lopez (Librarian): 30% FTE for 12 Months: $17,100 In -Kind. Responsible for management college credit course based training components located at Garfield and video production workshops. 8.) Video Production Course Coordinator —Anh Vu (Librarian): 15% FTE for 12 Months: $8,5501n - Kind: Responsible for development of intro to graphic design/ website design training components. 2. Personnel Benefits a. List each individual position dedicated to this project and describe the type of benefits and the cost of each benefit for that staff. !.)Lead Case Manager—TBD (Assistant Librarian): 81.83 % benefits of $51,104 WIOA: $41,818.40 WIOA Funds for Benefits (80 % OSY = $33,454.4 WIOA Funds [30% OSY WEX = $10,036]); [20% ISY WEX =$1,673] PERS/Social Security (-12.07%), Medicare (-1.45%), Health Insurance (-64,45%), Retiree Health (- 0.90%), Worker's Comp (2.96%) ii.) Program Director — Cheryl A. Eberly (Principal Librarian): 31.09% benefits of $28,749 salary: $8,912 In -Kind for Benefits PERS/Social Security (-12.07%), Medicare (-1.45%), Health Insurance (-18.71%), Retiree Health 0.90%), Worker's Comp (2.96%) ill.) Technology/CTV3 Coordinator— Lynn Nguyen (Principal Librarian) : 31.09% benefits of $20,535.00: $6,366 In-kind for Benefits. PERS/Social Security (-12.07%), Medicare (-1.45%), Health Insurance (-13.71%), Retiree Health (- 0.90%), Worker's Comp (2.96%) EXHIBIT Cr 25B-242 iv.) Library Operations Manager- Heather Folmar (Library Operations Manager): 31.09% benefits of $15,276.00: $4,736 In -Kind for Benefits. PERS/Social Security (-12.07%), Medicare (-1.45%), Health Insurance (-13.71%), Retiree Health (- 0.90%), Worker's Comp (2,96%) v_.) Support Staff/ Tutor/Mentors 1.) Out -Of -School Youth Assistant Caseworker -Assistant Librarian (TBD): 8.16°% benefits of $ 9,025.00 WIOA: $ 737 WIOA for Benefits. (100% OSY = $737 WIOA Funds) Deferred Comp (-3,75%), Medicare (-1.45%), Worker's Comp (2.96%) 2.) Clerical Support Staff- Clerk (TBD): 8.16% benefits of $6,000 WIOA: $489 WIOA for Benefits (75% OSY = $366.75 WIOA Funds) Deferred Comp (-3.75%), Medicare (-1.45%), Worker's Comp (2.96%) 4.) Out -of -School Youth Tutors/Mentors: 8.16% benefits of $24,429.00 In -Kind : $1,994 In - Kind for Benefits Deferred Comp (-3.75%), Medicare (-1.45%), Worker's Comp (2.96%) 5.) In -School Youth Tutor/Mentors: 8.16% benefits of $9,688 In -Kind (CDBG) : $791 In -Kind for Benefits Deferred Comp (-3.75%), Medicare (-1.45%), Worker's Comp (2.96%) 6.) MOOC's coordinator- TBD (Librarian): 31.09% benefits of $19,950 In -Kind: $6,185 In Kind for Benefits PERS/Social Security (-12.07%), Medicare (-1.45%), Health Insurance (-13.71%), Retiree Health (-0.90%), Worker's Comp (2.96%) 7.) Garfield Site Coordinator - David Lopez (Librarian): 31.09% benefits of $17,100 In -Kind: $5,301 In Kind for Benefits PERS/Social Security (-12.07%), Medicare (-1.45%), Health Insurance (-13.71%), Retiree Health (-0.90%), Worker's Comp (2,96%) 8.) Graphic Design/ Website Design Course Coordinator- (Librarian): 31.09% of $8,550 in - Kind: $2,651 for Benefits. PERS/Social Security (-12.07%), Medicare (-1.45%), Health Insurance (-13.71%), Retiree Health (-0.90%), Worker's Comp (2.96%) 3. Indirect Cost a. Indicate the rate for the Indirect cost and what The rate of 7.2695% was used to calculate Indirect Cost using salary of Full-time and Part -Time WIOA funded staff w/out benefits base of $58,170.00 (WIA funded personnel) = $4,228.67 WIA Funds (80% OSY = $3.382.936 WIOA Funds) EXHIBIT G 25B-243 4. Participant Work Experience Wages a. Briefly describe or refer to Work Experience policy, number of youth, and cost. A. PARTICIPANT WAGES: All youth will participate in a 44 week long combination paid Work Experience training and internship/externship program. $53,871.35 WIA Funds WEX/$ 16,957.03 In-kind ($55,443.08 OSY ) I. Track 1: Out—of-School Youth: Microsoft Office Applications certifications and Intermediate Digital Media Apprenticeships ( 9 participants X 300 hrs X $11.00 hr = $29,700): Digital Media Arts 100 Course (3 Units): 56 hours, Video Production : 20 hours, One-on-one Educational Counseling: 3 hours, MOOC's based certification trainings: 28 hours, Workshops, Field Trips, Trainings: 23 hours, Civic Engagement/Volunteer projects: 20 hours,Work-Experience Internship/ Externships:150 hours fl. Track 2: Out —of -School Youth: Microsoft Office Applications certifications and Beginning Digital Media Apprenticeships ( 8 participants X 250 hrs X $11.00 hr = $22,000): Digital Media Arts 100 Course (3 Units): 56 hours, Video Production : 20 hours, One-on-one Educational Counseling: 3 hours, MOOC's based certification trainings: 28 hours, Workshops, Field Trips, Trainings: 23 hours , Civic Engagement/Volunteer projects: 20 hours ,Work -Experience Internship/ Externships:100 hours iii. Track 3: In -School Youth: Microsoft Office Applications certifications and Beginning Digital Media Apprenticeships (5 participants X 150 X $11,00 hr = $8,250 ): Digital Media Arts 100 Course (3 Units): 56 hours, Video Production 12 hours, MOOC's based certification trainings: 28 hours, Workshops, Field Trips, Trainings: 12 hours, Civic Engagement/Volunteer projects: 12 hours, Work Experience Internship/ Externships: 30 hours Participant Benefits; Benefits for the Paid Work Experience Training and Internship/ Externship Program are based on a percentage of the participant's wages as follows: Deferred Comp (-2.83%), Medicare (-1.45%), Worker's Comp (2,96%) = 7.24% x $59,950.00= $ 4,340.38 for benefits (OSY = $3743.08) B. Santa Ana College Course Technical Training Partnership: Charge is the contract amount to be charged by Santa Ana College to provide the Counselling, Intermediate Digital Media Courses and Business Courses and Counselling services Year 1 (26.26-2017) Santa Ana College Seeds To Trees College Training program = $6,5381n -Kind Funds Digital Media Arts 100: 3 units (LHE) ( Instructor with Benefits Included) $4,000 One -on -One Educational Counseling $2,076 EXHIBIT G 25B-244 Mandatory Student Fees ($21 x 22 Students) $462 TOTAL Training Costs $6538 S. Supportive Services = $2,500 In- Kind a, Briefly describe or refer to Supportive Service policy, number of youth that will receive supportive service, maximum dollar amount per youth, and most common types of supportive service. Books for the college courses will be purchased for youth = $2,500 In -Kind Costs 6. Youth Conference = 81.400 a. Identify the type of conference, cost, and number of youth that will attend the conference. CWA Conference cost for 4 youth Interns (4x $250 )= $1000 and CWA Conference cost for 1 adult mentors ($400) = $400 7. At the end of the narrative please explain the pertinent documents/forms that will be used to track work experience compensation or participant incentives (Le.: timecards, sign -in sheets, record logs etc.). Please refer to Ell= for all pertinent documents/forms that will be used to track work experience and training. 2017-2018 WIOA Rinds Allocation for Out -Of -School Youth = $131,200 (82%) (Out -of -School WEX allocation= $60, 673 ($50,000 WIOA/ $10,673.45 In -Kind) W10A funds Allocated towards ]Direct Paid Work Experience = $53,871(33.66%) WIOA Funds Allocated towards support for Work Experience = $27,914 Total WIOA Funds Allocated towards Work Experience (WEX) = $81,785 (51.12%) Note: Audit Requirements States, local governments and non-profit institutions who spend $500,000 or more in federal funds in a fiscal year shall meet the audit requirements of the OMB Circular A-133, "Audits of States, and Local Governments and Non -Profit Institutions." EXHIBIT G 25B-245 BUDGET FORM 2017.2018 Organization Name: Santa Ana Public Library:Seeds to Trees Digital Media Technology Academy Administrative Cost (Not to Exceed 10%) Total Program Cost Total WIOACost Match/In Kind M13 yf }}},� l(la� f i. � \ L i.M'rS�hI.IQ!aIC1I1.Til��.�:•,. �1 .i,f 1 in Wli f t61Y 1 yy�,P f l-"�riA FY � [ 6 �. � '1f ✓y' � .AS'3'.i p` .!. � 1� 1 :Lead Case Manager (100% FTE) $51,104 2 Program Director $28,749 3 Technology/CTV3 Coordinator $20,535 4 Library Operations Manager $15,276 5 Support Staff/Tutor/Mentors — (20% FTE) $7,066 $79,722 1 ;Lead Case Manager (100% FTE) $41,818 2 Program Director $8,912 3 Technology/CTV3 Coordinator $6,366 4 Library Operations Manager $4,736 5 Support Staff/Tutor/Mentors — (55% FTE) $512 $ 17,634.19 Total Personnel Salaries & Benefits $0,00 $282,426 $100,500 $1.81,926 Rent Legal Services Auditing Services Indirect Cost $4,229 $4,229 Staff Training Staff Conferences Participant Wages $53,871 $10,419.03 Supportive Services $2,500 Participant Training _ $6,538 Youth Conferences $1,400 Total Operating Expenses $4,228.67 $109,888 $59,500 $19,457 GRAND TOTAL (personnel + operating) $4,228.67 $361,383 $160,000 $201,383 EXHIBIT G 25B-246 Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Development Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected. Please initial each box. ❑ I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. ❑ We are not currently on any Federal, State of California, or local Debarment list. We will provide records to show that we are fiscally solvent, if needed. We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WEA funds will be used as required by law and contract. ❑ We have additional funding sources and will not be dependent on WIA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. These include, but are not limited to: ❑ Records accurately reflect actual performance. ❑ Maintain record confidentiality, as required. Reporting financial, participant, and performance data, as required. Comply with State and Federal fiscal and program activity audits. Complying with Federal and State non-discrimination provisions. [] Meeting requirements of Section 504 of the Rehabilitation Act of 1973. ❑ Meeting requirements of the American's with, Disabilities Act of 1990. (submit completed survey) ❑ Meeting all applicable labor law, including Child Labor Law standards. ❑ Agree to provide a drug free workplace. ❑ Agree to insure the City of Santa Ana through General Liability hrsurance and Automobile Liability Coverage in the amount of $1,000,000.00 policy. ❑ Agree to provide all participants with Grievance Procedures. ❑ Agree to insure proposer's employees through Workers Compensation Insurance (including part-time employees) ❑ Procurement policies and procedures are in place and meet federal guidelines. We will not: ❑ Place a youth in a position that will displace a current employee. ❑ Use WIA money to assist, promote, or deter union organizing. ❑ Use funds to employ or train of persons in sectarian activities. ❑ Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. ❑ Use WIA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. ❑ Use WIA funds to carry out programs fimded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIA. Use WIA money under this contract to purchase any equipment. I hereby assure that all of the above are true. Name Title Date EXIIIBIT H 25B-247 ADDITIONAL INSURED ENDORSEMENT Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1, The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702; its officers, employees, agents and volunteers are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to clairns arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be canceled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective this endorsement form as a part of Policy # _ Issued to Named Insured Countersigned by Authorized Representative [Type text] EXHIBIT I [Type text] 25B-248 City of Santa Ana Public Library Self -Insured EXHIBIT I 25B-249 25B-250 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: THIRD AMENDED AGREEMENT FOR MERCHANT PAYMENT SERVICES WITH TRANSFIRST, LLC (STRATEGIC PLAN NO. 4, 1; 7, 5F) / o CITY ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a third amended agreement with TransFirst, LLC for a one year extension of TransFirst, LLC's existing cashiering credit card merchant payment services agreement, effective July 1, 2017 through June 30, 2018, for an amount not to exceed $165,000 subject to non -substantive changes approved by the City Manager and City Attorney. 2. Authorize City staff to release a Request for Proposals (RFP) for integrated cashiering merchant payment processing before December 31, 2017. DISCUSSION The Treasury & Customer Service Division of the Finance and Management Services Agency ("Treasury") is responsible for maintaining all monetary transactions related to City services. Currently, customers may utilize a credit card to pay City assessed taxes, permits, fees, fines and other monies due to the City. Acceptance of a credit card as payment involves utilizing a merchant payment processor such as TransFirst, LLC ("Trans First"). TransFirst presents credit card payments on behalf of all City facilities integrated into the citywide cashiering system. In March 2012, City Council authorized a moratorium on the imposition of City credit card processing fees in order to promote electronic payments by customers. In seeking to reduce associated costs to the City, Treasury, in March 2013, approached the City's cashiering merchant payment processor, TransFirst, and negotiated a reduction in the TransFirst discount fee from 1.5% to 0% resulting in a savings of over $55,000. TransFirst agreed to maintain the reduced rate for the life of its agreement with the City. Thereafter, in lieu of releasing an RFP for continuing merchant payment processing services, City Council, in June 2013, instead authorized a three-year agreement with Vizant Technologies, LLC, ("Vizant") ending December 2016, for continuous credit card processing costs reduction analysis. 25C-1 Third Amended Agreement for Merchant Payment Services with TransFirst, LLC June 6, 2017 Page 2 This agreement with Vizant was entered into in recognition of the highly commoditized nature of credit card merchant payment processing, services in which price, among competent service suppliers, is typically the primary component of the selection process. The agreement authorized Vizant to lead a City RFP in the event their analysis indicated a potentially realizable long-term savings by re -bidding credit card merchant processing services. During the term of this agreement Vizant's continuous analyzes indicated that no long-term net costs savings could be realized when comparing potential competing providers against TransFirst's reduced credit card merchant payment processing rate. On that basis, City Council in June 2015, approved a First Amended Agreement with TransFirst (Agreement #A-2015-117) to extend the term of the existing agreement with TransFirst (Agreement #A-2014-071) through June 30, 2016 with a further option exercisable by the City Manager to extend the agreement by letter for one additional year from July 1, 2016 through June 30, 2017. The First Amended Agreement included an annual 'expenditure cap of $95,000. However, due to the rapid growth in credit card payments made by residents and businesses, both in terms of number of transactions and sales volume, staff anticipated that the annual cap might be exceeded. As such, on June 21, 2016, the annual cap amount was increased to $165,000 per year via a Second Amended Agreement (Agreement #A-2014-148). On June 27, 2016, the City exercised its option to extend the underlying TransFirst agreement to June 30, 2017. Subsequently, in February 2017, the Police Department replaced its parking citation processor, Phoenix Group, with a new processor, Data Ticket, Inc. (Agreement #A-2017-026) requiring an upgraded integration with the City's city-wide cashiering system and payment kiosk for which TransFirst is incorporated as credit card merchant processor. Therefore, staff recommends extending TransFirst's contract for one additional year to allow the City time to fully assess the upgraded functionality of the system prior to issuing an RFP before December 31, 2017, in connection with future merchant payment services commencing July 1, 2018. STRATEGIC PLAN ALIGNMENT Approval of this item assists the City in meeting Goal #4 City Financial Stability, Objective #1 (maintain a stable, efficient and transparent financial environment) and Goal #7 - Team Santa Ana, Objective #5F (explore opportunities to engage with outside agencies, both private and public, to share information and increase efficiencies). FISCAL IMPACT Funds up to the annual amount of $165,000 in account no. (various -62300) are budgeted and available, upon Council approval for FY 2017-18 on an allocated basis in various departmental accounts. 25C-2 Third Amended Agreement for Merchant Payment Services with TransFirst, LLC June 6, 2017 Page 3 APPROVED AS TO FUNDS AND ACCOUNT: l�hS�t� y r Francisco Gutierrez, Executive Director Finance and Management Services Agency EXHIBIT: 1. Third Amended Agreement F -Al CAVAM 25C-3 25C-4 EXHIBIT 1 THIRD AMENDMENT TO AGREEMENT THIS THIRD AMENDMENT TO AGREEMENT, is entered into on this 60' day of June 2017, by and between TransFirst, LLC, (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS: A. The parties entered into a payment processing service agreement (Agreement 4A- 2014-071) dated April 18, 2014 (hereinafter "said Agreement") by which Consultant has provided payment processing services to the City. B. The parties subsequently entered into a First Amendment to said Agreement (A-2015- 117) on June 17, 2015 to increase the Compensation and Term of said Agreement. C. The parties subsequently entered into a Second Amendment to said Agreement (A- 2016-148) on June 21, 2016 to increase the Compensation of said Agreement. D. In accordance with the terms and conditions of said Agreement, the parties wish to amend the Term of said Agreement to provide for a one (1) year extension beginning July 1, 2017 and ending June 30, 2018. E. The parties also wish to amend and add Compensation for the extended Term. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in the aforementioned First and Second Amendments to said Agreement, the parties agree as follows: 1. The parties hereto now desire to amend Section 3. of said Agreement (TERM). This Third Amendment to Agreement shall commence on July 1, 2017 and terminate on June 30, 2018, or unless terminated earlier in accordance with Section 12 of said Agreement. 2. The parties hereto now desire to amend Section 2. of said Agreement (COMPENSATION) to extend the increase in annual compensation agreed to by the parties pursuant to the Second Amendment to Agreement to include the one (1) year extended term of this Third Amendment to Agreement. The total sum to be expended under the amended term of said Agreement shall not exceed $165,000. 3. This Third Amendment to said Agreement must be signed below and may be signed in counterpart and delivered by fax, emailed as a PDF (Portable Document Format) file attachment, or by other means that displays the original or a copy of the signatures. Any subsequent amendments may be signed and delivered in the same manner. 1 25C-5 IN WITNESS WHEREOF, the Parties hereto have executed this Third Amendment to Agreement on the date and year first written above. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR CYNTHIA J. KURTZ Clerk of the Council Interim City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Lisa Storek Assistant City Attorney RECOMMENDED FOR APPROVAL: TRANSFIRST, LLC. Francisco Gutierrez, Execrative Director Finance & Management Services Agency 3 25C-6 Name: Title: Tax ID# REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: FIRST AMENDED AGREEMENT FOR ANIMAL LICENSE FEE COLLECTION PROGRAM WITH CIVIC COLLECTIONS, INC. ISTRATFGIC PLAN NO 7_-5FS RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2"" Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a two-year amended agreement with Civic Collections, Inc., for canvassing and collection of new and delinquent dog license fees and penalties, effective July 1, 2017 through June 30, 2019, with the option to extend one additional year from July 1, 2019 through June 30, 2020 upon a written request executed by the City Manager, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Treasury & Customer Service Division of the Finance and Management Services Agency ("Treasury") is responsible for the processing of applications and fees for dog licenses. The authority to collect dog license fees is provided by State 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, Treasury's dog licensing program serves to verify the ownership and rabies compliance of dogs within the City in support of the Police Department's animal control program. 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 Proposals (RFP) relating to field inspection and collection services in which Civic Collections, Inc. ("CCI"), the incumbent animal license fee collection service provider, was the sole responder. As a result of the limited response, which reflects the specialized nature of the services provided and the limited market for such services in Orange County due to the majority of local cities having historically contracted with the county for their animal control services, the Police Department decided to bring the Feld canvassing and collection process in-house on a trial basis in the 2012- 25D-1 First Amended Agreement With Civic Collections, Inc. For Animal License Fee Collection Program June 6, 2017 Page 2 2013 fiscal year period. However, after a one year trial results did not meet expectations and a decision was made to re -contract with CCI. On August 5, 2013, the City Council approved a re -instated agreement with Civic Collections, Inc. (Agreement # A-2013-121) for collection of new and delinquent dog license fees and penalties, covering a two year period ending June 30, 2015, with a provision allowing for up to three successive two year extensions. Subsequently, in accordance with a City Council desire to limit net optional contract extensions to five years or fewer, Treasury, in July 2015 negotiated a new superseding agreement with CCI for a single year term ending June 30, 2016, with an option for a single year extension ending June 30, 2017 (Agreement A-2015-125). The City Manager exercised the City's option on June 27, 2016, extending the contract through June 30, 2017. The field inspection and collection 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 service and increased efficiency. Since the re -commencing their dog license canvassing and collection services for the City, CCI has collected/generated the following amounts for the City (revenues - net of fees): 9 FY 2013-14 — $119,477 • FY 2015-16 — $113,329 • FY 2014-15 — $130,256 • FY 2016-17 — $116,500 (projected) During the recommended two-year term of the amended agreement CCI will continue to be compensated for dog license canvassing and collection services at the current rate as follows: • Fifty percent (50%) for each dog license fee collected by CCI, • Fifty cents (50¢) for each new dog license registered via CCI, and • Fifty cents (50¢) for each rabies vaccination certificate issued via CCI. In providing an option for a one year extension of the CCI agreement to June 30, 2020, staff is allowing extra scope for review of possible alternative dog license software replacement scenarios, including an internally developed application, as well as third -party software, and software as service models. The selection of a dog license software replacement plan will directly affect any future dog licensing canvassing & collections RFP which may in turn encourage additional qualified vendors to bid for these services. Accordingly, after the selection of a dog license software replacement plan and prior to the conclusion of the amended agreement staff will issue an RFP for future dog license canvassing and collection services. 25D-2 First Amended Agreement With Civic Collections, Inc. For Animal License Fee Collection Program June 6, 2017 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item assists the City in meeting Goal #7 - Team Santa Ana, Objective #5F (explore opportunities to engage with outside agencies, both private and public, to share information and increase efficiencies). FISCAL IMPACT As payment for services is contingent upon successful collection, CCI will share in the total revenue recovered from their canvassing/collection efforts and paid from dog license revenue account (no. 01110002-51003) for fiscal year 2017-18, fiscal year 2018-19, to include fiscal year 2019-20 if the additional optional extension under the terms of said amended agreement is exercised. APPROVED AS TO FUNDS AND ACCOUNT: QI�A�l Francisco Gutierrez Executive Director Finance and Management Services Agency EXHIBIT: 1. First Amended Agreement ISE 25D-3 25D-4 W:/:i FOR a FIRST AMENDMENT TO AGREEMENT THIS FIRST AMENDMENT TO AGREEMENT, made and entered into this 6" day of June, 2017 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 parties entered into a dog license fee canvassing and collections agreement (Agreement #A-2015-125) dated July 8, 2014 (hereinafter "said Agreement") by which Consultant has provided payment processing services to the City. B. The Tenn of said Agreement was one year effective as of July 1, 2015 and ending June 30, 2016, with an option, exercisable by the City, to extend said Agreement for an additional one (1) year period covering July 1, 2016 through June 30, 2017. C. On June 27, 2016, City exercised its option to extend said Agreement for a second year (Consultant Extension #A-2015-125). D. In accordance with the terms and conditions of said Agreement, the parties wish to amend the Term to provide for an additional two year period beginning July 1, 2017 and "ending June 30, 2019 with an option, exercisable by the City Manager and City Attorney, to renew said Agreement for an additional one (1) year period covering July 1, 2019 through June 30, 2020. E. The parties also wish to amend the Scope of Services to provide a Change Order Contingency. 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, Section l of said Agreement, "SCOPE OF SERVICES" shall be amended to read as follows: 1. SCOPE OF SERVICES a. Consultant shall collect delinquent dog license fees and penalties, and license fees for new dogs. Consultant will also canvas the City ofSanta Ana and collect dog license fees at the clog owner's door. The Consultant will encourage the dog owner to pay by cheek 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 25D-5 specifically mentioned, but which may be reasonably assumed as necessary for the completion of this work, shall be provided by the Consultant, b. Change Order Contingency — from time -to -time, at City's option, City may request additional dog license canvassing and collection related services of Consultant at mutually agreed upon scope and fees (to be applied as an offset to Consultant's delinquent dog license collection remittances to City). 2. Section 3 of said Agreement, "TERM" shall be amended to read as follows: This First Amendment to Agreement shall commence on July 1, 2017 and terminate on June 30, 2019, unless City exercises its option to extend the Agreement for an additional one (1) year period beginning July 1, 2019 and ending June 30, 2020, or unless terminated earlier in accordance with Section 12 of this Agreement. 3. Except as hereinabove modified, all terms and conditions of said Agreement shall remain unchanged in full force and effect, 4. This First Amendment to said Agreement must be signed below and may be signed in counterpart and delivered by fax, email as a PDF (Portable Document Format) file attaclunent, or by other means that displays the original or a copy of the signatures. Any subsequent amendments may be signed and delivered in the same manner, (Signatures on,follotivingpagej 25D-6 N WITNESS WHEREOF, the parties hereto have executed this First Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: Francisco Gutierrez, Executive Director Finance & Management Services Agency 3 25D-7 CITY OF SANTA ANA CYNTHIA J. KURTZ Interim City Manager CIVIC COLLECTIONS, INC. Douglas Shaw President Tax ID# 33-0486455 25D-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: AGREEMENT WITH 360 BUSINESS CONSULTING FOR WEBSITE REDESIGN AND CONTENT MANAGEMENT SYSTEM IMPLEMENTATION SERVICES {STRATEGIC PLAN NO. 7, 2DY RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 15-T515109Q4117 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2otl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the City Council to execute an agreement with 360 BC Group, Inc., DBA 360 Business Consulting, for website redesign, implementation of the Drupal Content Management System, in an amount not to exceed $168,576, including a 20 % contingency of $28,096, and to provide maintenance and support services for a three year period, in an amount not to exceed $72,000, for a total amount not to exceed $240,576, beginning June 15, 2017 through June 30, 2020, "subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION One of the Strategies of the City's Strategic Plan is to invest in software/resources that will help streamline the flow of information to City staff and the public. A primary tool that the City uses to communicate with the public is the City's website. The City's website (www.santa-ana.org) provides an important avenue of communication for its residents as well as other audiences including visitors and businesses. The City's website was launched in 1999 and has grown to consist of approximately 700 static HTML pages, plus 4,000 supporting content files (PDF, images, video, etc.). The existing website platform has limited capabilities, is not flexible, and the tools and processes to manage the content has become arduous and inefficient. To better manage the vast amount of content and improve operational efficiencies, Staff recommends redesigning the City website and implementation of a Content Management System (CMS). These systems enable content and website resources to be managed and stored in a centralized database. The City has chosen to standardize on the Drupal open source web CMS. Drupal is a robust, secure, modern, and flexible content management tool. It is used by many large public sector sites such as the Cities of Los Angeles, San Diego, and Austin, States of Colorado, New York, and Georgia, U.S. Department of TransAgd�tiory the White House, and other prominent Agreement for Website Redesign and Content Management System June 6, 2017 Page 2 government agencies. Since Drupal is open source software, there are no licensing costs, making it a cost-effective and sustainable platform. Some key requirements of the new website and CMS include the following: • Functional, appealing, service -based design, easy for users to navigate and access • Intuitive, easy-to-use interface for content contributors to create/update web content • Powerful integrated search capabilities • Mobile -friendly and ADA compliant that displays properly on PCs, tablets, and smart phones • Open Data portal for public data access • Economic development portal • Integration with the City's social media sites, such as Facebook and Twitter To make the transition from the City's current website to Drupal, the City requires assistance from a firm with expertise in website design and Drupal. On October 20, 2016, a Request for Proposal (RFP# 16-121) was posted on the City's website seeking proposals from qualified firms to assist the City with a website redesign and implementation of the Drupal CMS. Eight firms submitted proposals, none of which were Santa Ana companies. A selection team consisting of staff from the Information Technology, City Manager's Office, Community Development, and Planning and Building departments evaluated the proposals. Rank Firm Location 1 360 Business Consulting Orange, CA 2 KWALL Newport Beach, CA 3 Interpersonal Frequency I.F) Seattle, WA 4 Fig Leaf Software Washington, DC 5 O in Software Ottawa, Ontario, Canada 6 Ameex Technologies Chicago, IL 7 Planeteria Media, LLC Santa Rosa, CA 8 Brandtastic Costa Mesa, CA The selection team unanimously ranked 360 Business Consulting as the top vendor. Their proposal contained adequate hours to perform the expected work at a fixed price, and the firm's rates were reasonable and within industry standard. The proposal was found to provide the best value and is appropriate for the project because of the firm's qualifications and understanding of the scope. The City's Informational Technology Department (IT) will manage this project utilizing existing Web resources and will coordinate with content contributors from each of the other departments. The project is anticipated to take approximately six months to complete. 25E-2 Agreement for Website Redesign and Content Management System June 6, 2017 Page 3 This agreement includes initial implementation services in the amount of $140,480, plus a 20% contingency of $28,096. In addition, the agreement includes $72,000 for three years of ongoing support services, for a total not to exceed amount of $240,576. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #7 — Team Santa Ana, Objective #2 (establish communications plans to engage and inform employees and the community about City Activities), Strategy D (Invest in software/resources that will help streamline the flow of information to City staff and the public). FISCAL IMPACT Funds are available in the Information Technology Content and Collaboration accounting unit 10920145 for FY 2016-17 and will be budgeted in subsequent fiscal years. The following is an estimate of the distribution, but the actual amounts may vary within fiscal years based on the timing of the delivery of services. Description Account Fiscal Year Amount Implementation - Contract Services 10920145-62300 FY 2016-17 $28,096 FY 2017-18 $140,480 Software Support & Maintenance 10920145-62306 FY 2017-18 $24,000 FY 2018-19 $24,000 FY 2019-20 $24,000 Total Implementation, Support and Maintenance Cost: $240,576 APPROVED AS TO FUNDS AND ACCOUNTS: Jac iulla Francisco Gutierrez flp ChitIf Technology Innovations Officer Executive Director Information Technology Department Finance & Management Services Agency EXHIBIT: 1. Agreement with 360 Business Consulting 25E-3 25E-4 Exhibit 1 CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this 15" day of June, 2017, by and between 360 BC Group, Inc., a California corporation doing business as 360 Business Consulting (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 Website Redesign and Implementation of Drupal Content Management System. B. The City posted Request for Proposals for Website Redesign and Implementation of Drupal Content Management System (RFP 16-121) on October 20, 2016, a true and correct copy of which is attached hereto as Exhibit C. C. Consultant submitted a timely response to RFP 16-121, a true and correct copy of which is attached hereto as Exhibit D. D. Consultant represents that Consultant is able and willing to provide such services to the City and is licensed by the State of California to provide Website Redesign and Implementation of Drupal Content Management System. E. 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 website redesign and implementation 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: 1. SCOPE OF SERVICES a. Consultant shall perform those website redesign and implementation of Drupal Content Management System services as set forth in Exhibit A to this Agreement. b. Consultant shall perform the option of website maintenance and support services selected by the City as set forth in Exhibit B to this Agreement. City may choose to use either the Self -Hosted Maintenance and Support or the 360 and Amazon Web Services Hosted Maintenance and Support. City is not committed to either option and may change options or cancel services at any time prior to the start of a new month of service through a written request to Consultant. City may also resume cancelled maintenance and support services through a written request to Consultant. 2. COMPENSATION a. City agrees to pay and Consultant agrees to accept as total payment for the website redesign and implementation of Drupal Content Management System services, the rates and charges set forth in Section H of Exhibit A attached hereto. 25E-5 The amount to be expended for these specific services shall not exceed One Hundred and Sixty Eight Thousand, Five Hundred and Seventy Six dollars ($168,576.00), which includes a 20% contingency, during the term of this Agreement. b. City agrees to pay and Consultant agrees to accept as total payment for the website maintenance and support services, the rates and charges set forth in Section B of Exhibit B attached hereto. The amount to be expended for services shall not exceed Seventy Two Thousand dollars ($72,000.00) during the term of this Agreement. C. The total amount to be expended for both the website redesign and implementation of Drupal Content Management System services, as well as the website maintenance and support services, shall not exceed Two Hundred and Forty Thousand, Five Hundred and Seventy Six dollars ($240,576.00) 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. 3. TERM This Agreement shall commence on the date first written above, and terminate on June 30, 2020, unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended 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. 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 25E-6 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 Citys sole risk. [d�I�E39�7Ji;L��l 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. G. 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. (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. 25E-7 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. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the.terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. a. 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. 0 25E-8 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, sent by tele facsimile 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 With courtesy copies to: Executive Director Information Technology Department City of Santa Ana 20 Civic Center Plaza (M-42) Santa Ana, CA 92701 City Attorney City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana, CA 92701 Fax 714-647-6956 To Contractor. Ron Zayas Chief Strategist, Government and Municipalities 1576 N. Batavia Street Orange, CA 92867 25E-9 Fax 949-608-3663 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, followed by the language in the Scopes of Work in Exhibit A and Exhibit 8, followed by the language in the Consultant's Response to RFP 16-121 in Exhibit D. 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 In as much 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: 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. 25E-10 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. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. b, 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. [Signatures on following page] 25E-11 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: CARVALHO RECOMMENDED FOR APPROVAL: JACK CIULLA Executive Director Information Technology Department CITY OF SANTA ANA CYNTHIA J. KURTZ Interim City Manager 360 BUSINESS CONSULTING RON ZAYAS Chief Strategist Government and Municipalities Tax ID# 25E-12 EXIIIBIT A Scope of Work Website Redesign and Implementation of Drupal Content Management System 25E-13 City of Santa Ana Website Redesign & Implementation of Drupal CMS Exhibit A Scope of Work Website Redesign and Implementation of Drupal Content Management System This Scope of Work (SOW) describes the requirements and work to be performed by 360 Business Consulting ("360") for Website Redesign and Implementation of a Drupal Content Management System ("Website," "Site," or "CMS" ) for the City of Santa Ana ('City") per the Request for Proposal (RFP)16-121. A. BACKGROUND The City has one primary website (www.santa-ana.org) to provide different avenues of communication for its residents and to also direct specific information to a variety of segments of audience such as those interested in visiting or doing business with the City. The website first launched in 1999 and has grown to consist of approximately 700 static HTML pages, plus 4,000 supporting assets (PDF, images, video, etc.). The City's Communications Manager is the Editor in Chief, responsible for content editorial and for providing images and photography. The departments develop content, graphics and photographs. The City's various departments are responsible for managing their departmental content which is directed through a workflow in the content management system for approval and publishing by the I.T. department. Responsibility for authoring content updates within the current content management system is distributed across multiple departments. The City's Information Technology department is responsible for all City websites. The I.T. Department administers the City's servers, content management platform, backup and disaster recovery, security and management of the process to update the sites. This RFP is for website redesign and implementation of a new content management system as well as full development and implementation services. The City currently hosts its sites internally with Windows Serverl[IS, but would prefer to use 3rd party non -vendor specific cloud hosting. The current City web site is not utilizing a content management system and hosted internally in a Microsoft Windows environment. The City currently uses Adobe Contribute to manage the updating of content for the primary website. The production environment consists of a single physical server which runs web services (IIS) and a separate physical database server running Microsoft SQL. S. PROJECT DRIVERS 1. Replace current Adobe Contribute environment with a robust database -driven web content management system. 2. Provide intuitive, easy-to-use interface for content contributors to create/update web content. 3. Functional, appealing, service -based, and responsive website design that allows easy access from all devices, including smart phones. Scope of Work 25E-14 City of Santa Ana Website Redesign & Implementation of Drupal CMS 4. Strong search capabilities. 5. Include an Open Data portal for public data. 6. Include an Economic Development portal. 7. Advanced features such as language translation, GIS mapping, and personalization 8. Ability to interact with back-office systems to provide online services to the public. 9. Have the site be hosted with failover redundancy. C. TECHNICAL REQUIREMENTS 1. The City has selected the Drupal 8 Content Management System. 2. MySQL or equivalent open source database engine. 3. Assist with installation and configuration of all the necessary environments (e.g., Dev Test, Staging, Production, etc.). 4. Create mechanisms to automatically migrate data from Staging to Production or from Production to Staging. 5. Create ability to refresh environments from Production, when necessary. 6. Provide documentation/procedures for handling any custom code/plug-ins during patching and upgrades. 7. Design should utilize HTML5 and CSS3. 8. Ability to Install and utilize plugins for additional features and functionality. 9. GIT Implementation for code versioning, site synchronization and backup. 10. Integration of USA.gov Analytics for the City's website. 11. Provide optional quote to have hosted in fully redundant data center such as AWS or Acquia Cloud. D. FUNCTIONAL REQUIREMENTS GENERAL 1. Site design must meet ADA requirements. 2. Ability to create FAQ pages. 3. URL aliasing capabilities. 4. Ability to manage web server (set up redirects, sub -domains, MIMI mapping, etc.) 5. Links to City mobile apps. 6. Focus on online services. CALENDAR/EVENTS 7. Calendaring system that provides for multiple individual calendars that can also be rolled up into one calendar. 8. Calendars should have options for different views. 9. Calendars have classification that can be used for personalization. (See Personalization section). 10. Online event information submission. ECONOMIC DEVELOPMENT PORTAL 11. Portal may have unique templates and even be a sub -site. 12. Site will contain embedded media, such as video, slide decks and high resolution photos 13. Functionality across several user platforms - including mobile devices and major browsers (Chrome, IE, Safari, Firefox, etc.) 14. Include analytics and lead generation - Google analytics, salesforce.com backed functionality. Scope of Work 2 25E-15 City of Santa Ana Website Redesign & Implementation of Drupal CMS EDITING 15. Provide necessary templates to allow content contributors to easily create the various content types required for the City site. 16. Content contributors should have the option of a WYSIWYG or HTML editor for editing webpages, articles, posts, or newsletters. 17. Ability to version pages and revert to prior versions. 18. Ability to stage and expire content by date and time. 19. Content contributors have the ability to add new pages and add to website navigation. 20. Ability to copy and paste from Microsoft Word. 21. Ability to classify any object with categories, tags, or meta data to improve search results. 22. Ability to easily attach and work with images and photos in the editor. 23. Ability to easily embed video Images into webpages. 24. Ability to easily post emergency notices to the homepage. EMAIL LIST MANAGEMENT 25. Website should provide visitor with the ability to subscribe to a variety of opt -in email lists, such as email newsletters, announcement lists, or discussion groups. 26. Visitors should be able to unsubscribe from lists. 27. Integration should exist to integrate lists with marketing services such as Constant Contact. FORMS 28. Provide the ability to create data entry forms that send email notifications. 29. Provide the ability to create data entry forms that update an internal database 30. Provide the capability of creating online surveys. 31. Ability for users to report problems and ask questions. GIS 32. Ability to supply location -based information through maps (e.g., Google, ESRI, etc). 33. Navigation using map hotspots for neighborhood groups. IMAGES AND VIDEO 34. Centralized image and photo libraries for managing website assets. 35. The ability to have the system automatically resize images and photos into web -friendly sizes -- Preferably during the upload process. 36. The ability to create thumbnail images of photos and images automatically without using its full size. 37. The ability to create photo albums/galleries that can be embedded into webpages. 38. Provide the ability to attach captions to photos. 39. Ability to upload and store video files. 40. Ability to display streaming video feeds. INTEGRATION 41. Ability to embed other sites/applications into the website (!Frame). 42. Ability to communicate with other City systems to exchange data, if desired. 43. Ability to send out email blasts to distribution list. 44. Ability to integrate with Nixie (Nixle.com) for alerts. LTA 9y010=111 1�[01I.TC X. Scope of Work 25E-16 City of Santa Ana Website Redesign & Implementation of Drupal CMS 45. Provide the ability to easily display the entire site in multiple languages through Google Translate. 46. Provide the ability to have alternate versions of pages for multiple languages and display those pages if that is the visitor's preference. NEWS 47. Provide tools for creating and managing news items and press releases. Items may be specific to department for departmental pages or rolled up for the home page. 48. News items may or may not contalman image or picture. 49. Ability to display department -specific items on departmental pages, identify which items will roll up to home page and indicate which items may stick to homepage. 50. Ability to provide an RSS feed of news items. OPEN DATA PORTAL 51. Implement an Open Data web portal using the DKAN open source tool. 52. Assist with the creation of up to 12 dataset and 6 chartstmaps. (City to provide data or feed). 53. Must meet California Open Data requirements (http://Ie-qinfo.1 gislature.ca:gov/faces/billNavClienL.xhtml?bill id=201520160AB169) 54. Integrate portal with primary website, and provide consistent navigation, look and feel. PERSONALIZATION 55. Provide the ability to have users choose preferences in a profile that will then tailor content for their viewing. For example, choose neighborhood(s)/park(s) In order to see content (news, events) specific to the neigh borhood(s)fpark(s). 56. Allow users to change their profile settings. 57. Allow content contributors to classify content in a way that facilitates personalization preferences. SEARCH 58. Provide a powerful integrated search engine that can index managed content. 59. Allow ranking or prioritizing of search results. 60. Searches should be across all content types (e.g., News, webpages, images, video, etc.) 61. Allow federated search of other City domains (sub -sites). SECURITY AND WORKFLOW 62. Provide LDAP integration with the City's Active Directory for single sign -on. 63. Provide role -based security that limits access and functionality based on a user's logon. 64. Provide workflow for approvals of content changes. 65. Must use the latest security techniques to prevent hacking. 66. Must have tools for users to use self-service for registration and for reminders/resetting of forgotten IDs and passwords. SOCIAL MEDIA 67. Provide for a separate portal/page for Social Media links. 68. Provide controls for the public to share website content on various social media platforms. 69. Provide tools to embed social media feeds into website pages. STATISTICS 70. Provide ability to capture and report on website visitor informationtstatistics. Scope of Work 4 25E-17 City of Santa Ana Website Redesign & Implementation of Drupal CMS TRAINING 71. Provide manual for technical administration of the CMS. 72. Provide training manual for content contributors. E. DESIGN REQUIREMENTS 360 will develop design themes that incorporate the City's branding elements with updated colors, typography, layouts and other such elements. A focus of the updated design will be to support improvements to user experience. The new design should incorporate todays design elements used by progressive and technology -friendly agencies also utilizing navigational trends that model the mobile user's needs. For example, design should reflect use of images rather than text with use of photography and graphics, the site should be nimble and portray a mood and a reflection of City culture. The layout should be liquid rather than static with a focus on presentation plan/information architecture (content placement and navigation). The resulting website must be responsive meaning it will employ a responsive design that will present the site's content in a style and layout that adapts to the capabilities and limitations of the particular user agent (computer, tablet, mobile device, assistive browser etc.) being used to visit the site. Optimization of delivered content will be accomplished by employing design strategies such as progressive enhancement, fluid layouts, proportion -based grids, responsive images, and CSS3 media queries. This responsive design should be friendly for touch based navigation. The website will function as an effective communications and marketing tool highlighting City news, functions and services for the community and beyond. The site must be unique, look professional, and uniformly represent the City in interaction with residents, businesses, and visitors both current and potential. The entry point for the site must represent the quality, character and embodiment of the City allowing users easy access to information with minimal clicks. 360 will work with the City team to plan and organize information on the site, which most likely will include planning sessions, regular meetings, and continued communication throughout the duration of the website design project. F. IMPLEMENTATION PLAN 360 will provide comprehensive website design, development, implementation, and project management services to redesign the City's website and implement the Drupal CMS. 360 will develop a Project Plan that describes the plan for performing the work required to meet the project's requirements and objectives. Below is an overview of the implementation activities and approach that 360 will use to fulfill the scope of services for this project. 1. Project Management Scope of Work 25E-18 City of Santa Ana _ Website Redesign & Implementation of Drupal CMS 360 will provide project management during the life of the project. 360 will lead the planning, define tasks, develop and maintain the schedule, and manage the scope and production of deliverables. 360 will develop an implementation plan and project schedule that will include the activities required to implement the project. This will include time for adjustments to the website architecture, design, technical implementation, content development, testing and ultimately, the launch of the new site and marketing program. It is understood that changes, adjustments and revisions are part of the process of getting the most desirable website. The project schedule will be efficient, yet realistic. 360 will be proactive, take ownership, and consistently communicate. 360 will update project documents and the schedule as changes occur. At the start of the project, 360 will facilitate a project kick-off meeting with the City team and selected internal City stakeholders. This meeting will review project objectives, requirements, scope, preliminary schedule, approach, roles and responsibilities, and other topics. 360 will lead weekly status meetings with the team to discuss and review project topics, status, issues and upcoming activities. The weekly meetings will help keep the project on track and on schedule. Project objectives and strategy will be discussed in the initial meeting. Meetings will be conducted via teleconference using 360's conference call line or onsite at the City depending on the topics and needs of the meeting. 360 will also be available by email and phone between meetings as needed. 360 will provide a weekly status report that tracks tasks, deadlines and completion status. The report will be direct, thorough and make prioritization management straightforward and part of the weekly discussions. The 360 FuIlView Communication System may be used to track project tasks in real-time. 360 and the City will decide which tools will be used during the planning phase (e.g.: FuIlView and Microsoft Project). There is no one -size -fits -all program. 360 will not assume the City s needs for the project and technical environment. The City is the owner of its program. 360 will serve as a partner to make the City's requirements come to life. Successful implementation will require direct communication between the City and 360. The City will have access to 360 resources to meet with regularly and when needed. 2. Evaluation 360 will work with the City to define the specific goals of the website redesign to set a common expectation for performance. Success factors will be defined, such as the following: • Number of request for information forms submitted • Promoting the business opportunities building awareness • Attracting traffic to the site and increasing engagement? Scope of Work 25E-19 City of Santa Ana Website Redesign & Implementation of Drupal CMS 360 will rely on web analytic tools to help us understand how the City's audience is interacting with the website and can provide insight into what is working well and what might need some adjusting/revising. A key measurement is engagement, or how engaged users are. This helps understand if the site is providing information, communicating a story and increasing the awareness. 360 will review average time spent on pages, time spent on portal and pages per visit. If visitors aren't finding a particular key page, not staying long or are exiting from that page, 360 will revisit the content and how to drive users to that page. For calls to action that leads the visitor to request more information or contact the program, 360 will track the number of completed forms (hopefully this can be compared with historical data), signups for newsletter or bldg or download an app or other support tools. 3. Website Design and Development At the start of the project, an initial discovery meeting will be held at the City. During this meeting, 360 will gather more information from the City about the requirements of the website as well as establish mutual expectations for communication and reporting of project status. 360 will also review City web stats and analytics. 360 will also discuss the process of migrating the existing designs and functionality and make sure all the information is collected to begin. Following the first meeting, 360 will prepare three design themes / comps for the portal and support materials followed by three to five rounds of revisions based on City feedback. Once the main look and feel is determined, 360 will work with the City team to create additional responsive or adaptive designs / themes followed by three rounds of revisions. These designs will be customizable by color, logo and branding for each of the templates. The City will determine if the Economic Development Portal will be included with the main site, or a microsite. If the later, 360 will provide designs choices for that portal. Upon the City's request, 360 will facilitate a public workshop to gather input on the design and ! or set expectations. Major initiatives require the collaboration and cooperation of many different entities and people. 360 can collaborate with other departments, vendors and the public in order to accomplish project objectives. 360 will be flexible and accommodating. The design should be professional, unique in appearance, and graphically inviting. The entry page should speak to the character of Santa Ana and inspire visitors to explore the site for the information they need. 360 will ensure that the new website is compliant with Federal ADA requirements. Some examples include ensuring that the portal can be navigated with only the directional arrows and keyboard and offering a text browser. 360 will design the website to be mobile -friendly and give users the same access from their mobile device as from their computer. The website will be viewable on computers, tablets and smart phones. Scope of Work 25E-20 7 City of Santa Ana Website Redesign & Implementation of Drupal CMS 360 will configure the website to include or be capable of including e -newsletters, calendars, newsroom(s), surveys, web forms, online payment processing, and directories. 360 will create up to 25 different e -newsletters. 360 will provide a development environment during the development and implementation phase of the website for use by 360 and City personnel. 360 will be responsible for setup, maintenance and hosting, and all associated costs of this environment. For the production environment, the City will either provide its own hardware and infrastructure at the City or use a third party hosting service such as Amazon Web Services (AWS) or will have 360 host the environment with 360 and AWS resources. 360 will charge a monthly fee specified in the Scope of Work - Maintenance and Support Services for a 360 -Hosted environment. In any case, 360 will install and configure the operating systems, website software, and tools on the production environment as part of this implementation project. 360 will ensure the website environments are protected by financial -grade security. 360 will deliver reporting and management that will allow the City to quickly and easily track the usage of the portal. This may be accomplished with Gocgle Analytics to provide comprehensive tracking and management information to help better understand how visitors use the site. 4. User Acceptance Testing and Quality Control Throughout the development process, 360 will test for platform compatibility and security This ensures that the website appears and responds consistently, regardless of the operating system or browser used. The website will be designed and developed to be compatible with both PC and Mac platforms using Internet Explorer, Chrome, Safari and Firefox browsers. A standard procedure for website changes will ensure the pages appear the same, regardless of user preferences. During the development of the site, 360 quality control manager(s) will conduct weekly testing to ensure this compatibility and that there are no broken links. This testing will be documented through 360's online project ticketing system, as well as reviewed during the weekly status meeting and / or in the weekly status report. 360 and the City will develop a Test Plan that will describe the testing process, identify the testing to be performed, and define the acceptance criteria. At the end of the development phase, 360 and designated City team members will test the website. 360 will provide a link to an invisible, secure development server for testing. Testers will verify that the City's requirements are met. Issues will be reported to 360 and logged in the ticking system for correction. 360 will correct any issues and notify the City to re -test the affected areas. Once the issues are resolved, the City will indicate User Acceptance of the website and prepare for launch and public use. 5. Training and Documentation Scope of Work 25E-21 City of Santa Ana Website Redesign & Implementation of Drupal CMS 360 will provide comprehensive training to the City about the website and CMS including administration, management, updating, and maintenance. 360 will develop and provide training materials. 360 will provide 40 hours of training for the City's designated web administrators. This may be split into multiple sessions. Additionally, 360 will provide up to five in-person training sessions and up to 20 web trainings. Following onsite training, 360 will be available during business hours to answer training questions via email and phone. In addition to previous web training sessions, 360 will host three additional WebEx trainings to demonstrate the software's functionality and features, or as follow up training, as requested by the City. 360 will develop an Online Training and Certification for the City. The online course and certification allows City staff to complete a comprehensive training course and achieve certification to administer the site. This allows the City to provide training to additional or new staff as well as a refresher course for those who take the initial training. 360 will develop and provide comprehensive training manual(s) and thorough documentation online. 360 will develop a Disaster Recovery and Backup Plan. 6. Go Live and Post -Live Support After User Acceptance Testing, the website and CMS will be ready to launch. 360 will develop a Go Live Plan that will identify the tasks, assignments, timing, and support process in migrating and launching the new website. The plan should also include a contingency plan in the event of a "show -stopper' type issue. 360 will lead the migration and launch of the new site. After Go Live, 360 will ensure that all documentation is updated and turned over to the City. 360 and the City will continue to meet weekly for 30 days after Go Live for post -rollout oversight and troubleshooting. 360 also will make necessary modifications to the site's architecture during this time. 360 will provide technical and content support for 90 days after Go Live. This includes minor design changes and enhancements. 360 will be available via phone and email during business hours and after hours for emergency services. Anticipated Timeline 360 will develop an implementation plan and project schedule that will include the activities required to implement the project. The general project timeframe is expected to be six months; however, 360 and the City will be flexible to actual schedule requirements and resource availability once requirements have been more fully defined during the discovery phase. Scope of Work 25E-22 City of Santa Ana Website Redesign & Implementation of Drupal CMS 360 will lead weekly status meetings with the team to discuss and review project topics, status, issues and upcoming activities. The weekly meetings will help keep the project on track and on schedule. Below are project milestones and their possible timeframe. Actual planned timeframes will be identified in the project schedule. a. Project Kick-Off/Initial Meeting Start of Project: At the kick-off meeting 360 will facilitate discussion to get a clear picture of City wants and needs for the website and economic development portal. The meeting will also include discussion on whether a Workshop to facilitate input from stakeholders is desired. Month 2: Following the first meeting, 360 will prepare the three design comps for the sites and create the development strategy within 2 weeks. b. Provide Comprehensive Documentation and Materials Generated from Website Design Month 2: Once the City has selected the design concept (assuming 2 weeks are required to review, request design changes and approve), page templates and design elements will be ready for review approximately 2 weeks from the date of selection. Simultaneous back -end development on the site and CMS will happen during this time. Once design has been selected, the City can determine if it would like a Workshop to present initial design concept with stakeholders. c. Install and Configure Drupal Development and Production Environments Month 3: If all approval timelines are met and images are approved, the Drupal templates will be ready for content. 360 will then begin the content migration. d. Implement New Website on Development Server Utilizing Drupal Month 3: Assuming approval, 360 will have the functionality, CMS system and content migration completed. At the City's request, 360 will develop and post a brief video on the exiting website to give users a sneak -peek at the new website and how to use it. This will build excitement toward the site's launch and prevent as much confusion as possible once the new site is launched. The video would show the main highlights of the new home page and the basic architecture. e. Quality Assurance of Drupal Solution Month 4: At this stage, 360 will be conducting quality control although the City team may QC as well. At the City's request, 360 will refresh the video to keep stakeholders informed and possibly include a testimonial or report on a new piece of functionality. f. Completion of Deployment to Production Web Server and User Acceptance Testing Scope of Work 10 25E-23 City of Santa Ana Website Redesign & Implementation of Drupal CMS Month 4: Following quality assurance testing, 3.60 will make any necessary bug fixes, link issues or any adjustments to the Drupal templates before deploying the site to the production server and conducting user acceptance testing. g. Delivery of Disaster Recovery, Backup Plan and Training Month 5: 360 will provide the initial training sessions in preparation for the go -live date. These trainings will range from the highest -level administrator to department editors and other defined roles as needed. 360 will also deliver the disaster recovery and backup plan to the City. h. Design and Implementation Completion Month 6: Following training, the websites will be ready to go live. Below is a high-level sample representation of the project milestones and timeline. The actual planned timeframes will be determined when the project schedule is developed. G. ADDITIONAL SERVICES 360 will provides the following services at no additional cost during the term of this agreement. Writing 360 will provide writing, copywriting, editing and proofing services for the content related to all web pages. 360 will revise existing content, work with the City team to create new content through interviews of key personnel, and provide new content as needed. 360's professional writing services will help the website with ADA issues, usability, and search engine optimization. 2. SEO Support 360 will manage the transition from the existing site to the new site, including keyword management, redirects, indexing and submission issues, to provide as much of an improvement in traffic as possible, while minimizing typical traffic losses when Scope of Work 25E-24 11 1117 2110 IID 4110 4124 711 1111 11II 611 R1[ftt6v kill [trnxrarvju.,dwrn't {ilrlmC a,lr�wrmudiw„� Yui¢\nglln and Orlrn Item+_i Ua,v14ca1SviRO? la Crn!rriht urlim Clfs iidCu4rnt Mldr�9L 4m;JLN W,I( %SW n(SU Ui k IO Piwuttm finer ad UaMu uac lanLm P�tn Raa rnm N L tc NM Jrl itirir4l) owrM uuab G. ADDITIONAL SERVICES 360 will provides the following services at no additional cost during the term of this agreement. Writing 360 will provide writing, copywriting, editing and proofing services for the content related to all web pages. 360 will revise existing content, work with the City team to create new content through interviews of key personnel, and provide new content as needed. 360's professional writing services will help the website with ADA issues, usability, and search engine optimization. 2. SEO Support 360 will manage the transition from the existing site to the new site, including keyword management, redirects, indexing and submission issues, to provide as much of an improvement in traffic as possible, while minimizing typical traffic losses when Scope of Work 25E-24 11 City of Santa Ana Website Redesign & Implementation of Drupal CMS transitioning from one site to another. The aim will be to preserve current Search Engine standings, preventing any loss of SEC that the City has achieved. 3. Content Migration and Conversion 360 will provide strategic and implementation services to prioritize and transfer the site's existing content, with support for culling, editing and reorganizing the content as appropriate for user experience and functionality. When importing documents, the CMS will strip out unnecessary formatting to eliminate the problem of inconsistent formatting on the web pages. 360 will use systems that know what to look for and remove any formatting that will impact the appearance of the City's online content. 4. Advanced Site Functionality The 360 will create and implement advanced search functionality, including adaptive and smart searches, intelligent calendaring and subscription capabilities, integrated email list management and email content creation. In addition, 360 will provide open data portals for providing City -based information, and categorizations of the data to use in TBD ad hoc applications that would allow site visitors to use appropriate data in a beneficial manner. H. Costs and Payment 360 will provide the services included in this SOW for a fixed price of $140,480, payable upon the Payment Schedule below. Travel expenses for 360, Including parking costs at the City, are 360's responsibility and are not reimbursable. Payment Schedule The Payment Schedule will be based on completion of the following project milestones ("Payment Milestones"). 360 will invoice the City upon completion of each Payment Milestone. Approximate Milestone Date* Amount Notes Contract Signing +1 day Following Initial Meeting and Completion of Interviews and Design Strategy +30 days Provide Comprehensive Documentation for Approved Website Design +30-45 days Provide Comprehensive Documentation for Economic Development Portal +60 days Install and Configure Drupal Development and Production Environments +90 days Complete Open Data Portal Implementation +120 days $28,096 20% initial payment $5,000 $10,000 $5,000 $10,000 $10,000 Scope of Work 12 25E-25 City of Santa Ana Website Redesign & Implementation of Drupal CMS Implement New Website on Development Server, including Completion of Content Migration +120 days Quality Assurance of Drupal Solution +150 days Completion of Deployment to Production Web Server and User Acceptance Testing +160 days Delivery of Disaster Recovery, Back up Plan and Training +170 days Design and Implementation Completion +180 days Total $5,000 Production site infrastructure $10,000 ready $15,000 Main and Business Portal $3,000 $39,384 $140,480 "Approximation only. The timing of the billing will be based on the actual completion date of each milestone. 2. Changes and Contingency 360 will provide the services.and scope identified in this SOW for a fixed price. This includes reasonable changes and revisions to design and project tasks during the course of the project required to achieve project objectives. 360 will be flexible, and the City will be reasonable in expectations. The City recognizes that there may be unknown requirements or work that is clearly outside of the defined scope that may surface during the project. In such a case, the City may authorize additional products or services in a total amount up to $28,096. Proposed billable changes shall be submitted on a Change Request form that identifies the proposed change, justification, impact to the project, and costs. Change Requests must be approved by signature from an authorized 360 representative and the City's Chief Technology innovations Officer or his designee. 3. Payment Terms Payment Terms are Net 45 days, although the City will make effort to pay within 30 days. Scope of Work 25E-26 13 EXHIBIT B Scope of Work Website Maintenance and Support Services 10 25E-27 City of Santa Ana Website Maintenance and Support Services Exhibit B Scope of Work Website Maintenance and Support Services This Scope of Work (SOW) describes the optional maintenance and support services ("Services") available from 360 Business Consulting ("360") for the City's Website and Drupal Content Management System ("Website," "Site," or "CMS' ) for the City of Santa Ana ("City'). The City, at its discretion, may elect to utilize 360's maintenance and support services during the term of this agreement. A. MAINTENANCE AND SUPPORT SERVICES The City may choose to use to one of the following -360 website maintenance and support services. • Self -Hosted Maintenance and Support ("Self -Hosted") • 360 and Amazon Web Services Hosted Maintenance and Support ("360 -Hosted") Self -Hosted In this arrangement, the City is responsible to provide the hardware and infrastructure environment that the website and CMS nun on. This can be onsite at the City Data Center or at a third -parry hosting service such as Amazon Web Services (AWS). 360 will provide the following services. • Website and Drupal CMS Technical Support • Website Content Change Updates • Website and Drupal CMS Administrator and Content Contributor Training • 24/7 monitoring and intrusion alerts • Drupal security updates and certification of compatibility • Patches, programming and maintenance support as needed • Usage, uptime, response times and hardware monitoring • Security Monitoring, Analysis, and Response o IP -based security features for administration, locking access to admin functions by default to whitelisted IPs through client's VPN infrastructure (can be disabled by 360 in event of temporary failure of VPN environment, SSO issues and only at City's request) o Restriction of access by roles, with alert monitoring for access requests outside of the role's defined parameters. o Non-standard directory paths, permissions and configurations. o Tar -pitting and monitoring of excessive access requests from accounts, including admins, managers and users. o Segregation of Drupal tables to limit access as much as possible to role - defined tables and reporting, monitoring and tar -pitting of suspicious access. Scope of Work 25E-28 of Santa Ana Website Maintenance and Support Services Encryption of web -submitted data, emails (newsletter subscriptions), and any personally -identifiable data. Usage trends, access patterns by time, roles, accounts and geographic locations to alert 360 of atypical patterns and permit intrusion alert and tar - pitting as appropriate. Disabling of key ports, access points and shell accounts, and disabling access to allowed accounts except by IP address by default. The City will provide 360 VPN access to the environment. The City will provide root / system administrator / local administrator permissions to authorized 360 staff. 360 -Hosted In this arrangement, 360 is responsible to provide the hardware and infrastructure environment that the website and CMS run on. This will be a combination of 360 and Amazon Web Services (AWS) resources. • Same services as Self -Hosted, plus • Environment Hosting • Hacking, DDOS and generalized attacking avoidance, emergency service and monitoring • 24/7 live person support • Operating System updates and certification of compatibility • Monitoring of all, non -page -based traffic requests (by default, Drupal serves only pages. As such, any requests for traffic not originating from a Drupal page request is considered suspect. 360 works with its partners to identify and monitor such requests) The environment resource capacity will be sized to meet City usage requirements and may be comparable to the Environment Expectations specified herein, subject to adjustment. 360 manages and is responsible for the AWS account and paying AWS for services used. 360 will provide the City VPN access to the environment. 360 will provide root/ system administrator/ local administrator permissions to authorized City Infrastructure staff. B. COSTS AND PAYMENT TERMS The City may begin maintenance and support services through a written request from the City's Chief Technology Innovations Officer or his designee sent via email, facsimile, or postal communication method specifying either the Self -Hosted or 360 -Hosted service option. Scope of Work 2 25E-29 City of Santa Ana Website Maintenance and Support Services 360 will provide maintenance and support services for the designated service option at the rate specified below: Service Option Monthly Fee Self -Hosted $1,000.00 360 -Hosted $2,000.00 360 will invoice the City in the month preceding the month in which the service will be provided. Payment Terms are Net 45 days, although the City will make effort to pay within 30 days. C. TERM The maintenance and support service term shall be through June 30, 2020. The City may cancel the service at any time prior to the start of a new month of service through a written cancelation request from the City's Chief Technology Innovations Officer or his designee sent via email, facsimile, or postal communication method. Upon cancellation, the City must pay outstanding invoices for previous and current months of service. For the 360 -Hosted option, the City must make arrangements to migrate the website and CMS to its own environment prior to cancelation if it wants to keep the website and CMS. The City shall retain ownership rights to the website and CMS content, configuration, custom programs, and software and have access to migrate off the 360 environment at will. The City may resume cancelled maintenance and support service through a written request from the City's Chief Technology Innovations Officer or his designee sent via email, facsimile, or postal communication method. D. ENVIRONMENT EXPECTATIONS Below are guidelines for computing, storage, database, and network requirements that are believed to meet the City's website and CMS requirements. Actual configuration and capacity will vary based upon the final environment design. Further, the environment may change during the course of time to address issues and make improvements. This information is provided for general "rough order of magnitude" expectations of the size of the initial environment. Production Environment HTMUDrupal Servers (2 recommended) • Linux -based OS (Centos or RHEL) • 8gb RAM minimum per server (16gb optimal) • 100gb disk space • 2-4 core CPU Database Servers (2 recommended with mirroring) • MySQL or MariaDB Scope of Work 25E-30 City of Santa Ana Website Maintenance and Support Services • 8gb RAM minimum per server • 100gb disk space • 4 core CPU File Storage (NAS, 3S, etc) • 1tb of space recommended with redundancy Firewall • Full service, programmable firewall with DDOS capabilities and IP-, port - and geo-filtering capabilities. Load Balancer • Ability to balance traffic based on load and availability • If not on a redundant infrastructure, load balancing across networks 2. Development/Staging Environment HTML/Drupal Servers (1 recommended) • Linux -based OS (Centos or RHEL to match production) 8gb RAM minimum per server • 100gb disk space • 2 core CPU E. SERVICE LEVEL AGREEMENT 360 will provide the following service levels (SLA). Website Monitoring a. The website will be monitored for HTTP and MySQL (database) responsiveness on an automated 24 hour basis. b. Responses that fall outside of the response time bracket (average response time x 1.5) will be sent to on-call 360 staff for review within 30 minutes. Escalation action will be taken within 2 hours depending on conclusions. C. Response "fail' codes (website non-responsive) will be sent to on-call 360 staff and 360 will test, review and access the site for repair within 30 minutes. If the site issues are software related, 360 will work to resolve the issue and provide a status within 2 hours of identification of error. d. If website "fail" code is related to hardware, 360 will contact the City or hosting service staff to identify and escalate issues. e. For 360 -Hosting service, the SLA agreement for uptime is 99.9%. 2. Website Maintenance a. Non-critical updates for OS and Drupal will be reviewed within 1 week of identification of upgrades and applied as necessary within that time period. This will allow for testing on the development environment to ensure compatibility with Scope of Work 25E-31 City of Santa Ana Website Maintenance and Support Services production environment and modules. b. Critical security updates for the OS and Drupal will be reviewed and implemented within 2 business days of identification of the updates. 360 may work with hosting partner to install OS updates as needed. 3. Web Changes a. Changes to web content, templates, forms, et al, requested by the City as "non- emergency' changes have a typical turnaround time of not -to -exceed 3 business days. Most happen faster, but some requiring more intensive programming or design changes may go beyond that timeframe. Any exceptions will be quoted to the City within 1 business day of submittal of change request. Historically, 360 completes 95% of non -emergency changes within the 3 -business -day timeframe. b. Requested web changes identified by the City as "emergency changes" are handled within the same business day, unless extensive changes are needed. Any exceptions will be quoted to the City within 1 business hour of submittal of change request. Emergency requests unrelated to website responsiveness issues may be billed at 150% of hourly fee. 4. Phone Support a. Website responsiveness issues (as outlined in section 1a, 1b and 1c) reported by phone or through ticketing system will be responded to on a 24-hour emergency basis. If on-call personnel do not immediately answer the call, a call back will be initiated within 15 minutes of the call. b. Live operator handles non -emergency support during business hours. C. Requests for phone support training on ad hoc issues is handled during business hours. If immediate support is not available, a call back will be initiated within 2 business hours of submission of the support request. d. Requests for onsite training will have a 3 -business day lead time; web -based training requests will have an up -to 2 -business day lead time for scheduling. 5. If 360 fails to meet its SLA commitment, it shall provide the City a pro -rated credit from the monthly fee for the time in which the service commitment was not met. Scope of Work 25E-32 EXHIBIT C Request for Proposals for Website Redesign and Implementation of Arupal Content Management System RTP 16-121. 11 25E-33 REQUEST FOR PROPOSALS (RFP) FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM RFP 16-121 CITY OF SANTA ANA Santa Ana Information Technology. Department 20 Civic Center Plaza Santa Ana, CA 92702 KEY RFP DATES (Subiectto change): Issue Date: Deadline for Questions: Proposal Due Date: Presentation/Interviews: Jack Ciulla Project Director iciuilafa santa-ana.org September 30, 2016 October 7, 2016 at 3:00 pm October 20, 2016 at 4:00 pm November 14 — November 18, 2016 25E-34 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide Website Redesign and Implementation of Drupal Content Management System. Responses to this Request for Proposals (RFP) will be accepted until Thursday. October 20, 2016 at 4:00 p.m. All notifications, updates and: addenda will be posted on the City's online bid management and publication system page at https://avww.planetbids.com/portal/r)ortal.cfm?CompanvlD=20137 Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. The City reserves the right to reject any or all proposals submitted. MAILED, DELIVERED BY HAND, or COURIERED proposals'will be accepted at: City of Santa Ana Attn: Buyer, Eva Goods, RFP #16-121 Purchasing Department, 41 Floor 20 Civic Center Plaza, Room 429 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 Proposal shall be made in writing, submitted through the online bidding system at htti)s:/hvww.planetbids.com/portal/portal.cfm?CompanvlD=20137 under the "Q&A" tab for this RFP. The receiving time in the Purchasing Department, 20 Civic Center Plaza, Santa Ana, CA 92702, 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 PROPOSALS ARE ACCEPTABLE. DO NOT E-MAIL RFP RESPONSES. DO NOT FAX RFP RESPONSES. 25Ez35 CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM TABLE OF CONTENTS 25E=36 PAGE I. INTRODUCTION 4 II. PERIOD OF CONTRACT 4 III. OPTION OF RENEWAL 4 IV. FISCAL NONFUNDING CLAUSE 4 V. SCOPE OF SERVICES 4 VI. GENERAL INFORMATION 5 VII. PROPOSER RESPONSIBILITIES 5 VIII. INITIATION/KICK OFF MEETING 5 IX. CITY BUSINESS LICENSE 5 X. ADDENDA 6 XI. RULES FOR PROPOSALS 6 XII. COMMUNICATIONS AND INTERPRETATIONS/CLARIFICATION DEADLINE 6 XIII. SUBMITTAL INFORMATION AND DEADLINE 6 XIV. SUBMITTAL REQUIREMENTS 6 XV. CONSULTANT SELECTION — PROPOSAL AND EVALUATION 7 XVI. PUBLIC RECORDS 8 XVII. PROTESTS 8 EXHIBIT A— SCOPE OF SERVICES 9 DESCRIPTION AND SCOPE OF SERVICES 9 A. BACKGROUND 9 B. PROJECT DRIVERS 9 C. TECHNICAL REQUIREMENTS 10 D. FUNCTIONAL REQUIREMENTS 10 E. DESIGN REQUIREMENTS 12 F. IMPLEMENTATION 13 G. PERFORMANCE SCHEDULE 13 EXHIBIT B — SAMPLE AGREEMENT 14 EXHIBIT C — PROPOSERS CERTIFICATION and COST PROPOSAL 20 EXHIBIT D — OFFERERS REFERENCES 21 EXHIBIT E — PROPOSERS STATEMENT 22 EXHIBIT F — SAMPLE ADDITIONAL INSURED ENDORSEMENT 23 25E=36 CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR WEBSITE REDESIGN AND IMPLMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM The City of Santa Ana (the "City") is soliciting proposals for a comprehensive website redesign and implementation of a Drupal-based content management system. Any eventual system must not only meet the requirements set forth in this Request for Proposal (RFP),, but must also be flexible and scalable in order to meet the City's future business'and technology needs. The purpose of the RFP is to provide interested vendors with sufficient information to enable them to propose and submit proposals for the scope outlined within the RFP. The City seeks proposals from interested vendors that have proven experience in designing, Implementing and supporting Drupal websites that support local governments (City, County, etc.) of similar size to the Santa Ana. It. PERIOD OF CONTRACT Unless earlier terminated as allowed for in the agreement, contract term shall be for a period of one (1) year. 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. III. OPTION OF RENEWAL The term of this agreement may include provision for renewals as set forth in the Scope of Services, attached as Exhibit A. IV. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. V. SCOPE OF WORK/SERVICES The scope of work may include any and all work efforts related to the Website Redesign and Implementation of Drupal Content Management System 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. 25&37 The contractor shall comply with all federal, state and local laws, rules, regulations, ordinances, and statutes. VI. GENERAL INFORMATION A. The term of the contract will begin after the contract award by the City Council and approval of required bonds. 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 preproposal conference, negotiations with City, and/or any other aspect of a proposal prior to award of a written contract will be borne by the proposer. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect in the proposal. E. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. F. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractors. VII. PROPOSER RESPONSIBILITIES The selected proposer will assume responsibilities for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. VIII. INITIATION/KICK OFF MEETING The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City, to discuss and agree on operational issues including transition of services and scheduling. IX. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. 25Ea38 X. 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. XI. 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 G). XII. COMMUNICATIONS AND INTERPRETATIONS/CLARIFICATION DEADLINE To facilitate the RFP process, proposers are required to monitor the City's Bid and RFP page at https:/hvww.planetbids.comloortal/portal,cfm?CompanvlD=20137 .No oral interpretations will be made by the City to any proposer as to thb meaning of requirementsidentified herein, including the Scope of Services and Terms and Conditions. Every request for such an interpretation or clarification must be submitted in writing. Please submit all inquiries via the online Planet Bids site by 3:00 p.m., on Friday, October 7, 2016. Significant interpretations or clarification will be made by an addendum to this RFP. Addenda may become part of the agreement documents. All proposers are recommended to visit the above mentioned website on a regular basis. XIII. 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. XIV. 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. Seven (7) 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. C. 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 30 PAGES (excluding front and back covers, section dividers and exhibits). The page limitation includes all appendices, attachments, and supplemental information. The following information is required: 25&39 Cover Letter — A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. 2. Firm and Personnel Experience: A profile of the firm's experience, including the names and experience of personnel and sub consultants who will be providing services. At a minimum, this should include the project manager/principal agent, associates in charge when project manager/principal agent is unavailable, key personnel, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. The project manager/principal agent shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an interview. 3. Implementation Plan: Proposer shall submit a general description of the deliverables and timelines to complete the project. 4. Financial Responsibility (Capacity): If requested, proposer must be willing to submit its most recent audited financial statement, evidencing proposer's financial capacity to fully perform the required services. B. EXHIBIT C — PROPOSERS STATEMENT AND PROPOSAL ITEM PRICING Vendors must provide detailed fixed prices, including out-of-pocket expenses, for all costs associated with the responsibilities and related services indicated herein. Clearly specify the nature of expenses anticipated and the amount of each category for out-of-pocket expenses. Vendors must submit a number of hours of service to be provided for each year of the contract, an hourly cost for services and a total fixed-price for the project budget. C. EXHIBIT D —REFERENCES — The Proposer shall submit a list of agencies, past and present, for whom you have provided work similar to that identified in this RFP (Exhibit A) for the last 3 years. Include the following information in the description section of the exhibit: • The version of Drupal (e.g. 6, 7, 8, etc.) • Approximate number of pages of the site • Approximate number of content contributors D. EXHIBIT E - PROPOSERS STATEMENT E. EXHIBIT F— SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIALGENERAL LIABILITY POLICY F. 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. G. 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. XV. CONSULTANT SELECTION— PROPOSAL AND EVALUATION 25E7-40 The criteria for evaluating the proposals submitted will take the following items into consideration: • Demonstrated competence; • Experience in performance of comparable engagements; • Reasonableness of cost; • Expertise and availability of key personnel; • Financial stability; and • Conformance with the terms of this RFP. The proposals will be reviewed by a committee of City team members. The committee will evaluate proposers based on the response to the RFP and the City evaluation criteria set forth above. A final ranking will be determined based on entirety of the submitted proposals. The committee may interview the top tier of proposers 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 additional terms. City reserves the right to begin negotiations and enter into a contract without interview orfurther discussions. XVI. PUBLIC RECORDS Proposals will become public record after award of contract. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. XVII. PROTESTS Proposers may file a `protest" to a Request for Proposal (RFP with the City's Purchasing Department. In order for a protest to be considered valid it must: 1. Be filed in writing within five (5) business days of either the RFP issued date or before 5:00 p.m. of the 51h business day following the posting of RFP Results/Notice of Intent to Award Agreement on the City's website; 2. Clearly identify the specific irregularity or accusation; 3. Clearly identify the specific City staff determination or recommendation being protested; 4. Specify, in detail, the ground of the protest and the facts supporting the protest; and 5. Include all relevant, supporting documentation with the protest at the time of filing. If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City's Purchasing Manager, or other designated City staff member, shall review the basis of the protest and all relevant Information. The Purchasing Manager or designee will provide a written decision to the protestor within ten (10) business days from receipt of protest. The decision of the Purchasing Manager, or designee, is final and no further appeals will be considered. 25EI}41 EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM SCOPE OF SERVICES DESCRIPTION AND SCOPE OF WORK The City of Santa Ana is issuing this Request for Proposals (RFP) for Website Redesign and Implementation of Drupal Content Management System. A. BACKGROUND The City has one primary website (www.santa-ana.org) to provide different avenues of communication for its residents and to also direct specific information to a variety of segments of audience such as those interested in visiting or doing business with the City. The website first launched in 1999 and has grown to consist of approximately 700 static HTML pages, plus 4,000 supporting assets (PDF, images, video, etc.). The City's Communications Manager is the Editor in Chief, responsible for content editorial and for providing images and photography. The departments develop content, graphics and photographs. The City's various departments are responsible for managing their departmental content which is directed through a workflow in the content management system for approval and publishing by the I.T. department. Responsibility for authoring content updates within the current content management system is distributed across multiple departments. The City's Information Technology department is responsible for all City websites. The I.T. Department administers the City's servers, content management platform, backup and disaster recovery, security and management of the process to update the sites. This RFP is for website redesign and implementation of a new content management system as well as full development and implementation services. The City currently hosts its sites internally with Windows Server/IIS, but would prefer to use 3rd party non -vendor specific cloud hosting. The current City web site is not utilizing a content management system and hosted internally in a Microsoft Windows environment. The City currently uses Adobe Contribute to manage the updating of content for the primary website. The production environment consists of a single physical server which runs web services (IIS) and a separate physical database server running Microsoft SQL. B. PROJECT DRIVERS 1. Replace current Adobe Contribute environment with a robust database -driven web content management system. 2. Provide intuitive, easy-to-use interface for content contributors to create/update web content. 3. Functional, appealing, service -based, and responsive website design that allows easy access from all devices, including smart phones. 4. Strong search capabilities. 5. Include an Open Data portal for public data. 6. Include an Economic Development portal. 25E,42 7. Advanced features such as language translation, GIS mapping, and personalization. 8. Ability to interact with back-office systems to provide online services to the public. 9. Have the site be hosted with failover redundancy. C. TECHNICAL REQUIREMENTS 1. The City has selected the Drupal 8 Content Management System. 2. MySQL or equivalent open source database engine. 3. Assist with installation and configuration of all the necessary environments (e.g., Dev, Test, Staging, Production, etc.). 4. Create mechanisms to automatically migrate data from Staging to Production or from Production to Staging. 5. Create ability to refresh environments from Production, when necessary. 6. Provide documentation/procedures for handling any custom codelplug-ins during patching and upgrades. 7. Design should utilize HTML5 and CSS3. 8. Ability to install and utilize plugins for additional features and functionality. 9. GIT Implementation for code versioning, site synchronization and backup. 10. Integration of USA.gov Analytics for the City's website. 11. Provide optional quote to have hosted in fully redundant data center such as AWS or Acquia Cloud. D. FUNCTIONAL REQUIREMENTS GENERAL 1. Site design must meet ADA requirements. 2. Ability to create FAQ pages. 3. URL aliasing capabilities. 4. Ability to manage web server (set up redirects, sub -domains, MIMI mapping, etc.) 5. Links to City mobile apps. 6. Focus on online services. CALENDARIEVENTS 7. Calendaring system that provides for multiple individual calendars that can also be rolled up into one calendar. 8. Calendars should have options for different views. 9. Calendars have classification that can be used for personalization. (See Personalization section). 10. Online event information submission. ECONOMIC DEVELOPMENT PORTAL 11. Portal may have unique templates and even be a sub -site. 12. Site will contain embedded media, such as video, slide decks and high resolution photos 13. Functionality across several user platforms - including mobile devices and major browsers (Chrome, IE, Safari, Firefox, etc.) 14. Include analytics and lead generation - Google analytics, salesforce.com backed functionality. EDITING 15. Provide necessary templates to allow content contributors to easily create the various content types required for the City site. 16. Content contributors should have the option of a WYSIWYG or HTML editor for editing webpages, articles, posts, or newsletters. 17. Ability to version pages and revert to prior versions. 18. Ability to stage and expire content by date and time. 25EA3 19. Content contributors have the ability to add new pages and add to website navigation. 20. Ability to copy and paste from Microsoft Word. 21. Ability to classify any object with categories, tags, or meta data to improve search results. 22. Ability to easily attach and work with images and photos in the editor. 23. Ability to easily embed video images into webpages. 24. Ability to easily post emergency notices to the homepage. EMAIL LIST MANAGEMENT 25. Website should provide visitor with the ability to subscribe to a variety of opt -in email lists, such as email newsletters, announcement lists, or discussion groups. 26. Visitors should be able to unsubscribe from lists. 27. integration should exist to integrate lists with marketing services such as Constant Contact. FORMS 28. Provide the ability to create data entry forms that send email notifications. 29. Provide the ability to create data entry forms that update an Internal database. 30. Provide the capability of creating online surveys. 31. Ability for users to report problems and ask questions. GIS 32. Ability to supply location -based information through maps (e.g., Google, ESRI, etc). 33. Navigation using map hotspots for neighborhood groups. IMAGES AND VIDEO 34. Centralized image and photo libraries for managing website assets. 35. The ability to have the system automatically resize images and photos into web -friendly sizes -- Preferably during the upload process. 36. The ability to create thumbnail images of photos and images automatically without using its full size. 37. The ability to create photo albums/galleries that can be embedded into webpages. 38. Provide the ability to attach captions to photos. 39. Ability to upload and store video files. 40. Ability to display streaming video feeds. INTEGRATION 41. Ability to embed other sites/applications into the website (frame). 42. Ability to communicate with other City systems to exchange data, if desired. 43. Ability to send out email blasts to distribution list. 44. Ability to integrate with Nixie (Nixle.com) for alerts. MULTIPLE LANGUAGES 45. Provide the ability to easily display the entire site in multiple languages through Google Translate. 46. Provide the ability to have alternate versions of pages for multiple languages and display those pages if that is the visitor's preference. NEWS 47. Provide tools for creating and managing news items and press releases. Items may be specific to department for departmental pages or rolled up for the home page. 48. News items may or may not contain an image or picture. 49. Ability to display department -specific items on departmental pages, identify which items will roll up to home page and indicate which Items may stick to homepage. 50. Ability to provide an RSS feed of news items. 25L144 OPEN DATA PORTAL 51. Implement an Open Data web portal using the DKAN open source tool. 52. Assist with the creation of up to 12 dataset and 6 charts/maps. (City to provide data or feed). 53. Must meet California Open Data requirements 54. Integrate portal with primary website and provide consistent navigation, look and feel. PERSONALIZATION 55. Provide the ability to have users choose preferences in a profile that will then tailor content for their viewing. For example, choose neighborhood(s)lpark(s) in order to see content (news, events) specific to the neighborhood(s)/park(s). 56. Allow users to change their profile settings. 57. Allow content contributors to classify content in a way that facilitates personalization preferences. SEARCH 58. Provide a powerful integrated search engine that can index managed content. 59. Allow ranking or prioritizing of search results. 60. Searches should be across all content types.(e.g; , News, webpages, images, video, etc.) 61. Allow federated search of other City domains (sub -sites). SECURITY AND WORKFLOW 62. Provide LDAP integration with the City's Active Directory for single sign -on. 63. Provide role -based security that limits access and functionality based on a user's logon. 64. Provide workflow for approvals of content changes. 65. Must use the latest security techniques to prevent hacking. 66. Must have tools for users to use self-service for registration and for reminders/resetting of forgotten IDs and passwords. SOCIAL MEDIA 67. Provide for a separate portallpage for Social Media links. 68. Provide controls for the public to share website content on various social media platforms. 69. Provide tools to embed social media feeds into website pages. STATISTICS 70. Provide ability to capture and report on website visitor information/statistics. TRAINING 71. Provide manual for technical administration of the CMS. 72. Provide training manual for content contributors. E. DESIGN REQUIREMENTS Vendor is expected to develop a design themes that incorporate the City's branding elements with updated colors, typography, layouts and other such elements. A focus of the updated design will be to support improvements to user experience. The new design should incorporate today's design elements used by progressive and technology - friendly agencies also utilizing navigational trends that model the mobile user's needs. For example, design should reflect use of images rather than text with use of photography and graphics, the site should be nimble and portray a mood and a reflection of City culture. The layout should be liquid rather than static with a focus on presentation planlinformation architecture (content placement and navigation). The resulting website must be responsive meaning it will employ a responsive design that will present the site's content in a style and layout that adapts to the capabilities and limitations of the 25Ea-45 particular user agent (computer, tablet, mobile device, assistive browser etc.) being used to visit the site. Optimization of delivered content will be accomplished by employing design strategies such as progressive enhancement, fluid layouts, proportion -based grids, responsive images, and CSS3 media queries. This responsive design should be friendly for touch based navigation. The website will function as an effective communications and marketing tool highlighting City news, functions and services for the community and beyond. The site must be unique, look professional, and uniformly represent the City in interaction with residents, businesses, and visitors both current and potential. The entry point for the site must represent the quality, character and embodiment of the City allowing users easy access to information with minimal clicks. The vendor will work with the City team to plan and organize information on the site, which most likely will include planning sessions, regular meetings, and continued communication throughout the duration of the website design project. F. IMPLEMENTATION The Vendor must describe its proposed design and implementation services. The proposed solution must include a comprehensive implementation plan complete with a description all activities, activity schedule and resources proposed for a successful product implementation. The City is seeking a single phase rollout with a new website design running on a full function CMS. The City is looking for the vendor to provide project management and application technical resources. The City will provide technical, and user resources to support the City's obligation under the project contract in accordance with the Vendor's installation approach and associated activities. Provide your views and description (# of staff, project roles and time commitment) of the team. G. PERFORMANCE SCHEDULE Provide a high-level Gantt chart that shows the major phases, their durations, and the total number of consulting hour (per phase) that is included in the cost estimate. Include a payment schedule that is based on City acceptance of milestones. 25E1346 EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM SAMPLE AGREEMENT THIS AGREEMENT, made and entered into this _day of , 201_ by and between (hereinafter "Consultant'), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS 1. The City desires to retain a consultant having special skill and knowledge in the field of 2. Consultant represents that Consultant is able and willing to provide such services to the City and is licensed by the State of California to provide Website Redesign and Implementation of Drupai Content Management System. 3. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional website redesign and implementation 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: SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. 411. COMPENSATION City agrees to pay and consultant agrees to accept as total payment for its services, the rates and charges set forth in consultant's proposal, attached hereto and incorporated by reference. The amount to be expended for services shall not exceed (dollar amount) ($ ) during the term of this agreement. 2. 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. TERM 256*47 This Agreement shall commence on the date first written above and terminate on 201_, unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work 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. 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. 25E48 (li) 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 fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 8. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 25EA9 A. 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 tele facsimile 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 With courtesy copy to. City Attorney City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana, CA 92701 Fax 714-647-6956 To Contractor: 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. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are Inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 11. ASSIGNMENT In as much 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. 25E-750 12. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City s use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 13. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. I 1l 11f &-TellA31Tforks/1QRit This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 16. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall 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. 25E -m51 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 By: Name of Attorney City Attorney RECOMMENDED FOR APPROVAL: Name Executive Director — (Agency) CONSULTANT (NAME) (Title) Tax ID# 25Ew52 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar withal] 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 fixed-price basis 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. Please attach proposed cost and payment schedule. LEGAL NAME OF COMPANY BUSINESS ADDRESS PHONE AND FAX NUMBERS PRINTED NAME OF AUTHORIZED AGENT TITLE SIGNATURE OF AUTHORIZED AGENT DATE E-MAIL ADDRESS FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMBER (IF APPLICABLE) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. 25E_a63 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM REFERENCES 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: Contact Individual: Address: Phone Number: Facsimile Number: Contract Amount: Year: Description of supplies, equipment, or services provided: I Reference Customer Name: Contact Individual: Address: Phone Number: I Facsimile Number: Contract Amount: Year: Description of supplies, equipment, or services provided: I i Reference Customer Name: Contact Individual: Address: Phone Number: Facsimile Number: Contract Amount: Year: Description of supplies, equipment, or services provided: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. 25Ej-54 EXHIBIT E CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM 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. Firm Signed and Printed Name: Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. 256255 EXHIBIT F CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM 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: 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 companys 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 , this endorsement form as a part of Policy #. Issued to Named Insured Countersigned by Authorized Representative SAMPLE ONLY 25&66 360 Business Consulting Response to RFP 16-121 12 25E-57 M Table of Contents A. Statement of Qualifications 3- 1. Cover Letter 3 2. Firm and Personnel Experience 4 3. Implementation Plan is 4. Financial Responsibility 30 B. Exhibit C—Proposer's Statement and Proposal Item Pricing 31_ C. Exhibit D—References 34 D. Exhibit E—Proposer's Statement 35 E. Exhibit F—Sample Additional Insured Endorsement for Commercial General Liability Policy 36 City of Santa Am 2 Website Rcdcsigu andimpicamniatiun of nrupal Content Managcn ent System RFP 16.121 25E-59 0 Cover Letter October 20, 2016 Jack Ciulla, Project Director City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 Dear Mr. Ciulla. The City of Santa Ana is looking for a proven provider of Drupal-based websites for governmental agencies. Alter reviewing the comprehensive specifications of your RPP, Nye believe our experience and team of professionals make us the right company to deliver the successful website and content management system you are seeking. We have the knowledge and experience to provide the features, functionality and integrations you need. 360 Business Consulting has been in business for more than 12 years, and provides a complete range of marketing and technology services. Our clients we've developed Drupal CMS for include the City of San Diego, the City of Laguna Woods, the San Diego Unified School District, the Central Basin Municipal Water District and the West Basin Municipal Water District. We also have experience developing Economic Development portals, specifically with major universities including .Cal State San Bernardino. We have the ability to survey local businesses to determine the services they need to help them better serve their customers. We have the experience and ability to not only design and create innovative, practical technology solutions, but also to provide strategy. copywriting, search engine optimization and training support to our clients. We also have experience designing mobile applications. and making sites work on popular mobile platforms. We are proud of the team of people Working at our company and have very little turnover. In fact, the same team will be assigned to this project that has worked with the City and the other municipalities listed as references in this proposal. This proposal shall remain valid for 365 days from the date of submittal. I acknowledge receipt of Addendum No. 1 on October 12. 2016. 1 am authorized to bind 360 Business Consulting to the teens of the proposal and I attest that all information submitted with the proposal is true and correct. Sincerely. �J Bridget DiRico. CEO 360 Business Consulting- 1576 onsulting1576 N. Batavia St. Oratige, CA 92867 949.315.5068 bdiricofa 360-biz.com C'iIP of Santa Ana WetKile IW,signnnd linpinn<nlation of Onipt Conlml%Mnai; mdul $'worn RFP I6d 21 25E-60 ® Firm and Personnel Experience 360 BC Group, late., our corporate entity, is a privately held corporation with 48 employees. We have been in, business for I Z years and operate three companies under the'360 BC Group, Inc. umbrella: 360 Business Consulting, GiftChecksOnline and .eGuardian'(a child, protection service that was sold in 2012). Weare financially solvent, have little long-tenn'debi and have been profitable in each of our last 10 years. Our public sector clients -include the City of San Diego, the City of Laguna Woods, the San Diego Unified School District, Huntsville City Schools, Superior Court of Orange County, -the West Basin Municipal Water District and the, uperior Court of Contra Costa County. Founded in 2004; 360 Business Consulting is'a.Califomia corporation headquartered in Orange, CA at 1576 N. Batavia Street (this is the physical location responsible for your project). The company.now has six:offiecs in Califomia, Texas, Washington and Nevada. We area Certified Disadvantaged Business Enterprise and have design and development cxpc6cnce liclping.government, state and local clients with their web and technology needs. We have the experience and ability to not:only design and create innovative, practical technology solutions, but also to provide strategy, copywriting, search engine optimization and tmining•support to our clients. We also have experience:designing mobile applications, and making sites.woik on popular mobile platforms. We are very proud of the team of people working at our company and have very little turnover. Our vision for this project is to deliver a websiteand CMS that is relevant for the next 5-10years, and: I. Graphically communicates the uniqueness and mission of the City of Santa Ana without being sluggish to load; 2., User-friendly, intuitive and invites audiences to interact with the website; 3. Easy and quick for the your internal team to update and revise content as necessary; 4. Although we are very familiar with many,different CMS, we suggest use of open -source technology that is flexible to upgrades, additions of functionality and revisions; 5. Secure and protected against intrusionsand hacking; 6. Compatible with social media and mobile devices; 7. In compliance with ADA accessibilityand W3C standards. Weare able to provide authentication, data collection and analytics, as well as secure off-site hosting, No subcontractors will be used to complete this project. All tasks will be completed by employees of 360 Business Consulting. The company specializes in consulting and implwnentingsuccessful website design, development and maintenance programs that utilize the latest in technology strategies. 360 is unique, in that it guarantees both its results and its ability to complete projects on time and within a pre -established budget. Wohave City of Sauta Ana website Redesign amd lmplenncngnion ofDmpal Content Management system RPP 1&121 25E-61 : 2h: the experience and ability to not only design and create innovative, practical technology solutions, but also to provide strategy, writing, search engine optimization and training support to our clients. We,provide you with all the code, databases and copyrights on everything we create. Upon closure of the project, we turn over all materials to you, ensuring you always have ownership of what you paid for. In addition, or code structure and comments are well structured forothers to make changes if you hire internally or decide to work with another company. Extensive Design, Development & Technical Capabilities Specifically, 360 has the following capabilities to meet the needs of Santa Ana: ■ 360 has developed more than 1,000 websites and marketing programs in its 12 years of business, with the vast majority of the theme being driven 1 95> by a website with support marketing and technology applications. p MyS UI • We have developed and customized various content management systems (CMS) for our governmental and private sector clients, including Drupal, Wordpress, Ektron, Red Dot, Joontla, DotNetNuke, and Silefinity.. We created an Ektron site for Service Master, now Clean x�ssoRDP Scapes. We developed the templates, implemented the training, YY Wr integrated it with their digital marketing efforts and customized their reporting. After one year, they had us convert their CMS to Drupal to eliminate the expense of licensing fees. We are experienced designers, writers, Flash developers and videographcrs. We can either take your elements and incorporate them into the site, or take direction and create all needed elements from scratch using video, animation and graphics, • For the Central Basin Water District, we provide both web design and graphic design services for their newsletter, marketing materials and other materials as needed. For the City of San Diego, we performed the content migration from their former site into their new Drupal-based system. Using both an automated and manual process, we migrated 35,000 pages and 90,000 pdfs. For the San Diego Unified School District, BlackBoard CMS into their new Drupal-based CMS. City of Santa Ana 1Vc1eslle Redesign unJ LnPlen¢ntntion ofnmpal Cont:nl Afanagcmrni System RFP 16-1? 1 25E-62 Central Basin Nkfflicipal Water District The City of SAN ®IEG& we migrated 100,000 pages from Working with the City of Laguna Woods,,our client asked us to, design a website that would specifically accommodate the City of r needs, of their unique population (the majority of their ��t I Laguna Woods .residents, are 6.0 years old and above). The website we designed increased their user interaction but while presenting the new site at their council meeting, a councilmeinber suggested a website that Would,appcaled more to the business environment in ilia city. At no extra charge, :w.e designed templates for another site, they could use. They havedt launched the sitc,yet but have the tools they need to do so. We were selected by the Superior Court of Sutter County to relaunch theirwebsite. We provided a modem and clearOpyout that was easy' for non-technical staff to manage and THL SUPERIOR COURT OF CAMFORKIA increased the site's usability for residents. COUNTY OF SUTTER -Working within their graphic standards, 360 createdn custom calendaring system, a secure file transfer utility and a mediation appointment system integrated into their Outlook server. Even though not part of thc.original bid, the Court staff wasstruggling'to fund the time to develop copy for the new site and meet their launch deadline. At no extra charge, 360's team of copywriters developed the copy and optimized it for search engines.. HTML CSS We prefer to work with open -source tools and their extensions such PHP, MySQL,;Javaseript, Java,,HTML 5 and CSS, but also have extensive experience with ASP and .NET. We also work in Flash, Access, XML and XHTML..our talented and on -staff programmers are specialists in these languages,, and some have contributed objects, Quer✓ modules and security protocols that have been adopted by the standards •'° ^ •°^� organizations.. 360 has been a pioneering agency in.scawh engine optimization (SEO). We provide SEO services for many. major web hosting companies, Fortune 500 companies, leading-edge online retailers and local businesses. We have presented to organizations and convenlions;.sat on industry panels and written two popular books on SEO. We were one of the first organizations, years ago, to (ecus on content versus site gimmicks, tints our changes, even ones made years ago, continue to be well -rated by major search engines: Social media saviy. Social media is a key element of our clients' communication and relationship with their online audiences. Our design and development projects help our clients' integrate social media into their overall web strategy and designs. city of Santa Ana Wcbsito Rc&ign and Implcmenin ion of nmpal Conim Maiaticatc o System RPI' 16.121 25E-63 ■ Using Facebook and Twitter we have created social media and marketing campaigns that drive target audicnces "lo websites and communicate important information about using transportation services. Social media is a very effective medium for increasing awareness. ■ Our experienced copywriters develop content for our clients' blogs, twitter feeds, and Facebook and Instagram posts. We're able to r ensure a consistent feed of information and communication to key • audiences. 360 is also able to deliver reporting and management that enables our clients to, quickly and easily track.the usage of your website. We frequently use Google Analytics to provide comprehensive tracking and management information to help better understand how your visitors are using your site. ■ In addition to the actual numbers reported, we also provide our clients with monthly analytics and our analysis of what the data actually means for the site's users. In the Work Samples section you will rind sample of the information included in our web reports and executive summary, Responsive website design and development. • All of the websites we created are mobile responsive. Weare experienced designing and developing responsive websites to accommodate users accessing the site from their mobile device. In addition to the look and feel, we adjust the mobile view to prioritize the behavior of most mobile users. Audience feedback survey tools. We have created many survey tools that enable our clients to seek and collect information from their audiences, In addition to providing flexibility to develop questions that require multiple choice, multiple select, City of Santa Ana 11 cWtc aedmign and Implemenwtion ofnmrytl Contnn Management Systcm UP 16-121 25E-64 .WiiF1�GG*tV.aq 1 <. u...p.m,n w..♦m,rnn.,. m. flM o.n f.. ranking and written response options, you will also have real-time and archived reporting. Online forms, Providing easy access to web forms, both static and dynamic, is a key part of making the website relevant to its users. 360 creates a basic form center for administrators to quickly add and organize commonly required forms. Ecommerce solutions. We. have developed many ecommerce solutions that support online payment processing in a secure, stable environment for both retail and commercial applications. ■ We have designed and developed email templates for our clients to use to communicate with their audiences. We are able to design templates that meet their branding specifications and have functionality that makes it easy to track and organize responses, and feed into client CRIM databases. • We have worked with ExactTarget, Marketo, Act -On, Eloqua, Constant Contact and a variety of proprietary email systems. We have experience designing templates, and tweaking emails to increase click through rates, open rates and actions. ■ Our experience exceeds successful design. It is focused on the evolving nature of email marketing and the design of effective CTA. Our templates are sent to more than 250k recipients each month. • We are fully aware of the website elements necessary in order to achieve compliance with Federal ADA Requirements. For example, ensuring that the site can be navigated with only the directional arrows and keyboard and offering a text browser. City of Santa A= Website Redesign and Implementation of Dnryal Content Management System RFP 16-121 25E-65 Key Personnel Roe Zana Project Ei eeutlirc - canauarew Alyssa Villa, ..l5uia Dlai r Maiketlng - ti TGUI7 �JLlMII We propose the following team to work with you throughout your .engagement with us. We may eventually bring in other specialists as needed — we have a staff of 48 employees nationwide — but the core team represented here will be consistent. This allows us to be more efficient in learning your needs, while providing stability in your interactioiis'witlt us. We have built many long-term,client relationships by making it easy and convenient to work with us; and serving as a reliable partner in the needs of the companies that require our services. No key team member will be reassigned without prior written approval from the City of Santa Ana. City of Santa Ana WOnIte Rcd�ign and Implcmenution ofDnipal Cmtcm Ataaagunua system RIT 16.121 25E-66 Ron Zayas Chici Strateglsi. Covt:rnmeiv and i:lu tuipalmes tzava sQ.3611-bir..cam 949:916.9120 949.608.3663 (fax) 1576 N. Batavia St. Orange, CA 92867 Ron will be ilia Project Leader and is responsible for understanding what y need; developing a strategy to meet your objectives and then guiding the cr..,. team to implement the necessary work on a daily basis. A former executive for the world's largest printing' franchise, Ron lead the team that developed and deployed the international franchise -wide document management system. Ron is our main strategist for all governmental and municipality clients. He was key in the strategic development of the City. of San Diego's website project which required 360 to cooperate with other vendors completing different aspects of the project. Ron's expertise in technology and marketing makes him a valued resource to our clients. While you will frequently interact directly with all team members, your,strategist is always coordinating. efforts to make sure that objectives are met, even when they are outside the scope of our engagements. He is a co-founder of the company. Ife will spend an average of 20% of his time specifically dedicated to your project. Laura Diaz prrle�! Iolatiaoei Whiza 360-biz.cam 1576 N. Batavia St. Orange, CA 92867 949.916.9120 949.608.3663 (fax) Laura will be your single point of contact. She is a certified project manager who is highly detailed, organized and responsive. Her jab is to ensure that all items happen when and how they should. She reviews incoming job tickets and makes assignments to the team; she follows up with the team and with clients to make certain deadlines are mel. if you ever need to know where anything is at any given time, and you don't want to use the online system, give Laura a call. One point of contact makes things easier when you are in a hurry. Laura will have 35% of her time focused on your project. City of Santa Ann Websin Redesign and Implementation of enipnl Content Management System RFP 16-121 25E-67 IQ Marc Prost Technology Lead mfrost x360-hiz.enn1 949.916.9120 949.608.3663 (fax) 1576 N. Batavia St. Orange, CA 92867 Marc is an accomplished programmer trained atone of the most prestigious schools for web development in the country (Cal Poly Pomona). Marc's job is to turn your ideas into efficient code and oversee the technology aspect of your project. He will help lead the efforts with our other in-house programmers, and review your code before it goes live, whether it is creating your database or developing the front-end of your software. Marc will be workingexclusively on your project for 33% of his time. Robert Rodriguez Web and User Interface Design rrod rig ez(h-1360-hiz.co ru 949.916.9120 949.608.3663 (fax) 1576 N. Batavia St. Orange, CA 92867 While Marc programs, Robert's job is to put the pieces together into a.clean, functional HTML page that works with all major browsers. He is very experienced designing both digital and non -digital media and has lead our projects for (lie City of San Diego, the City of Laguna Woods, San Diego Unified School District and Huntsville City Schools. Ile understands how to integrate key design elements with intuitive functionality. Robert will be spending 3540% of his time on this project. David Hofstede LeaJd Cppy;vlilEf and Editor d hofsledera,,360-biz.cown 949.916.9120 949.608.3663 (fns) 1576 N. Batavia SI. Orange, CA 92867 David oversees the staff of writers who craft messages for our client's websites and SL•O efforts. David will be leading the copywriting strategy for the portal's content and positioning Long Beach as a highly - attractive location to do business. He will ensure that the content is attractive to both search engines and entrepreneurs looking to start a new business. David will be working on your project 15-20% of his time. Ciiy of Santa Ami Wch%itc Rcdecign and Implenteamlion of Dmpal Conlan Ninnagenicnt System RFT 16-121 25E-68 Alyssa Villa btarketmg uvillata1360-biz.en m 949.916.9120' 949:608:3663 (fax) 1576 N. Batavia St. Orange; CA 92867 Alyssa is our marketingand emarketing specialist. She helpsdevelop campaigns and oversees the impletneittation of marketing campaigns for our clients. She works closely with Robert and David to ensure that designs and.content work together to accomplish marketing objectives. Alyssa will spend 15r 209/6 of her time on this project. City. or Santa Ann website fta@sign and Impkmenmtion m[Dmpa1 Cantetn danagcmcnt System RPP 16.121 25E-69 12 on's expertise In both technology and marketing makes him a valued resource to our clients. For more than 30 years he has leveraged technology to deliver secure, user-friendly websites and applications that accomplish organizational objectives. He is our main'strateglst for all governmental and municipality clients and Is a co-founder of the company._ Project Experience Orchestrated the web redevelopment for the San Diego Unified School Districts website and individual websites for the district's 156 schools. The content migration aspect of the project included 1 DD,ODD pages from BlackBoard CMS into their new Drupal-based CMS. Led the team responsible for the City of San Diego's new Drupal-based website content migration. Using both an automated and manual process, the migration Included 35,000 pages and 90,000 pdfs. Works with private corporations and public entities to develop, enhance and Implement online marketing initiatives, Including websites, online technology, search engine optimization and search engine marketing. City of Sanm Ano WebQc RN,, ign and Implcnrcmntion ofDrupal Cmnm Alanageman System RFP 16-121 25E-70 13. i:GMI: i Laura is a pro -active and enthusiastic project manager who never misses a detail or a deadline. She creatively engages wlth others to develop innovations and improvements in the customer experience. Laura has exceptional skills for planning, organizing and driving a project to completion. She is a Certified Project Manager. Project Experience Led the development, monitoring and reporting of financial and non-financial performance against organizational and service priorities and objectives; Identified key areas for development and improvement. Embedded performance management and improvement, via the annual business planning process. Ensured that services are delivered effectively, achieve value for money and maximize budget efficiencies. Coordinated the monitoring and reporting of service performance (including, but not limited to, key performance indicators), to ensure continuous improvement in line with targets and agreed outcomes. Developed management systems and processes to monitor delivery of agreed objectives to meet both Internal and external requirements, and developed a culture of continuous improvement. City of Santa Ana Wchsiie Rcdeagn and hnplcmemation or nmpal Content Atanagenicnl System RPI' I6-121 25E-71 Marc talks in code. An accomplished programmer trained at one ofdhe most prestigious schools for web -development in the country (Cal Poly Pomona), Marc's job is to turn your Ideas into efficient code. He will help lead the efforts with our other in-house programmers, ar d review your code before it goes live, whether It is creating databases or developing the front-end of software solutions. Marc has been leading our programming efforts for the past six years. Project Experience Key architect of content migration strategies for all development projects. Directed the development team that created custom scripts to migrate 100,000 pages for :one of the nation's largest school districts into a new Drupal-based CMS. Created the technology that relied on both an automated and manual process to migrate 35,000 pages and 90,000 pdfs for the City of San Diego. Created front and back -end of several large-scale public sector web applications, including designing complex content management systems, complete with data management, uploading, and reporting. Developed IDS apps that seamlessly incorporated related websites and integrated 3rd party API's, and open source software for increased functionality. City ursinla Ana wcbsilc Redesign and Implementation ofDrupal Content Management System RFP 16-121 25E-72 15 As the Director of Design, Robert Is the closest link between our clients and their websites and CMS customization. His creative falents give him the insight into bringing client content into CMS designs. He plays a key role in the customization of CMS for our clients, including migrating content from databases into Drupal templates and linking system menus to migrated content. He is also an accomplished video director. Robert has been at 360 for five years. Project Experience Provides art direction for front-end website/mobile design and integrates design elements with client print and digital assets. Leader In Drupal implementations for Superior Court of Sutter County, City of San Diego and San. Diego Unified School District, specifically the customization of templates, mapping content for migration and ensuring theme/templates are properly configured to support the needed content types and fields. Manages quality control team and process of migrating content from the database into Drupal templates, identifies which supporting files need to be moved, ensures active links on all migrated content and makes adjustments to templates as necessary in the migration process. Produces and directs promotional, industrial and web videos for clients, Oversees the integration of client designs across media. City of Santa Ana %Vcbsile Redesign and implementation of Drupal Conicni %innagemeni System RFP 16121 25E-73 16 David oversees the staff ofwriters who craft messages -for our clients' websites and SEO and marketing efforts. Even if you have your own internal writing resources, David can help either Increase the speed of your efforts, or help target yourwriting for SED. David can review, edit ondevelop the copy you need, whether It is for web copy, technical documents, landing pages orads. David has been a key part of 360 since the company's inception in 2004. Project Experience Directed content creation for major website development initiative consisting of hundreds of website pages. Managed journalistic -style copy development strategy by interviewing client department teams Created and edited original content to publish hundreds of blogs on subjects related to various management industries. Developed copywriting strategies for client social media campaign, Including one that boosted Facebook 'likes' from less than 1,000 to more than 10,000 in 30 days. Crafted, video scripts for public and private sector entities to bee.used at events, for advertisement/ marketing and in online promotional campaigns. City of Santa Ann Websito Redesign and Implemcmrtion of Drnpnl Content hinaaganent Sysicm RPP 16.121 25E-74 17 ® Implementation Plan. Santa Ana is looking fora company that can offer comprehensive website design, development and hosting.. We believe our breadth :of experience with municipalities, private sector business and our team of professionals make us Ilse right company to successfully deliver on your Scope of Work. Below you will find an overview of how we plan to fulfill the Scope of Services outlined in the RFP: Process We have developed hundreds of websites for both the public and private sector. Not only do we understand the limited resources of municipalities, we also understand the perspective; ofvarious.users (they arc our private sectorplients!)..At the,slart of our relationship, we will facilitate our kick=off meeting with your team and all 'internal audiences you would.likepresent. In addition to gatheringinput from your team and evaluating current web usage, wc.arc' also open to facilitating a public workshop to seek resident feedback and input. Evaluation At the launch of our -relationship, we will define the specific goals -of the website redesign to set a common expectation for.performancc. Specifically, what does success look like to you? • Number of request for information forms submitted • Promoting the business' opportunities building • Attracting traffic to the site and increasing engagement? We will rely on web analytic tools to help us understand how your audience is interacting with the website and can provide insight into what is working well and what might need some adjusting/revising. A key measurement is engagement, or how engaged users are. This helps us understand if the site is providing infornation,:coniimmicating a story and increasing the awareness. We review average time spent on pages, time spent on portal and pages per visit. If visitor's aren't finding a particular key page, not staying long or are exiting from that page, we would avant: to revisit the content and how we tided to drive users to that page. For calls to action that leads the visitor to request more information or contact the program, we track the number of completed forms'(hopefully we cht compare with historical data, signups for newsletter or blogor download an app or other support tools. Design With the input of your team and other staff and considering the needs of your key audiences, we will create up to three design themes for you to choose. Many times the ultimate winning design is a CityofSanta Ana Website Redesign and Implementation ofDrupnl Conten 6tanngentent System RFI' 16.121 25E-75 combination of two or more of the.original themes to create a best -of -class look and feel.. We can also determine if you prefer the Economic Development Portal to be included with the main site, or a miiirositc. If you choosothe later, we will also provide designs for the portal. Our design team is experienced with creating websites and corresponding marketing campaigns across industries, Thim cities and municipalities to school districts and water districts. This experience -gives our clients access to talented designers who incorporate a balance of function and aesthetic into each unique website theme. The result will be a highly effective, intuitive website that invites audiences to interact and participate—and fits Within the overall Branding scheme. The website will meet Accessibility Compliance requirements. In addition, we are able to provide strategy, copywriting for blogs.:and,6veb content, search engine optimization and training support to our clients. AdminBtrative When we create an'implementation plan and schedule, we account for time needed to complete each step of the project—adjustments to the website architecture, design, technical implementation, content development, testing and.ultimately,:thc launch of the now site; and marketing program. We also. know that changes, adjustments and revisions that are simply part of ihe:process of getting the most desirable website. Our Schedules are efficient, yet realistic because at die end of the day, getting it right for our clients is our top priority. There is no one-sizafits-all program, and, with the broad range of clients 360 serves, we never assume a client's needs for their project and technical environment. You are the owner of your program. We are your partner to make what you want come to life -Successful implementation always involves a direct communication path between the client and 3.0. Tliat's why we believe so strongly that designing,and developing websites starts and ends with communication. When you work with 360,you have access to a group of specialists that you will know by name; meet with regularly and trust with your needs. Prom day one of our relationship, our team is ready to answer your questions and help you maximize the investment you have made in our services. The. training team assigned to your account will develop training materials that provide information your team need's to implement your program. Upon project completion, we provide you with all the documentation you will need to administer your new site,.or if you decide to work with a different vendor in the future.. Project Management Because your team has many responsibilities and duties, 360 takes the responsibility of managing the scope and deliverables. We pride ourselves, on being proactive project managers and making the development process as simple as possible for our clients. We assume our job is to snake your life easier City of Santa Ana Website Rcdaignand 1mp1cmnumionof Dmpnl Comentblanagement System RFP16•I2I 25E-76 19. and reduce stress levels, by being a partner who takes full ownership and consistently;communicates with you. Our weekly status meetings are critical for the team to connect to review status, issues and the activities for the next week.We are also available by email and phone at anytime to answer your questions. We will cover project objectives and strategy in our initial meeting; our weekly status meetings and reports cover implementation progress; we use the project management software of your choice or you can use our real-time system to track project management and development. Website Design and Development Upon contract award, our project management team initiates the project planning with your representatives and drives the project through to completion. Immediately, your 360. project manager (Laura Diaz) will contact you to schedule our initial meeting at your location. During this meeting, we will be completing the discovery phase of the project by gathering more information from your team about the wants and needs for the portal as well as establishing mutual expectations for communication and reporting of project status. At this time we will also be reviewing your web stats and analytics. We will also discuss the process of migrating the existing designs and functionality and making sure we have all the information we need to begin. Following our first meeting, 360 will prepare three design comps for the portal and support materials (followed by three to five rounds of revisions based on your feedback). Once the main look and feel is determined, we will work with your team to create additional responsive or adaptive designs/themes (followed by three rounds of revisions). These designs will be customizable by color, logo and branding for cach.of the templates. If desired, we will also,presenl a public workshop to facilitate input on the design. Major initiatives require the collaboration and cooperation of many different entities and people. Through our work with municipalities, we have collaborated with other departments, vendors and the public in order to accomplish the project objectives. Facilitating the process of gathering input from citizens and other stakeholders through town hill meetings, we have experience interacting with constituents and other stakeholders to garner applicable feedback and establishing expectations. 360 has a reputation for being flexible, accommodating and cooperative to both our governmental and corporate clients. We hope you'll be able to speak with our references listed to hear their perspective on working with 360. While we will be able to provide more specific design recommendations following our selection and meeting, we anticipate a design that is professional and unique in appearance. Graphically inviting, especially with an entry page that speaks to the character of Santa Ana and your mission, we seek to design a site that inspires visitors to explore (lie site for the inforntation.they need. City of Saow Ana WcbsifcRcd�ign and Implcmcntation of nmpal Conicm Mau,bwmcat SpLern RPI' 16-121 25E-77 2e We are fully aware of the website elements necessary in order to achieve compliance with Federal ADA Requirements. For example, ensuring that the portal can be navigated with only the directional arrows and keyboard and offering a text browser. Because we have much experience currently and through our 12 years of business providing website maintenance, our team is very aware of the needs of site users. This attention to detail ensures that we are always on the look out for plug -ins and links to additional resources when making any changes to the site. 360 is hired to create mobile apps for many clients, so. we are very experienced in creating websites that are mobile -friendly and give users the sante access from their mobile device as from their computer. The websites we create are intended for viewing on computers, tablets and smart phones. 360 i.,i also able to deliver reporting and management that enables you to quickly and easily track the usage of your portal. We frequently use Google Analytics to provide comprehensive tracking and management information to help better understand how your visitors are using your site. For the duration of our engagement, 360 will facilitate project planning, including the project schedule and scope for completing key milestones in the development schedule. Following the initial meeting, if necessary, 360 will revise our implementation plan and scheduled the milestones that drive the project's implementation. User Acceptance Testing and Quality Control Throughout our development process, we will be testing for platfomt compatibility and security. This ensures that the website we are developing appears and responds consistently, regardless of the operating system or browser they are using. We design and develop sites that are compatible with both PC and Mac platforms using Explorer, Safari and Firefox browsers. One of our largest clients is a global company and we make thousands of changes to their website each year. A standard procedure for each of those changes is to ensure that the pages appear the same, regardless of user preferences. During our development of your site, the 360 quality control managers will each conduct weekly testing to ensure this compatibility and that there are no broken links. This testing will be documented through our online project ticketing system, as well as reviewed during our weekly status reports. During the last week of our development time, all of our team members, and designated Santa Acta staff members, review the site. We provide the link to our secure development server and ask for email comments. Although invisible to the public and completely secure, on our financial -grade services, this comprehensive testing ensures that the website is ready for public use prior to launch. city'orSanLa Ann Wcbska Redesign and ImplcmenuSimt of naipal Coot"I Managemem S)7tan RPP 16-121 25E-78 21 Communication There is no one -size -fits -all website, and with the broad range of clients 360 serves, we never assume a client's needs for their project and technical environment. You are the owner of your website. We are your partner to make what you want conic to life. We take our role as a proactive driver of the project's successful completion. That's why we believe so strongly that designing and developing websites starts and ends with communication. Although we will cover project objectives and strategy in our initial meeting; our weekly status meetings and reports cover implementation progress; our 360 FullView Communication System in real-time tracks project management and development,=successful implementation always involves a direct communication path between the client and 360. In a nutshell, when. you work with 360, you have access to a group of specialists that you will know by name, meet with regularly and trust with your needs. Although the decision of our clients, we feel that weekly status meetings, are necessary. In addition to your personal contact with any of our team members as necessary, the standing weekly meeting keeps the project on track and on schedule. We are happy to host our weekly calls on our conference call line (free ofcharge, of course), and be at your location for three in-person meetings during our engagement. In addition to our weekly meetings, we also provide a weekly status report that treks tasks, deadlines and completion status. The report is direct, thorough and makes prioritization management straight- forward and part of our weekly discussions. After the launch of the websitc, we will continue to meet with you weekly (or as necessary) over the next 30 days to complete post -rollout oversight and troubleshooting. We also will make necessary modifications to the site's architecture during this time. This is included in our proposed price. Of course during that time you will also have the same access to your 360 team as you did during the design and development phases. Following the 30 days of troubleshooting and oversight, 360 will also provide phone and email customer service during the first 90 days alter launch. We arc available via phone and email during business hours and after hours emergency services. city nrSanta Ane websitc acdesipn and Implememalion of Drnpal content aFP 1&121 25E-79 22 Anticipated Timeline Upon contract award, 360 will schedule a meeting to introduce team members to Santa Ana city staff and gather more information about the needs and wants for your new site. Following our initial meeting—which will be an in-person meeting at your location—we.continue to meet via teleconference once per week. Our weekly meetings are a.review of current status, necessary approvals needed or changes that you would like 360 to make. We find that our weekly client meetings are very effective at move the project forward and keeping everyone informed of the project's status. Our meetings are focused and respect everyone's time. Project Kick-Off/Initial Meeting: Week of January 23 (assuming Contract Approval is January 20, 2017). January 23, 2017: At our kick-off meeting we will be facilitating discussion that -helps us get a clear picture of your wants and needs for the website and economic development portal. We will also discuss if you would like us to schadule a Workshop to facilitate input from stakeholders. February 10, 2016: Following our first meeting, 360 will prepare (lie three design comps for the sites and create the development strategy within 2 weeks. Provide Comprehensive Documentation and Materials Generated from Website Design February 27, 2017: Once the City has selected the design concept (assuming you needs,2 weeks to review, request design changes and approve), page templates and design elements will be ready for review 2 weeks from the date of selection. Simultaneous back -end development on the site and CMS will happen during this time. Once design has.been selected, you can dctemtine if you'd like us to facilitate a Workshop in March or April to present initial design concept with stakeholders. Our weekly meetings will be reviewing progress and seeking approvals on materials we deliver. Install and Configure Drupal Development and Production Environments April 10, 2017: If all approval timelines are mel and images are approved, the Drupal templates will be ready for content. We will then begin the content migration. Implement New Website on Development Server Utilizing Drupal April 24, 2017: Assuming approval, 360 will have the functionality, CMS system and content migration completed. We also suggest at this date that the City post a brief video on the exiting website to give users a sneak -peck at the new website and how to use it. This will build excitement toward the site's launch and prevent as much confusion as possible once the new site is launched. With your approval, 360 would create the video to show the main highlights of the new home page and the basic architecture. City of Santa Ana Wcbsiie kedesign and Implementation ornmpal Content. Management System RPP 16421 25E-80 n Quality Assurance of Drupal Solution May 1, 2107: At this stage, 360 will be conducting quality control although your team members are Welcome to QC as well -As in the.previous phase, We suggest keeping users up-to-date on the website's progress. We could refresh the video, feature a testimonial or report on.a new piece of functionality. Completion of Deployment to Production Web Server and User Acceptance Testing May 15,,2017: Following,our thorough quality assurance testing, we will make any necessary bug fixes, linkissues.or any adjustments to the Drupal templates before dcploying,lhc site to the production server and conducting user acceptance testing. Delivery of Disaster Recovery, Backup Plan and Training May 22, 2017: During this week; we would like to be onsite to facilitate the initial training sessions in preparation.for the go -live, date. These trainings will range from the highest -level -administrator to. department editors and othcc defined roles as needed: Wewill akoAcliver the:disasler recovery and backup plan to the appropriate City team members. Design and Implementation Completion June 1, 2017: Following training, the websites will be ready to go live. Qtyof Santa Ana Anticipated T(meline City of Santa Ana WebMic Redplgn and Impinnentatiou of Dntpal Content Mnwgemcnt Systcm RPP 16.121 25E-81 24 IAl 2110 a/» via 4124 511 s/o 5122 all MJeatma Gi1aR Welin 4cm.q na,.: pnl Inm aMM�N l 2a rlemCala L+d Orl [lusnb RN Tem ltX1[!J 1n(MMLI :Yn CUIaMtoe,ra Lut•axn [mxlned nYlll,'A,laml[! pi}f' bYWaYm SamlaMViuiNlptarua ah24<ebm�n Rad n.' aanana ft= [annlA City of Santa Ana WebMic Redplgn and Impinnentatiou of Dntpal Content Mnwgemcnt Systcm RPP 16.121 25E-81 24 Drupal Content Management'System Developing a stable and lcxible CMS will be critical to the long-term usability and success.of the now website. We have a lot of experience customizing Drupal tools'to accommodate specific needs and situations. We. have hardened the,security of our clients' Drupal CMSand find thc'modulcs,bc comprehensive.and flexible to specific customization. We have recently completed large Drupal development projects for the San Diego Unified School District, Huntsville City _Schools and the West Basin Water District. All have Single Sign -On, a W`YSIWIG content ediling.capabilities and compatibility with current Internet browsers. Search Engine Optimization -360 has an excellent track record for helping our clients.ntaximize their SEO placement on the major search engities. Based on page name and'informationarch iteclure; the design of the CMS and URL, structure will ensure that content added to the website is'SEO optimized.- APIs ptimized: APIs and Extensibility Through the development of your CMS; we will provide clear documentation to reduce fttturc support costs., Wealso understand that your needs will change at some point in the Future. That's why all of our assignments arc developed to be scalable to accommodate future growth. Removal of Unnecessary Formatting—When importing documents, the CMS will strip out unnecessary formatting to eliminate tl>eproblem of inconsistent formatting on the,web pages. We have created systems that know what to look for and remove any formatting that will impact the appearance of your online content: Administration and Editing Making a website relevant to its audience. requires consistent refreshing of content. That's wily the administrative interface nmst be intuitive and efficient for non-technical staff to use. Security and Approval—The website administrative system will allow multiple levels ofroles:as well as access and editing rights. for Santa Ana staff, department managers and designated content editors for the entire site and specific pages. In addition, the CMS will offer the option to lock content for different levels of content editing permissions. The site will also include an approval process'to ensure thahall content is reviewed and approved by the necessary people before it is made live for public viewing. Because the administration of the CMS is accessed via log -in and—and is password protected—all editing actions will be tracked by the tiine,,date and user that made the change. The highest level administrator will be able to view editing activity in real-time or request a report for a specified date range or by a specific area of the website. The different levels of access can be determined to best accommodate your needs. Account Creation—The CMS will be designed with an active: directory and LDAP integration for automated account -creation and application of designated roles,groups.and permissions. The specific automation will be'c_ustomiz.ed according to your specific needs. cityomanla'Amt Website Redcsip and lmplcmcnmtion of Mmpal Comm Min'Tman Sysmm RFP 16.12I 25E-82 15 Editing Capabilities -360 would provide you with a web -based editing and administration WYSrWYG interface that looks and feels similar to working in Word. The administrative interface will give your staff tools that they are comfortable using. These functions include undo/redo, table creation, image insertion and multiple file uploading. For image insertion, the CMS will have a built-in image editor that allows the editor to resize, crop, rotate and enhance sharpness. Additional features can be added based specific needs for image control. Because the site content management system is password protected, content editing will be available for your staff to securely make edits from the city offices or anywhere they have Internet connectivity. Regardless of whether they are accessing the CMS using a computer, mobile device or tablet using iOS or Android, designated content managers will be able to quickly make desired revisions. If selected, 360 will also develop an editing app for both Android and iOS that allows designated editors to add content and keep in touch with users. Like the front-end of the website, the CMS editing will be supported for Intemet Explorer 8+, Safari 5+, Chrome stable and Firefox ESR. In addition, spell check, predetermined fonts and font colors will be locked in to ensure consistency and accuracy throughout the site --regardless of which administrator completes the updates. When editing content, administrators will have several options for adding content on the website. Content can be shared to pages and subpages or deployed to other websites. When adding content, the editor can schedule it to appear live at a specific date and time and deactivated at a specific date and time. Deactivated, or content that is hidden from view on the public facing site, will remain on the CMS and the editor will be able to edit it as needed. File Storage—The website will also accommodate your document storage and management in the CMS. Located centrally, the storage area will accommodate all major content, graphic and media file types, including at a minimum PDF, Word, Excel, PowerPoint, JPG, GIF, TFF, HTMLS video, WMA, MPEG, Quicktime, MP3, MP4, AVI. Integration -360 has the ability to integrate with APIs for the major CRiv1 programs and 3`d party providers including Vimeo, Yourube, Kaltum and SharePoint. Features Santa Ana will launch your new site with a full suite of features that both informs and seeks interaction with their audience and community. Provide Information—The main reason that people visit a website is to find information, specifically a website for a public entity. Not only does a good website save time for the site users but also City staff. The information providing features of the website will include: City of Santa Ana Website Redesign and Implementation of Dmpal Content Management System RFP 16-121 25E-83 26 Opt -in eNewsletters and/or e -Notifications -360 will develop this tool to be simple for City staff to administer, creating up to 25 different e -newsletters, allowing subscriber additions and deletions and inclusion of links and images to compliment the content. For the user, the site will make it easy for them to sign up for the newsletters and notification and also to unsubscribe at any time. The site will also provide reporting of opt -outs and invalid email addresses for management purposes. Calendar—Although the calendar section of the site will give the site user a clear and comprehensive look at your events or promotions, it will also offer the site's editors an easy interface for management. For the users, they will be able to print pages of the calendar and view the calendar as monthly, weekly or daily. The City staff will be able to add events as single -time or recurring, add written descriptions and link to events. Editors will also be able to designate events to appear on the homepage and automate an RSS Feed. Calendars will include content sharing workflows, iCal support and bldg support. Newsroom—Finding news will also be easy to find and manage on your new site. 360 will provide your staff with the tools they need to post news to one or more pages of the site and set an expiration date for the news article to move from the site's newsroom into the site's news archive. You will also have the ability to set a date in the future for the article to be live to the public. The staff will be able to determine the order that the news articles appear on the site's newsroom. Survey 'Tool—This tool will enable Santa Ana to seek and collect information from your audiences, In addition to providing flexibility to develop questions that require multiple choice, multiple select, ranking and written response options, you will also have real-time and archived reporting, Web Forms—Providing easy access to forms is a key part of malting the website relevant to its users. 360 will create a basic form center for administrators to quickly add and organize commonly required forms. Online Paymeut Processing—We have developed many ecommerce solutions. Your website will support online payment processing in a secure, stable environment. Directories—Contact information will be easily accessed by users and updated by your staff, as necessary. This ensures that the most current and accurate contact information is always available. Site Map—The site map will automatically be updated as your staff edits the website, ensuring that it always displaying the correct and current layout of the site's pages. Search—The Search feature of the site will make it easy for users to enter keywords or dates and search the entire website for specific news, information, documents, forms or events. We also employ a "smart search" functionality that eliminates the frustration of searches that retrieve irrelevant documents. Mobile Friendly -360 is hired to create mobile apps for many clients, so we are very experienced in creating websites that are mobile -friendly and give users the same access from their mobile device as from their computer. The websites we create are intended for viewing on computers, tablets and smart phones. City of Santa Ana Wobsito Redesign and Implementation ofDrupal Content Management System RFP 16-121 25E-84 27 Security—Throughout our engagement, the site Will be protected by financial -grade security and infrastructure to protect your documents, logins and passwords for accessing the site's management tools. Platform Compatibility—We will be ensuring that the website appears and responds consistently, regardless of the operating system or browser used. We design, develop and maintain sites that arc compatible with both PC and Mac platforms using commonly used browsers Explorer, Safari and Firefox. We follow a standard procedure for each change our team makes to ensure that the pages appear the same, regardless of user preferences. For the duration of our engagement, 360 will facilitate project planning, including the project schedule and scope for completing key milestones in the development schedule. Following the initial meeting, if necessary, 360 will revise our implementation plan and scheduled the milestones that drive the project's completion. Role of the City Redesigning a website is a process that requires active involvement and consistent communication between the City and the provider. During our engagement, we will need your designated loam to be available for status meetings and provide approvals for key phases of the project. We will also need you to indicate what content from the existing site you want for the website, if you are providing new content or if you need 360 to develop content. Any content editing or creation is included in our fee. In addition to your input, we will also ask for the data collected in the web logs of the existing site. This information allows us to understand how your current site is being used so we can make sure your new site performs better than the current site. We will also need access to the website's current images as well as any additional images you would like used in your new site. Training Support From day one of our relationship, our team is ready to answer your questions and help you maximize the investment you have made in our services. After the silo's rollout, we provide you with all the page template designs. Upon closure of the project, we turn over all materials to you, ensuring you always have ownership of what you paid for. Training Support—We will develop and deliver comprehensive training about the website and how to use the tools created to manage the site. The training team assigned to your account will develop training materials that provide information you need to implement the content management system. City of Sauta Atm Website Redesign and implementation ornmpal Content 0.lanagement System aFP 16-121 25E-85 28 We estimate a one-week training period for Santa Ana's designated web administrators. 360 will provide up to five in-person training sessions and up to 20 web trainings by a 360 strategic team member as well as a technical team member. Following our onsite training, we will be available during business hours to answer training questions via email and phone. We are also available to host three WebEx trainings to demonstrate the software's fimctionality and features, or as follow up training. Training Manual and Documentation—All 360 -created software makes it faster, easier and more efficient to get the information you need when you need it. We will provide a comprehensive training manual and thorough documentation online that can be retrieved with the click. Once we have completed the training sessions, and the 90 days of post -launch support, 360 will have a thorough understanding of what additional training you may need or want. City of Santa Ana Website Redesign and Implementation of Drupal Content Management System RPP 16-121 25E-86 29 0 Financial Responsibility We have been in business for the past 12 years and have been profitable for the past 10 years. 360 is a closely -held private company. We do not publicly disclose our financial statements as it gives an advantage to our competitors. However, in order to be in full compliance with this RFP, we will release financial statements if requested by the City of Santa Ana. Please contact Bridget DiRico at 949.315.5068 or bdirico@360,biz.com. City of SantaAna Websha Redesign and Implemcutalion of Drupal Content Alanagement Syskm RFP 16.121 25E-87 34 19 Exhibit C—Proposal Item Pricing EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, undersland and agree to the lennsand 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 Gmitatlon that may Impact work request's'., I undeistand and agree that 1 am responsible for iepordng 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 fixed-price basis for services described In Exhibit A. Fee must be inclusive of all costs, including but not limited to, direct and indirect'.cosls for labor,overhead, incidental supplies, travel; mileage, acrd fuel: Any special materials will be purchased by the contractor' only after discussed and authorized by the City projects manager or designee In writing. Please attach proposed cost and payment, schedule. 360 EC Group, In. eba 360 Business Consulting 0493155068 (Phone) 949.608.3663 (FaxI LEGAL NAME OF COMPANY PHONE AND. FAX NUMBERS 9576 N. Batavia SL Orange. CA92867 BUSINESS ADDRESS 27.1580582 FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMBER (IF APPLICABLE) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.. PROPOSALS THAT DO NOT CONTAIN THIS FORM 1MLL eP coN;InFRpn NnNRFCPnNCIV p 20 Cil, urSanm Ano N4hsirc tGrksipn ua�Iniplcmrin:uiun nrOnipil Camrnl AlUnay.nlcm"$,Strip RFI'I(.12I 25E-88 3l Pricing Narrative We endeavor to give our clients the, full -support they need to achieve their projects on time and on budget. We understand the objectives outlined, and propose the following pricing. Website Design and Implementation of Drupal CMS By reviewing the current site and the objectives, we are comfortable with providing a project -based quote that includes the following: • All client contact and meetings. ■ All public meetings, workshops and committee review meetings. • All programming as needed to complete the project. • All functionality and features listed in the RFP. ■ Design, including three design comps for overall site design and creation of templates with revisions as described in the RFP. ■ Designs, including three design camps for Economic Development Portal. ■ Implementation of Open Data Portal. ■ Technical and content support for 90 days atter launch, including minor design changes and enhancements. Mobile -friendly website design. ■ Online payment processing. • Development and deployment of custom Online Training and Certification Program for the City's administrators. *See Value -Add Offerings. • Training manual, up to five onsite training sessions, 20 online training sessions, and unlimited phone and email support. ■ Style guide and documentation for future implementations and revisions. ■ Survey and form tools that can be used site -wide or by department. • Migration of all current content. • Throughout the migration, all existing URL's will continue operation and be mapped to the current destination in new platform. • Although not requested in the RFP, 360 will also do all 301 redirects to preserve your current Search Engine standings, preventing any loss of SEO the City has achieved. *Sce Value -Add Offerings. • Resolution of any minor issues in the migration, such as mapping or fixing links, for 90 days following the site launch. • While migrating all 'of the current content, we would edit any existing content for consistency and search engine optimization by our team of professional editors. Website Redesign and Implementation of Drupal CMS, Economic Development Portal and Open Data Portal: Not to exceed S 140,480. city orlama Ana Website Redesign and 1mplcnmntaaaa ornrupal Content Management Syncna RFP 16-121 25E-89 32 *Value -Add Offerings Search Engine Optimization Enhanced Content Migration In addition to our Content Migration services, we will also maximize your SEO by preventing any loss of current standings. We will set up 301 redirects to ensure that we preserve your current Search Engine standings, preventing any loss of SEO that the City has achieved. Online Training and Certification Program In addition to the lraining'sessions and materials, we will develop an Online Training and Certification for the City. The online course and certification allows your staff to complete a comprehensive training course and achieve certification to administer the site. This not only allows you to offer training to additional or new staff, it also serves as a refresher course for those who take the initial training, if necessary. This will be provided to you at no additional charge. City of Santa Ana 360 Cost/Pricing Info}matlan Citl;of Santa Ana Wcbsito Redesign and Implcmentall'on ol'Drupal Content Management System RFP 16121 25E-90 33 MOwIYRn, SlnuC, DnYn Cmt-pmn QuH,Mw!•[NntiC SeiYryetl SIDnA n+T ANmaI IIVf CMI 11��, Cpn NpT Can Mvn !'ll NaII 4'II .. iiGf,ICW .. M} ...... Sim% A 1M1OL0 11 5.. N Rim S S"l 16 SI SON ANON I,unn!Fnaraluln-n S"M So Sx]fom 11 Se/Nm +a nSCON a s m M +O • S(Wm '%' Pow M,rc 1lWTMriW l.b Uie }+ 6Nm 10 I.Smm tb W..Un 1v 31 S:rtM N S+Imm 'vn2am 51SN S S6mm R Semen 1 56CON R S M e tIMM ,m6m R6`wu M1 w:bvilMarl 1„f Me 2. 11N +0 %' uM IM S1 zm lv )Smm m S+AWm. SilfilM W.U'mlMslHo v0 RW. Srtm + Ssmm 6 S150m ro SLSmm R SKam h Si Smm".VAm +u4lMrt�mNhv m Sif.m 0 34m (O $+Smm NO f113Wm d0 36Amm SS "JoM .... SN.Imm INA Ito MAMA Iib SIIA`Am R:R Y1l PZ.m }OS S1L.Mm N Sf9,fmm St:O.F°Um Citl;of Santa Ana Wcbsito Redesign and Implcmentall'on ol'Drupal Content Management System RFP 16121 25E-90 33 ® Exhibit D—References EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM REFERENCES List and describe fully the contracts performed by your firm vrhich demonstrate your abllity la piO4ide the supplies, equlpment'or services Included in the -scope of the proposal specifications. Attach addltlonal'oaoris if required. The City reserves the right to contact each of the references listed for additional Information regarding your firm's qualifications. e einence Customer Nam r. City of son Diego Contact lndi4ldual: Ron Vaquez Address: 1200 ardAvenao Phone Number: 619.23646164 San Diego, CA92101 leacs:mile Number. -Contract Amount: SSS -000 Year. 2015-20-16 Description of at Content mlgratlan Reference Customer Name: San.Olego Unified Schoof District Address: 100 Normal Street San Diego; CA 02101 Contract Amount: $175.000 Descdp9on We were au Reference up of CLAS, and adding Contact Individual: G"M Smith Phone Number: 619.725.7404 Facsimile Number: 9smith2Qsandi.net Year. 2014-2106 maintenance Customer Nam.:Central Basin Municipal Watorlas Contact Individual: Priscilla Segum Address: 6252 Telegraph Rd. Phone Number 020201:5594 Commerce. CA 80040 Contract Amount• $175,000 Farslm90Numbar Pris.c'llas@cenlmlba;3n.om Year. 2e162018 Description of suppyes, equipment, or services provided: Gmphie Deskgn. wobstle sarvkes; CMS and hosting son -lees- Approximately 5.000 pages and 20 content contributor& Ompat 7. City of Santa Ana Website 6edesifpr and Implcmcitalion or Di pal Content Management System RFI' 16.121 25E-91 34 0 Exhibit E—Proposer's,Statement EXHIBIT E CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM PROPOSER'SSTATEMENT 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 term of this document, and Its execution, and .when 11 or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service property 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 liabifily insurance within len (10) hays (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, droll, or Proposer's bond subslituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due tolhe delay -and other causes suffered by City because of the (allure 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 proposers 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. NI 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 add are made specifically as part of this RFP. Inc.cM 36D Signed and Printed Name: Title Date PROPOSALS THAT DO NOT CONTAIN THIS 77 City ortioma Ana R'cbsitc ItadeSLn and ImplcmcnGnlnn n1'Unfpul Grnnm Alana3cmtni Sy Stan W11116-121 25E-92 35 0 Exhibit F—Sample Additional Insured Endorsement for Commercial General Liability Policy EXHIBIT F CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WEBSITE REDESIGN AND IMPLEMENTATION OF DRUPAL CONTENT MANAGEMENT SYSTEM SAMPLE ADDITIONALINSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company Sentinel Inst rano Company This,endorsement modifies such Insurance as is afforded by the provisions Of Parley ri 41 SEM PS1259 DV relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, CaIiIOrnia 92701; its officers, employees, agents, volunteersand representatives are named as additional Insureds ('additional Insureds') with regard to liabilityanddefense 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 performedby 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 againstwhom claim is made or suit is brought except with respect to the company's limits at liability, The. Inclusion of any -person or organization as an Insured shall not affect any right which such person ar organization would have as a claimant it not so Included. 4. With respect to the additional insureds, [his 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, 20tivic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement offec[ive.) Effective Teo , this endorsement form as a part of Policy # 41 SUI PS1259 GV Issued to 360 BC Grove. Inc. Named Insured Countersigned by Teo Authorized Representative SAMPLE ONLY 73 City of Santa Ana WOnitc Rcdoign and 6npicmctnalion of Gmpal Contmi ❑lanagcntcnt Syslcm RVP 16.121 25E-93 36 25E-94 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE SECOND AMENDMENT TO AGREEMENT WITH NEC CORPORATION OF AMERICA, INC. FOR TELEPHONE SYSTEM MAINTENANCE (STRATEGIC PLAN NO. 712D) CINIANAGEPQ RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the City Council to execute a second amendment with NEC Corporation of America, Inc. to provide maintenance and support services for the City's telephone system for a one-year extension, beginning July 1, 2017 through June 30, 2018, in an amount not to exceed $184.235, subiect to non -substantive chances aDDroved by the Citv Manager and City Attorney. DISCUSSION The City uses an NEC telephone system to allow voice and facsimile communication with the public and City staff. The system consists of a network of 15 telecommunication systems that support every Department in the City. These systems are located at City Hall, Police Department headquarters, Police sub -stations and Jail, City Yard, Work Center, Parks and Recreation centers, and the Santa Ana Zoo. The systems are linked internally through the main City Hall telephone system and include over 2,000 telephones and approximately 2,220 voice, fax and modem extensions. In order to ensure the proper functioning of this extensive system, the City contracts for maintenance services. Some of these services include: providing an on-site dedicated service technician to perform repairs, moves, additions and changes; 24-hour system monitoring and service response; replacement of defective telephone system equipment; providing engineering support; and providing new telephone equipment. 25F-1 Second Amendment to Agreement for Telephone System Maintenance June 6, 2017 Page 2 In June of 2011, the City Council approved an agreement with NEC Corporation of America, Inc. to provide telephone maintenance, repairs and installation of replacement systems and services for City Hall and all off-site locations. The term of this agreement and its renewals will expire on June 30, 2017. During the term of this agreement, the Information Technology Department will be issuing an RFI to select a new VOIP phone system. Depending on the implementation timeline of the new system, the support needs of the existing system will be determined and, if necessary, a RFP will be issued for continued support. NEC Corporation of America, Inc. has provided excellent maintenance and service during the term of its agreement with the City. Staff recommends extending the current agreement for a one-year period beginning July 1, 2017, to ensure continued operation of the City's telephone system. This will be the second amendment to the agreement. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #7 — Team Santa Ana, Objective #2 (establish communications plans to engage and inform employees and the community about City Activities), Strategy D (Invest in software/resources that will help streamline the flow of information to City staff and the public). FISCAL IMPACT Funds are budgeted and are available in the FY17-18 Information Technology Network and Telecommunications account for contractual services (account no. 10920140-62300). APPROVED AS TO FUNDS AND ACCOUNTS: (i -/w Ja c Ciulla Francisco Gutierrez M C of Technology Innovations Officer Executive Director Information Technology Department Finance & Management Services Agency EXHIBIT: 1. Second Amendment to Agreement 25F-2 Exhibit 1 SECOND AMENDMENT TO AGREEMENT WITH NEC CORPORATION OF AMERICA, INC. THIS SECOND AMENDMENT to the above -referenced agreement is entered into on June 6, 2017, by and between NEC Corporation of America, Inc. ("Vendor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The parties entered into Agreement #A-2011-164, effective July 1, 2011 ("Agreement"), by which Vendor agreed to provide telephone system maintenance and equipment for the City's telecommunications systems. The term of the Agreement was for three years, from July 1, 2011 through June 30, 2014, with three additional one-year options exercisable by the City. B. The parties executed a First Amendment #A-2014-162 to exercise the first option and extend the term of the Agreement for an additional one-year period, from July 1, 2014 through June 30, 2015. C. The parties executed an Exercise of Second Option #A-2011-164-01, to extend the term of the Agreement for a second additional one-year period through June 30, 2016. D. By letter #A-2011-164-02, dated June 1, 2016, the parties extended the term of the Agreement for a final one year period through June 30, 2017. E. The parties now wish to further extend the term of the Agreement, amend the scope of services and to increase the amount to be expended under the Agreement. The Parties therefore agree: 1. Section 1, Scope of Services, is amended such that the City reserves the right to unilaterally reduce or eliminate services, including but not limited to, the level of technician coverage. The reduction or elimination of services shall result in a_proportionate reduction of the _ payment to the Vendor. 2. Section 2, Term, is amended to extend the Agreement for an additional one-year period beginning July 1, 2017, and ending June 30, 2018. 3. Section 3, Compensation, is amended to include an additional $184,235 for services to be performed by the Vendor. The rates and charges are identified in Exhibit A and incorporated by reference to this Agreement. 4. Except as modified by this Second Amendment, and all prior Amendments and extensions, all terms and conditions of the Agreement shall remain in full force and effect. Page 1 of 2 25F-3 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to the Agreement on the date and year first written above. ATTEST MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney 11 1 By: JOUN M. FUNIC Assistant City Attorney RECOMMENDED FOR APPROVAL JACK CIULLA Chief Technology Innovations Officer CITY OF SANTA ANA NEC CORPORATION OF AMERICA, INC. Name: Title: Page 2 of 2 25F-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: AGREEMENT AMENDMENT WITH THE LIBRARY CORPORATION FOR THE LIBRARY AUTOMATION SYSTEM {STRATEGIC PLAN NO: 2,3D) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with The Library Corporation for the library automation system to extend the term three years from June 17, 2017 through June 17, 2020 and increase the compensation for the term to an amount not to exceed $111,689, for a total contract $224,428, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On June 17, 2014, the City Council approved a three-year agreement between the City of Santa Ana and The Library Corporation, Inc. (TLC) to provide a library automation system. TLC provides the Library with a web -based client server that manages library accounts and maintains an inventory of books in -stock and circulating. The software allows patrons to search the catalog of inventory from a library computer or remotely through an internet connection. The software includes a report module that prints a variety of information, including circulation statistics and the number of titles in each collection. The acquisition module helps manage the book budget for each collection and provides a quick and efficient way to search for new titles, process orders, and catalog items being added to the collection. Maintenance services include 24-hour telephone and online support, licensed software updates, staff training, online access to cataloging resources, and enhanced content databases. The original agreement provided for three, one-year extensions. The agreement amendment is to exercise all three, one-year extensions at once for a second three-year period from June 2017 through June 2020 at a cost of $111,689 (Exhibit 1). This will allow the City to avoid the company's annual CPI cost increase of approximately $9,561 over a three year period. 25G-1 Agreement Amendment with The Library Corporation for the Library Automation System June 6, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #2 — Youth, Education, Recreation, Objective #3 (Expand use of technology as a tool for communication and education in the community), Strategy D (Leverage the Roosevelt/Walker Prop 84 funding to ensure the new community center also serves as a Library with a focus on electronic media such as eBooks, Internet, and remote check-out services from the Main Library). FISCAL IMPACT Funds will be budgeted in FY 2017/18 and requested in subsequent fiscal years in the following account for the specified years of the term: Unit PRCSA-Library- (no. 01111190-62300) Gerardo Mouet Executive Director Parks, Recreation Agency Community Services EXHIBIT: 1. Agreement Amendment FY 17/18 FY18/19 FY19/20 $37,220 APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez Executive Director �^^ Finance and Management Services Agency 25G-2 AMENDMENT TO AGREEMENT THIS AMENDMENT TO AGREEMENT ("Amendment') made and entered into this day of June, 2017, by and between The Library Corporation, Inc., a corporation organized under the laws of the State of Maryland (`TLC') and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and the laws of the State of California ("City"). RECITALS: A. On June 17, 2014, the parties entered into Agreement # A-2014- 138 ("said Agreement') by which TLC has provided a library automation system along with servicing, maintaining and upgrading of the computerized system for the City. B. The Term of said Agreement was for three -years, with three (3) one-year optional renewal periods. C. The parties desire to exercise all three options for a renewal term of three (3) years and increase the compensation for such extended term. WHEREFORE, in consideration of their mutual and respective promises, and subject to the terms and conditions of said Agreement as hereby amended, the parties hereby agree as follows: 1. The Scope of Services shall be amended to include the services on Exhibit A, attached hereto and incorporated herein. 2. The Term shall be extended for a three (3) year period from June 17, 2017 through June 17, 2020. 3. The Compensation for said Agreement as amended shall be increased by an additional $111,689.00 to pay for the extended services and maintenance for the term through June 17, 2020, with annual payments as set forth in Exhibit A. 4. Except as hereinabove modified, the terms and conditions of the Agreement shall remain in full force and effect. [Signatures on Following Page] 25G-3 IN WITNESS WHEREOF, the parties hereto have executed this Amendment the date and year first above written. ►_1109*16 MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: � c_ _ �( LISA STORCK Assistant City Attorney RECOMMENDED FOR APPROVAL: CITY OF SANTA ANA CYNTHIA J. KURTZ Acting City Manager The Library Corporation GERARDO MOUET, Executive Director BY: Parks, Recreation & Community Services TITLE: Agency Tax ID# 2 25G-4 EXHIBIT A The Library Corporation (TLC) Services provided to Santa Ana Public Library and annual costs for those services under the proposed three-year agreement. • Library Solution SUPPORT - $30,828 - Library Solution is the designation of TLC's Integrated Library System which Santa Ana Public Library has had in place since 2002. The Library Solution package includes: o You See More — The public access catalog which enables the public to browse/search our materials inventory by author, title, subject, series, International Standard Book Number (ISBN), keyword, notes and publisher. Patrons can also limit their search by medium, collection and other factors, while saving items to a list and storing the list in their personal account. LS2 PAC — The newest TLC interface which facilitates use of mobile devices to access information, as well as the integration of a -book and other platforms into the system. LS2 PAC can be accessed in the library or remotely via the Internet. LS2 Kids —The public access catalog which enables parents and children to search our materials inventory in a manner more accessible to younger users by way of pictures and age appropriate categories. This function is also accessible remotely via the internet and can be used for mobile devices. o LS2 Staff—The web -based module which completes and documents transactions (check outs and check ins), maintains borrower histories and actions, and tracks and reports the status of each item in the inventory. This module provides software for the cataloging of new materials and their integration into the public catalog, and for the online selection and ordering of new materials. It also provides flexibility and scalability to permit mobile device usage for circulation tasks. o LS OSA — The software which tracks materials orders and insures that they are charged to the correct account. o LS Serials — The software that tracks magazine and newspaper orders, monitors reception of items, and adds them to the public access catalog. 0 239.50 — Server Software for searching and retrieving information from a database over a TCP/IP computer network. o SIP Communication Software - software to permit utilization of Overdrive (e -book, e-audiobook) software within the catalog. o LS2 Reports — The web -based preprogrammed statistical reports. o Licensed software support includes telephone diagnostic service available during normal company business hours (7:30 a.m. 0 12:00 midnight EST Monday — Friday) additionally with emergency referrals from The Library Corporation's Operations Center to on-call personnel, 24 hours per day, 7 days per week. All Library.Solution customers have 3 25G-5 access to the Library Corporation's toll-free (800) telephone line. The Library Corporation shall respond in a prompt, commercially reasonable manner within two (2) hours during the support hours. Software Support also includes access to the Library Corporations' online support center, which can also be accessed 24 hours per day, 7 days per week to view, update, and submit support requests. Software support by the Library Corporation will provide: 1) Technical assistance by telephone, email, fax service and/or courier; 2) Correction of errors in Licensed Software; 3) New releases of Licensed Software modules and documentation, as available, at no charge other than the Software Support cost; 4) Off-site back-up of customized source code. • OPAC Enrichment Support - $5,974 (year 1), $6,392 (year 2), $6,839 (year 3) — This services provides full-color book jackets to illustrate items in the catalog, increasing the attractiveness and utility of item descriptions. 2017- 2018- 2019- 2018 2019 2020 Cost Breakdown Library Solution Software $30,828 $30,828 $30,828 Enhanced Content Renewal for book jackets $5,974 $6,392 $6,839 TOTAL $36,802 $37,220 $37,667 Three years $111,689 Id 25G-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: APPROVED ❑ As Recommended APPROVE AGREEMENT FOR SPECIAL El El n LEGAL COUNSEL SERVICES WITH JONES ElOOrrdinance on 1 Reading ❑ Ordinance on 2nd Reading & MAYER, ATTORNEYS AT LAW ❑ Implementing Resolution {STRATEGIC PLAN NO. 3,3; 5, . El Set Public Hearing For /,?/I / CONTINUED TO FILE NUMBER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute a three year agreement with Jones & Mayer, Attorneys at Law, for legal services in the area of code enforcement receivership and nuisance abatement matters, in the amount not to exceed $200,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The City has utilized receivership actions under the California Health and Safety Code to successfully resolve difficult code enforcement matters in both commercial and residential properties. Receivership is a legal process through which control of a real property is temporarily taken from the owners and placed with a court-appointed officer; the Receiver. These receiverships are used for abandoned and substandard properties where the owner has a history of noncompliance with the City's code enforcement efforts or, in emergency situations, where the real property presents an immediate threat to health and safety. The receivership option is a comprehensive process which eliminates substandard conditions or uninhabitable slum -like properties and allows the referring agency, when it is the prevailing party, to recuperate its enforcement costs. This process also communicates to the public that the City is actively protecting residents and tenants from dangerous conditions created by absentee or non-responsive property owners. Beginning in 2013, the City of Santa Ana has initiated more than fifteen receivership actions against dangerous and substandard properties within the City. As a result of successful prosecution of these actions, the dangerous and substandard conditions on these properties have been corrected. On August 2, 2016, the City Council approved an Appropriation Adjustment of $100,000 to the Planning and Building Agency budget for receivership activities. This item also indicated that the City would soon thereafter conduct a Request for Proposals to retain outside legal counsel for the receivership program. 25H-1 Agreement for Special Legal Services Jones & Mayer, Attorneys At Law June 6, 2017 Page 2 In September 2016, an RFP was released inviting law firms to submit proposals to provide legal services related to the receivership program. Because the City has utilized Federal Community Development Block Grant (CDBG) funds for the program, the RFP was conducted pursuant to Federal guidelines (2 CFR 200.320(d)). The City's RFP was published for one week in the Orange County Register and copies of the RFP were mailed to law firms in the Orange County area who specialize in code enforcement litigation. Four proposals were received in response to the City's RFP. The proposals were reviewed and evaluated by staff from Code Enforcement, Planning & Building, and the City Attorney's Office. Of the proposals received in response to the RFP, staff is recommending Jones & Mayer as the top proposal. Staff specifically noted the high level of experience and expertise possessed by the firm, the large number of receivership cases handled by the firm on behalf of other municipalities, and the reasonable hourly rate. Jones & Mayer has agreed to a capped fee by which the City will pay for attorneys' fees and costs incurred up to $18,000 for each receivership case filed, with the exclusion of cases involving a property that has a marijuana dispensary located thereon. Once the billed services exceed $18,000, Jones & Mayer will seek payment directly from the appointed receiver. The City Attorney's office and Jones & Mayer will agree on a case-by-case basis to a capped fee amount to be paid directly by the City for receivership cases involving a property that has a marijuana dispensary located thereon. To provide the highest quality representation and legal counsel, staff desires to enter into legal services agreements with the top ranked firm — Jones & Mayer. The proposed term of the agreement would be three years. There are three funding sources that may be used to fund the services proposed. The first funding source to be utilized is the Code Enforcement Receivership Fund, the second fund source to be utilized is Code Enforcement Contractual Services, and the last funds to be considered is Code Enforcement CDBG Contract Services Account. When using the CDBG funds all Federal requirements shall be followed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objectives #3 (Promote a solution -based customer focus in all efforts to facilitate development and investment in the community); Goal #5 — Community Health, Livability, Engagement & Sustainability, Objective #4 (Support neighborhood vitality and livability), Strategy E (Implement innovative code enforcement practices and strategies including the use of volunteers, enhanced technologies and increased collaboration with other City departments and outside agencies to address critical livability issues citywide [e.g. overcrowding, absentee landlords, landlord/tenant rights and responsibilities, etc.]). 25H-2 Agreement for Special Legal Services Jones & Mayer, Attorneys At Law June 6, 2017 Page 3 FISCAL IMPACT Funding for this Agreement will be drawn from the following funding sources respectively until the funds are exhausted: 1. Code Enforcement Receivership (09801001-24042). Effective July 1, 2017, City Services Fund (05316021-62300)* 2. Code Enforcement Contractual Services (01116540-62300) 3. Code Enforcement CDBG Contractual Services (13518783-62300-17750416016) As funds are recovered under the receivership process, those funds will be applied to replenish the account and will be used to continue the receivership program. In the event additional monies are required to continue the program, a request will be made for an appropriation adjustment and placed on the agenda for Council approval. *Effective July 1, 2017, the remaining balance in Fund 09801001-24042 will be transferred to the City Services Fund (05316002-57018). Also, effective July 1, 2017 any recovery monies (non- CDBG) received by the City related to Receivership activities will be deposited in the City Services Fund (05316002-57018) and the corresponding/related expenditures will also derive from the City Services Fund (05316021-62300). 25H-3 A/U Account Activity Balance as of Description 5/26/2017 1 09801001 24042 n/a $20,972.24 Revolving Account to be used for receivership expenditures 2 01116540 62300 n/a $100,000.00 To be used for Receivership expenses after fund 09801001 has been exhausted To be used only for Receivership expenses that incur in CDBG eligible areas, and/or 3 13518783 62300 17750416016 $58,467.99 City Attorney CDBG eligible receivership activities. To be used after the 2 above funds have been exhausted. All Federal requirements shall be followed As funds are recovered under the receivership process, those funds will be applied to replenish the account and will be used to continue the receivership program. In the event additional monies are required to continue the program, a request will be made for an appropriation adjustment and placed on the agenda for Council approval. *Effective July 1, 2017, the remaining balance in Fund 09801001-24042 will be transferred to the City Services Fund (05316002-57018). Also, effective July 1, 2017 any recovery monies (non- CDBG) received by the City related to Receivership activities will be deposited in the City Services Fund (05316002-57018) and the corresponding/related expenditures will also derive from the City Services Fund (05316021-62300). 25H-3 Agreement for Special Legal Services Jones & Mayer, Attorneys At Law June 6, 2017 Page 4 ;Ha�..n'la�?ni, AaCP Executive Director Planning & Building Agency Robe (-C. COftez Deputy City Man eg r Community Development Agency AN:rb S:Admin\RFCA\Receivership LegalServices RFCA Exhibit: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency 25H-4 SPECIAL LEGAL COUNSEL SERVICES AGREEMENT This AGREEMENT, made and entered into this _ day of June, 2017, by and between Jones & Mayer, Attorneys at Law, ("Attorneys"), and the City of Santa Ana, a charter city and municipal corporation duty organized and existing under the constitution and laws of the State of California ("City"). RECITALS A. City desires to employ Attorneys to assist the City Attorney in the provision of legal services to the City, and B. Attorneys represent that they are licensed to practice law in the State of California, have special experience and knowledge in the field of municipal litigation, specifically code enforcement receivership and nuisance abatement actions, and desire to undertake said services. 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. RETENTION OF ATTORNEYS City hereby agrees to and does retain Attorneys, for the compensation hereinafter specified, to assist the City Attorney with the review, filing, and handling of receivership actions pursuant to the California Health and Safety Code. Additionally, the City agrees to and does retain Attorneys for general advice and legal review on a case-by-case basis when matters arise in relation to abatement of nuisances in Code Enforcement. Attorneys accept said retention and agree to perform, in a timely and efficient manner, all such services as may be requested by the City Attorney. Attorneys shall confirm their acceptance of work requested by City in writing by e-mail or letter. 2. COMPENSATION FOR SERVICES RENDERED a. City agrees to compensate Attorneys, and Attorneys agree to accept from City, the billing rates identified in Exlubit A, attached hereto and made a part hereof, for the services provided. Time will be billed in 1/10th of an hour increments. (i.) The City and Attorneys agree that the City will pay Attorneys directly for the foregoing services up to $18,000 for each receivership case filed, with the exclusion of cases involving a property that has a marijuana dispensary located thereon. Attorneys agree to recover amounts billed in excess of $18,000 from the court appointed receiver as approved and awarded by the Court pursuant to a fee recovery motion and order. The City, by and through the City Attorney's Office, and Attorneys will agree on a case -by case basis, the amount of fees to be paid directly by the City for receivership cases involving a property that has a marijuana dispensary located thereon. Attorneys make no representation as to the total potential amount of fees/costs to be incurred on any particular assigned matter. Following notice by Attorneys and acknowledgment by the City, the City agrees to pay EXHIBIT 1 25H-5 Attorneys directly and above the $18,000 on a receivership case at the rates established in Exhibit A, for extraordinary fees and/or costs incurred for appeals, writs, or other unanticipated additional legal services. b. City agrees to reimburse Attorneys for out-of-pocket expenses in connection with the performance of duties under this Agreement, as stated in Exhibit A. Any costs in excess of $5,000 require City Attorney approval prior to incurring the expense. All expenses must have supporting documentation submitted with the invoice. C. Attorneys shall not bill City for routine clerical expenses, such as word processing, secretarial and office costs including telephone and fax charges. d. The total amount to be expended_by City pursuant to this Agreement shall not exceed two hundred thousand dollars ($200,000.00) over the three year term of the Agreement. This amount may be increased by the mutual agreement of the parties pending approval of the City Council. 3. METHOD OF PAYMENT Attorneys shall submit a monthly statement specifying the services performed, dates and number of hours, and an itemization of expenses related thereto with supporting documentation (i.e. receipts, invoices, copy of check, etc). 4. CONTROL OF LEGAL MATTERS Attorneys agree that each and every matter or proceeding in which they undertake to assist the City Attorney, as aforesaid, shall be and remain under, and subject to the control and direction of said City Attorney at all stages, and that they shall at all times keep the City Attorney informed of all matters pertaining thereto. City will keep Attorneys informed of all significant developments in matters relating to any representation undertaken by Attorneys. Attorneys further agree, if and when their retention hereunder is terminated by City, as hereinafter specified, they shall return to City Attorney any and all files then in their possession concerning each and every matter or proceeding in which they represented the City pursuant to this Agreement. 5. REPORTING REQUIREMENTS Attorneys agree to keep the City Attorney, Code Enforcement Manager, and any other person(s) designated by the City Attorney, informed of significant events in the Actions, including but not limited to trial date, filing of motions, hearing date for motions, settlement conference date, and mediation date. Attorneys also agree to provide the following reports: a. Initial evaluation of case and budget; and b. Monthly case updates for all properties assigned to Attorneys by City; 6. TERM The term of this Agreement shall commence on the date first written above and terminate on May 18, 2020, unless terminated earlier pursuant to Section 16 below. The term of this Agreement may be extended upon a writing executed by both parties, including the City Manager and the City Attorney for the City. 2 25H-6 7. NDEPENDENT CONTRACTORS It is mutually agreed by and between the parties that, in the performance of their covenants hereunder, Attorneys are and shall be independent contractors, and not officers or employees of City. 8. INSURANCE Attorneys shall provide to the City Attorney proof of Professional Liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, and maintain such insurance throughout the term of this Agreement. If Attorneys fail or refuse to produce and maintain the insurance required by this section, or fail or refuse 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 Attorneys' right to be paid for its time and materials expended prior to notification of termination. 9. NDEMNIFICATION Attorneys agree to and shall indemnify and hold harmless the City, its officers, agents, employees, and representatives from liability for personal injury, damages, restitution, judicial or equitable relief to the extent caused by Attorneys' negligent or wrongful performance or conduct related to this Agreement. 10. ATTORNEYS' OBLIGATIONS A. No Conflict. To the best of Attorneys' knowledge, Attorneys' execution, delivery and performance of its obligations under this Agreement will not constitute a default or a breach under any contract, agreement or order to which Attorneys are a party or by which it is bound. B. No Bankruptcy. Attorneys are not the subject of any current or threatened bankruptcy proceeding. C. No Pending Legal Proceedings/Debarment. Attorneys are not the subject of a current or threatened litigation that would or may materially affect Attorneys' performance under this Agreement. Attorneys further acknowledge that they are not on the list of debarred contractors. D. No Pending Investigation. Attorneys are not aware that they are the subject of any current or threatened criminal or civil action investigation by any public agency, including without limitation a police agency or prosecuting authority, that would relate to affect performance of the Agreement or provision of services hereunder. E. Licensing. Attorneys agree to obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing its operations. Attorneys shall ensure that its staff shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing Attorneys' operations hereunder. F. Audit Report Requirements. Attorneys agrees that if Attorneys receives Seven Hundred and Fifty Thousand Dollars ($750,000.00) or more in federal funds, Attorneys shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget. Attorneys shall provide City with a copy of said audit by October I of the year following the program year in which this Agreement is executed, if applicable. 3 25H-7 G. Record Keeping/Reporting. Attorneys shall keep and maintain complete and adequate records and reports to assist City in meeting and maintaining its record keeping responsibilities under Title 24, Part 570 of Code of Federal Regulations 24 CFR 570.000, et seq. H. Access to Records. City and the United State Government and/or their representatives shall have access for purposes of monitoring, auditing, and examining Attorneys' activities and performance, to books, documents and papers, and the right to examine records of Attorneys' subcontractors, bookkeepers and accountants, employees and participants in regard to said program. City and the United States Government and/or their representatives shall also schedule on-site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants in said program and entering any premises or any site in which any of the services or activities funded hereunder are conducted or in which any of the records of Attorneys are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 1. Location of Records/Required Length of Record Keeping. All accounting records, reports, and evidence pertaining to all costs, expenses and the funds received by Attorneys and all documents related to this Agreement shall be maintained and kept available at Attorneys' office or place of business for the duration of the Agreement and thereafter for four (4) years after completion of an audit in conformity with the CDBG Regulations. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which City or any other governmental agency takes exception, shall be retained beyond the four (4) years until complete resolution or disposition of such appeals, litigation claims, or exceptions. In the event Attorneys do not make the above -referenced documents available within the city of Santa Ana, California, Attorneys agrees to pay all necessary and reasonable expenses incurred by City in conducting any audit at the location where said records and books of account are maintained. J. Confidentiality. Without prejudice to any other provisions of this Agreement, Attorneys shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. However, Attorneys shall submit to City and or HUD or its representatives, all records requested, including audit, examinations, monitoring and verifications of reports submitted by Attorneys, costs incurred and services rendered hereunder. K. Lobbying. Attorneys certify that they will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. Attorneys shall sign a certification to that effect. Attorneys shall submit said signed certification to City prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of City to pay any sums to Attorneys under the terms and conditions of this Agreement. 4 25H-8 If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit a "Disclosure Form to Report Lobbying," in accordance with its instructions. L. Financial Interest. Attorneys agrees that except for the use of funds to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to activities assisted under the terms of this Agreement, or who are in a position to participate in a decision-making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a City -assisted activity of Attorneys, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. This prohibition applies to any person who is an agent, employee, consultant, officer, or elected or appointed official of City, or of any designated public agencies, or the Attorneys. M. Drug Free Workplace. Attorneys certifies that it has established the following drug- free workplace policy: 1. The unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the workplace for any employee involved in a federally funded program. 2. As an employee working in conjunction with a federally funded program, the employees of Attorneys will be required to: a) Abide by the terms above in statement 1. b) Notify appropriate officials of Attorneys and City officials of any criminal drug statute conviction for a violation occurring in the workplace not later than five days after such conviction. 3. The City and the United State Department of Housing and Urban Development will be notified within ten days after receiving notice of any such violation. 4. Within 30 days of receiving such notice, appropriate personnel action will be taken against such employee, up to and including termination. Each such employee shall be required to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a federal, state or local health, law enforcement, or other appropriate agency. N. Nondiscrimination. Attorneys agrees that no person on the ground of race, age, color, disability, national origin, religion or sex will be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with funds received pursuant to this Agreement. Attorneys affirms that it is an equal i 25H-9 opportunity employer and shall comply with all applicable federal, state and local laws and regulations. O. Conflict of Interest. Attorneys agrees that no officer, employee, agent or assignee of City who was involved in the sale of said property, either directly or indirectly, shall serve as an officer of Attorneys. Further, any conflict or potential conflict of interest of any officer of Attorneys shall be fully disclosed in writing prior to the execution of this Agreement and said writing shall be attached and deemed fully incorporated as a part hereof. Notice shall be sent by Attorneys to City regarding any changes or modifications to its board of directors and list of officers. P. Prohibition of Nepotism. Attorneys agrees not to hire or pen -nit the hiring of any person to fill a position funded through this Agreement if a member of that person's immediate family is employed in an administrative capacity by Attorneys. For the purposes of this section, the term "immediate family" means spouse, child, mother, father, brother, sister, brother-in-law, sister- in-law, father-in-law, mother-in-law, son-in-law, daughter-in-law, aunt, uncle, niece, nephew, stepparent and stepchild. The term "administrative capacity" means having selection, hiring, supervisor or management responsibilities. 11. CONFIDENTIALITY If Attorneys receive from the City information, which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Attorneys agree that it shall not use or disclose such information except in the performance of this Agreement, and further agree 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 Attorneys, disclosed in a publicly available source; (c) is in rightful possession of the Attorneys without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Attorneys without reference to information disclosed by the City. 12, CONFLICT OF INTEREST CLAUSE Attorneys covenant that it presently has no interests and shall not have interests, direct or indirect, that would conflict in any manner with performance of services specified under this Agreement. 13. 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 6 25H-10 mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, California 92702-1988 Facsimile (714) 647-6956 Courtesy Copy: City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-6515 To Attorneys: Jones & Mayer, Attorneys at Law 3777 North Harbor Boulevard Fullerton, CA 92835 Facsimile (714) 446-1448 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, 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. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Attorneys, 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 Attorneys. 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 Attorneys 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 parties, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Attorneys, Attorneys may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation 25H-11 or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject of this Agreement performed by City personnel or by other Attorneys retained by City. 16. TERMINATION This Agreement may be terminated by City at any time. In such event, Attorneys shall be entitled to receive and the City shall pay Attorneys compensation for all services performed by Attorneys prior to receipt of such notice of termination. As a condition of such payment, Attorneys shall deliver to the City all files and records generated under this Agreement as of such date. Attorneys may terminate this agreement, subject to their obligation to provide written reasonable notice of at least thirty (30) days to arrange alternative representation. In such case, City agrees to secure new counsel as quickly as possible and to cooperate fully in the substitution of the new counsel as counsel of record in in the Actions. 17. DISCRIMNATION Attorneys 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. Attorneys affirm that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 18. 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. 19. MISCELLANEOUS PROVISIONS 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. 20. COUNTERPARTS: SIGNATURES This Agreement may be executed in counterparts, secured via facsimile transmission or otherwise, each of which shall be deemed to be an original. Photocopies of any executed counterpart shall have the same force and effect as an original. [SIGNATURES ON NEXT PAGE] 25H-12 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year first above written. ATTEST: Maria D. Huizar Clerk of the Council City of Santa Ana RECOMMENDED FOR APPROVAL: SONIA R. CARVALHO City Attorney Office City of Santa Ana APPROVED AS TO FORM: CITY OF SANTA ANA SONIA R. CARVALHO City Attorney By:�—� LCA Lisa Storck Assistant City Attorney CITY OF SANTA ANA Robert Cortez Acting City Manager City of Santa Ana Jones & Mayer, Attorneys at Law By: Name: Title: Tax ID No. 9 25H-13 _(J & M �-- JONES & MAYER ATTORNEYS AT LAW ❑ Fullerton Office ❑ AnnJro Grande Office O Roseville Office 3777 NORTH HARBOR BLVD, 102 E. BRANCH ST., STE G 8150 SIERRA COLLEGE BLVD., STE 190 FULLERTON, CALIFORNIA 92835 ARROYO GRANDE, CA 93420 ROSEVILLE, CA 95661 (714) 446-1400 • FAX (714) 446-1448 (805) 270-4294 • FAX (805) 980-4784 (916) 771-0635 • FAX (916) 771-0690 Richard D. Jones' Associates Kuthya M. Firlik HmoldW Porter nal Partners Monies Choi Arrech ndo Crystal V. Hodgson Tarquin Poetical Michael R. Capin Martin J. Mayor Melissa M. Ballard Krista MocNevin leo Curtis A. Raven Harold DeGraw, Kimberly Hall Barlow Jamaar Boyd -Weatherby Ryan R. Jones Brittany F.. Roberto David R. Derm rjian James R. Touchslonc Baron 1. Beloollausen Gary S. Krauker Denise L. Rocawich Deborah Pemice-Knefel 'Nomas P. Duarte Paul R. Cable Bruce A. Lindsay Yolanda M. Summerhill Dean J. Pucci Richard L. Adams 11 Keith F. Collins Adrimnie Menden Ivy M. Tsai Steven N. Skold, Christian L. Beltenluusen Michael Q. Do Gregory P. Palmer Carmen Vieques Peter E. Tracy Scott B. Poncr *a Professional Law Corporation September 28, 2016 Kyle C. Nellesen Office of the City Attorney 20 Civic Center Plaza, M-29 PO Box 1988 Santa Ana, CA 92702 Consultant Marvin D. Feinstein Re: City of Santa Ana City Attorney's Office RFP Re: Litigation Selvices for the Once of the City Attorneys Receivership Program Dear Mr. Nellesen, Let me begin by thanking you for the opportunity to respond to the Request for Proposal to provide receivership legal services for the City of Santa Ana. Enclosed please find our fan's response. Jones & Mayer operates exclusively as a municipal law firm, providing legal services in all areas of the law affecting cities and other public entities. Our intent would be to provide all legal services for the City of Santa Ana from our principal office located in Fullerton. Our firm is the only of its Und in the State of California that combines extensive experience as City Attorney and City Prosecutor with the experience of serving (through its principals) as Court Appointed Receiver as well as receivership litigation counsel to public agencies. Jones & Mayer currently serves as City Attorney for the cities of Bishop, Blythe, California City, Clearlake, Colusa, Costa Mesa, Fullerton, Grand Terrace, La Habra, Lakewood, Nevada City, Placentia, Upland, West Covina, Westminster and Whittier. The firm also serves as Successor Agency Counsel to the former Redevelopment Agency for the cities of Costa Mesa, Grand Terrace, La Habra, Westminster, South Pasadena, Blythe and Upland. We believe that each of our client cities benefit from the firm's extensive experience in municipal law, land use and redevelopment, including condemnation proceedings, real estate acquisitions, project 'XNR-ok negotiations, and drafting and implementing owner participation and disposition and development agreements. We are General Counsel for the Gateway Cities Council of Governments and the San Gabriel Valley Council of Governments in Los Angeles County, and represent a number of other joint power authorities. The firm also represents individual cities as special counsel or on single litigation matters, generally arising out of conflicts of interest regarding its city attorney or given our expertise in a particular area. Jones & Mayer is a premier municipal law firm focused on providing the full spectrum of legal services to cities and municipal agencies around the state. We invite your close review of the General Proposal contained in this transmittal, and believe that you will find that Jones & Mayer will exceed the City's needs and expectations for its receivership legal counsel. Jones & Mayer is one of the leading law firms specializing in Health & Safety Receiverships across the State and has handled, by far, more Health & Safety Receivership litigation than any other firm across the State of California. We look forward to the opportunity to discuss this and our Cost Proposal, submitted concurrently herewith, more fully in person. yours, JONES rdj 25H-15 1XIINAR "4005 RESPONSE TO REQUEST FOR PROPOSAL FOR LITIGATION SERVICES ON CODE ENFORCEMENT RECEIVE, RSIIIF CASES Contract Proposal Contact: Dean J. Pucci, Esq. Director of Receiverships Division 3777 North Harbor Boulevard Fullerton, CA 92835 Telephone: (714) 446-1400 Facsimile: (714) 446-1448 djp@jones-inayei-.com 25H-16 INTRODUCTION Jones & Mayer is a firm with over thirty-four years of experience exclusively representing cities, counties, and various local and statewide public entities in California. We provide advice and representation to the various governing bodies and law enforcement agencies of numerous cities, counties and the state. Every attorney at our firm is dedicated to serving public entities. This work is not simply a part of what this firm does. It is what this firm does. We have earned a statewide reputation for our work with the League of California Cities, and many cities and organizations throughout the state, to represent, protect and defend the interests of our clients. The legal form of the firm is as follows: Richard D. Jones, a Professional Law Corporation, doing business as Jones & Mayer. Our principal office is located in Fullerton, California with secondary offices in Los Angeles, Arroyo Grande and Roseville, California. More information is available on the firm's website, which is located at htto://www.iones- mayer.com. Jones & Mayer is comprised of forty-five attorneys, seven attorneys who serve of counsel in specified areas of law, two paralegals, and twenty support staff all dedicated to serving public entities focusing on transactional, advisory, and litigation representation. Office hours are Monday through Friday, from 8:30 a.m. to 5:30 p.m. although we can be reached 24/7 through our answering service. Currently, no conditions exist that might impair or negatively affect the firm's ability to perform contractually, such as bankruptcy, pending litigation, planned office closures, or impending mergers. Richard D. Jones hereby certifies that Jones & Mayer is not debarred or suspended, and has not otherwise been declared ineligible to contract by any federal, state, or local public agency. SIGNATURE AND DECLARATION I declare under the penalty of perjury that this proposal is genuine, and not sham or collusive, nor made in the interest or on behalf of any person not named herein; the proposer, Jones & Mayer, has not directly or indirectly induced or solicited any other proposer to put in a sham bid, or any other person, firm or corporation to refrain from submitting a proposal, and Jones & Mayer has not in any manner sought by collusion to secure for ourselves an advantage over any other proposer. 25H-17 Xr J j Lauren Budd, Office Manager 1: PROPOSED TEAM (See Exhibit A — Complete resunnes for each proposed attorney and lead/supervising attorney Dean J. Pucci) 2: PROPOSED FEES The scope of legal services to be provided to the City of Santa Ana includes providing legal advice, guidance and representation of the City for the purpose of securing receiverships over identified properties. We will provide monthly reports to City contacts, and make appearances and/or provide updates to the City Attorney as directed by the City. Jones & Mayer will bill the City for these legal services at a rate of $125.00 per hour for services performed by a law cleric or paralegal and $225.00 per hour for services performed by an attorney. Once the City has successfully obtained the appointment of a Receiver it is entitled to reimbursement for any and all fees/costs it has paid its legal counsel (or to Jones & Mayer). We will immediately draft the appropriate pleadings and supervise the process of securing reimbursement for all fees and costs paid to our firm. That reimbursement comes directly from the appointed Receiver in the form of a check written to the City for the total of fees it has paid its legal counsel. Assuming there are no unanticipated complications, the estimated cost for this litigation per project may range from $12,000.00 - $17,000.00 per property, inclusive of all typical duties associated with receivership litigation and excludes unforeseen costs of litigation or appeals. The firm does not bill clients for routine clerical expenses. However, any extraordinary or large copying or reproduction expenses are billed to the client on a straight pass-through basis. Expenses not exceeding $1,000.00 are advanced by the firm and later billed to the client, while expenses exceeding $1,000.00 are forwarded directly to the client for payment. All billable work is recorded in increments of 0.10 of an hour (i.e., 6 minute increments). The firm avoids block billing and provides a description of the work that is sufficient to recall, to the mind of either the attorney or the client, the activity involved. 3/4: EXPERIENCE & GENERAL STRATEGIC Representing Municipalities in Receivership or Code Enforcement Actions Jones & Mayer is one of the leading law firms with extensive, unparalleled experience in Health & Safety Receiverships in California. Our Receivership Division routinely provides legal representation to public agencies in obtaining the appointment of receivers. Our firm has handled more health & Safety receivership litigation than any other law firm in California. We also provide full services as City Prosecutor to cities throughout California, We prosecute cases originating from all departments, including code enforcement, police, fire, zoning, finance, etc. When necessary, we prosecute to abate a variety of municipal code violations from complex nuisance abatement matters to unkempt property. We were recently selected over numerous competing firm candidates to represent the City of Los Angeles in their newly launched receivership program. Specific examples of receivership experience unique to the firm and proposed team identified herein are as follows: implementing and litigating receivership actions combining causes of action under the California Business & Professions Code for businesses, properties and/or operators engaged in unfair business practices; implementing and litigating receivership actions in numerous cities and counties with District Attorney authorizations to bring said actions in the name of the People of the State of California combined with the local agency authority; successfidly representing public agencies in complex receivership actions in various California Courts of Appeal; successfirlly litigating complex receivership actions involving commercial, industrial and large scale business operations; appointment as receiver over hundreds of properties ranging from residential, commercial, industrial, multi-family/unit, as 25H-18 well as complex business operations placed into receivership; successfully creating and implementing large scale receivership programs for cities and counties across the State; and drafting receivership standing orders and procedural guidelines for presiding judges and superior court administrative staff. Cases handled by our firm have included: 'packrat' and hoarder properties, disabled owners / occupants unable to comply with abatement orders, forced tenant and/or owner relocation, illegal construction or occupation, multi-unit/apartments, fire damaged properties, slumlord/deceased owner and/or trust owned properties, bank owned/abandoned properties and many more. The list of municipalities we represent in receiverslup litigation include: Vallejo; Vacaville; South Lake Tahoe; Anaheim; South Pasadena; Chowchilla, Santa Maria; Santa Rosa; Costa Mesa; Fullerton; Upland; La Habra; Buena Park; Sunnyvale; Los Altos; Alameda; Blythe; California City; Brea; Clearlake; Culver City; Eureka; Grand Ten -ace; Rolling Hills Estates; Hawthorne; Irvine; Los Angeles; Ridgecrest; Lakewood; Los Banos; Rancho Cucamonga; Santa Fe Springs; West Covina; Westminster; Whittier; and Willows. Other Types of Receivership Services Jones & Mayer has extensive experience monitoring and coordinating different types of receivership services both as counsel to public agencies as well as in the capacity of the court appointed receiver. Specific examples include: litigating and monitoring receiverships in various stages of bankruptcy; coordinating complex lien clearing, negotiations with federal and state taxing authorities over lien and title issues; supervising and coordinating receivership actions over properties in various foreclosure actions. Knowledge of the Court Appointer/ Receivership Program Proposed lead counsel routinely lectures across the State on matters related to receiverships including providing continuing education seminars for the League of California Cities, California State Bar, local city and county agencies as well as continuing judicial education. Furthermore, they have been published in the area of receiverships by many of these same agencies. California courts have specifically sought our assistance and direction in drafting receivership standing orders and procedural guidelines for presiding judges and superior court administrative staff. Ability to Successfully Petition Courts fur the Appointment of Receivers Jones & Mayer has had more health and safety receivers appointed than any other firm in the State. Since 2010, we have filed approximately 250 Receivership Petitions and have successfiilly had approximately 240 Receivership Petitions granted. The remaining 10 resolved themselves with compliance negating the need for a receiver. Additionally, the firm and proposed team have had unparalleled success in defending appointments and lower court decisions in various districts of the California Court of Appeal. Ability to Successfully Recover Costs, Fees, and Penalties Jones & Mayer prides its self on a reputation of promoting receiverships across the state as the future of code enforcement remedies that ensure a property/property owner pays for its own rehabilitation. We are the leader in implementing this remedy as we recover well over 98% of the attorney fees, costs and lien recovery for our clients. Our fee motions and awards are specifically drafted to ensure payment directly from the funds obtained by the receiver before the termination of the receivership. We have unparalleled experience in obtaining fee recovery from state courts and upholding fee recovery in appellate courts. To illustrate this point, since 2010, Jones and Mayer has sought and recovered over 2.5 million dollars in attorney fee awards for its receivership clients. 25H-19 Capacity to Fife Petitions for ilfultiple Health and Safety Receiverships Jones & Mayer has unparalleled experience in managing high volume receivership litigation and workloads, including a systemized process and assignment of duties to streamline and manage various aspects of petition preparation, filing and compliance with all statutory and procedural requirements unique to receivership litigation. Currently, we manage more active receiverships and receivership litigation than any other firm in the State. Our systems ensure that each case is managed effectively to coordinate appearances, client updates, and tithing of filing of attorney fee motions and cost recovery, and receiver and contractor compliance. We require our appointed receivers to provide us with monthly updates to ensure each project is moving appropriately. Receivership Administrators are assigned to each project and are responsible for assisting the legal team on the day to day monitoring of each project. Experience Aloniforing Other Types of Receivership Services, Lien Acquisition Nranagernent, and Foreclosures Jones & Mayer has extensive experience monitoring and coordinating many types of receivership services both as counsel to public agencies as well as in the capacity of the court appointed receiver. Specific examples include: litigating/supervising and monitoring receiverships in various stages of bankruptcy (including extensive experience obtaining relief from automatic stays under federal law for local enforcement agency actions); supervising and coordinating complex lien clearing, stripping and negotiations/settlements with federal and state taxing authorities over lien and title issues during receiverships; supervising and coordinating receivership actions over properties in varying states of foreclosure actions. Experience 11anaging Data and Reporting Requirements far Public or Private Agencies Jones & Mayer routinely manages data and reporting requirements for our respective clients including, but not limited to, client conflict screenings, risk management reports and required litigation assessments, city counciYboard of supervisor reports, closed session reports and recommendations, annual audit disclosures and reports, required oaths as well as all required financial reporting requirements. Demonstrated Readiness to Proceed Jones & Mayer has all of the systems, personnel and experience to proceed immediately with any number of projects for the City of Santa Ana. In addition to the proposed team, we are committed to assigning any number of additional personnel deemed necessary to implement and effectively manage those projects for the City. We have substantial experience implementing large scale receivership programs for cities across the State. We are confident in our representation that our firm would provide the ultimate in demonstrated and continued readiness to proceed for the City of Santa Ana. 5: LAWSUITS AGAINST GOVERNMENT ENTITIES While we seldom litigate against public entities, there have been times when we are called upon to do so as part of our representation of another public entity. For example, we have been retained by public entitles or by individual elected offlcials on occasion to represent officials of those entities and then have become involved in litigation with a public entity who is in a dispute with the official, usually involving their respective rights, responsibilities or obligations. These cases include: Sparks v. Counry of Kern Board of Supervisors, Kern County Superior Court Case No. S -1500 -CV -259869 -NFT; rblargarel 11ims, Fresno County Sheri v. County of Fresno Board of Supervisors; Fresno County Superior Court Case No. 10CECO00528; CounryofSan ,loaquin v. Jones, et al., Sacramento Superior Court Case Number Case No. 06AS00744. 25H-20 In addition, we are occasionally retained to represent our municipal clients in legal disputes with other municipalities or public entities. The only such case in the last five years was an indemnity action involving public property owned by a different public entity, Snow v. State of*Callfornia, et al., Orange County Superior Court Case No. 30-2010 00351391. We have also represented one public entity in "friendly" litigation with another entity involving validation or declaratory relief matters. These cases include: Gary Penrod v. County of San Bernardino, San Bernardino Superior Court Case No. SCV 093009, Court of Appeal Case No. E034908; Leroy D. Baca v. County of Los Angeles, Board of Supervisors of Los Angeles County, Case No. BC 289025; The People of'the Slate of California on the Relation of Leroy D. Baca, Los Angeles County Sheriff v. County of Los Angeles, Board of Supervisors of Los Angeles County, Case No. BC299486; The People of the State of California on the Relation of Steve Cooley, Los Angeles County District Attorney; and Rick Auerbacly Los Angeles County Assessor v. County of Los Angeles, Board of Supervisors of Los Angeles County, Case No. BC343769. 6: ADDITIONAL INFORMATION All relevant information regarding the qualifications of the firm have been stated above. Also included for your review are the resumes of each proposed team member. 25H-21 i ! i -E., G8l •i 25H-22 DEAN J. PUCCI Of Counsel s It Practice Areas Receivership Litigation Court Appointed Receiver City Prosecutor Police Litigation/Legal Advisor Investigations Education J.D., Southwestern University School of Law, Los Angeles, CA 2002, Student -Faculty Relations Committee Bachelor of Arts undergraduate degree from University of Nevada Reno, 1999, Founding President, Phi Alpha Delta Law Fraternity, Board of Regents Outstanding Student Award, Student Ambassador. Bar and Court Adinissions California Supreme Court United States Court of Appeals for the Ninth Circuit U. S. District Court for the Central, Northern, Eastern and Southern Districts of California Professional Affiliations State Bar of California American Bar Association California State Sheriffs Association California Police Officers Association California Police Chiefs Association (7 ta) 446-1 400 Mr. Dean J. Pucci is currently Of Counsel to the law Finn of Jones & Mayer and serves as the Firm's Director of Receiverships Division. Prior to joining forces with Jones & Mayer Mr. Pucci co-founded the California Receivership Group LLC, serving as its Vice -President and General Counsel, a company that specializes in serving as court appointed health & safety receivers over severely substandard properties across the State. Mr. Pucci has been nominated by cities and counties statewide and brings his expertise as legal counsel to public agencies and experience as a court appointed officer to ]ones & Mayer. Mr. Pucci regularly lectures receiverships and other related code enforcement remedies throughout the State. Mr. Pucci previously practiced as an associate with the law offices of Jones & Mayer and founded the firm's health and safety receivership program successfully marketing and implementing the program for cities and counties throughout the State of California. fn that capacity Mr. Pucci advised and represented the firm's public agency clients on all aspects of receivership litigation. In addition NU. Pucci has served as both Designate and Deputy City Prosecutor for approximately thirteen California cities. ht this capacity, Mr. Pucci was responsible for handling all aspects of the criminal prosecution of city municipal code violations. Mr. Pucei's legal experience includes police litigation and city prosecution. His practice has involved representing cities, counties arid the State as legal advisor to their Chiefs of Police or Sheriffs and in that capacity has represented over one -hundred agencies throughout California. In this capacity Mr. Pucci represented law enforcement management in a variety of contexts including personnel disciplinary proceedings, civil rights litigation, constitutional law and appellate/writ practice. Mr. Pucci has extensive experience conducting internal affairs investigations on behalf of municipal police departments involving allegations of misconduct by peace officers. fie has additionally served as legal advisor and representative to a number of law enforcement agencies reviewing internal affairs investigations and reports: conducting Skelly hearings as well as tenninationMisciplinay appeal hearings. As former deputy city attorney to the cities of Costa Mesa, Fullerton, La Habra, Whittier and Westminster, Mr. Pucci has handled numerous complex litigation cases in both state and federal court successfitlly defending municipal and county clients. Specifically Mr. Pucci has extensive experience litigating complex health and safely and housing matters; class action lawsuits in both state and federal courts involving allegations of constitutional violations. Mr. Pucei's experience includes handling of litigation in Quo Warranto (or on behalf of the California Attorney General) and serving as counsel for amici curiae on numerous high protite cases involving various law enforcement issues. 25H-23 GREGORY P. PALMER Senior Associate Practice Areas Police Legal Advisor City Prosecutor Personnel and Employment Pitchess Motions Writs and Appeals Education J.D. Western State University College of Law, Fullerton, 1987 B.S.L. Western State University College of Law, Fullerton, 1985 Bar and Court Admissions California Supreme Court Professional Affiliations Los Angeles County Bar Association California Police Chiefs Association California State Sheriffs' Association California Police Officers' Association (714)446-1400 Gregory P. Palmer joined the Law Offices of Jones & Mayer as a Senior Associate in 1999. Prior to that, Mr. Palmer spent almost ten years with the Law Offices of iNdayey Coble & Palmer. He has extensive experience acting as a legal advisor to more than 100 chief's of police and sheriffs throughout the State of California. In that capacity, he has provided legal assistance in all aspects of operating a police department. Mr. Palmer has represented Chiefs of Police in more than three hundred disciplinary appeal hearings and arbitrations with a ninety percent success rate. He has also handled several disciplinary hearings involving firefighters and public works employees. Mr. Palmer is experienced in bundling excessive force, dishonesty, insubordination, off-duty criminal conduct, and other matters. He has appeared in court on "Pitchess" motions hundreds of times, and has prepared and argued a dozen appellate court writs challenging improper trial court decisions on these motions. Mr. Palmer has also briefed and argued approximately twenty administrative writ petitions on discipline cases and AB 301 issues. Prior to entering the practice of law, he was a police officer for ten years in La Palma, California. Mr. Palmer is also conversant in all aspects of the criminal prosecution of city code enforcement cases. He has performed as the City Prosecutor in two local cities and Assistant City Prosecutor in several more cities. Mr. Palmer has developed unique expertise in prosecuting sexunlly-oriented businesses, both criminally and by administratively suspending or revoking city permits. Mr. Palmer has handled several high profile cases. In 1997, he prosecuted the First Southern Baptist Church and its pastor for illegally housing the homeless on its grounds. This case gained national notoriety and die city prevailed on appeal. He filed an injunctive action and negotiated the final closure of the last remaining X-rated theater in Orange County, Mr. Palmer has also assisted in municipal code prosecutions arising out of the multi -department task force approach to critical problem areas. In 1998, Mr. Palmer and fellow members on the Buena Park Neighborhood Improvement Task Force were nominated for the Orange County Human Relations Commission Community - Oriented Policing Award. Mr. Palmer has lectured at POST -approved programs, conferences, and numerous police departments on topics such as civil liability, sexual harassment, legal update, force, discipline, and "Pitchess" motions. He has also lectured on topics related to city prosecutor functions to code enforcement associations in Southern California and Texas. He is the author of die 2012 revision of the CPOA's "Pitchess Motion Manual; and in 2005 he was named the State Chair of the CPOA, Police Legal Advisors Committee. Mr. Palmer is the instructor of the CPOA Pitchess Motion Update and Public Records Act Classes. 25H-24 KATHYA M. FIRLIK Associate Practice Areas Litigation Municipal Law Transactional Law Health and Safety Receiverships Education J.D., Whittier College School of Law, Costa Mesa, CA 2007 B.A., Political Science, University of California, Irvine, Irvine, CA 2003 Bar and Court Admissions California Supreme Cour United States District Court for the Central District of California Professional Affiliations State Bar of California (714)4,16-1400 Kathya M. Oliva is an associate in the law firm in Jones & Mayer. Ms. Oliva serves as a deputy city attorney for the cities of Blythe, Costa Mesa, Fullerton, La Habra, Westminster and Whittier. Her primary areas of practice include municipal law, transactional law, health and safety receiverships and civil litigation. Ms. Oliva obtained a Bachelor of Ars from the University of California, Irvine, in 2003. Thereafter, she obtained her Juris Doctorate degree 0-om Whittier Law School in May 2007. She served as President of the Hispanic American Law Student Association from 2005-2007 and was an active member of the Public Interest Law Foundation from 2004-2007. She has been an associate with the law offices of Jones & Mayer since 2008. Ms. Oliva's duties include drafting and revising municipal code sections, drafting and reviewing agreements, drifting and revising receivership petitions, handling conflict of interest (PRA and 1090) matters, response to California Public Records Act requests and subpoenas, conducting personnel investigations, preparing legal opinions and analysis on a variety of issues affecting public entities. She also performs city prosecutorial duties. Ms. Oliva is a member of the Los Angeles Bar Association and the Orange County Bar Association. 25H-25 :' XIIN-11-1M Associate Practice Areas Law Enforcement Litigation Transactional Education J.D., Whittier Law School, 2012 M.A., Education, Whittier College, 2009 B.A. History, California State University, Fullerton, 2005 Bar and Court Admissions State Bar of California Keith Collins joined Jones & Mayer in November of 2012, focusing primarily on issues facing law enforcement agencies. Prior to this he served as a law clerk at Jones & Mayer during the summers of 2011 and 2012. Before joining the Finn, Mr. Collins worked as a certified law clerk at the Los Angeles County District Attorney's Office. Mr. Collins also worked as a Law Clerk at the Whittier Special Education Local Plan Area Office. He has experience in the area of criminal prosecution, special education law, litigation, and law enforcement. Mr. Collins' current duties include instructing legal updates to law enforcement personnel, conducting legal research, document review and preparation, pretrial document preparation, analysis of proposed ordinances, resolutions & contracts, and providing support to each of Jones & Mayer's departments. Mr. Collins received his Juris Doctorate at Whittier Law School where he graduated in the top 6% of his class. He served as an editor on Whittier Law Review, authored a published article on free speech in public schools, and competed as a member of the moot court honors board. Mr. Collins has a single subject teaching credential, and teaches legal classes to employees of law enforcement agencies throughout California. Mr. Collins is also highly involved and engaged in providing pro bono legal assistance and volunteers his time at the Orange County Public Law Center. 25H-26 JAMAAR M. 19121 WEATHERBY Associate Practice Areas Labor & Employment Litigation Code Enforcement )education J.D. University of California, Berkeley (Boalt Hall), 2003, B.A. Cal Poly -Pomona, 2000 Bar and Court Admissions California Supreme Court United States District Court for the Central Dishict of California United States District Court for the Northern District of California (7t4)446-1400 Vlr. Boyd -Weatherby specializes in litigation, including cases involving tort liability, contract disputes, labor and employment law, and state and federal civil rights. IIe serves as Deputy City Prosecutor. Mr. Boyd -Weatherby also works on police litigation, Pitchess motions, internal investigations, and appeals. v[r. Boyd -Weatherby received his J.D. from the University of California -Berkeley (Boalt Hall) and his B.A. in philosophy from Cal Poly -Pomona. He was admitted to the California Bar in 2004. Mr. Boyd - Weatherby joined the firm in June of 2008. He has also been named a California losing Star Attorney in 2009 and 2010 in Super Lawyers Southern magazine. While working at Jones & Mayer as a City Prosecutor and the Orange County Public Defender's Office, he has had 33 jury trials and a number of administrative and bench trials. • Served as a trainer in the Lawyers Without Borders, Liberia Project in 2010. 25H-27 25H-28 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: PURCHASE AGREEMENTS FOR REAL PROPERTY ACQUISITION FOR BRISTOL STREET IMPROVEMENTS PHASE 4 (PROJECT NO. 116741) (NON -GENERAL FUND) (STRATEGIC PLAN NOS. 611 3,2C) MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on ls' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute Purchase Agreements for the real property acquisitions, temporary construction easements, and goodwill (if any) with the property owners listed below, subject to nonsubstantive changes approved by the City Manager and City Attorney: No. Property Owner Property commonly Acquisition Amount known as / location Type Jose M. Santillan 1306 West Camden Place partial $16,338 (APN 408-335-02) 2 Ricardo Pinones and Ofelia 1305 West Camden Place partial $17,260 Pinones (APN 408-334-17) Bristol Street is a north -south transportation facility which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9 -mile Bristol Street segment from Warner Avenue to Memory Lane has been a long-term priority project that is being constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and adding bike lanes. The City is acquiring properties for the development of Phase 4, bounded by Warner Avenue and Saint Andrew Place. Property acquisitions for this phase are expected to be completed by summer 2017, and construction is anticipated to begin in fall 2017. The property acquisitions are necessary to accommodate the improvements and widening for Phase 4 (Exhibit 1). The purchase offers were determined based on appraised values prepared by a California State licensed appraiser and were accepted by the property owners. The 251-1 Purchase Agreement for Real Property Acquisition Bristol Street Improvements Phase 4 June 6, 2017 Page 2 compensation amounts are listed above and shown in the attached agreements (Exhibits 2 and 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 Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C -(support --- business development and job growth along transit corridors through the completion -of -critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications in Phase 4, which lies between Warner Avenue and St. Andrew Place, an Addendum to the FEIS/EIR was prepared and adopted pursuant to the California Environmental Quality Act by City Council on April 7, 2015. FISCAL IMPACT Funds in the amount of $33,598 are available in the Bristol Street Improvements Project (No. 116741) for expenditure in FY 2016-2017, subject to nonsubstantive changes, from the following funds: $16,799 in the Select Street Construction Fund (Account No. 05917661-66100), and $16,799 in the Measure M2 Street Construction Fund (Account No. 03217663-66100. Fre Mousavipour Executive Director Public Works Agency FM/EWG/JG/ML Exhibits: 1. Location Map 2. Agreement for APN 408-335-02 3. Agreement for APN 408-334-17 APPROVED AS TO FUNDS & ACCOUNTS: IL I ) 1._ , Francisco Gutierrez Q Executive Director �+ Finance & Management Services Agency 251-2 MATCHLINE SEE BELOW RIGHT I I i I I 1 408-336.17 1 ✓ I I ST GERTRUDE PL I 1408471.01! --_-_____- I I 408-071-17 I I I I� ff I 408471 -CB I 7 R co gcngm C t'd..1..1..1.. 0161@4.23+: F15-194.24. _ V15 -1943Y )' b15-194.28: ,5.,94.28• -----� 4q��f�ry --i 1114- :015-1943q WARNER AVENUE SANTA AICA L P19LIC TUES AOEIICY -WaJE6, PFOPEP.TY -ACOOIPED PPOPEPTIES I I --•T-•T--T""T"M^. I I I I I of ST ANDREW PL Q I I I I I I YE CARLTON PL VIM --T••4-. 117., OA I I I GLENWOODPL -'T•-T-•T•-1- I �J CAMDEN PL 5T ANNE PL I 1 i o r--r--r--r-- i i i m �M — — — - EXHIBIT 1 MATCHLINE SEE TOP LEFT PURCHASE AGREEMENTS FOR CITY COUNCIL BRISTOL STREET IMPROVEMENTS AGENDA DATE- PHASE 4 (PROJECT NO. 116741 JUNE 6, 2017 NONGENERAL FUND) (Strategic Plan No. 6, 1, G; and 3, 2, C( 251-3 PAGE 1 OF 1 251-4 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on 2017, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City" or "Buyer'), and JOSE M. SANTILLAN, an individual (hereinafter "Seller"), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property') legally described as follows: SEE EXHIBIT "A" — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 1306 W. Camden Place, Santa Ana, CA 92704) (APN#: 408-335-02) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, within sixty (60) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seller agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit, limitation, encumbrance (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of Fifteen Thousand, Three Hundred Fifty -Two and no/100 Dollars ($15,352.OQ) insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seller to convey title or to provide title insurance as required in this Agreement. Exhibit 2 251-5 4, Escrow. City agrees to open an escrow at the office of First Amedcan.Title Insurance Company, 2 First American Way, Santa Ana, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within sixty (60) days of the City's execution of this Agreement. If escrow is not in a condition to close by the Close of Escrow, and failure to close is due to unforeseen conditions of title or interest of third parties in the Property that cannot be resolved in Escrow, then buyer may, at its option, request cancellation of escrow and this Agreement and return of any funds it has deposited into escrow. Thereupon, all obligations and liabilities of the Parties under this Agreement shall cease and terminate. If no such request is made, Escrow shall be closed as soon as possible thereafter. Buyer shall be entitled to possession of the Property immediately upon close of Escrow. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit "B" attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, re -conveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 8 and Exhibit "B" of the General Provisions of this Agreement. 5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectible if unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State of California. To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sole cost, in obtaining said refund, if any; however, in no case shall Buyer credit or otherwise pay Seller for that refund, if any, through or outside of Escrow. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property and temporary occupancy, for the total sum of Sixteen Thousand, Three Hundred Thirty -Eight and no/100 Dollars ($16,338.00). The sum of Thirteen Thousand, Eight Hundred Twenty -Two and no/100 Dollars ($13,822.00), is compensation for the certain real property and improvements as shown in Exhibit "A". The sum of Two Thousand, Five Hundred Sixteen and no/100 Dollars ($2,516.00), is compensation for the temporary occupancy of the property, which shall have a duration of 18 months, and is described and 251-6 shown as attachment (Exhibits "C" and "D") to the Temporary Construction Easement deed. City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: (a) Conveyance of said real property by Seller to City as hereinabove provided; (b) Acceptance by City of a Grant Deed conveying said real property to City; (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. 8. Rental and Occupancy By Seller. Seller agrees to execute a complete, current and correct statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 30 -day month/365-day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow. In retum, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 9. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 10. Heirs, Assigns, Successors -in -Interest. This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 11. Time is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be of the essence. 12. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property. 251-7 13. Acknowledgment of Full Benefits and Release. A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for injury to the remainder ("severance damages"); precondemnation damages; claims for inverse condemnation; loss or impairment of any "bonus value" attributable to any lease; damage to or loss of improvements pertaining to the realty; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property , or challenge Buyer's adoption of a resolution of necessity, pursuant to Code of Civil Procedure sections 1245.245; any right to receive any notices pursuant to Code of Civil Procedure section 1245.245; any right to enforce any other obligation placed upon Seller pursuant to Code of Civil Procedure sections 1245.245, 1263.025 and 1263.615; any other rights conferred upon Defendants pursuant to Code of Civil Procedure sections 1245.245 and 1263.615 and 1263.025; and attorney's fees and costs. It being understood that this is a complete and full settlement of all acquisition claims, liabilities, or benefits of any type or nature whatsoever relating to or in connection with the acquisition of the Property by Buyer. This release shall survive the Close of Escrow. B. This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby fully releases Buyer, its successors, agents, representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage which has been sustained by Seller, or may be sustained by Seller, as a result of Buyer's efforts to acquire the Property or to construct the works of improvement thereon, or any preliminary steps thereto. This Agreement does not, and shall not be construed to, require Seller to indemnify Buyer for damages which may arise as a result of Buyer's efforts to construct improvements on the Property. 14. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M-36, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is 1306 W. Camden Place, Santa Ana, CA 92704. 15. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 16. Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 17. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous 251-8 substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material', "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as. "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. S6901 at seq. (42 U.S.C. S6903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C. S9601 at sec. (42 U.S.C. S9601). 18. Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. 19. Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (i) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 20. Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 21. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 22. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 251-9 23. Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 24. Governing Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 25. No Reliance By One Party On The Other. Each party has received independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The provisions of this PSA shall be construed as to their fair meaning, and not for or against any party based upon any attribution to such party as the source of the language in question. 26. No Third Party Beneficiary. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 27. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost. 28. Applicability of Agreement To Assignees. This PSA shall be binding upon and shall inure to the benefit of the successors and assigns of the Parties to this PSA. 29. Authority to Execute Agreement. 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 PSA, 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. 30. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 251-10 IN WITNESS WHEREOF, the Parties hereto have executed this Purchase and Sale Agreement on the date and year first written above. CITY OF SANTA ANA: City/Buyer David Cavazos City Manager ATTEST: Maria D. Huizar City Clerk APPROVED AS TO FORM: JOY M. Funk Assistant City Attorney FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency Date: a'� ?-/ 7 Date: Date: Date: 5-�-n Date: 251-11 � LEGAL DESCRIPTION FOR RIGHT OF WAY PURPOSES — AP No. 408-335-02 IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, BEING A PORTION OF LOT 35 OF TRACT NO. 2209, PER MAP RECORDED IN BOOK 64, PAGES 25 AND 26 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY, SAID PORTION LYING NORTHERLY OF THE FOLLOWING DESCRIBED LINE: COMMENCING A THE INTERSECTION OF CAMDEN PLACE AND BRISTOL STREET, AS SAID INTERSECTION IS SHOWN ON SAID MAP; THENCE, ALONG SAID CENTERLINE OF CAMDEN PLACE, NORTH 88013'46"WEST, 160.76 FEET; THENCE, PERPENDICULAR TO SAID CENTERLINE, NORTH 1046'14" EAST, 30.00 FEET, TO A POINT ON THE SOUTH LINE OF LOT 38 OF SAID TRACT, SAID POINT BEING ON A NON -TANGENT CURVE, CONCAVE NORTHWESTERLY, HAVING A RADIUS OF 95.00 FEET, A RADIAL LINE OF SAID CURVE RUNNING THROUGH SAID POINT HAVING A BEARING OF SOUTH 20021'47" EAST, SAID POINT ALSO BEING THE TRUE POINT OF BEGINNING; TI3ENCE, NORTHEASTERLY ALONG SAID CURVE AN ARC DISTANCE OF 15.09 FEET THROUGH A CENTRAL ANGLE OF 9005'55" TO A POINT OF REVERSE CURVATURE, SAID REVERSE CURVE BEING CONCAVE SOUTHERLY, WESTERLY, AND NORTHERLY, HAVING A RADIUS OF 43.00 FEET; THENCE, EASTERLY, SOUTHERLY, AND WESTERLY ALONG SAID CURVE AN ARC DISTANCE OF 181.97 FEET THROUGH A CENTRAL ANGLE OF 242027'52" TO A POINT OF REVERSE CURVATURE, SAID REVERSE CURVE BEING CONCAVE SOUTHWESTERLY, HAVING A RADIUS OF 95.00 FEET; THENCE, NORTHWESTERLY ALONG SAID CURVE AN ARC DISTANCE OF 15.09 FEET THROUGH A CENTRAL ANGLE OF 9005'55" TO A POINT IN THE NORTH LINE OF SAID LOT 35, SAID POINT BEING THE TERMINUS OF THE LINE BEING DESCRIBED HEREIN. 251-12 CONTAINING AN AREA OF 284 SQUARE FEET, MORE OR LESS. ALL AS SHOWN ON EXHIBIT `B', ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF. SUBJECT TO COVENANTS, CONDITIONS, RESTRICTIONS, RESERVATIONS, EASEMENTS OF RECORD, AND RIGHTS OF WAY, IF ANY. THIS DESCRIPTION HAS BEEN PREPARED BY ME ON IAND ,? �SF.� SEPTEMBER 24, 2015 ANTHONY C. CUOMO, PLS 6042 ��`� MthNo uamo Ony L. Na. 42 OF 251-13 EXHIBIT "B" (First American) GENERAL ESCROW PROVISIONS All disbursements shall be made by Escrow's check. All funds received in this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business in the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a 30 -day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized. There shall be no proration of any existing insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and/or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and/or the attorney or attorneys involved in this transaction upon request of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in interpleader brought by you. In the event you file a suit in interpleader, you shall Ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction. 251-14 When recorded, please mail this instrument and tax statements to: Clerk of the Council City of Santa Ana 20 Civic Center Plaza, M-30 Santa Ana, California 92701 Free recording requested by THE CITY OF SANTA ANA PER GOVERNMENT CODE SECTION 6103. SPACE A3OVE THIS LINE FOR RECORDER'S CANCEL razes APPROVED AS TO FORM BY AM APPROVED BY DIREM DESCUPTION WRRI'EN BY DESMPTION CHECI O.K AP. NUMBER 406-335-02 RfW MAP PROIECf MI.NBER 1306 W. Camden Place, Santa Ana, CA 92704 —FIRED NUM1♦BER TEMPORARY CONSTRUCTION EASEMENT FOR VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, JOSE M. SANTILLAN, a single man ("GRANTOR"), Does hereby Grant to the CITY OF SANTA ANA, a charter City and municipal; corporation duly organized under the Constitution and laws of the State of California, (the GRANTEE, hereinafter referred to as "the CITY"), its successors and assigns, the exclusive right, on a temporary basis, to enter and utilize certain real property in the City of Santa Ana, County of Orange, State of California, which is described on Exhibit 'C' (legal description) and depicted on Exhibit 'D' (plat to accompany legal description), which are attached hereto and made a part hereof (the "Property"), upon the terms set forth below. 1. Puroose. This TEMPORARY CONSTRUCTION EASEMENT ("TCE") is for the purpose of constructing the Phase 4 of the Bristol Street Improvement Project between Warner Avenue and Saint Andrew Place ("PROJECT'), a public project, and gives the CITY, its successors and assigns, the power to perform all activities necessary for the construction and completion of the Project, inclusive of ingress and egress, and necessary appurtenances thereto, on, over, and under GRANTOR's Property. 2. Term, GRANTOR agrees that the term of the TCE shall be for a period of 18 months, and shall commence when the CITY issues a notice of commencement of construction to GRANTOR. Upon filing of the Notice of Completion of the PROJECT, the rights granted by this instrument shall automatically terminate and be of no further force and effect. 3. Release. For valuable consideration, as set forth in the Purchase and Sale Agreement for Acquisition of Real Property and Bilateral Escrow Instructions signed concurrently herewith, GRANTOR, and its successors, transferees and assigns, and each of them, hereby forever release and fully discharge the CITY and each of its predecessors and successors, and all of their officers, directors, members, employees, agents, contractors, assignees, and representatives, from any and all claims, demands, damages, causes of action, costs, and expenses (including, without limitation, experts' and attorneys' fees), that GRANTOR now, or in the future may have, of whatsoever kind or nature, whether known or unknown, suspected or unsuspected, present or potential, foreseen or unforeseen, fixed or contingent, arising from or in any way connected with the construction or use of the PROJECT ("Claim"), including, without limitation, any Claim suffered by reason of the theories of impairment of access, inverse condemnation, property damages, loss of income and/or goodwill, and relocation assistance pursuant to Federal and/or State law and implementing regulations or otherwise. GRANTOR understands and agrees that the release 251-15 contained herein shall not be deemed or construed as an admission by the CITY of any liability of any kind to GRANTOR. 4. Special Provisions. The Special Provisions attached hereto as Exhibit 'E' if any, are hereby incorporated, and made a part of this Agreement by this reference. In the event of any conflict or inconsistency between this Agreement and the Special Provisions, the terms of the Special Provisions shall prevail. 5. Miscellaneous. It is mutually stipulated and agreed by and between GRANTOR and the CITY hereto that this TCE contains the whole agreement between them as of this date and that any amendments or modifications thereto must be in writing and signed by the parties. The provisions of this TCE shall be binding upon and inure to the benefit of the successors and assigns of the parties hereto. Executed this 26 day of ATR IZ— zoJZ JOSE M. S I , a single man Printe'r/Joe antillan, an individual 251-16 EXHIBIT `C' LEGAL DESCRIPTION FOR RIGHT OF WAY PURPOSES — AP No. 408-335-02 BEING A 6.00 FOOT STRIP, N THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE 01' CALIFORNIA, SAID STRIP BEING A PORTION OF LOT 35 OF TRACT NO. 2209, PER MAP RECORDED IN BOOK 64, PAGES 25 AND 26 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY, THE NORTHERLY LINE OF SAID STRIP BEING MORE PARTICULARLY DESCRIBED AS FOLLOWS: COMMENCING A TILE INTERSECTION OF CAMDEN PLACE AND BRISTOL STREET, AS SAID INTERSECTION IS SI4O\VN ON SAID MAP; THENCE, ALONG SAID CENTERLINE OF CAMDEN PLACE, NORTH 88013'46"WEST, 160.76 FEET; THENCE, PERPENDICULAR TO SAID CENTERLINE, NORTH 1046'14" EAST, 30.00 FEET, TO A POINT ON THE SOUTH LINE OF LOT 38 OF SAID TRACT, SAID POINT BEING ON A NON -TANGENT CURVE, CONCAVE NORTHWESTERLY, HAVING A RADIUS OF 95.00 FEET, A RADIAL LINE OF SAID CURVE RUNNING THROUGH SAID PONT IIAVNG A BEARING OF SOUTH 20°21'47" EAST, SAID POINT ALSO BEING THE TRUE POINT OF BEG INNNG; THENCE, NORTHEASTERLY ALONG SAID CURVE AN ARC DISTANCE OF 15.09 FEET THROUGH A CENTRAL ANGLE OF 9005'55" TO A POINT OF REVERSE CURVATURE, SAID REVERSE CURVE BEING CONCAVE SOUTHERLY, WESTERLY, AND NORTHERLY, HAVING A RADIUS OF 43.00 FEET; THENCE, EASTERLY, SOUTIIERLY, AND WESTERLY ALONG SAID CURVE AN ARC DISTANCE OF 181.97 FEET THROUGH A CENTRAL ANGLE OF 242027'52" TO A POINT OF REVERSE CURVATURE, SAID REVERSE CURVE BEING CONCAVE SOUTHWESTERLY, HAVING A RADIUS OF 95.00 FEET; THENCE, NORTHWESTERLY ALONG SAID CURVE AN ARC DISTANCE OF 15.09 FEET THROUGH A CENTRAL ANGLE OF 9°05'55" TO A PONT IN THE NORTH LINE OF SAID LOT 35, SAID POINT BEING THE TERMINUS OF TIIE LINE BEING DESCRIBED HEREIN. THE SOUTHERLY LINE OF SAID STRIP SHALL BE LENGTHENED OR SHORTENED TO TERMINATE EASTERLY IN THE EAST LINE OF SAID LOT 35 AND WESTERLY IN THE WEST LINE OF SAID LOT 35. CONTAINING AN AREA OF 351 SQUARE FEET, MORE OR LESS. ALL AS SHOWN ON EXHIBIT 'B', ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF. SUBJECT TO COVENANTS, CONDITIONS, RESTRICTIONS, RESERVATIONS, EASEMENTS OF RECORD, AND RIGHTS OF WAY, IF ANY. THIS DESCRIPTION HAS BEEN ANTPARED BY ME ON IAND EMBER 24,2015 ONY C. CUOMO, PLS 6042 \���SFO/ \x`09 wv- Anthonyfd Cuomo no. 42 99 251-17 EXHIBIT 'D' O 00 co O O 00 O O W W U7 M M L6 CO Ft4EY b/N bQ W n C 2 M J S 2 aWf aQt`Q ''9W O U) n O 2 a. CJ mU-) U7N NM IN �� ^ 2y0y o ZN uF in J O J O pi J U7 J M O N J o� 1h, y S ��" Z Z U Ld e �''.i0 SSP OF~� N 3U'OZ d a a 4 a \ W Z o IJjdU U U U U U O MUM .JWJ0.Q' — — — — • 07Q6� r 3-k3Aans I— —1 . T .. ®� F N 1S 31 N o u ,- � 0 I N 0 N OJ IQ v I iu V In U p) W mWJ m0 Z W 2-4 Q y M p M y Wdl ZU ❑ U i o o. U N aQ ' \ 0 M f I N1 51 12' 39' E RAD U o I S11e39'46'E RAD ^ J u a tD 3 n N IIS 0' v LZ �° Y NN N r�i U co Q M tj m N \ o m Q U u� vn m N n d't0 z u M ¢ I° O ~ P. R. C. J I a Z a s --_ V P.R.C. iia ___ 00 'OE ,00 'OE ° o S20e 21' 47' E RAD 3ebl,9t,.IN N23e54' WE RAD o_�� W n w S zvii rd d' M � 3��aC J I 4 251-18 EXHIBIT'E' SPECIAL PROVISIONS A. Construction Contract Work to be performed by the CITY It is understood and agreed by and between the parties hereto that the CITY's contractor will: • Either replace in kind or protect in place the site improvements which are within the described TCE area. For example, driveway, landscaping, irrigation system, etc. B. Improvements to be acquired by the CITY It is understood and agreed by and between the parties hereto that payment rendered in the Purchase and Sale Agreement for Acquisition of Real Property and Bilateral Escrow Instructions, but is not limited to, payment for the following acquired improvements: • 190 square feet of concrete paving 251-19 ACI NOWLEDGMENT 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 2 20 f % before me, Jesus Ortiz, Notary Public (Insert name and title of the officer) personally appeared Jose M. Santillan Name of Signer (1) Name ot'Signer (2) who proved to me on the basis of satisfactory evidence to be the personKwhose name rs re s scribed to the within instrument and acknowledged to me th he she/they executed the same in r er/their authorized capacity(3e5`); and that by t er/their signature, sj'on the instrument the perso> , or the entity upon behalf of which the persouK acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. ignature of Notary Pr 251-20 -A@JESUS ORTIZ COMM. N12 1901 0° Notary Publk - Callfomla LOS ANGELES COUNTY s1 M Comm. Exp. Feb. 9, 2020 (Seal) PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on 2017, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City" or "Buyer"), and RICARDO PINONES, an individual and OFELIA PINONES, an Individual, collectively (hereinafter "Seller'), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property") legally described as follows: SEE EXHIBIT "A" — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 1305 W. Camden Place, Santa Ana, CA 92707) (APN#: 408-334-17) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, within sixty (60) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seller agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit, limitation, encumbrance (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of Sixteen Thousand, Fifty -Seven and no/100 Dollars ($16,057.00) insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the Exhibit 3 251-21 failure of Seller to convey title or to provide title insurance as required in this Agreement 4. Escrow. City agrees to open an escrow at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, Califomia, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within sixty (60) days of the City's execution of this Agreement. If escrow is not in a condition to close by the Close of Escrow, and failure to close is due to unforeseen conditions of title or interest of third parties in the Property that cannot be resolved in Escrow, then buyer may, at its option, request cancellation of escrow and this Agreement and return of any funds it has deposited into escrow. Thereupon, all obligations and liabilities of the Parties under this Agreement shall cease and terminate. If no such request is made, Escrow shall be closed as soon as possible thereafter. Buyer shall be entitled to possession of the Property immediately upon close of Escrow. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit "B" attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, re -conveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 8 and Exhibit "B" of the General Provisions of this Agreement. 5, Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectible if unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State of California. To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sole cost, in obtaining said refund, if any; however, in no case shall Buyer credit or otherwise pay Seller for that refund, if any, through or outside of Escrow. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property and temporary occupancy, for the total sum of Seventeen Thousand, Two Hundred Sixty and no/100 Dollars ($17,260.00). The sum of Fifteen Thousand, One hundred Eighty -Nine and no/100 Dollars ($15,189.00), is compensation for the certain real property and improvements as shown in Exhibit "A". The sum of Two Thousand, Seventy -One and no/100 Dollars ($2,071.00), is compensation for the temporary occupancy of the 251-22 property, which shall have a duration of 18 months, and is described and shown as attachment (Exhibits "C' and "D") to the Temporary Construction Easement deed. City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after. (a) Conveyance of said real property by Seller to City as hereinabove provided; (b) Acceptance by City of a Grant Deed conveying said real property to City; (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. 8. Rental and Occupancy BV Seller. Seller agrees to execute a complete, current and correct statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 30 -day month/365-day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement Is executed by seller, or which may be vacated by present occupants prior to close of escrow. In return, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 9. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 10, Heirs, Assigns, Successors -in -Interest. This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 11. Time is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be of the essence. 12. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property. 13. Acknowledgment of Full Benefits and Release 251-23 A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for injury to the remainder ("severance damages"); precondemnation damages; claims for inverse condemnation; loss or impairment of any "bonus value" attributable to any lease; damage to or loss of improvements pertaining to the realty; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property , or challenge Buyer's adoption of a resolution of necessity, pursuant to Code of Civil Procedure sections 1245.245; any right to receive any notices pursuant to Code of Civil Procedure section 1245.245; any right to enforce any other obligation placed upon Seller pursuant to Code of Civil Procedure sections 1245.245, 1263.025 and 1263.615; any other rights conferred upon Defendants pursuant to Code of Civil Procedure sections 1245.245 and 1263.615 and 1263.025; and attorney's fees and costs. It being understood that this is a complete and full settlement of all acquisition claims, liabilities, or benefits of any type or nature whatsoever relating to or in connection with the acquisition of the Property by Buyer. This release shall survive the Close of Escrow. B. This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby fully releases Buyer, Its successors, agents, representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage which has been sustained by Seller, or may be sustained by Seller, as a result of Buyer's efforts to acquire the Property or to construct the works of improvement thereon, or any preliminary steps thereto. This Agreement does not, and shall not be construed to, require Seller to indemnify Buyer for damages which may arise as a result of Buyer's efforts to construct improvements on the Property. 14. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M-36, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is 1305 W. Camden Place, Santa Ana, CA 92707. 15. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 16. Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 17. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous 251-24 material", "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. S6901 et seg. (42 U.S.C. S6903) or (A) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C. S9601 et seg. (42 U.S.C. S9601). 16. Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. 19. Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (i) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, In, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 20. Continnencv. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 21. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 22. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 251-25 23. Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 24. Governing Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 26. No Reliance By One Party On The Other. Each party has received independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The provisions of this PSA shall be construed as to their fair meaning, and not for or against any parry based upon any attribution to such party as the source of the language in question. 26. No Third Party Beneficiary. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 27. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost. 28. Applicability of Agreement To Assignees. This PSA shall be binding upon and shall inure to the benefit of the successors and assigns of the Parties to this PSA. 29. Authority to Execute Agreement. 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 PSA, 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. 30. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 251-26 IN WITNESS WHEREOF, the Parties hereto have executed this Purchase and Sale Agreement on the date and year first written above. SELLER: an individual Pinones, an CITY OF SANTA ANA: City/Buyer David Cavazos City Manager ATTEST: Maria D. Huizar City Clerk APPROVED AS TO FORM: o /) lw. fwl✓ J# M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency Date: %�Z Date: 2 5 7 Date: Date: Date: +- 2.5— I Date: 251-27 EXHIBIT`A' LEGAL DESCRIPTION FOR RIGHT OF WAY PURPOSES —AP No. 408-334-17 IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, BEING A PORTION OF LOT 38 OF TRACT NO. 2209, PER MAP RECORDED IN BOOK 64, PAGES 25 AND 26 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY, SAID PORTION LYING SOUTHERLY OF THE FOLLOWING DESCRIBED LINE: COMMENCING A THE INTERSECTION OF CAMDEN PLACE AND BRISTOL STREET, AS SAID INTERSECTION IS SHOWN ON SAID MAP; THENCE, ALONG SAID CENTERLINE OF CAMDEN PLACE, NORTH 88013'46"WEST, 160.76 FEET; THENCE, PERPENDICULAR TO SAID CENTERLINE, NORTH 1046'14" EAST, 30.00 FEET, TO A POINT ON THE SOUTH LINE OF SAID LOT 38, SAID POINT BEING ON A NON -TANGENT CURVE, CONCAVE NORTHWESTERLY, HAVING A RADIUS OF 95.00 FEET, A RADIAL LINE OF SAID CURVE RUNNING THROUGH SAID POINT HAVING A BEARING OF SOUTH 20021'47" EAST, SAID POINT ALSO BEING THE TRUE POINT OF BEGINNING; THENCE, NORTHEASTERLY ALONG SAID CURVE AN ARC DISTANCE OF 15.09 FEET THROUGH A CENTRAL ANGLE OF 9005'55" TO A POINT OF REVERSE CURVATURE, SAID REVERSE CURVE BEING CONCAVE SOUTHERLY, WESTERLY, AND NORTHERLY, HAVING A RADIUS OF 43.00 FEET; THENCE, EASTERLY, SOUTHERLY, AND WESTERLY ALONG SAID CURVE AN ARC DISTANCE OF 181.97 FEET THROUGH A CENTRAL ANGLE OF 242027'52" TO A POINT OF REVERSE CURVATURE, SAID REVERSE CURVE BEING CONCAVE SOUTHWESTERLY, HAVING A RADIUS OF 95.00 FEET; THENCE, NORTHWESTERLY ALONG SAID CURVE AN ARC DISTANCE OF 15.09 FEET THROUGH A CENTRAL ANGLE OF 9005'55" TO A POINT IN THE NORTH LINE OF LOT 35 OF SAID TRACT, SAID POINT BEING THE TERMINUS OF THE LINE BEING DESCRIBED HEREIN. 251-28 CONTAINING AN AREA OF 284 SQUARE FEET, MORE OR LESS. ALL AS SHOWN ON EXHIBIT `B', ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF. SUBJECT TO COVENANTS, CONDITIONS, RESTRICTIONS, RESERVATIONS, EASEMENTS OF RECORD, AND RIGHTS OF WAY, IF ANY. THIS DESCRIPTION HAS BEEN PREPARED BY ME ON rA s OAND 8411SEPTEMBER 24, 201SANTHONY C. CUOMO, PLS 6042 251-29 EXHIBIT "B" (First American) GENERAL ESCROW PROVISIONS All disbursements shall be made by Escrow's check. All funds received in this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business in the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a 30 -day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized. There shall be no proration of any existing insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and/or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and/or the attorney or attorneys involved in this transaction upon request of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in interpleader brought by you. In the event you file a suit in interpleader, you shall ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction. 251-30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: RESOLUTION AUTHORIZING A GRANT APPLICATION TO THE URBAN GREENING GRANT PROGRAM FOR PROTECTED BIKE LANES ON STANDARD AVENUE (STRATEGIC PLAN NO. 5, 6B) CITY PeANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2"' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution authorizing the Executive Director of the Public Works Agency to submit a $6,250,000 grant application for the Standard Avenue Protected Bike Lanes Project to the California Climate Investments Urban Greening Program. DISCUSSION In March 2017, the State of California Natural Resources Agency released the Urban Greening Grant Program which is funded through auction proceeds through the California Climate Investments (Cap and Trade). Recognizing that the Standard Avenue Protected Bike Lane Project would compete well for the Urban Greening Program, staff prepared an application emphasizing the direct benefits to the community. The grant program guidelines require submission of an authorizing resolution (Exhibit 1) to complete the application. Projects submitted under this Urban Greening Program must reduce Greenhouse Gas emissions. This may be accomplished by implementing eligible activities outlined in the grant guidelines, one of which consists of reducing commute vehicle miles by constructing bicycle and pedestrian facilities that provide safe routes between residences, work places, commercial centers, and schools. During the summer of 2016, the Public Works Agency, working through the Orange County Healthcare Agency -funded FIT Cities Initiative, engaged in a community outreach process with Santa Ana residents that identified the Standard Avenue corridor as in need of bicycle and pedestrian improvements. The FIT Cities Initiative funded consultant services to design and provide cost estimates for the community, vision, which includes protected bicycle lanes along Standard Avenue between Third Street and Warner Avenue with pedestrian crossing improvements at multiple intersections along the corridor (Exhibit 2). A conceptual rendering 55A-1 Resolution Authorizing Grant Application Submittal to the Urban Greening Program June 6, 2017 Page 2 characterizing the main features of the Standard Avenue Protected Bike Lane Project, including bike lane alignment is provided in Exhibit 3. 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). ENVIRONMENTAL IMPACT Pursuant to Section 15304(h) of the California Environmental Quality Act, this action is exempt from further review as there is no potential for any environmental impact. FISCAL IMPACT At this time there is no fiscal impact associated with this Council action, The City is pursuing a grant in the amount of $6,250,000 to implement the proposed Standard Avenue Protected Bike Lanes Project. If awarded, that amount would be appropriated into the City's budget as part of a future Council action to accept the funds. Yf- �-)Fr ousavipour Executive Director Public Works Agency FM/WEG/CW Exhibits: 1. Resolution 2. Project Map 3. Conceptual Rendering 55A-2 jmf 4/13/17 RESOLUTION NO. 2017 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE APPLICATION FOR GRANT FUNDS FOR CALIFORNIA CLIMATE INVESTMENTS URBAN GREENING PROGRAM WHEREAS, the Legislature and Governor of the State of California have provided funds for the program shown above; and WHEREAS, the California Natural Resources Agency has been delegated the responsibility for the administration of this grant program, establishing necessary procedures; and WHEREAS, said procedures established by the California Natural Resources Agency require a resolution certifying the approval of application(s) by the Applicant's governing board before submission of said application(s) to the State; and WHEREAS, the applicant, if selected, will enter into an agreement with the State of California to carry out the Project. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana as follows: Section 1. The City Council approves the filing of an application for the Standard Avenue Protected Bike Lane Project. Section 2. The City Council certifies that applicant understands the assurances and certification in the application. Section 3. The City Council certifies that applicant or title holder will have sufficient funds to operate and maintain the project consistent with the land tenure requirements; or will secure the resources to do so. Section 4. The City Council certifies that it will comply with the provisions of Section 1771.5 of the State Labor Code. Section 5. The City Council, if applicable, certifies that the project will comply with any laws and regulations including, but not limited to, legal requirements for building codes, health and safety codes, disabled access laws, environmental laws and, that priorto commencement of construction, all applicable permits will have been obtained. Exhibit 1 Resolution No. 2017 -XXX Page 1 of 3 55A-3 Section 6. The City Council certifies that applicant will work towards the Governor's State Planning Priorities intended to promote equity, strengthen the economy, protect the environment, and promote public health and safety as included in Government Code Section 65041.1. Section 7. The City Council appoints the City Manager or the Director of Public Works, or their designee, as agent to conduct all negotiations, execute and submit all documents including, but not limited to applications, agreements, payment requests and so on, which may be necessary for the completion of the aforementioned project(s). Section S. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this _ day of June, 2017. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: }�- John M. Funk Assistant City Attorney AYES: Councilmembers NOES ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Miguel A. Pulido Mayor Resolution No. 2017 -XXX Page of Exhibit 1 55A-4 jmf 4/13/17 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on 2017. Date: Clerk of the Council City of Santa Ana 55A-5 Resolution No. 2017 -XXX Page 3 of 3 y zs Fifth SANTA ANA Pu vusucwoaxs ncexcr w z 17th Street Civic Ctr. SanAna Blvd. I st St eet rn Willits a � G 'u :ding rAve. o' ,Adams lege trom ve. Ave. Dyer Rd. STANDARD AVENUE PROECTED BIKE LANE PROJECT 55biV 10 oft NORTH �H oWNo =M10 eCC 3 = M y • STANDARD AVENUE PROTECTED BIKE LANE PROJECT w l t. s. . e CONCEPTUAL RENDERING - PROTECTED INTERSECTION x q � • �"'��` shy I+ JieJ J E� ov i'x"- aus smc +�f VENUE c ms SRN TYPICAL SECTION - PROTECTED BIKE LANE WITH INTERSECTION Exhibit 3 55A-9 55A-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: RESOLUTION AFFIRMING CONSISTENCY WITH MEASURE M PROGRAM GUIDELINES RELATED TO THE CIRCULATION ELEMENT, LOCAL SIGNAL SYNCHRONIZATION PLAN, AND MITIGATION FEE PROGRAM !STRATEGIC PLAN NO. 6. 1G) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution affirming consistency between the City's Circulation Element and the Orange County Master Plan of Arterial Highways, concurring with the existing Transportation System Improvement Area fee program, and adopting the City's 2017 Local Signal Synchronization Plan to maintain eligibility for Measure M2 Program funding. Local agencies are required each year to submit documentation to the Orange County Transportation Authority (OCTA) in order to remain eligible for Measure M2 Comprehensive Transportation Funding Programs (CTFP) funds via resolution (Exhibit 1). Additionally, every odd -numbered calendar year, the City is required to adopt a resolution which affirms consistency between the City's Circulation Element and the Orange County Master Plan of Arterial Highways (MPAH), and reaffirm that the city has an existing mitigation fee program. Lastly, the city is required to update and adopt the Local Signal Synchronization Plan (LSSP) every three years. City staff has reviewed and updated the City's street classification system to ensure traffic mobility and traffic safety are in alignment with City goals and have coordinated those changes with OCTA. This resolution attests that the City's adopted General Plan Circulation Element is consistent with the MPAH, does not preclude implementation of the MPAH within Santa Ana, and that no unilateral reduction in through lanes has been made on MPAH arterials during Fiscal Years 2015/2016 and 2016/2017. 5513-1 Resolution Affirming Consistency of Circulation Element, Local Signal Synchronization Plan, and Mitigation Fee Program June 6, 2017 Page 2 In addition, the resolution reaffirms the City's concurrence with its existing and previously adopted Transportation System Improvement Area fees to mitigate the effects of new development on transportation infrastructure. Measure M2 Program Guidelines require local agencies to "assess traffic impacts of new development and require new development to pay a fair share of necessary transportation improvements attributable to the new development." The development impact fee programs and policies currently in place satisfy this requirement and are updated as required by Council action. The resolution also adopts the 2017 Local Signal Synchronization Plan Update (LSSP) (Exhibit 2) which is a planning document that helps guide traffic signal synchronization and capital investment. The purpose of traffic signal synchronization is to relieve congestion on the arterial roadway system during peak traffic demand and avoid the formation of gridlock conditions. Measure M2 program includes a robust funding program to aid in regional signal synchronization. The City's LSSP is required to be consistent with OCTA's Regional Traffic Signal Synchronization Master Plan. Adoption of this resolution is required to meet Measure M Program guidelines so the City may continue to receive Measure M2 Fairshare funds each year and to remain eligible for CTFP grant funding administered by OCTA. The deadline for resolution adoption is June 30, 2017. 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). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The proposed Fiscal Year 2017-18 budget anticipates receiving revenues of approximately $4.7 million from the Measure M2 local fair share program for capital improvement program projects. If the recommended action is not approved, the City will lose Measure M2 local fair share revenue and eligibility to apply for various future OCTA comprehensive funding programs. ^\--� NMousavipour Executive Director Public Works Agency FM/EWG/ML Exhibit: 1. Resolution 2. Local Signal Synchronization Plan 55B-2 jmf 512117 RESOLUTION NO. 2017 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONCERNING THE STATUS AND UPDATE OF THE CIRCULATION ELEMENT, LOCAL SIGNAL SYNCHRONIZATION PLAN, AND MITIGATION FEE PROGRAM FOR THE MEASURE M (M2)PROGRAM WHEREAS, the City of Santa Ana desires to maintain and improve the streets within its jurisdiction, including those arterials contained in the Master Plan of Arterial Highways (MPAH); and WHEREAS, the City of Santa Ana had endorsed a definition of and process for, determining consistency of the City's Traffic Circulation Plan with the MPAH; and WHEREAS, the City has adopted a General Plan Circulation Element which does not preclude implementation of the MPAH within its jurisdiction; and WHEREAS, the City is required to adopt a resolution biennially informing the Orange County Transportation Authority (OCTA) that the City's Circulation Element is in conformance with the MPAH and whether any changes to any arterial highways of said Circulation Element have been adopted by the City during Fiscal Years (FY) 2015-16 and FY 2016-17; and WHEREAS, the City is required to send biennially to the OCTA all recommended changes to the City Circulation Element and the MPAH for the purposes of re -qualifying for participation in the Comprehensive Transportation Funding Programs; and WHEREAS, the Orange County Transportation Authority has developed the Regional Traffic Signal Synchronization Master Plan to identify traffic signal synchronization street routes and traffic signals within and across jurisdictional boundaries, and defines the means of implementing the Regional Traffic Signal Synchronization Program; and WHEREAS, the Regional Traffic Signal Synchronization Program requires that local agencies adopt a Local Signal Synchronization Plan consistent with the Regional Traffic Signal Synchronization Master Plan as a key component of local agencies' efforts to synchronize traffic signals across local agencies' boundaries; and WHEREAS, the Local Signal Synchronization Plan must be updated by June 30, 2017 to continue to be eligible to receive Net Revenues as part of Measure M2; and WHEREAS, the City is required to adopt a resolution biennially certifying that the City has an existing Mitigation Fee Program that assesses traffic impacts of new Resoludon No. 2017 -XXX Pagel of 3 Exhibit 1 55B-3 jmf 5/2/17 development and requires new development to pay a fair share of necessary transportation improvements attributable to the new development. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana as follows: Section 1. The arterial highway portion of the City Circulation Element of the City is in conformance with the MPAH. Section 2. The City attests that no unilateral reduction in through lanes has been made on any MPAH arterials during FY 2015-16 and FY 2016-17. Section 3. The City adopts and maintains a Local Signal Synchronization Plan which includes goals that are consistent with those outlined as part of the Regional Signal Synchronization Master Plan, including signal synchronization across jurisdictions. Section 4. The Local Signal Synchronization Plan identifies traffic signal synchronization street routes, including all elements of the Regional Signal Synchronization Network located within the City. Section 5. The Local Signal Synchronization Plan includes the traffic signal inventory for all traffic signal synchronization street routes. Section 6. The Local Signal Synchronization Plan includes a three-year plan showing capital, operations, and maintenance of signal synchronization along the traffic signal synchronization street routes and traffic signals. Section 7. The Local Signal Synchronization Plan includes an update on the status and performance of traffic signal synchronization activities. Section 8. The Local Signal Synchronization Plan includes a discussion on the review and revision, as may be necessary, on the timing of traffic signals on the traffic signal synchronization street routes. Section 9. The City reaffirms that the City Council concurs with the existing Mitigation Fee Program. Section 10. 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 2017. Miguel A. Pulido Mayor Resolution No. 2017 -XXX Page 2 of 3 55B-4 jmf 5/2/17 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: J n M. Funk Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on 2017. Date: Clerk of the Council City of Santa Ana 55B-5 Resolution No. 2017 -XXX Page 3 of 3 55B-6 CITY OF SANTA ANA PUBLIC WORKS AGENCY j[•Zg1_«yEel U_Ll9-n[y:I3•P►1[0701Z!I_l0 Update June 30, 2017 EXHIBIT 2 55B-7 Introduction On November 6, 1990, the voters in Orange County approved a''/2 percent sales tax for twenty years to fund transportation improvements known as Measure M. This sales tax provides funding for street and road improvements to local agencies through formula distribution and competitive process until 2011 when the Measure M ends. On November 6, 2006, voters approved Renewed Measure M (Measure M2) to continue the %2 percent sales tax for thirty years, beginning in 2011. The Measure M2 is a long term program designed to reduce traffic congestion, improve quality of life by upgrading key freeways, fixing major freeway interchanges, maintaining streets and roads, synchronizing traffic signals countywide, building a visionary rail -transit system, and protecting the environment. To establish eligibility for Measure M2 funds in general and Traffic Signal Synchronization Program (TSSP) in specific, including both fair -share and competitive programs, local agencies must meet the following requirements: Local Signal Synchronization Plan Adoption Adopt and maintain a Local Signal Synchronization Plan by June 30, 2017. The plan must be consistent with OCTA Regional Traffic Signal Synchronization Plan. 2. Local Signal Synchronization Plan Update To remain eligible, the local agencies must maintain and update the plan every three years for the duration of Measure M2. In addition to the requirement for Measure M2 funds, the City of Santa Ana's Local Signal Synchronization Plan also establishes the needs for well-maintained and synchronized traffic signals to reduce congestion and provide safe and efficient traffic movements in the City. The City initially adopted the Local Signal Synchronization Plan on December 6, 2010 and subsequently updated on June 19, 2014. This is the update for June 2017. 2 55B-8 I. Local Signal Synchronization Goals The primary goal is to maintain a safe and efficient transportation network with emphasis on traffic signal synchronization along major corridors. This Local Signal Synchronization Plan will serve as a guide for the implementation and maintenance of optimized signal timing along these corridors. The objective is to reduce delay, number of stops, fuel consumption and air pollution emissions and maximizing the traffic progression through the system. A key focus of the City is improving safety of all roadway users. A well-timed, synchronized system can potentially reduce collisions as a result of improved traffic flow and can also minimize diversion of traffic to local and residential neighborhoods, potentially improving safety and traffic conditions in those areas. The City has been synchronizing its traffic signals since the 1970's with the implementation of the Multisonics Vehicle Management System. Since then the City has continued to upgrade and improve its traffic signal infrastructures and operations. The City's major effort in improving its traffic signal operations and infrastructures began in early 1990's when the City received numerous funding from State of California Transportation System Management grants to implement an Advanced Traffic Management System that included traffic communication infrastructure, new traffic signal system and incorporated many elements of Intelligent Vehicle Highway System such as CCTV, Video detection, and Changeable Message Signs (CMS). Recognizing the needs to maintain uninterrupted traffic flow through adjacent agencies, the City started to work with Caltrans in early 1990's for the City to maintain and operate majority of Caltrans' ramp traffic signals in Santa Ana so they can be synchronized with local traffic signals. Similarly in 1992, the city of Fountain Valley agreed to share the operation of its traffic signals on Harbor Blvd with Santa Ana so Harbor Blvd can be synchronized throughout both cities. Since then, the City has been active in replacing outdated equipment and upgrading traffic signal infrastructures to help achieve its goals of maintaining a safe and efficient network of streets. As part of the effort to maintain traffic flow and reduce congestion, the City actively monitored and synchronized all of its arterial streets. The City completed synchronization on all major arterials in the City in 2004 and again in 2010. The City fully supports and commits to working with OCTA and other local agencies to maintain regional traffic synchronization on all arterials in the OCTA Regional Traffic Signal Synchronization Program. The City has participated in the synchronization of the following RTSSP corridors: • Bristol St Corridor in 2011 • Harbor Blvd Corridor in 2011 • Westminster Ave/17 h St Corridor in 2011 • Euclid St Corridor in 2008 and 2012 • Fairview St Corridor in 2013 • Warner Ave Corridor in 2013 • Tustin Ave/Rose St Corridor in 2013 • MacArthur Blvd/Talbert Ave Corridor 2014 • Bolsa St/First St Corridor 2015 • Edinger Ave Corridor 2015 556-9 The City's plan going forward to maintain its goals: 1. Near term: (a) Maintain synchronization on all arterials in the City and OCTA RTSSP (b) Complete synchronization timing for the following corridors: • Grand Ave/Glassell St/Kraemer Blvd Corridor • Harbor Blvd Corridor • Bristol St Corridor • Fairview St Corridor (c) Complete citywide Bluetooth Travel Time System (d) Upgrade central business district (downtown) traffic signal controllers (e) Upgrade existing Central Traffic Management System (f) Complete real time city traffic congestion map 2. Long Term: (a) Continue to maintain synchronization on all arterials in the City and OCTA RTSSP (b) Complete Citywide fiber communication network (c) Convert all analog CCTV to IP CCTV (d) Upgrade all traffic signal controllers to Advance Traffic Controllers (e) Retime arterials every 3 to 4 years or Citywide every 6 to 10 years (f) Relocate Traffic Management Center to Ross Annex Bldg. (g) Complete implementation of system detection citywide (h) Replace outdated traffic signal cabinets (i) Upgrade signals to current standards for pedestrians and bicycles Q) Implement the latest proven technology to monitor and improve traffic signal operations where feasible II. Traffic Signal Synchronization Street Routes The following arterials and streets in the City Master Plan of Streets and Highways are part of the City LSSP. Many of these arterials are also part of OCTA's Regional Traffic Signal Synchronization Plan. The following table and maps lists all streets and traffic signals that are currently synchronized and monitored on a regular basis. 4 55B-10 Arterial Classification Synchronized OCTA RTSSP 1 Westminster Ave/17' St Major Yes Yes 2 15' St Major Yes Yes 3 Edinger Ave Major Yes Yes 4 Warner Ave Major Yes Yes 5 Se erstrom Ave/Dyer Rd Principal/Major/Primary Principal/Major/Primary Yes Yes 6 MacArthur Blvd Major Yes Yes 7 Euclid St Major Yes Yes 8 Harbor Blvd Major Yes Yes 9 Fairview St Major Yes Yes 10 Bristol St Ma'or Yes Yes 11 Main St Major/Primary/Secondary Major/Primary/Secondary Yes Yes 12 Grand Ave Major Yes Yes 4 55B-10 55B511 Arterial Classification Synchronized OCTA RTSSP 13 Tustin Ave Major Yes Yes 14 McFadden Ave Secondary Partial No 15 Newhope St Secondary Yes No 16 Civic Center Dr Secondary Partial No 17 Santa Ana Blvd Major/Primary Partial No 18 4tFSt Major/Primary Major/Primary Partial No 19 Flower St Primary/Secondary Primary/Secondary Partial No 20 Central Business District Misc. Yes No 21 Broadway Secondary Partial No 22 Standard Ave Secondary Partial No 55B511 Synchronized Traffic Signal Map 55B-12 Traffic Signal Synchronization Routes City of Santa Ana ., AVETA AV „ Traffic Signal Sychronization Routes GARDEN GROVE BLVb 3 rr m _•-•.-•- FARNiAVE"�V YARMAVEM AI _ SANTA CLARA AV -: t rIp TER �AV ....11TH Si 1N,BaIH61 11TH Si y}yO a ��\ WASHINGTON V � IWASHINGTON V 2 Gn NAZA110IV • NATAIID ''•, " A CIVIC CENTER Clyf CENTER DP ry O SSTTHry Si 1• A ANA pro pi 4TH JT V 0. ST ST S7 4$T►T y�1 1ST! T$T BT 1ST ST 1ST ST IST ST tST SSP i I _ j H CHESTNUT AV 1_. a < CH TNUi Ay t MCGA006MAV m � w N _ "6. d JV DDEN AV R 0CFADOEN¢FFii5ACFADDEEOINIR Av9EVINGERAVEOINGER AV wDIAAVEDINGER Aa WARHCR AV YAWNER AV S� WARNER AV YNERAY '>YARNER AV ,p JO J SEERSTROM.AV 4 m q T % S GERSTROM AVCfcPS ` DYER RD DYER RD / A MAFy1RTHUR BLVD ,•..��—'�•..•_l __-- a > MACARTHUR BLVD < MACARTHUR BLVD Y SUNFLOWER AV L � N L—__f...—.aBVNcwwawAv: 556--13 III. Traffic Signal Infrastructures and Synchronization Inventory A. Traffic Management Center City Traffic Management Center was constructed in 1993 to provide a central housing for all traffic signal system, communication hardware and traffic signal video/monitoring system. The TMC is located in main City Hall In 2016, the City replaced the outdated video wall display with a state of the art LCD matrix digital video wall. The video wall display allowed for the integration of the new video management system. B. Traffic Signal System, Controllers and Cabinets City's current Traffic Signal System is Telvent's Management Information System for Traffic (MIST, version 4.0); a computer based centralized traffic control system that runs on Windows operating system and utilizes user friendly Graphical User Interface. MIST allows the city to manage and control the traffic signals on a real-time basis. The City plans to upgrade the system to add data collection and analytics capabilites to assist with traffic signal timing fine tuning. In 2011, The City completed an eight phase projects to upgrade all outdated NEMA controllers to the latest 2070 controller and firmware. This allows the City to fully integrate and utilize MIST in managing all 302 traffic signals effectively. The City's standard traffic signal controller is Econolite 2070L or 207ON with ASC3-2070 firmware. The City plans to upgrade all controllers to Advance Traffic Controllers to prepare for transit signal priority and connect vehicle technology. The City currently has two types of traffic signal cabinets in the field: NEMA (P & M) and Type 332 cabinets. The City plans to upgrade the cabinets to Type 332 as funding is available. C. Traffic Signal Surveillance System The City started utilizing CCTV to monitor and manage its traffic in 1993. The City now has 95 CCTVs to monitor traffic at every major intersection and critical points on the City arterial network. There are 56 older analog CCTVs and 39 digital CCTVs. The City plans to upgrade all analog to digital CCTV when funding is available. In 2015, the City deployed Milestone XProtect Video Management System to fully integrate all CCN cameras into one centralized video system. The video management system has simplified the video viewing process, provides recording capabilities and will allow for future video sharing with other departments. D. Traffic Signal Communication Communication to field traffic signal controllers and CCN is done via several methods: Hardwire interconnect, Fiber-optic and wireless. Most of the traffic signals communication is via the City underground hardwired interconnect network, and similarly, communication to CCTV is via the City underground fiber-optic network. 8 55B-14 Where fiber-optic is not available, wireless or hardwire interconnect is used for CCN. The City plans to upgrade all communication to Fiber-optic as funding is available. E. Traffic Signal Synchronization The traffic signals on the designated arterials in the LSSP are inventoried and listed in the Appendix 1. The table identifies all intersection for each arterial, associated controller type and firmware, phasing and detailed synchronization data such as cycle length of each synchronized period and type of sync time (System or Time Based Coordination). Synchronization periods include AM, Mid-day, PM and weekend. IV. Three -Year Capital, Operations and Maintenance Plans The City is committed to provide a high level of effort to maintain its traffic signals, signal systems and related communication infrastructure. The effort will include funding for proper maintenance, operations and upgrade of traffic signals to current standard where necessary. The City's three-year plan for capital improvements, operations and maintenance of the traffic signals on the LSSP is included in the Appendix 2. V. Traffic Signal Synchronization Assessment, Review and Revision As stated earlier, maintaining efficient traffic movements throughout the City and surrounding area is one of the primary objectives. Many components of the traffic signal system including its infrastructure must be repaired, upgraded and or maintained to provide the desired operation results. In addition to maintaining the synchronization of all the arterials in the City, the City also participated in synchronizing many inter jurisdiction arterials (corridors). Travel time and stop reduction, average speed and gas savings have been the normal parameters the City used to measure the success or performance of synchronization. As part of this LSSP, the City supports the use of Corridor Synchronization Performance Index (CSPI) established by OCTA to measure the inter -jurisdiction corridor performance. The CSPI utilizes parameters such as average speed, ratio of green to red signals and stops per mile to compile the score and grade for the entire corridor. The sum of the scores from each of the categories gives the total of the index. The CSPI value is categorized into five levels — Tier I through V. Tier I refers to a CSPI score at or above 80 and indicates very good signal synchronization conditions. Tier 11 with value of 70 to 80 is considered good progression with few stops and good travel time. Tier III with score 60-70 is considered the baseline for good operational performance. CSPI value ranging from 50 to 60 indicates a problem generally fixable with a low cost solutions or signal timing modification. A CSPI below 50 however, indicates a poor corridor performance thereby necessitating larger scale investigation into corridor operations. Over the past three years from 2014 to 2017, the City, in cooperation with OCTA and other local agencies, participated in synchronizing a number of important corridors in the City and adjacent jurisdictions. Many corridors have previously synchronized and maintained, however due to changes in traffic conditions and patterns, periodically complete re -time is necessary and can result in significant improvement in travel time and reduction in delays. 55B915 The following corridors were synchronized or currently in the process of implementation: • Talbert/MacArthur Blvd Corridor synchronization was completed in 2014. • Bolsa Ave/First St and Edinger Ave Corridors synchronization are currently in the monitoring stage for 2 years. • Grand Ave, Bristol St and Harbor Blvd Corridors synchronization are on-going and expected to complete in 2020. A. Performance Results: The main objective of improving traffic flow along the entire corridor was met on every one of these corridors, even on corridors that are currently synchronized. The improvements are evident in every category of travel time reduction, stop reduction, increased green to red signal ratio and overall corridor performance improvements. Summary of the corridor improvements and CSPI map are shown below: Traffic Signal Synchronization Assessment, Review & Revision LOCALAGENCY CORRIDOR(Past TIMING REVIEWED 3Years) DIDTIMING REQUIREAN UPDATE? TIMING UPDATE RESULTS (if available Direction Seed Travel Stops per Mile Green )erRedl CSPIScore Peak 18eforel After Before After Before After Before After MacArthur/ Tal bert5t 2014 Yes EB AM 28.3 26.6 0.80 0.90 3.10 3.00 88.9 83.6 MD 28.9 30.8 0.90 0.70 2.80 4.50 84.9 98.7 PM 23.6 24.9 1.30 1.30 1.60 1.70 60.0 63.1 WKND - - - - - - - - WB AM 26.4 27.5 0.90 1.00 2.50 2.50 75.5 78.9 MD 25.9 30.3 1.20 0.70 1.70 3.60 66.9 92.3 PM 24.7 29.7 1.20 0.90 1.80 3.00 65.1 89.2 WKND - I - - - - - - - Bolsa/First St 2015 Yes EB AM 20.6 21.6 1.50 1.10 2.90 3.70 56.9 68.3 MD 23.8 27.6 1.40 0.90 3.10 4.70 63.7 87.7 PM 20.5 24.9 1.60 1.00 2.60 4.10 52.7 76.8 WKND 21.1 23.0 1.60 1.10 2.70 3.70 54.3 69.8 WB AM 22.5 25.7 1.40 1.20 3.00 3.70 61.2 73.7 MD 22.2 24.2 1.30 1.20 3.20 3.70 62.7 70.7 PM 19.6 22.3 1.60 1.30 2.70 3.30 52.4 63.2 WKNDJ 20.9 1 22.8 1.60 1.20 2.70 3.60 54.3 68.0 Edinger Ave 2015 Yes EB AM 23.7 24.7 1.20 1.00 2.10 2.10 65.6 68.8 MD 27.7 27.0 0.90 0.70 2.80 4.30 79.6 92.5 PM 21.5 23.6 1.50 1.00 1.00 2.10 50.3 67.5 WKND 24.2 23.9 1.40 1.10 2.00 2.80 63.9 72.7 WB AM 22.4 26.3 1.40 0.80 1.40 2.90 55.9 79.9 MD 25.8 26.9 0.90 0.70 3.50 4.60 82.9 95.0 PM 19.2 21.1 1.50 1.40 1.50 1.50 51.1 54.0 WKND 23.7 22.4 1.40 1.40 1.60 1.70 59.1 58.6 Grand Ave 2015 Yes Results not yet available Harbor Blvd 2016 Yes Results not yet available Bristol St 2016 Yes Results not yet available 10 55B-16 Santa Ana 2016 Corridor Synchronization Performance Map: 55B l7 G.U2i1EN SRr4 Wena m.� a _ WESTMINSTER ! SANTA ANA I FOLINTAJN VALLEY Cantor Synchroo¢atm Perbrmance Inde. Trey V Less eren 50 Trey IV-50bfi0 \\ Trey III—e001 W70 Tern—roar toed Teri More v e0 ILI O E69l *Candor — -_.. Pievpafly Urdurged EIgAM Carao� .., Sva OC'/. r 16 . 55B l7 B. System Improvements: In addition to the corridor synchronization, improvements to the traffic signal system, communication and monitoring infrastructure were made to allow the City to better monitor traffic condition, manage traffic signals and maintain the synchronization. MacArthur Blvd Corridor: Upgraded traffic signal communication to IP addressing, installed fiber optic and wireless communication links, installed/upgraded CCN at 4 locations and installed Blufax travel time system at 3 locations. 2. 1s` St Corridor: Upgraded traffic signal communication to IP addressing, installed fiber optic and wireless communication links, installed/upgraded CCTV at 5 locations, installed system detection at 5 locations and replaced traffic signal cabinets at Sycamore and Bush. Installed Blufax travel time system at 4 locations. 3. Edinger Ave Corridor: Upgraded traffic signal communication to IP addressing, installed fiber optic and wireless communication links, installed/upgraded CCN at 4 locations, installed system detection at 3 locations and replaced traffic signal cabinets at 3 locations. Installed Blufax travel time system at 4 locations. 4. Grand Ave Corridor: Upgraded traffic signal communication to IP addressing, installed fiber optic and wireless communication links, installed/upgraded CCN at 7 locations, installed system detection at 6 locations, replaced traffic signal cabinets at 4 locations. Installed new communication HUB at McFadden Ave. Installed Blufax travel time system at 5 locations. Upgraded video management system at the TMC. 5. Harbor Blvd Corridor: Upgraded traffic signal communication to IP addressing, installed fiber optic and wireless communication links, installed/upgraded CCN at 4 locations, installed system detection at 3 locations, installed Blufax travel time system at 3 locations, and installed new communication HUB at 5"' St. Upgraded video wall display at the TMC. 6. Bristol St Corridor: Currently under construction will upgrade traffic signal communication to IP addressing, install fiber optic and wireless communication links, install/upgrade CCTV at 6 locations, install system detection at Segerstrom Ave, replace traffic signal cabinets at 7 locations and install Blufax travel time system at 4 locations. Provide additional video licenses and upgrade motorist information system at the TMC. APPENDICES Appendix 1: Traffic Signal Inventory Appendix 2: Three -Year Capital, Operations & Maintenance Budget 558218 Appendix 1 Traffic Signal Synchronization List 55B-19 TRAFFIC SIGNAL SYNCHRONIZATION LIST Arterials Intersection Controller Firmware Phase AM I MD Cycle Length I PM WKND Sync 1. Westminster Ave/17th Newhope St 2070 ASC3/2070 8 130 130 130 130 TBC Harbor Blvd 2070 ASC3/2070 8 130 130 130 130 TBC Clinton St 2070 ASC3/2070 6 130 130 130 130 TBC Fairview St 2070 ASC3/2070 8 130 130 130 130 TBC King St 2070 ASC3/2070 4 130 130 130 130 TBC English St 2070 ASC3/2070 6 130 130 130 130 TBC Alona St 2070 ASC3/2070 5 130 130 130 130 TBC College Ave 2070 ASC3/2070 6 130 130 130 130 TBC Bristol Market PI 2070 ASC3/2070 8 130 130 130 130 TBC Bristol St 2070 ASC3/2070 8 130 130 130 130 TBC Fire Station ASC3 ASC3 NEMA 2 Free Free Free Free TBC Flower St 2070 ASC3/2070 6 130 130 130 130 TBC Ross St 2070 ASC3/2070 6 130 130 130 130 TBC Broadway 2070 ASC3/2070 8 130 130 130 130 TBC Main St 2070 ASC3/2070 8 130 130 130 130 TBC Spurgeon St 2070 ASC3/2070 6 130 130 130 130 TBC Penn Wy 2070 ASC3/2070 5 130 130 130 130 TBC Santiago St/ 1-5 NB off 2070 ASC3/2070 6 130 130 130 130 TBC Lincoln Ave 2070 ASC3/2070 6 130 130 130 130 TBC Grand Ave 2070 ASC3/2070 8 130 130 130 130 TBC Linwood Ave 2070 ASC3/2070 4 130 130 130 130 TBC Cabrillo Pk/Sherry Ln 2070 ASC3/2070 5 130 130 130 130 TBC Centre on 17th 2070 ASC3/2070 6 130 130 130 130 TBC Tustin Ave 2070 ASC3/2070 8 130 130 130 130 TBC 2. 1st St Euclid St 2070 ASC3/2070 8 130 130 130 130 TBC Newhope St 2070 ASC3 2070 8 130 130 130 130 TBC Harbor Blvd 2070 ASC3/2070 8 130 130 130 130 TBC Jackson St 2070 ASC3 2070 2 130 130 130 130 TBC Faiview St 2070 ASC3 2070 8 130 130 130 130 TBC Sullivan St 2070 ASC3 2070 6 130 130 130 130 TBC Center St 2070 ASC3 2070 4 130 130 130 130 TBC Townsend St 2070 ASC3 2070 4 130 130 130 130 TBC Raitt St 2070 ASC3 2070 5 130 130 130 130 TBC Pacific Ave 2070 ASC3 2070 6 130 130 130 130 TBC Bristol St 2070 ASC3 2070 8 130 130 130 130 TBC Flower St 2070 ASC3/2070 8 130 130 130 130 TBC Ross St 2070 ASC3 2070 4 130 130 130 130 TBC Broadway 2070 ASC3 2070 6 130 130 130 130 TBC Sycamore St 2070 ASC3 2070 2 130 130 130 130 TBC Main St 2070 ASC3/2070 8 130 130 130 130 TBC Bush St Cypress St 2070 ASC3/2070 2 130 130 130 130 TBC Downtown Plaza 2070 ASC3 2070 4 130 130 130 130 TBC Standard Ave 2070 ASC3 2070 6 130 130 130 130 TBC Grand Ave 2070 ASC3/2070 8 130 130 130 130 TBC Lyon St 2070 ASC3 2070 6 130 130 130 130 TBC Elk Ln/1-5 NB Off 2070 ASC3/2070 5 130 130 130 130 TBC 1-5 SB On 2070 ASC3 2070 3 65 65 65 65 TBC Cabrillo Park Or 2070 ASC3 2070 6 Free Free 130 Free TBC Golden Circle 2070 ASC3 2070 6 Free Free 130 Free TBC 3. Edinger Ave Newhope St 2070 ASC32070 8 130 130 130 130 TBC Harbor Blvd* 2070 ASC3/2070 8 130 130 130 130 TBC Mohawk Dr 2070 ASC3 2070 6 130 Free 130 Free TBC Fairview St 2070 ASC3 2070 8 130 130 130 130 TBC Sullivan St 2070 ASC3 2070 3 130 130 130 130 TBC Greenville St 2070 ASC3 2070 4 130 130 130 130 TBC 55B-20 TRAFFIC SIGNAL SYNCHRONIZATION LIST Arterials Intersection Controller Firmware Phase AM MD Cycle Length PM WKND Sync Center St 2070 ASC3 2070 6 130 130 130 130 TBC Raitt St 2070 ASC3 2070 8 130 130 130 130 TBC Pacific Ave 2070 ASC3 2070 2 130 130 130 130 TBC Bristol St 2070 ASC3 2070 8 130 130 130 130 TBC Baker St 2070 ASC3 2070 6 130 130 130 130 TBC Flower St 2070 ASC3 2070 6 130 130 130 130 TBC Broadway 2070 ASC3 2070 6 130 130 130 130 TBC Main St 2070 ASC3 2070 8 130 130 130 130 TBC Orange St 2070 ASC3 2070 6 130 130 130 130 TBC Maple Bike trail 2070 ASC3 2070 3 130 65 130 130 TBC Standard Ave 2070 ASC3 2070 8 130 130 130 130 TBC Grand Ave 2070 ASC3 2070 8 130 130 130 130 TBC Lyon St 2070 ASC3 2070 6 130 130 130 130 TBC Ritchey St 2070 ASC3 2070 6 130 130 130 130 TBC 4. Warner Ave Harbor Blvd 2070 ASC3 2070 8 130 130 130 130 TBC Yale St 2070 ASC3/2070 6 130 130 130 130 TBC Susan St 2070 ASC3 2070 2 130 130 130 130 TBC Fairview St 2070 ASC3 2070 8 130 130 130 130 TBC Greenville St 2070 ASC3 2070 6 130 130 130 130 TBC Raitt St 2070 ASC3 2070 8 130 130 130 130 TBC Alton Bike Trail 2070 ASC3 2070 2 130 130 130 130 TBC Pacific Ave 2070 ASC3 2070 6 130 130 130 130 TBC Bristol St 2070 ASC3 2070 8 130 130 130 130 TBC Flower St 2070 ASC3 2070 6 130 130 130 130 TBC Main St 2070 ASC3 2070 8 130 130 130 130 TBC Maple Bike Trail 2070 ASC3 2070 2 65 65 65 Free TBC Halladay St 2070 ASC3 2070 2 130 130 130 Free TBC Standard Ave 2070 ASC3 2070 5 130 130 130 Free TBC Fire Station #2 2070 ASC3 2070 2 Free Free Free Free TBC Grand Ave 2070 ASC3 2070 8 130 130 130 Free TBC Wright St 2070 ASC3 2070 2 Free Free Free Free TBC Pullman St 2070 ASC3 2070 6 Free Free Free Free TBC 5. Segerstrom Ave Harbor Blvd 2070 ASC3 2070 8 130 130 130 130 TBC Susan St 2070 ASC3 2070 6 130 Free 130 Free TBC Fairview St 2070 ASC3 2070 8 130 130 130 130 TBC Greenville St 2070 ASC3 2070 2 65 65 65 Free TBC Raitt St 2070 ASC3 2070 2 65 65 65 Free TBC Bear St 2070 ASC3 2070 3 130 130 130 Free TBC Bristol St 2070 ASC3 2070 8 130 130 130 Free TBC Lowell St 2070 ASC3/2070 6 130 90 90 Free TBC Sergerstron Ave Dyer Rd Flower St 2070 ASC3 2070 6 130 90 90 Free TBC Dyer Rd Garnsey St 2070 ASC3 2070 6 130 90 90 Free TBC Alton Bike Trail 2070 ASC3 2070 3 130 90 90 Free TBC Main St 2070 ASC3 2070 8 130 130 130 Free TBC HalladaySt 2070 ASC3 2070 6 130 130 130 Free TBC Tech Center Dr 2070 ASC3 2070 6 130 130 130 Free TBC Hotel Terrace/SR-55 SB Ramp 2070 ASC3 2070 6 130 130 130 Free TBC Grand Ave 2070 ASC3 2070 4 130 130 130 Free TBC SR -55 NB Off 2070 ASC3 2070 3 65 65 65 Free TBC Pullman St 2070 ASC3 2070 6 130 130 130 Free TBC 6. MacArthur Blvd Hyland St 2070 ASC3 2070 8 Free Free 130 Free TBC Harbor Blvd 2070 ASC3 2070 8 130 130 130 130 TBC Home Depot 2070 ASC3 2070 4 130 130 130 Free TBC Susan St ASC3 ASC3 NEMA 5 130 130 130 Free TBC Fairview St 2070 ASC3 2070 8 130 130 130 Free TBC 55B-21 TRAFFIC SIGNAL SYNCHRONIZATION LIST Arterials Intersection ControllerAC32 Phase AM MD Cycle Length PM WKND Sync Greenville St 2070 2 130 130 130 Free TBC Raitt St 2070 2 130 130 130 Free TBC Bear St 2070 8 130 130 130 Free TBC Plaza Dr 2070 2 130 130 130 Free TBC Bristol St 2070 8 130 130 130 130 TBC Towner St 2070 3 130 130 130 Free TBC Flower St 2070 ASC3 2070 6 130 130 130 Free TBC Birch St 2070 ASC3 2070 6 130 130 130 Free TBC Main St 2070 ASC3 2070 8 130 130 130 Free TBC Hutton Center Dr 2070 ASC3 2070 6 130 130 130 Free TBC 7. Euclid St Oakfield St 2070 ASC3 2070 6 130 130 130 130 TBC Hazard Ave 2070 ASC3 2070 6 130 130 130 130 TBC 5th St 2070 ASC3 2070 2 130 130 130 130 TBC McFadden Ave 2070 ASC3 2070 8 130 130 130 130 TBC 8. Harbor Blvd Hazard Ave 2070 ASC3 2070 6 130 130 130 130 TBC 5th St 2070 ASC3 2070 8 130 130 130 130 TBC McFadden Ave 2070 ASC3 2070 8 130 130 130 130 TBC Kent Ave 2070 ASC3 2070 6 130 130 130 130 TBC Lilac Ave* 2070 ASC3 2070 6 130 130 130 130 TBC Heil St* 2070 ASC3 2070 6 130 130 130 130 TBC Garry Ave 2070 ASC3/2070 6 130 130 130 130 TBC 9. Fairview St Trask Ave 2070 ASC3 2070 6 130 130 130 130 TBC Edna Dr 2070 ASC3 2070 5 130 130 130 130 TBC Civic Center Dr 2070 ASC3 2070 6 130 130 130 130 TBC 5th St 2070 ASC3 2070 8 130 130 130 130 TBC Willits St 2070 ASC3 2070 6 130 130 130 130 TBC McFadden Ave 2070 ASC3 2070 8 130 130 130 130 TBC Centennial Rd St. Andrew PI 2070 ASC3 2070 6 130 130 130 130 78C Harvard St 2070 ASC3 2070 6 130 130 130 130 TBC Alton Ave 2070 ASC3 2070 6 130 130 130 Free TBC 10. Bristol St Riverglen Ln 2070 ASC3 2070 6 130 Free 130 Free TBC Memory Ln 200 AS -C-3/2070 6 130 130 130 130 TBC Santa Clara Ave 2070 ASC3 2070 2 130 130 130 130 TBC Bristol Mkt PI 19th St 2070 ASC3 2070 4 130 130 130 130 TBC Washington Ave 2070 ASC3 2070 4 130 130 130 130 TBC Civic Center Dr 2070 ASC3 2070 8 130 130 130 130 TBC Santa Ana Blvd 2070 ASC3 2070 8 130 130 130 130 TBC Bishop St 2070 ASC3 2070 6 130 130 130 130 TBC McFadden Ave 2070 ASC3 2070 8 130 130 130 130 TBC Wilshire Ave 2070 ASC3 2070 6 130 130 130 130 TBC Glenwood PI 2070 ASC3 2070 4 130 130 130 130 TBC Central Ave 2070 ASC3 2070 6 130 130 130 130 TBC Hemlock Wy 2070 ASC3 2070 6 130 130 130 130 TBC Alton Ave 2070 ASC3 2070 6 130 130 130 130 TBC Target Bristol Plaza 2070 ASC3 2070 6 130 130 130 130 TBC Callens Common 2070 ASC3 2070 6 130 130 130 130 TBC 11. Main St Main Place Town & Country 2070 ASC3 2070 6 120 120 120 120 TBC Main Place City Place 2070 ASC3 2070 8 120 120 120 120 TBC Memory Ln 2070 ASC3 2070 8 120 120 120 120 TBC Walkie Wy 2070 ASC3 2070 6 120 120 120 120 TBC Bowers Museum 2070 ASC3 2070 6 130 Free 130 Free TBC 20th St 2070 ASC3 2070 6 130 130 130 130 TBC Washington Ave 2070 ASC3 2070 4 90 90 90 90 TBC 55B-22 TRAFFIC SIGNAL SYNCHRONIZATION LIST Arterials Intersection Controller Firmware Phase AM MD Cycle Length PM WKND Sync 10th St 2070 ASC2 2070 4 90 90 90 90 TBC 8th St 2070 ASC2 2070 4 90 90 90 90 TBC Civic Center Or 2070 ASC2 2070 4 90 90 90 90 TBC 5th St 2070 ASC2/2070 3 90 90 90 90 TBC Santa Ana Blvd 2070 ASC2 2070 3 90 90 90 90 TBC 4th St 2070 ASC2 2070 4 90 90 90 90 TBC 3rd St 2070 ASC2 2070 4 90 90 90 90 TBC Chestnut Ave 2070 ASC3 2070 2 130 130 130 130 TBC Bishop St 2070 ASC3 2070 2 130 130 130 130 TBC Cubbon St 2070 ASC3/2070 2 130 130 130 130 TBC McFadden Ave 2070 AS0 2070 6 130 130 130 130 TBC Russell Ave 2070 ASC3 2070 3 130 130 130 130 TBC Borchard Ave 2070 ASC3 2070 4 130 130 130 130 TBC Pomona St 2070 ASC3 2070 7 130 130 130 130 TBC St. Andrew PI 2070 ASC3 2070 2 130 65 130 65 TBC St. Gertrude PI 2070 ASC3 2070 2 130 65 130 65 TBC Goetz Ave 2070 ASC3 2070 3 130 130 130 Free TBC Alton Ave 2070 A5C3 2070 6 130 130 130 Free TBC Columbine Ave 2070 ASC3 2070 5 130 130 130 Free TBC Murphy Ave Sandpointe Ave 2070 ASC3 2070 6 130 Free 130 Free TBC Sunflower St 2070 ASC3 2070 6 130 Free Free Free TBC 12. Grand Ave Fairhaven Ave 2070 ASC3/2070 6 130 90 130 Free TBC Santa Clara Ave 2070 ASC3 2070 6 130 90 130 Free TBC 21st St 2070 ASC3 2070 2 130 90 130 Free TBC 1-5 NB Off 2070 ASC3 2070 4 130 130 130 Free TBC Santa Ana Blvd/1-5 SB On 2070 ASC3 2070 6 130 130 130 Free TBC Fruit St 2070 ASC3 2070 6 130 130 130 Free TBC 6th St 2070 ASC3/2070 5 130 130 130 Free TBC 4th St 2070 ASC3 2070 8 130 130 130 Free TBC Chestnut Ave 2070 ASC3 2070 6 130 130 130 Free TBC McFadden Ave 2070 ASC3 2070 8 130 130 130 Free TBC Century High 2070 ASC3 2070 6 130 130 130 Free TBC St. Andrew PI 2070 ASC3 2070 6 130 130 130 Free TBC St. Gertrude PI 2070ASC3 2070 2 130 130 130 Free TBC Hotel Terrace Brookhollow Or 2070 ASC3 2070 4 65 65 65 65 TBC SR -55 SB Off 2070 ASC3 2070 3 65 65 65 65 TBC 13. Tustin Ave Santa Clara Ave 2070 ASC3 2070 5 130 100 130 Free TBC Centre on 17th/Tustin Center 2070 AS0 2070 6 130 100 130 Free TBC Wellington Ave 2070 ASC3 2070 5 130 100 130 Free TBC Fruit St 2070 ASC3 2070 2 130 100 130 Free TBC 4th St 2070 ASC3 2070 8 130 100 130 Free TBC 14. McFadden Newhope St 2070 ASC3 2070 8 130 130 130 Free TBC Riverview Market PI 2070 ASC3 2070 4 Free Free Free Free TBC Jackson St 2070 ASC3 2070 4 Free Free Free Free TBC Mohawk Dr 2070 ASC3 2070 6 Free Free Free Free TBC Sullivan St 2070 ASC3 2070 2 80 65 65 Free TBC Center St 2070 A5C3 2070 2 80 65 65 Free TBC Raitt St 2070 ASC3 2070 4 80 130 130 Free TBC Shelton St 2070 ASC3 2070 2 80 65 80 Free TBC Flower St 2070 ASC3 2070 2 80 65 80 Free TBC Broadway 2070 ASC3 2070 2 80 65 80 Free TBC Orange Ave 2070 ASC3/2070 6 130 130 130 Free TBC Maple St 2070 ASC3 2070 3 65 65 65 Free TBC Standard Ave 2070 ASC3 2070 8 130 130 130 Free TBC Hathaway St 2070 ASC3 2070 4 130 130 130 Free TBC 55B-23 TRAFFIC SIGNAL SYNCHRONIZATION LIST Arterials Intersection Controller Firmware Phase AM MD Cycle Length PM WKND Sync Lyon St 2070 ASC3 2070 8 130 Free 130 Free TBC McFadden Queue Cutter 2070 ASC3 2070 2 Free Free Free Free TBC 15. Newhope St Hazard Ave 2070 ASC3 2070 6 130 130 130 130 TBC 5th St 2070 ASC3 2070 6 130 130 130 130 TBC Camille St 2070 ASC3 2070 4 130 Free 130 Free TBC Kent Ave 2070 ASC3 2070 4 130 Free 130 Free TBC 16. Civic Center Or English St 2070 ASC3 2070 4 80 Free 80 Free TBC Raitt St 2070 ASC3/2070 4 80 Free 80 Free TBC Pacific Ave 2070 ASC3 2070 6 80 Free 80 Free TBC Baker St 2070 ASC3 2070 4 130 Free 100 Free TBC Boyd St 2070 ASC3 2070 5 100 Free 100 Free TBC Flower St 2070 ASC3 2070 8 100 100 100 Free TBC Parton St 2070 ASC3 2070 4 100 100 100 Free TBC Ross St 2070 ASC3 2070 4 100 100 100 Free TBC OC Parking Garage 2070 ASC3 2070 3 100 100 100 Free TBC Broadway 2070 ASC3 2070 4 90 90 90 90 TBC Sycamore St 2070 ASC3 2070 4 90 90 90 90 TBC Bush St 2070 ASC3 2070 4 90 90 90 Free TBC 17. Santa Ana Blvd Flower St 2070 ASC3 2070 8 100 100 100 Free TBC Parton St 2070 ASC3 2070 4 100 100 100 Free TBC Ross St 2070 ASC3 2070 4 100 100 100 Free TBC OCTA Xing 2070 ASC3 2070 2 100 100 100 Free TBC Broadway 2070 ASC3 2070 6 90 90 90 90 TBC Bush St 2070 ASC3 2070 4 90 90 90 90 TBC Santiago St 2070 ASC3 2070 5 Free Free Free Free TBC Santa Ana Queue Cutter 2070 ASC3 2070 8 Free Free Free Free TBC 1-5 5B On Off Ramp 2070 ASC3 2070 4 Free Free Free Free TBC 18. 4th St French St 2070 ASC3 2070 4 Free Free Free Free TBC Lacy St 2070 ASC3 2070 4 Free Free Free Free TBC 1-5 SB Off Ramp Mabury St 2070 ASC3 2070 4 130 100 130 Free TBC 1-5 NB On Off Ramp Mabury St 2070 ASC3 2070 4 130 100 130 Free TBC Cabrillo Park Or 2070 ASC3 2070 8 130 100 130 Free TBC Golden Circle 2070 ASC3 2070 6 130 100 130 Free TBC 19. Flower St Washington Ave 2070 ASC3 2070 4 100 Free 100 Free TBC 6th St 2070 ASC3 2070 4 100 Free 100 Free TBC Bishop St 2070 ASC3 2070 4 80 65 80 Free TBC Highland St 2070 ASC3/2070 6 80 65 80 Free TBC Wilshire St 2070 ASC3 2070 4 80 65 80 Free TBC Alton Bike Trail 2070 ASC3 2070 3 Free Free Free Free TBC Alton Ave 2070 ASC3 2070 6 Free Free Free Free TBC 20. Central Business District Downtown Signals 2070 ASC3 2070 90 90 90 Free TBC 21. Broadway Memory Ln 2070 ASC3 2070 8 Free Free Free Free TBC 1-5 NB Off Ramp 2070 ASC3 2070 2 Free Free Free Free TBC Santa Clara Ave 2070 ASC3 2070 5 90 Free 90 Free TBC Buffalo Ave 2070 ASC3 2070 5 90 Free 90 Free TBC 15th St 2070 ASC3 2070 4 65 65 65 65 TBC Washington Ave 2070 ASC3 2070 4 90 90 90 90 TBC 12St 2070 ASC3 2070 4 90 90 90 90 TBC Sth St 2070 ASC3 2070 4 90 90 90 90 TBC 4th St 2070 I ASC3 2070 4 90 90 90 90 TBC 55B-24 TRAFFIC SIGNAL SYNCHRONIZATION LIST Arterials Intersection Controller Firmware Phase— AM —F MD Length PM WKND Sync 3rd St 2070 ASC3 2070 4 90 90 90 90 TBC 22. Standard Ave Chestnut Ave 2070 ASC3 2070 6 Free Free Free Free TBC Hobart St 2070 ASC3/2070 4 Free Free Free Free TBC St. Gertrude PI 2070 ASC3/2070 4 Free Free Free Free TBC Central System Telvent's MIST Notes: Santa Ana maintains and operates all traffic signal unless noted otherwise Fountain Valley maintains, SA operates TBC: Time based coordination 55B-25 Appendix 2 Three -Year Capital, Operation & Maintenance Budget 55B-26 3 YEAR OUT LOOK TRAFFIC SIGNAL SYNCHRONIZATION Funding Needs For Synchronized Operations (Constrained) Reporting Jurisdiction Expenditures: City of Santa Ana Type of Traffic Signal Synchronization Expenditures in Year of Expenditure Dollars MAINTENANCE PROJECT FY17/18 FY18/19 FY19/20 TOTAL Traffic Signals Maintenance $560,000 $560,000 $560,000 $1,680,000 Communication Maintenance $50,000 $50,000 $50,000 $150,000 Traffic Signal Utility $195,000 $195,000 $195,000 $585,000 Traffic Signal System Maintenance $70,000 70,000 70,000 f210,000 Subtotal Maintenance $875,000 $875,000 $875,000 $2,625,000 CONSTRUCTION PROJECT FY17/18 FY18/19 FY19/20 TOTAL Traffic Signal Equipment Replacement $100,000 $100,000 $100,000 $300,000 Vehicle Head Upgrade $500,000 Harbor Blvd TSSP maintenance $500,000 New LT Phasing $500,000 $500,000 $1,000,000 17th St TSSP Comm & signal upgrade $900,000 $900,000 Fairview St TSSP Comm & signal upgrade $1,000,000 $28,800 $1,000,000 Bear St TSSP Comm & signal upgrade 1 $180,0001 $180,000 $20,400 $40,800 Bear St TSSP maintenance $0 $3,6001 $3,600 $0 $0 Subtotal Construction $3,000,000 $780,000 $100,000 $3,880,000 OPERATIONS PROJECT FY17/18 FY18/19 FY19/20 TOTAL Grand Ave TSSP maintenance $36,000 $36,000 $72,000 Harbor Blvd TSSP maintenance $11,400 $11,400 $22,800 Bristol St TSSP maintenance $26,400 $26,400 $52,800 Westminster Ave/17th St TSSP maintenance $28,800 $28,800 $57,600 Fairview St TSSP maintenance $20,400 $20,400 $40,800 Bear St TSSP maintenance $3,6001 $3,600 $0 $0 $0 $0 $0 Subtotal Operationsl $73,8001 $123,000 $52,800 $249,600 TOTALI $3,948,8001 $1,778,0001 $1,027,8001 $6,754,600 55B-27 3 YEAR OUT LOOK TRAFFIC SIGNAL SYNCHRONIZATION Funding Needs For Synchronized Operations (Unconstrained) Reporting Jurisdiction Expenditures: City of Santa Ana Type of Traffic Signal Synchronization Expenditures in Year of Expenditure Dollars MAINTENANCE PROJECT FY17/18 FY18/19 FY19/20 TOTAL Traffic Signals Maintenance $560,000 $560,000 $560,000 $1,680,000 Communication Maintenance $50,000 $55,000 $55,000 $160,000 Traffic Signal Utility $205,000 $205,000 $205,000 $615,000 Traffic Signal System Maintenance 70,000 $80,000 $90,000 240,000 Subtotal Maintenance $885,000 900,000 910,000 2,695,000 CONSTRUCTION PROJECT FY17/18 FY18/19 FY19/20 TOTAL Traffic Signal Equipment Replacement $200,000 $200,000 $200,000 $600,000 Traffic Management Center Relocation $2,500,000 $2,500,000 CCN Upgrade (Analog to IP) $100,000 $100,000 $180,000 $380,000 Main St Conduit & Comm $250,000 $250,000 Segerstrom Ave/Dyer Rd Conduit & Comm $250,000 $250,000 Fairview St Conduit & Comm $520,000 $260,0001 $780,000 Warner Ave Conduit & Comm $260,000 $350,0001 $610,000 MacArthur Blvd Conduit & Comm $250,0001 $250,000 McFadden Ave Conduit & Comm $900,000 $900,000 Edinger Ave Conduit & Comm $520,000 $520,000 CBD Controllers upgrade $75,000 $75,000 System Detections -various locations 50,000 $50,000 $50,000 $150,000 Subtotal Construction 1 5350,00011,705,000 5,210,000 7,265,000 OPERATIONS PROJECT FY17/18 FY18/19 FY19/20 TOTAL Citywide Traffic Signal Synchronization $1,120,000 $1,120,000 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 Subtotal Operationsl $0 $0 $1,120,0001 $1,120,000 TOTALI $1,235,0001 $2,605,0001 $7,240,000 $11,080,000 55B-28 LSSP IMPLEMENTATION CANDIDATE SIGNAL SYNCHRONIZATION PROJECTS WITH ESTIMATED COSTS Reporting Jurisdiction Expenditures: City of Santa Ana CORRIDOR IMROVEMENT SUMMARY ESTIMATED COSTS Main St Upgrade timing, controllers, CCN, cabinets, system detection, communication, travel time system and TMC improvements $1,000,000 Segerstrom Ave/Dyer Rd Upgrade timing, controllers, CCN, cabinets, system detection, communication, travel time system and TMC improvements $1,000,000 TOTAL ESTIMATED COSTS 55B-29 $2,000,000 55B-30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: RESOLUTION RELATED TO THE FINANCING OF EQUIPMENT, INSTALLATION AND PARTNERSHIP COSTS FOR THE 800 MHZ COMMUNICATIONS SYSTEM PROJECT (STRATEGIC PLAN NO. 1, 2) CITY ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2"" Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution authorizing the City Manager and Clerk of the Council to execute an eight-year agreement with Holman Capital Corporation (Holman), for the period of June 15, 2017 through June 15, 2025, for an amount not to exceed $1,652,015.04 for the purpose of financing the Orange County 800 MHz project Partnership Costs for fiscal year 2017-18 and contract contingency, and execute any assurances and/or documents required for said agreement , subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION In 1995, Orange County City Managers and Orange County Agencies formed a Joint Powers Authority to collectively implement the current 800 MHz Countywide Coordinated Communications System (CCCS) that is being used by County and City Law Enforcement and Public Works agencies along with the Fire Services. A Joint Agreement to determine the operations, maintenance and financial management of the CCCS was executed in November 2001, and subsequently the County of Orange (County) completed the 800 MHz CCCS implementation on behalf of these Orange County agencies. The 800 MHz communications system allows all police, fire, public works, and marine safety agencies in Orange County to share a common radio system, yet provides agencies with their own dispatch and tactical channels. The unique capability of 800 MHz interoperable communications system provides communications amongst the various County and municipal disciplines during major mutual aid incidents. The sixteen year-old backbone infrastructure, along with agency owned equipment and dispatch consoles has reached its end of life, and a systematic replacement of obsolete equipment will continue over the next two fiscal years. 9 55C-1 Resolution Related to 800 MHz System Partnership Costs June 6, 2017 Page 2 On May 5, 2015, the City Council approved an agreement amendment with the County of Orange for the operation, maintenance and financial management of the 800 MHz system, renewing our commitment to the system. In addition, Council approved a lease -purchase agreement with Motorola to fund necessary radio equipment upgrades. Partnership Costs Partnership costs, allocated by the total number of radios in each agency's inventory as provided to the County, are distributed to all law, fire, public works and lifeguard agencies that utilize the 800 MHz system. The 800 MHz radio infrastructure equipment that is at or near its end of life is being replaced with a newer version. Specifically, 565+ Quantar radio base stations countywide will be replaced with new GTR8000 models that comply with the "Next Generation" radio system. In addition, ancillary equipment at 25 radio sites are being replaced during fiscal year 2016-17. The City's costs (Partnership Costs), for participating in the Next Generation systems, payable over the following three fiscal years are as follows: FY 2015-16 - $227,713; FY 2016-17 - $613,451; and FY 2017-18 - $1,411,978, totaling $2,253,142. The previous agreement with Holman Capital provided the funding necessary to fulfill the City's commitment for the first two years of the 800 MHz backbone upgrade costs (FY 2015-16 and FY 2016-17). Third -year (FY 2017-18) Partnership Costs in the amount of $1,411,978 (gross amount before contract contingency) will be funded as part of this proposed financing agreement. This was done separately in order to minimize long term interest expenses and for the County of Orange to properly determine the final project cost amount allocable to the City of Santa Ana Financing of Project The 800 MHz project consists of equipment and non -equipment items. Equipment related items include base station radios, antennas, software, and servers. Non -equipment items consist of system backbone Partnership Share costs, installation and programing for the above -referenced equipment. Recommendation is made for the City to enter into a finance agreement with Holman Capital, for an amount not to exceed $1,652,015.04 (principal and interest costs) for an eight- year term, for the purpose of financing the costs of the project noted on Table A below. Holman has agreed to delay the first payment until August 13, 2017. Payments for this eight-year agreement will be spread over eight years, $206,501.88 per year ($51,625.47 — quarterly), for a total of $1,652,015.04. 55C-2 Resolution Related to 800 MHz System Partnership Costs June 6, 2017 Page 3 TABLE A Fiscal Year Principal Interest Total (P&I) FY 2017-18 Partnership Costs 1,411,978 183,513.72 1,595,491.72 Contingencies 45,022 5,851.48 50,873.48 HCC Documentation Fee 5,000 649.84 5,649.84 1,462,000 190, 015.04 1, 652, 015.04 Proposals related to the costs were requested from Holman and the County of Orange. The County advised it was unable to provide the City an option to fund non -equipment components of the project. Analysis of Holman's proposal disclosed a flexible and cost-effective option, specifically the first debt service payment would not be due until August 2017 and quarterly payments will become due thereafter. The eight-year proposal will be in line with projected payoff of the previous financing agreement with Holman for the FY 2015-16 and FY 2016-17 costs. Holman Capital Corporation (HCC) specializes in originating, underwriting, documenting and funding tax-exempt and taxable debt solutions issued by the state & local governments, universities, and health systems. They specialize in funding essential purpose equipment, real property, infrastructure, and technology needs. HCC manages the process from inception to close to provide public agencies with ideas and capital to fund their acquisitions quickly and efficiently. HCC partners with local community banks to create jobs, enhance economic stability and develop financial solutions for municipalities. As part of its due diligence, HCC solicits local community banks (based in the State of California) to determine the best possible financing solution for the City. HCC discusses the proposed project with various financial institutions allowing HCC to obtain the most favorable terms, specifically interest rate, borrowing term and flexibility in meeting the City's payment schedule. As a result of the due diligence effort from HCC, the City was presented with the financing plan denoted in Exhibit X. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1, Community Safety; Objective #2 (Broaden communications, information sharing and community awareness of public safety activities). 55C-3 Resolution Related to 800 MHz System Partnership Costs June 6, 2017 Page 4 FISCAL IMPACT Total agreement amount is $1,652,015.04. Funds for the balance of the lease beginning in fiscal - year 2017-18 thru fiscal year 2025-26, in the amount of $206,501.88 (annual payment which represents four quarterly payments totaling $51,625.47 each) will be budgeted on an annual and allocated basis in the Police Department Com unications contract services account (no. 01114465-62300). " a4 Jardes Schnabl Acting Chief of Police Santa Ana Police Department AS TO FUNDS AND ACCOUNTS: Executive Director Finance and Management Services Agency Exhibit 1 Resolution 2. Agreement with Holman Capital Corp. 55C-4 TB/05/24/17 RESOLUTION NO. 2017 -XXX RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER OR EXECUTIVE DIRECTOR OF FINANCE TO ENTER INTO AN EIGHT YEAR FINANCING AGREEMENT WITH HOLMAN CAPITAL CORPORATION FOR FUNDING OF THE CITY'S PORTION OF ITS PARTNERSHIP COSTS FOR FY 2017-18 OF THE 800 MHZ COUNTYWIDE COORDINATED COMMUNICATIONS SYSTEM BACKBONE UPGRADE FOR P25 COMPLIANCE, EXECUTE AN ESCROW AGREEMENT, AND ANY ASSURANCES AND/OR DOCUMENTS REQUIRED FOR SAID AGREEMENT 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. In 1995, a Joint Powers Authority was formed in Orange County to collectively implement the 800 MHz Countywide Coordinated Communications System. B. In November 2001, the City of Santa Ana joined the 800 MHz Countywide Coordinated Communications System. The system allows all member agencies in Orange County to transmit on multiple radio channels simultaneously during routine daily activities and provides both tactical and dispatch channels; as well as the ability to monitor and speak with all member agencies in the County via a County -wide frequency (Red Channel). C. The member cities' equipment and the system backbone have reached the end of their useful life. In addition, the FCC is requiring users to upgrade to a P25 compliant system. As a result, the 800 MHz Countywide Coordinated Communications System is undergoing a comprehensive upgrade of the system and equipment to modernize the system and to operate a system which will be P25 compliant. D. The upgrade of the system and equipment will be completed by the member agencies, including the City of Santa Ana, by the end of fiscal year 2018. Exhibit 1 Resolution No. 2017 -XXX Page 1 of 4 55C-5 E. The City of Santa Ana, in conjunction with the other member agencies of the 800 MHz Countywide Coordinated Communication System, has determined that there is a true and real need for the upgrade of the system backbone so that the City of Santa Ana can operate a P25 compliant 800 MHz system and have the capability to monitor and talk with all other agencies in the County should there be a natural disaster, terrorist event, or need for mutual aid. F. The City of Santa Ana's share of the backbone and/or system upgrade and cost for purchase of P25 compliant equipment was estimated by the County of Orange (lead agency for the joint powers agreement) to be $8,055,506.00 over the three year fiscal period for 2015-16, 2016-17 and 2017-18. This amount also includes contingencies, document fees and interest. G. Partnership costs, allocated by the total number of radios in each agency's inventory as provided to the County, are distributed to all law enforcement, fire, public works and lifeguard agencies that utilize the 800 MHz system. The 800 MHz radio infrastructure equipment that is at or near its end of life will be replaced with a newer version. Specifically, 565+ Quantar radio base stations countywide will be replaced with new GTR8000 models that comply with the "Next Generation" radio system. The replacement of ancillary equipment at 25 radio sites began in FY 2016-17 and will continue into FY 2017- 18. H. The City adopted Resolution 2015-022, authorizing the ten year financing agreement with Holman Capital on May 19, 2015. The terms of the financing agreement with Holman Capital Corporation provided the funding necessary to fulfill the City's commitment for the first two fiscal years of the 800 MHz backbone upgrade costs, along with the programming, installation and contract contingency at an amount not to exceed $1,125,086 (principal and interest costs). The City's costs (Partnership Costs), for participating in the Next Generation systems, for the third year fiscal period is as follows: FY 2017-18 - $1,652,015.04. The financing agreement with Holman Capital Corporation will provide the funding necessary to fulfill the City's commitment for the 800 MHz backbone upgrade costs, along with the programming and contract contingency (principal and interest costs). Resolution No. 2017 -XXX Page 2 of 4 55C-6 J. The City of Santa Ana has determined that the financing agreement with Holman Capital Corporation for the City's portion or partnership costs of the 800 MHz Countywide Coordinated Communication System backbone (i.e. "Next Generation" radio system) upgrade is in the best interest of the City of Santa Ana. Section 2. NOW THEREFORE, BE IT RESOLVED AND ORDERED that the City Council of the City of Santa Ana does hereby authorize the City Manager or Executive Director of Finance to enter into an eight year financing agreement with Holman Capital Corporation for the City's portion of the 800 MHz Countywide Coordinated Communication System backbone system upgrade along with the programming, installation and contract contingency; enter into an escrow agreement with Holman Capital Corporation as part of the financing agreement through Santa Cruz County Bank, and execute any documents and/or make any assurances that are necessary for the execution of the agreements. Section 3. If any surcharge or fee, section, subsection, sentence, clause, phrase or word of this Resolution is for any reason held to be invalid by a court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Resolution. The City Council hereby declares that it would have passed and adopted this Resolution, and each and all provisions hereof, irrespective of the fact that one or more provisions may be declared invalid. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of June, 2017. APPROVED AS TO FORM: SONIA R. CF Qtity Attorney Assistant City Miguel A. Pulido Mayor 55C-7 Resolution No. 2017 -XXX Page 3 of 4 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2017 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on June 2017. Date: Resolution No. 2017 -XXX Page 4 of 4 Clerk of the Council City of Santa Ana 55C-8 INDEX TO LEGAL DOCUMENTS NON -BANK -QUALIFIED, APPROPRIATION -BASED, ESCROW FUNDED TAX-EXEMPT EQUIPMENT LEASE -PURCHASE -AGREEMENT -- - - - - - DATED JUNE 15, 2017 BY AND BETWEEN HOLMAN CAPITAL CORPORATION And CITY OF SANTA ANA Lease Documents: Tab 1: Equipment Lease -Purchase Agreement; Tab 2: ExhibitA-Equipment Schedule; Tab 3: Exhibit B -Notice and Acknowledgment of Assignment; Tab 4: Exhibit C-1- Insurance Coverage Request; Tab 5: Exhibit C-2 - Self -Insurance Rider (if applicable); Tab 6: Exhibit D - Essential Use Certificate; Tab 7: Exhibit E - Incumbency Certificate; Tab 8: Exhibit F - Opinion of Lessee's Counsel; Tab 9: Exhibit G - Intentionally Omitted; Tab 10: Exhibit H - Post Issuance Tax Compliance Procedures Tab 11: Exhibit I - Escrow Agreement Tab 12: Resolution of Lessee; Tab 13: UCC -1 Financing Statement with attached Schedule A (prepared and filed by Investor); Tab 14: Form 8038-G; Tab 15: Closing Memorandum/Payment Proceeds Direction; and Tab 16: Equipment Acquisition Contract Assignment Documents (Lessor and Investor Only): Tab 17: Assignment Agreement with Schedule A thereto. Holman Capital Exhibit 2 HOLMAN CAPITAL CORPORATION EQUIPMENT LEASE -PURCHASE AGREEMENT 1. Agreement. Subject to the terms and conditions contained in this Equipment Lease -Purchase Agreement dated June 15, 2017 (this "Lease Agreement"), HOLMAN CAPITAL CORPORATION, as lessor ("Lessor"), whose mailing address is 25201 Paseo de Alicia, Suite 290, Laguna Hills, CA 92653, hereby purchases from and agrees to sell, transfer and lease back to the CITY OF SANTA ANA, as lessee ("Lessee"), whose mailing address is 20 Civic Center Plaza, Santa Ana, CA 92702, and Lessee hereby sells to and agrees to acquire, purchase and lease back from Lessor, the items of personal property (together with any replacement parts, additions, substitutions, repairs or accessories now or hereafter incorporated in or affixed to it, hereinafter referred to collectively as the "Equipment") described in Exhibit A attached hereto. 2. Term. The tern of this Lease Agreement (the "Lease Term") begins as of the Commencement Date stated in Exhibit A and shall continue so long as any amounts remain unpaid hereunder. The Lease Term will terminate upon the first to occur of: (a) the exercise by Lessee of the option to purchase the Equipment pursuant to Paragraph 10, (b) Lessor's election to terminate this Lease Agreement pursuant to Paragraph 16, (c) Lessee's option to terminate this Lease Agreement pursuant to the second paragraph of Section 3, and (d) the payment by Lessee of all sums required to be paid by Lessee hereunder. 2.5. Escrow Agreement. On the Commencement Date, Lessor and Lessee shall enter into an escrow agreement (an "Escrow Agreement") dated the Commencement Date, between Lessor, Lessee, and Santa Cruz County Bank, as escrow agent, relating to the escrow fund (an "Escrow Fund") created thereunder. On the Commencement Date, Lessor shall deposit: $1,462,000.00 into the Escrow Fund to be held in escrow and applied upon the express terms and conditions of the Escrow Agreement; for the acquisition of the Equipment ($1,457,000.00) and for the payment of issuance costs ($5,000.00), which shall be disbursed as provided for in the Closing Memorandum of even date herewith. 3. Rental Payments. Lessee agrees to pay the rental payments hereunder for the Lease Term in the amounts and on the dates identified in Exhibit A. Payment of all rental payments and other amounts payable hereunder shall be made to Lessor at its above -stated address or as it shall otherwise designate in writing. As set forth in Exhibit A, a portion of each rental payment is paid as, and represents payment of, interest, and the balance of each rental payment is paid as, and represents payment of, principal. Notwithstanding any provision to the contrary in this Lease Agreement, Lessee may terminate this Lease Agreement at the end of any fiscal year of Lessee as identified in Exhibit A (a "Fiscal Year") if sufficient funds are not appropriated by Lessee's Governing Body to pay rental payments and other amounts due hereunder during the next succeeding Fiscal Year (an "Event of Nonappropriation"). Lessee hereby agrees to notify Lessor at least 30 days prior to the last day of its then current Fiscal Year of the occurrence of an Event of Nonappropriation or, if nonappropriation has not occurred by that date, promptly upon the occurrence of an Event of Nonappropriation. Lessee represents and warrants that: (a) it has made sufficient appropriations or has other legally available funds to pay all rental payments hereunder due (if any) during the current Fiscal Year hereunder ending on June 30, 2016; (b) the officer of Lessee responsible for budget preparation will do all things lawfully within his/her power to obtain appropriated funds for the payment of rental payments and other amounts required to be paid hereunder in each next succeeding Fiscal Year for the Lease Term with the understanding that any such appropriation is within the sole discretion of the Lessee's Governing Body; and (c) Lessee acknowledges that Lessor has relied upon these representations as an inducement to enter into this Lease Agreement. If an Event of Nonappropriation hereunder shall occur, Lessee agrees to comply City of Santa Ana / Holman Capital Corpomtion Equipment Lease-Pumbase Agreement 55C-10 Page 1 of l I June 15,2017 with the provisions of Section 16(c) and (d), if and as applicable, on or before the effective date of termination. Lessee's obligation to pay rental payments and any additional amounts payable hereunder constitutes a current obligation payable exclusively from legally available funds and shall not be construed to be an indebtedness within the meaning of any applicable constitutional or statutory limitation or requirement. 4. Essentiality. Subject to Paragraph 3 of this Lease Agreement, Lessee's present intention is to make rental payments for the Lease Term as long as it has sufficient appropriations or, if any/applicable, other legally available funds. Lessee represents that, with respect hereto, (a) the use and operation of the Equipment is essential to its proper, efficient, and economic governmental operation and (b) the functions performed by the Equipment could not be transferred to other equipment available for its use. Lessee does not intend to sell or otherwise dispose of the Equipment or any interest therein prior to the last rental payment scheduled to be paid hereunder. On the Commencement Date, Lessee shall complete and provide Lessor a certificate in the form of Exhibit D. 5. Disclaimer of Warranties. LESSEE REPRESENTS THAT IT HAS SELECTED THE EQUIPMENT PRIOR TO HAVING REQUESTED LESSOR TO FINANCE THE SAME. LESSEE AGREES THAT LESSOR HAS NOT MADE ANY, AND MAKES NO, REPRESENTATIONS OR WARRANTIES OF ANY KIND OR NATURE, DIRECTLY OR INDIRECTLY, EXPRESS OR IMPLIED, AS TO ANY MATTER WHATSOEVER, INCLUDING (WITHOUT LIMITATION) THE SUITABILITY OF THE EQUIPMENT, ITS DURABILITY, ITS FITNESS FOR ANY PARTICULAR PURPOSE, ITS MERCHANTABILITY, ITS CONDITION, ITS CAPACITY, ITS OPERATION, ITS PERFORMANCE, ITS DESIGN, ITS MATERIALS, ITS WORKMANSHIP AND/OR ITS QUALITY. AS BETWEEN LESSEE AND LESSOR, LESSEE LEASES, PURCHASES AND ACQUIRES THE EQUIPMENT "AS IS" "WHERE IS" AND "WITH ALL FAULTS." Lessor hereby assigns to Lessee, to the extent that it may lawfully do so, so long as no Event of Default and no Event of Nonappropriation shall have occurred and be continuing hereunder, all rights and benefits that Lessor may have under any warranty, guaranty or the like that may be made with respect to the Equipment by the Contractor thereof (as such term is defined in Exhibit A hereto). Lessor shall not be liable to Lessee or any third party for any loss, damage, injury or expense of any kind or nature caused directly or indirectly by any of the Equipment or the use or maintenance thereof or any defect therein, the failure of operation thereof or by any interruption of service or loss of use thereof or for any loss of business or damage whatsoever and howsoever caused. Lessor makes no warranty as to the treatment of this Lease Agreement for tax or accounting purposes or as to the compliance of the Equipment with applicable government regulations or requirements. Lessee agrees to look solely to the Contractor for any claim arising from any defect, breach of warranty, failure or delay in delivery, mis-delivery or inability to use the Equipment for any reason whatsoever and Lessee's obligations to Lessor hereunder shall not in any manner be affected thereby, including (without limitation) Lessee's obligations to pay Lessor all rental payments and other amounts payable hereunder. Lessee (or the County or 911 System Upgrade Committee of which it is a part) has selected both the Equipment and the Contractor and acknowledges that Lessor has not participated in any way in Lessee's selection of the Equipment or the Contractor. Lessor has no obligation to install, erect, test, adjust, service or maintain the Equipment. 6. Delivery and Acceptance; Quiet Enjoyment. Lessee, or its assignee, shall accept the Equipment for which disbursement is requested from the Escrow Fund upon its delivery and authorizes Lessor to insert on Exhibit A any additional description of the items of Equipment so delivered. As evidence of that acceptance, Lessee shall execute and deliver to Lessor a Certificate of Acceptance in the form attached as Exhibit A to the Escrow Agreement. Regardless of whether Lessee has famished a Certificate of Acceptance pursuant to this Paragraph 6, by making a rental payment after its receipt of the City of Santa Ana/ Hohnan Capital Corporation Equipment Lease -Purchase Agreement 55C-11 Paget of 11 June 15, 2017 Equipment, Lessee shall be deemed to have accepted the Equipment on the date of such rental payment for purposes hereof. During the Lease Tenn, Lessee shall be entitled to quiet enjoyment of the beneficial use of said Equipment, subject to the terns of this Lease Agreement. Lessor hereby acknowledges and consents to the assignment of the Lessee's interest in the Equipment to the County of Orange (the "County" or "Designated Assignee"). Lessor expressly acknowledges that the Designated Assignee shall own and operate the Equipment for the collectively beneficial use of participating agencies, including the Lessee as set forth in the Joint Agreement for Operation, Maintenance, and Financial Management of the 800 MHz Countywide Coordinated Communication System dated November 2004 and all amendments thereto between the County and participating agencies (the "Management Agreement"). Lessor acknowledges that Lessee is solely responsible for the payment of its pro -rata share of the System for use of the Management Agreement. 7. Use of Equipment; Maintenance and Repairs. Lessee shall keep the Equipment within the State at the "Equipment Location" stated in Exhibit A and Lessee shall not remove any of the Equipment therefrom (except as within the Equipment's normal and contemplated use) without Lessor's prior written notice. Lessee, or the Designated Assignee, shall use the Equipment in a careful manner and shall at all times, pursuant to the terms of the Management Agreement with the County of Orange and member agencies, keep the Equipment in good operating condition, repair and appearance and comply with all laws, ordinances, regulations or requirements of any governmental authority, official, board or department relating to its installation, possession, use or maintenance. Lessee, or the Designated Assignee, shall not make any alterations, additions, or improvements to the Equipment that are not readily removable without causing damage to or reducing the value of the Equipment. All alterations, additions, or improvements not readily removable shall become property of Lessor. Notwithstanding the foregoing, Lessor acknowledges and agrees that the Equipment is the Lessee's pro rata share or portion of a county -wide System (as defined in Exhibit A) upgrade. As such, the parties understand and agree that Lessee's obligations to repair, upgrade, and make any modifications or alterations to the Equipment shall: (1) be solely with respect to the Equipment (i.e. its pro rata Cost Share (as defined in Exhibit A) thereof), and (2) not be required to the extent that either the entire county -wide system is not modified, or such modifications may interfere with the rights of other participants in the System. 8. Security Interest; Title to Equipment. To secure the performance of all of Lessee's obligations hereunder, Lessee hereby grants to Lessor, and Lessor shall have and retain, a security interest on the beneficial use of the Equipment delivered hereunder and on any attachments, proceeds therefrom. Lessee agrees to execute and deliver such additional documents, including, without limitation, opinions of counsel, financing statements, notices and similar instruments, in form satisfactory to Lessor, that Lessor deems necessary or appropriate to establish and maintain its security interest in the Equipment or for the confirmation of Lessor's rights hereunder. As further security therefor, Lessee hereby grants to Lessor a fust priority security interest in the cash and negotiable instruments from time to time in the Escrow Fund and all proceeds (cash and non-cash) thereof, and agrees with respect thereto that Lessor shall have all the rights and remedies of a secured party under the applicable Uniform Commercial Code. Lessee, at its expense, will protect and defend Lessee's rights in the Equipment and Lessor's rights and interests therein and will keep the Equipment free and clear from any and all claims, liens, encumbrances and legal processes of Lessee's creditors and other persons; provided, however, that Lessee shall not be responsible for liens or encumbrances permitted by other participants or users of the System. Lessor shall have the right during normal hours, upon reasonable prior notice to Lessee, to enter upon any premises owned by the Lessee and where the Equipment is located in order to inspect the Equipment. (b) Solely with respect to Equipment that is not comprised of vehicles and during the Lease Term, ownership and legal title of all of the Equipment and all substitutions, repairs, modifications, and replacements shall be in the Designated Assignee, and Lessee shall request the Designated Assignee to take all necessary action to vest such ownership and title in Lessee. Lessor does not own the Equipment, and, City of Santa Ana / Holman Capital Corporation Equipment (.case -Purchase Agreement 55C-12 Page 3 of I I June 15, 2017 by this Lease Agreement, Lessor is merely financing the acquisition of the Equipment for the Lessee. Lessor has not been in the chain of title, does not operate, control or have possession or control over the Equipment, or Lessee's, or the Designated Assignee's use, maintenance, operation, storage, or maintenance of the Equipment. Lessee is entitled to use and possession of the Equipment, subject to the rights of Lessor hereunder (including its interest in the Equipment as the lessor hereunder). If Lessor terminates this Lease Agreement pursuant to Paragraph 16 hereof or an Event of Nonappropriation occurs hereunder, Section 16(c) of this Lease Agreement shall be applicable. Lessee, at its expense, will protect and defend Lessee's rights in the Equipment and Lessor's rights and interests therein and will keep the Equipment free and clear from any and all claims, liens, encumbrances and legal processes of Lessee's creditors and other persons; provided, however, Lessee shall not be responsible for claims, liens or encumbrances pemritted by other participants or users of the Equipment. (c) As further security therefor, Lessee hereby agrees with respect thereto that Lessor shall have all the rights and remedies of a secured party under the applicable Uniform Commercial Code with respect to any and all Equipment hereunder, except that Lessor will not have the right to dispossess other users and participants in the System or otherwise interfere with the operation of the System. 9. Personal Property. The Equipment shall be and remain personal property notwithstanding the manner in which it may be attached or affixed to realty. Lessee covenants that, unless Lessee owns the premises in which the Equipment is to be located and such premises are not subject to any mortgage or lease. At Lessor's request, Lessee shall provide Lessor with a waiver from each landlord and/or mortgagee of the premises in which the Equipment is to be located of which Lessee has control thereof of any rights that such landlord and/or mortgagee may have in respect of any of the Equipment. Lessee will also provide any information as may be reasonably requested by Lessor with respect to any fixture filings that Lessor may deem necessary. 10. Purchase of Equipment by Lessee; Prepayment. At the option of Lessee, and provided that no Event of Default has occurred and is continuing hereunder, Lessor's interest in all, but not less than all, of the Equipment will be transferred, conveyed and assigned to Lessee, and this Lease Agreement shall terminate: (a) upon payment in full of the rental payments and all other payments then due hereunder or (b) on any rental payment date hereunder, provided Lessee shall have delivered written notice at least 30 days prior to such date of Lessee's intention to purchase the Equipment pursuant to this provision, by paying to Lessor, in addition to the rental payment due on such date, an amount equal to the concluding payment (the "Concluding Payment") shown for such rental payment date in the rental payment schedule in Exhibit A. Lessee shall not have the option to purchase the Equipment hereunder as provided in the foregoing clause (b) on any rental payment date hereunder for which a Concluding Payment is not stated in the rental payment schedule. 11. Risk of Loss. Lessee shall bear the entire risk of loss, theft, destruction of or damage to the Equipment or any part thereof from any cause whatsoever during the Lease Term and thereafter until redelivery to a location designated by Lessor, and shall not be relieved of the obligation to pay rental payments or any other obligation hereunder because of any such occurrence. If (a) the Equipment or any portion thereof hereunder is destroyed (in whole or in part) or is damaged by fire or other casualty or (b) title to, or the temporary use of, the Equipment or any part thereof hereunder is taken under the exercise of the power of eminent domain, Lessee shall immediately notify Lessor. Lessee and Lessor shall cause the net proceeds of any insurance claim (including self-insurance) to which Lessee in entitled to or condemnation award which Lessee receives to be applied, at Lessor's option, to (i) the prompt repair, restoration, modification or replacement of the Equipment so affected or (ii) the payment in full of the then applicable Concluding Payment. Any balance of net proceeds remaining after completion of such work or payment of such Concluding Payment shall be paid promptly to Lessee. If the net proceeds are insufficient to pay the costs of such repair; restoration, modification or replacement or to pay such Concluding Payment in City of Santa Ana / Holman Capital Corporation Equipment Lease -Purchase Agreement 55C-13 Page 4 of I 1 June 15, 2017 full, Lessee shall, at Lessor's direction, either complete the work or pay the then applicable Concluding Payment in full and in either case pay any cost in excess of the amount of net proceeds, but only from legally available funds. 12. Insurance. Lessee is self-insured up to $1,000,000 with respect to equipment such as the Equipment under an actuarially sound self-insurance program that is acceptable to and approved by Lessor, Lessee shall maintain during the Lease Term such actuarially sound self-insurance program and shall provide Lessor a certification in the form of Exhibit C-2 together with evidence of the self-insurance program in form and substance satisfactory to Lessor. 13. Fees; Taxes and Other Governmental Charges; Liens. Lessee covenants and agrees at all times to keep the Equipment free and clear of all levies, liens (other than those created hereunder) and encumbrances, and to pay the Lessee's pro -rata share of charges, taxes and fees (including any recording or stamp fees or taxes) that may now or hereafter be imposed upon the ownership, leasing, rental, sale, purchase, possession or use of the Equipment and shall give Lessor immediate written notice of any of the foregoing. If any of same shall remain unpaid when due, Lessor may pay same and add such payment to the rental payment next becoming due, as additional rent. Lessee shall execute and deliver to Lessor upon Lessor's request such further instruments and documents containing such other assurances as Lessor deems necessary or advisable for the confirmation or perfection of Lessor's rights hereunder or to otherwise effectuate the intent of this Lease Agreement. 14. Indemnification. To the extent authorized by law, Lessee shall indemnify and save Lessor, its officers, employees, agents, servants, successors and assigns, harmless from any and all liabilities (including, without limitation, negligence, tort and strict liability), damages, expenses, claims, actions, proceedings, judgments, settlements, losses, liens and obligations, including (without limitation) attorneys' fees and costs ("Claims"), arising out of the ordering, purchase, delivery, rejection, non-delivery, ownership, selection, possession, operation, control, use, condition, maintenance, transportation, storage, repair, return or other disposition of the Equipment, any claims arising under federal, state or local environmental protection and hazardous substance clean up laws and regulations and any claims of patent, trademark or copyright infringement or, if Lessee shall be in default hereunder, arising out of the condition of any item of Equipment sold or disposed of after use by Lessee, including (without limitation) claims for injury to or death of persons and for damage to property. The indemnities, assumption of liabilities and obligations herein provided shall be payable solely from funds legally available for such purpose and shall continue in full force and effect notwithstanding the expiration, termination or cancellation of this Lease Agreement for any reason whatsoever. However, Lessee shall not be obligated to indemnify Lessor from Claims arising from the actual, proven, direct and proximate gross negligence or willful misconduct of Lessor. 15. Assignment; Subleasing. EXCEPT AS OTHERWISE AUTHORIZED HEREIN, LESSEE SHALL NOT ASSIGN, PLEDGE, MORTGAGE, SUBLET OR OTHERWISE TRANSFER OR ENCUMBER ANY OF ITS RIGHTS UNDER THIS LEASE AGREEMENT, THE ESCROW AGREEMENT (INCLUDING THE ESCROW FUND CREATED THEREUNDER) OR IN THE EQUIPMENT OR ANY PART THEREOF, NOR PERMIT ITS USE BY ANYONE OTHER THAN LESSEE AND ITS REGULAR EMPLOYEES, WITHOUT LESSOR'S PRIOR WRITTEN CONSENT. ANY SUCH PURPORTED TRANSFER, ASSIGNMENT OR OTHER ACTION WITHOUT LESSOR'S PRIOR WRITTEN CONSENT SHALL BE VOID. Lessor may, at any time and from time to time, assign, transfer or otherwise convey all or any part of its interest in the Equipment, this Lease Agreement, and the Escrow Agreement (including the Escrow Fund created thereunder), including, but not limited to, Lessor's rights to receive the rental payments hereunder or any part thereof (in which event Lessee agrees to make all rental payments thereafter to the City of Santa Ana! Holman Capital Corporation Equipment Lease -Purchase Agreement 55C-14 Page 5 of 11 June 15, 2017 assignee designated by Lessor) without the necessity of obtaining Lessee's consent, provided, however, Lessor will deliver to Lessee prior written notice of an assignment. No such assignment, transfer or conveyance shall be effective until Lessee shall have received a written notice of assignment that discloses the name and address of each such assignee. During the term of this Lease Agreement, Lessee shall keep, or cause to be kept, a complete and accurate record of all such assignments with respect hereto in form necessary to comply with Section 149 of the Internal Revenue Code of 1986, as amended (the "Code"). Lessee agrees (unless otherwise stated), if so requested, to acknowledge any such assignment in writing within 15 days after request therefor in the form attached as Exhibit B hereto. Lessee further agrees that any moneys or other property received by Lessor as a result of any such assignment, transfer or conveyance shall not inure to Lessee's benefit. 16. Events of Default; Remedies. (a) Each of the following events constitutes an "Event of Default" hereunder: (i) Lessee fails to pay in full the rental payment due hereunder on any date upon which such rental payment is due; (ii) Lessee fails to comply with any other agreement or covenant of Lessee hereunder for a period of 30 days following receipt of written notice of violation of such agreement or covenant and demand that such violation be remedied; (iii) Lessee institutes any proceedings under any bankruptcy, insolvency, reorganization or similar law or a receiver or similar officer is appointed for Lessee or any of its property; (iv) any warranty, representation or statement made in writing by or on behalf of Lessee in connection herewith is found to be incorrect or misleading in any material respect on the date made; (v) actual or attempted sale, lease or encumbrance of any of the Equipment or the making of any levy, seizure or attachment thereof or thereon; or (iv) Lessee defaults in its obligations under any other agreement for borrowing money, lease financing of property, or otherwise receiving credit and the obligee thereunder (or trustee on its behalf) is permitted to exercise any remedies under the agreement. (b) Immediately upon the occurrence of an Event of Default hereunder: (i) Lessor may demand payment of all rental payments and other amounts that may have been appropriated through the end of the then current Fiscal Year and terminate this Lease Agreement or Lessee's rights hereunder; and (ii) Upon return (if applicable as per Section 16(c) hereunder), if the Equipment is damaged or otherwise made less suitable for the purposes for which it was manufactured than when delivered to Lessee, Lessee agrees, at its option, to (x) repair and restore the Equipment to the same condition in which it was received by Lessee (reasonable wear and tear excepted) or (y) pay to Lessor the reasonable costs of such repair and restoration. (c) Following any Event of Default or Event of Nonappropriation hereunder, Lessor may request and require that Lessee refrain from using the Equipment, return the Equipment (but only that portion of the Equipment, if any, that is used solely by the Lessee and that would not affect the rights of other users and participants in the System), purge any software and programming from its operating systems and destroy any hard or electronic copies of such software and programming. Upon Lessor's request, Lessee will provide Lessor with reasonable certifications as to the foregoing. In the event that any such Equipment is returned to the Lessor, Lessee shall execute and deliver such documents as may reasonably be required to restore title to and possession of the Equipment to Lessor, free and clear of all liens and security interests arising by, through or under the Lessee to which the Equipment may have become subject. If Lessor is able to (i) recover any Equipment, (ii) sell or otherwise liquidate the Equipment (or any portion thereof) following an Event of Default or an Event of Nonappropriation, and (iii) realize net proceeds (after payment of costs) in excess of total rental payments that would have been paid during the Lease Term plus any other amounts then due hereunder, Lessor shall immediately pay the amount of any such excess to Lessee. (d) If Lessor terminates this Lease Agreement under this Paragraph 16 or an Event of Nonappropriation occurs hereunder and in either case Lessee continues to use the Equipment or if Lessee otherwise refuses to pay rental payments hereunder due during a Fiscal Year for which Lessee's governing body has appropriated sufficient legally available funds to pay such rental payments due hereunder, Lessor (i) may declare the rental payments due and owing for the Fiscal Year for which such appropriations have City of Santa Ana / Holman Capital Corporation Equipment Lease -Purchase Agreement 55C-15 Page 6 of 11 lune 15, 2017 been made to be immediately due and payable, (ii) shall be entitled to bring such action at law or in equity to recover money and other damages attributable to such holdover period for the Equipment, and (iii) will be entitled to recover interest on all such amounts at the Default Rate. (e) Lessor shall also be entitled to exercise any or all remedies available to a secured party under the applicable Uniform Commercial Code and all other rights and remedies that Lessor may have at law or in equity, except that Lessor may not recover any Equipment that would interfere with the rights of any other users or participants in the System, or involuntary dispossess any party other than the Lessee of its right to use the System. All rights and remedies of Lessor shall be cumulative and not alternative. Lessor's failure to exercise or delay in exercising any right or remedy shall not be construed as a waiver thereof, nor shall a waiver on one occasion be construed to bar the exercise of any right or remedy on a future occasion. Lessee agrees to reimburse Lessor for any expenses (including attorney's fees) reasonably incurred by Lessor with respect to the enforcement of any of the remedies listed above or any other remedy available to Lessor, but only from legally available funds. 17. Late Payments. Whenever any rental payment or other amount payable to Lessor by Lessee hereunder is not paid within ten (10) days after such due date, Lessee agrees to pay Lessor a late charge on the delinquent amount at the "Default Rate," which is one percent (1%) per month, or the maximum amount permitted under applicable law, whichever is less. Such amount(s) shall be payable solely from legally available funds in addition to all amounts payable by Lessee as a result of the exercise of any of the remedies herein provided. 18. Rental Payments to Be Unconditional. Except as expressly set forth to the contrary in this Lease Agreement (including Paragraph 3), Lessee agrees that as of the Commencement Date, Lessee's obligations hereunder are absolute and unconditional and shall continue without set-off, deduction, counterclaim, abatement, recoupment, or reduction and regardless of any disability of Lessee to use the Equipment or any part thereof because of any reason including, but not limited to, war, act of God, governmental regulations, strike, loss, damage, destruction, obsolescence, failure of or delay in delivery or failure of the Equipment to operate properly. 19. Tax Covenants. Lessee agrees that it will not take any action that would cause the interest component of rental payments hereunder to be or to become ineligible for the exclusion from gross income of the owner or owners thereof for federal income tax purposes, nor will it omit to take or cause to be taken, in a timely manner, any action which omission would cause the interest component of rental payments hereunder to be or to become ineligible for the exclusion from gross income of the owner or owners thereof for federal income tax purposes. Lessee agrees to (a) execute and deliver to Lessor, upon Lessor's request, a tax certificate and agreement in form and content acceptable to Lessor and Lessee, relating to the establishment and maintenance of the excludability from gross income of the interest component of rental payments hereunder for federal income tax purposes; (b) complete and file in a timely manner an information reporting return as required by the Code; and (c) rebate an amount equal to excess earnings on the Escrow Fund to the federal government if required by, and in accordance with, Section 148(f) of the Code, and make the determinations and maintain the records required by the Code. Lessee represents that neither Lessee nor any agency or unit of Lessee has on hand any property, including cash and securities, that is legally required or otherwise restricted (no matter where held or the source thereof) to be used directly or indirectly to purchase the Equipment. Lessee has not and will not establish any funds or accounts (no matter where held or the source thereof) the use of which is legally required or otherwise restricted to pay directly or indirectly rental payments hereunder. Lessor and Lessee certify that, so long as any rental payments hereunder remain unpaid, moneys on deposit in the Escrow Fund will not be used in a manner that will cause this Lease Agreement to be classified as an "arbitrage bond" within the meaning of Section 148(a) of the Code. City of Santa Ana / Holman Capital Corporation Equipment Lease -Purchase Agreement 55C-16 Page 7 of I I June 15, 2017 If Lessee breaches the covenants contained in this Paragraph 19, the interest component of rental payments hereunder may become includible in gross income of the owner or owners thereof for federal income tax purposes. In such event, Lessee agrees to pay promptly after any such determination of taxability and on each rental payment date thereafter to Lessor an additional amount determined by Lessor to compensate such owner or owners for the loss of such excludability (including without limitation, compensation relating to interest expense, penalties or additions to tax), which determination shall be conclusive (absent manifest error). It is Lessor's and Lessee's intention that this Lease Agreement not constitute a "true" lease for federal income tax purposes and, therefore, it is Lessor's and Lessee's intention that Lessee be considered the owner of the Equipment hereunder for federal income tax purposes. 20. Lessee Representations and Warranties. Lessee hereby represents and warrants to and agrees with Lessor that: (a) Lessee is a political subdivision of the State of California, within the meaning of Section 103(c) of the Code, and will do or cause to be done all things necessary to preserve and keep in full force and effect its existence as such. (b) Lessee has the power and authority under applicable law to enter into the transactions contemplated by this Lease Agreement and the Escrow Agreement and has been duly authorized to execute and deliver this Lease Agreement and the Escrow Agreement and to cavy out its obligations hereunder and thereunder. Lessee has provided to Lessor a full, true and correct copy of a resolution or other appropriate official action of Lessee's governing body specifically authorizing Lessee to execute and deliver this Lease Agreement and the Escrow Agreement and all documents contemplated hereby and thereby. Lessee has provided to Lessor a full, true, and correct copy of an Incumbency Certificate in substantially the form attached as Exhibit F hereto relating to the authority of the officers who have executed and delivered this Lease Agreement and who will execute and deliver this Lease Agreement and the Escrow Agreement and all documents in connection herewith and therewith on behalf of Lessee. (c) All requirements have been met and procedures have occurred in order to ensure the enforceability of this Lease Agreement and the Escrow Agreement, and Lessee has complied with such public bidding requirements, if any, as may be applicable to the transactions contemplated by this Lease Agreement and the Escrow Agreement. (d) Lessee is not subject to any legal or contractual limitation or provision of any nature whatsoever that in any way limits, restricts or prevents Lessee from entering into this Lease Agreement and the Escrow Agreement, or performing any of its obligations hereunder or thereunder, except to the extent that such performance may be limited by bankruptcy, insolvency, reorganization or other laws affecting creditors' rights generally. (e) There is no action, suit, proceeding, inquiry or investigation, at law or in equity, before or by any court, public board or body, known to be pending or threatened against or affecting Lessee, nor to the best knowledge of Lessee is there any basis therefor, wherein an unfavorable decision, ruling or finding would materially adversely affect the transactions contemplated by this Lease Agreement or the Escrow Agreement, or any other agreement or instrument to which Lessee is a party and that is used or contemplated for use in the consummation of the transactions contemplated by this Lease Agreement or the Escrow Agreement. All authorizations, consents, and approvals of governmental bodies or agencies required in connection with the execution and delivery by Lessee of this Lease Agreement and the Escrow Agreement or in connection with the carrying out by Lessee of its obligations hereunder and thereunder have been obtained. (f) The payment of the rental payments or any portion thereof hereunder is not (under the terms of this Lease Agreement) directly or indirectly (i) secured by any interest in property used or to be City of Santa Anal Holman Capital Corporation Equipment Lease -Purchase Agreement 55C-17 Page 8 of I 1 June 15, 2017 used in any activity carried on by any person other than a state or local governmental unit or payments in respect of such property; or (ii) on a present value basis, derived from payments (whether or not to Lessee) in respect of property, or borrowed money, used or to be used in any activity carried on by any person other than a state or local governmental unit. The Equipment will not be used, directly or indirectly, in any activity carried on by any person other than a state or local government unit. No portion of the purchase price for the Equipment will be used, directly or indirectly, to make or finance loans to any person other than Lessee. Lessee has not entered into any management or other service contract with respect to the use and operation of the Equipment as previously described. (g) The entering into and performance of this Lease Agreement and the Escrow Agreement will not violate any judgment, order, law or regulation applicable to Lessee or result in any breach of, or constitute a default under, or result in the creation of any lien, charge, security interest, or other encumbrance upon any assets of Lessee or on the Equipment pursuant to an indenture, mortgage, deed of trust, bank loan or credit agreement, or other instrument to which Lessee is a party or by which it or its assets may be bound, except as herein provided. (h) Lessee's name as indicated on the first page of this Lease Agreement is its true, correct, and complete legal name. (i) The useful life of the Equipment will not be less than the Lease Term hereof. 0) Lessee has entered into this Lease Agreement for the purpose of purchasing, acquiring, and leasing the Equipment and not for the purpose of refinancing any outstanding obligation of Lessee more than 90 days in advance of its payment or prepayment date. The purchase price for the Equipment has been or will be paid directly by Lessor from the Escrow Fund to the Contractor (or to the Lessee or County as a reimbursement as applicable), and no portion of the purchase price for the Equipment has been or will be paid to Lessee as reimbursement for any expenditure paid by Lessee more than 60 days prior to the execution and delivery hereof, unless a proper reimbursement resolution has been passed and the Lessee has complied with all reimbursement requirements under the Code, including, without limitation, Treasury Reg. 1:150. (k) The application, statements, and credit or financial information submitted by it to Lessor are true and correct and made to induce Lessor to enter into this Lease Agreement and the Escrow Agreement. (1) During the term of this Lease Agreement, Lessee shall (i) provide Lessor, at or prior to the end of each Fiscal Year (commencing with the current Fiscal Year), with current budgets or other proof of appropriation for the ensuing Fiscal Year and such other information relating to Lessee's ability to continue the Lease Term for the next succeeding Fiscal Year as may be reasonably requested by Lessor and (ii) furnish or cause to be furnished to Lessor, at Lessee's expense, as soon as available and in any event not later than 180 days after the close of each Fiscal Year, the audited financial statements of Lessee at the close of and for such Fiscal Year, all in reasonable detail, audited by and with the report of Lessee's auditor. (m) On the Commencement Date, Lessee shall cause to be executed and delivered to Lessor an Opinion of Lessee's Counsel in substantially the form attached as Exhibit F hereto. (n) Lessee shall pay the excess (if any) of the actual costs of acquiring the Equipment hereunder over the amount deposited by Lessor in the Escrow Fund and interest earnings thereon. (o) Lessee has experienced no material change in its financial condition since June 30, 2016. (p) Lessee acknowledges that: (a) Lessor is acting solely for its own account and not as a fiduciary for Lessee or in the capacity of broker, dealer, municipal securities underwriter or municipal advisor; (b) Lessor has not provided, and will not provide, financial, legal, tax, accounting or other advice to or on behalf of Lessee with respect to its acquisition of the Equipment; and (c) Lessee has sought and obtained financial, legal, tax, accounting and other advice (including as it relates to structure, timing, terms City of sank Ana/ Holman Capital Corporation Equipment Lease -Purchase Agreement 55C-18 Page 9 of 11 lune 15, 2017 and similar matters) with respect to this Lease Agreement from its financial, legal and other advisors (and not Lessor) to the extent that Lessee desired to obtain such advice. 21. Execution in Counterparts; Chattel Paper. This Lease Agreement may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument; provided, however, that only Counterpart No. 1 hereof shall constitute chattel paper for purposes of the applicable Uniform Commercial Code. 22. Applicable Law. This Lease Agreement shall be construed under the laws of the State of California. 23. Binding Effect; Severability; Survival. This Lease Agreement shall not become effective until accepted by Lessor at its herein -described office, and upon such acceptance shall inure to and bind the parties, their successors, legal representatives, and assigns. No provision of this Lease Agreement that may be construed as unenforceable shall in any way invalidate any other provision hereof, all of which shall remain in full force and effect. 24. Miscellaneous Provisions. Any notice to a party hereunder shall be deemed given when mailed to that party by certified mail, return receipt requested, at its address set forth herein or such other address as either may designate for itself in such notice to the other. This Lease Agreement and the Escrow Agreement constitute the entire mutual understanding of the parties regarding the subject matter hereof and thereof and may not be modified except in writing, signed by the party against whom such modification is asserted. Upon the request of Lessor, Lessee shall at any time and from time to time execute and deliver such further documents and do such further acts as Lessor may reasonably request in order fully to effect the purposes hereof and any assignment hereof. If a court with competent jurisdiction rules that the interest rate charged hereunder exceeds the maximum rate of interest allowed by applicable law, then the effective rate of interest hereunder shall be automatically reduced to the maximum lawful rate allowable under the applicable laws. [Remainder ofpage intentionally left blank] City of Santa Ana/ Holman Capital Corporation Equipment Lease -Purchase Agreement 55C-19 Page 10 of I I June 15, 2017 THE UNDERSIGNED HEREBY AGREE TO ALL OF THE TERMS AND CONDITIONS AS SET FORTH IN THIS EQUIPMENT LEASE -PURCHASE AGREEMENT. HOLMAN CAPITAL CORPORATION, Lessor By: x Lance S. Holman President & CEO CITY OF SANTA ANA, CA, Lessee By: x Name: Cynthia Kurtz Title: Interim City Manager Counterpart No. of two manually executed and serially numbered counterparts. To the extent that this Lease Agreement constitutes chattel paper (as defined in the applicable Uniform Commercial Code), no security or ownership interest herein may be created through the transfer or possession of any Counterpart other than Counterpart No. 1. APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney amara Bogosian Assistant City Attorney City of Santa Ana / Holman Capital Corporation Page 1 I of 11 Equipment Lcase-Purchase Agreement June 15, 2017 55C-20 EXHIBIT A EQUIPMENT SCHEDULE TO EQUIPMENT LEASE -PURCHASE AGREEMENT DATED ,JUNE 15, 2017 .DESCRIPTION OF THE EQUIPMENT: The "Equipment" is Lessee's pro rata portion and Cost Share of 800 MHz Countywide Coordinated Communications System (the "System"), as more fully described in that certain Joint Agreement for the Operation, Maintenance and Financial Management of the Orange County 800 Megahertz Countywide Coordinated Communications System dated November 23, 2004, the Lessee, Orange County, CA, and various other parties thereto, the Amendment to the foregoing dated as of May 5, 2015, and a Letter Agreement dated February 20, 2014 between Orange County, CA and the Lessee (collectively, the "Equipment Acquisition Contract"). The term "Contractor" shall have it meaning as set forth in the Equipment Acquisition Contract. The Equipment and project to be performed under the Equipment Acquisition Contract will be financed by this Equipment Schedule dated June 15, 2017 to that Equipment Lease -Purchase Agreement dated June 15, 2017 by and between Holman Capital Corporation and the City of Santa Ana, and such Equipment shall, include, without limitation, the following: _. .__. . - ­­ .. _. Description DATE __ , Total Cost %of Total .City's Pro Rata Share of 911 System_ $ _ 1411,978.00 96.58°/. ;Contingencies ; $ 45,022.00 3.08% Total Project Cost $ 1,4.57,000.00 99.665. _ w HCC Documentation Fee $ 5,000.00 0.34% ]Net Financing Amount $ 1,462,000.00 100.00% 2. EQUIPMENT LOCATION: *The total project will be a county -wide upgrade and installation of a 911 emergency system that will be paid for by each city, municipal corporation, and other bodies corporate and politic in Orange County up to its pro rata share of the System; however, this Lease will only finance Equipment that constitutes the Lessee's pro rata share of the System; however, that specific Equipment and work may be installed at the Lessee's facilities, or such other locations in Orange County. Specific locations for Equipment will be set forth on each Acceptance Certificate and/or Disbursement Request, but will be limited to the foregoing locations, including 20 Civic Center Plaza, Santa Ana, CA 92702. 3. RENTAL PAYMENT SCHEDULE: The rental payments shall be made for the Equipment as follows. The following schedule is subject to change upon a change in the Maximum Federal Corporate Tax Rate (as hereinafter defined). PAYMENT DATE TOTALRENTAL INTEREST PRINCIPAL o NUMBER DUE PAYMENTDUE COMPONENT COMPONENT PURCHASE OPTION 0 06/15/2017 1 08/13/2017 $ 51,625.47 $ 7,427.77 $ 44,197.70 $ 1,460,336.37 2 11/13/2017 $ 51,625.47 $ 10,987.97 $ 40,637.50 $ 1,418,479.74 3 02/13/2018 $ 51,625.47 $ 10,673.03 $ 40,952.44 $ 1,376,298.73 4 05/13/2018 $ 51,625.47 $ 10,355.65 $ 41,269.82 $ 1,333,790.82 5 08/13/2018 $ 51,625.47 $ 10,035.80 $ 41,589.67 $ 1,290,953.46 6 11/13/2018 $ 51,625.47 $ 9,713.48 $ 41,911.99 $ 1,247,784.11 7 02/13/2019 $ 51,625.47 $ 9,388.67 $ 42,236.80 $ 1,204,280.20 8 05/13/2019 $ 51,625.47 $ 9,061.33 $ 42,564.14 $ 1,160,439.14 9 08/13/2019 $ 51,625.47 $ 8,731.46 $ 42,894.01 $ 1,116,258.31 10 11/13/2019 $ 51,625.47 $ 8,399.03 $ 43,226.44 $ 1,071,735.07 11 02/13/2020 $ 51,625.47 $ 8,064.03 $ 43,561.44 $ 1,026,866.79 12 05/13/2020 $ 51,625.47 $ 7,726.42 $ 43,899.05 $ 981,650.77 13 08/l3/2020 $ 51,625.47 $ 7,386.21 $ 44,239.26 $ 936,034.33 14 11/13/2020 $ 51,625.47 $ 7,043.35 $ 44,582.12 $ 890,164.75 A-1 55C-21 15 02/13/2021 $ 51,625.47 $ 6,697.84 $ 44,927.63 $ 843,889.29 16 05/13/2021 $ 51,625.47 $ 6,349.65 $ 45,275.82 $ 797,255.20 17 08/13/2021 $ 51,625.47 $ 5,998.76 $ 45,626.71 $ 750,259.68 18 11/13/2021 $ 51,625.47 $ 5,645.16 $ 45,980.31 $ 702,899.96 19 02/13/1022 $ 51,625.47 $ 5,288.81 $ 46,336.66 $ 655,173.20 20 05/13/2022 $ 51,625.47 $ 4,929.70 $ 46,695.77 $ 607,076.56 21 08/13/2022 $ 51,625.47 $ 4,567.81 $ 47,057.66 $ 558,607.17 22 11/13/2022 $ 51,625.47 $ 4,203.11 $ 47,422.36 $ 509,762.14 23 02/13/2023 $ 51,625.47 $ 3,835.59 $ 47,789.88 $ 460,538.56 24 05/13/2023 $ 51,625.47 $ 3,465.22 $ 48,160.25 $ 410,933.51 25 08/13/2023 $ 51,625.47 $ 3,091.98 $ 48,533.49 $ 360,944.01 26 11/13/2023 $ 51,625.47 $ 2,715.84 $ 48,909.63 $ 310,567.09 27 02/13/2024 $ 51,625.47 $ 2,336.79 $ 49,288.68 $ 259,799.75 28 05/13/2024 $ 51,625.47 $ 1,954.80 $ 49,670.67 $ 208,638.96 29 08/13/2024 $ 51,625.47 $ 1,569.86 $ 50,055.61 $ 157,081.68 30 11/13/2024 $ 51,625.47 $ 1,181.93 $ 50,443.54 $ 105,124.84 31 02/13/2025 $ 51,625.47 $ 790.99 $ 50,834.48 $ 52,765.32 32 05/13/2025 $ 51,625.47 $ 397.00 $ 51,228.47 $ Grand Totals $ 1,652,015.04 $ 190,015.04 $ 1,462,000.00 'Assumes that all rental payments and additional rentals due on and prior to that date have been paid. 4. INTEREST RATE: 3.1000 % multiplied by the Margin Rate Factor. "Margin Rate Factor" means the greater of (i) 1.0 and (ii) product of (a) one minus the Maximum Federal Corporate Tax Rate newly in effect multiplied by (b) one divided by the sum of one minus the Maximum Federal Corporate Tax Rate as of the Commencement Date (which for the avoidance of doubt equals 1.53846). The effective date of any change in the Margin Rate Factor shall be the effective date of the decrease or increase (as applicable) in the Maximum Federal Corporate Tax Rate resulting in such change. "Maximum Federal Corporate Tax Rate" means the maximum rate of income taxation imposed on corporations pursuant to Section 11(b) of the Code, as in effect from time to time (or, if as a result of a change in the Code, the rate of income taxation imposed on corporations generally shall not be applicable to the Bank, the maximum statutory rate of federal income taxation which could apply to the Bank). COMMENCEMENT DATE: June 15, 2017 6. SCHEDULED LEASE TERM: 8 years Lessee's Current Fiscal Year extends from July 1, 2016 to June 30, 2017. 8. The terms and provisions of the Equipment Lease -Purchase Agreement described above (other than to the extent that they relate solely to other Schedules or Equipment listed on other Schedules) are hereby incorporated into this Schedule by reference and made a part hereof. 9. Lessee hereby represents, warrants, and covenants that (i) its representations, warranties, and covenants set forth in the Equipment Lease -Purchase Agreement (particularly Paragraph 20 thereof) are true and correct as though made on the date of execution of this Schedule, and (ii) sufficient funds have been appropriated by Lessee for the payment of all rental payments (if any) due under this Schedule during Lessee's Current Fiscal Year, which ends on June 30, 2016. 10. Interest, if any, accruing from the Commencement Date to the actual date of funding shall be retained by Lessor as additional consideration for entering into this Schedule No. 01. [Remainder ofpage intentionally left blan/fj A-2 55C-22 CITY OF SANTA ANA as Lessee By: Name: Cynthia Kurtz Title: Interim City Manager HOLMAN CAPITAL CORPORATION, as Lessor BY: Name: Lance S. Holman Title: President & CEO Counterpart No. of two manually executed and serially numbered counterparts. To the extent that this Schedule constitutes chattel paper (as defined in the applicable Uniform Commercial Code), no security or ownership interest herein may be created through the transfer or possession of any Counterpart other than Counterpart No. 1. [Signature Page to Exhibit A- Equipment Schedule] A-3 55C-23 NOTICE AND ACKNOWLEDGEMENT OF SALE OF RENTAL PAYMENTS AND ASSIGNMENT OF LEASE AGREEMENT AND ESCROW AGREEMENT Holman Capital Corporation ("Lessor') and the City of Santa Ana ("Lessee") have entered into an Equipment Lease -Purchase Agreement and Equipment Schedule thereto both dated June 15, 2017 (the "Lease Agreement "), under which Lessee has, or will have prior to its execution hereof, leased equipment (the "Equipment") described therein. Lessee is hereby notified that Lessor has assigned its right, title, and interest in and to the Lease Agreement, the leased Equipment, and the rental payments as permitted by the Lease Agreement. Lessee is hereby directed to pay any and all rental payments and other amounts due under the Lease Agreement to Santa Cruz County Bank, and/or its affiliates (the "Assignee"), as directed by the Assignee or a paying agent acting on behalf of Assignee, pursuant to the instructions contained in any invoice or notice. Lessee will also direct any and all correspondence, notice and serving requests to the Assignee at the following address: Santa Cruz County Bank Attn: Shawn Lipman 720 Front Street, Suite 220 Santa Cruz, CA 95060 E-mail: slioman ,sccountybank.com With a copy to: Santa Cruz County Bank Attn: Loan Servicing P.O. Box 8426 Santa Cruz, CA 95061 By signing this Notice and Acknowledgment, Lessee agrees that it will pay all amounts due under the Lease Agreement as directed in the invoice without any set-off or deduction whatsoever notwithstanding any defect in, damage to or requisition of any of the Equipment leased under the Lease Agreement, any other similar or dissimilar event, any defense, set-off, counterclaim or recoupment arising out of any claim against Lessor or Assignee. Lessee further acknowledges and agrees that Assignee has not assumed any of Lessor's obligations or duties under the Lease Agreement or made any warranties whatsoever as to the Lease Agreement or the Equipment. Lessee agrees that no change may be made to the Lease Agreement without the prior written consent of Assignee. B-1 55C-24 By signing this Notice and Acknowledgment, Lessee warrants that its representations and warranties under the Lease Agreement are true and correct on the date hereof. Date: June 15, 2017 CITY OF SANTA ANA, as Lessee By: Name: Cynthia Kurtz Title: Interim City Manager 55C-25 Holman Capital Corporation 25201 Paseo de Alicia, Suite 290 Laguna Hills, CA 92653 EXHIBIT C-1 INSURANCE CERTIFICATION June 15, 2017 Re: Equipment Lease -Purchase Agreement dated June 15, 2017 In connection with the above -referenced Lease Agreement, City of Santa Ana, as lessee (the "Lessee') certifies that it has instructed the insurance agent named below (please fill in name, address, and telephone number): Name of Agent: Big Independent Cities Excess Pool Address: 1750 Creekside Oaks Drive, Suite 200, Sacramento, CA 95833 Phone: 800-541-4591 to issue: Liability Insurance. Lessee is required to maintain public liability insurance, personal injury and property damage with policy limits of $5,000,000. The policy X should be endorsed to name Santa Cruz County Bank (the assignee of Holman Capital Corporation) as an additional insured. Casualty Insurance. Lessee is required to maintain all risk extended coverage, malicious mischief and vandalism insurance for the Equipment described in the X above -referenced Equipment Schedule in an amount not less than the greater of $1,462.000.00 or the full replacement cost of the Equipment. Such insurance shall be endorsed to name Santa Cruz County Bank as a lender loss payee with respect to such Equipment. The required insurance should also be endorsed to give Santa Cruz County Bank at least 30 days prior written notice of the effective date of any material alteration or cancellation of coverage, and an endorsement confirming that the interest of Santa Cruz County Bank shall not be invalidated by any actions, inactions, breach of warranty or conditions or negligence of Lessee. Proof of insurance coverage will be provided to Santa Cruz County Bank prior to and/or commensurate with the Commencement Date of the Lease. Very truly yours, CITY OF SANTA ANA, as Lessee By: Name: Cynthia Kurtz Title: Interim City Manager C-1 55C-26 Holman Capital Corporation 25201 Paseo de Alicia, Suite 290 Laguna Hills, CA 92653 June 15, 2017 Re: Equipment Lease -Purchase Agreement dated June 15, 2017 In connection with the above -referenced Lease Agreement, City of Santa Ana, as lessee (the "Lessee') certifies that it participates in an actuarially sound self-insurance program for property damage and public liability risks. The following is attached (check all that apply): ❑ Letter from risk manager describing self-insurance program ❑ Other evidence of Lessee's participation in self-insurance program Very truly yours, CITY OF SANTA ANA, as Lessee By: Name: Cynthia Kurtz Title: Interim City Manager C-2 55C-27 Holman Capital Corporation 25201 Paseo de Alicia, Suite 290 Laguna Hills, CA 92653 EXHIBIT D ESSENTIAL USE CERTIFICATE June 15, 2017 Re: Equipment Lease -Purchase Agreement dated June 15, 2017 I, Cynthia Kurtz, the Interim City Manager of the City of Santa Ana, as lessee (the "Lessee'), am qualified to answer the questions set forth below regarding the Equipment to be acquired by Lessee in connection with the above -referenced Lease Agreement: What is the specific use of the Equipment? Financing of the Partnership Costs owed to the County of Orange would allow the City and its recently purchased equipment to access the 800 MHz communication system and improve the reliability of communication related to any public safety incidents within the county or in the event of a natural disaster. Equipment used under the 800 MHz system is used for radio communications by the Police and Fire Agencies for emergency and non -emergency daily operations, special events, and inter -agency communications during mutual aid situations and potentially catastrophic events. It provides the same interoperable capabilities for Public Works and Lifeguard Agencies, as well. The use of the 800 MHz Countywide Coordinated Communications System (CCCS) is achieved through a Partnership with Orange County Police, Fire, Public Works and Lifeguard Agencies. 2. What increased capabilities will the Equipment provide? The Orange County 800 MHz CCCS services communications and interoperability requirements of all County and City Public Safety agencies in Orange County. The existing system is outdated, and to extend the useful service life of the system a systematic replacement of critical infrastructure and electric equipment is required. Replacement and/or upgrades to both hardware and software will be required to maintain a state-of-the-art system and to extend the life of this valuable infrastructure. The system will provide the same quality capabilities with Next Generation technology that helps agencies provide for the safety and well-being of their communities. 3. LVhy is the Equipment essential to your ability to deliver governmental services? Financing of the Partnership Costs owed to the County of Orange would allow the City and its recently purchased equipment to access the 800 MHz communication system and improve the reliability of communication related to any public safety incidents within the county or in the event of a natural disaster. The 800 MHz CCCS provides critical interoperable communication needs for all Police, Fire, Public Works and Lifeguard Agencies during normal operations, and in the event of a natural disaster. Maintaining state- of-the-art radio communication technology is essential to the efforts of community safety. 4. Does the Equipment replace existing equipment? (If so, please explain why you are replacing the existing equipment) D-1 55C-28 Yes. Existing infrastructure of the 800 MHz CCCS has reached its end of life after 14 years, and requires a systematic replacement of critical equipment to achieve P25 standards by 2018. 5. YV{ry did you choose this specific Equipment? Financing of the Partnership Costs owed to the County of Orange would allow the City and its recently purchased equipment to access the 800 MHz communication system and improve the reliability of communication related to any public safety incidents within the county or in the event of a natural disaster. 800 MHz CCCS is utilized by all Orange County Police, Fire, Public Works and Lifeguard Agencies. It provides for seamless interoperability experience between all agencies for the purposes of radio communications under both emergency and non -emergency situations. This system is unique to public safety, in that it allows for the use of "red channel' operations. This frequency is a one of a kind feature of the system where police are able to coordinate during countywide emergency situations, such as; pursuits crossing multi jurisdictions, emergency crime broadcasts, and major mutual aid incidents. 6. For Trow many years do you expect to utilize the Equipment? The expected useful life of this system is ten to fifteen years. Very truly yours, CITY OF SANTA ANA, as Lessee M Name: Cynthia Kurtz Title: Interim City Manager [Signature Page to Essential Use Certificate] D-2 55C-29 EXHIBIT E INCUMBENCY CERTIFICATE I, Francisco Gutierrez, do hereby certify that I am the Executive Director of Finance of the City of Santa Ana, a municipal corporation, which is a duly established and validly existing as a political subdivision of the State of California under the Constitution and laws of the State of California, and that I have custody of the records of such entity. I hereby certify that, as of the date hereof, the individuals named below are the duly elected or appointed officers of the District holding the offices set forth opposite their respective names. I further certify that: (i) The signatures set opposite their respective names and titles are their true and authentic signatures, and (ii) Such officers have the authority on behalf of such entity to: a. Enter into that certain Equipment Lease -Purchase Agreement and Equipment Schedule both dated June 15, 2017 (the "Lease Agreement'), between the CITY OF SANTA ANA and Holman Capital Corporation, as lessor, and b. Enter into that certain Escrow dated June 15,2017(the "Escrow Agreement'), between the CITY OF SANTA ANA, Santa Cruz County Bank, as escrow agent, and Holman Capital Corporation, as lessor, and to execute various payment and disbursement request forms, c. Execute Certificates of Acceptance and other certificate, documents, and agreements relating to the Lease Agreement and/or Escrow Agreement. NAME TITLE SIGNATURE Cynthia Kurtz Interim City Manager IN WITNESS WHEREOF, I have duly executed this Certificate on behalf of the City of Santa Ana, California. June 15, 2017 Francisco Gutierrez, Executive Director of Finance E-1 55C-30 EXHIBIT F OPINION OF LESSEE'S COUNSEL June 15, 2017 Holman Capital Corporation 25201 Paseo de Alicia, Suite 290 Laguna Hills, CA 92653 Re: Equipment Lease -Purchase Agreement and Equipment Schedule both dated June 15, 2017 Ladies and Gentlemen: As counsel to the CITY OF SANTA ANA (the "Lessee'), I have examined the Equipment Lease - Purchase Agreement and Equipment Schedule both dated June 15, 2017 (collectively, the "Lease Agreement'), between the Lessee and Holman Capital Corporation, as lessor ("Lessor'), the form of the Escrow Agreement, together the Disbursement Request Form and Certificate of Acceptance (collectively, the "Escrow Agreement'), and the proceedings taken by the Governing Body of the Lessee to authorize on behalf of the Lessee the execution and delivery of the Lease Agreement and the Escrow Agreement and the investment of the lease proceeds into the Permitted Investment (as such term is defined in the Escrow Agreement). The Lease Agreement and the Escrow Agreement are herein collectively referred to as the "Transaction Documents. " Based upon the foregoing examination and upon an examination of such other documents and matters of law as I have deemed necessary or appropriate, I am of the opinion that: 1. The Lessee is a municipal corporation, which is a duly established and validly existing as a political subdivision of the State of California under the Constitution and laws of the State of California with full power and authority to enter into the Transaction Documents. 2. The Transaction Documents have each been duly authorized, executed, and delivered by the Lessee. The Permitted Investment has been duly authorized by the Lessee. Assuming due authorization, execution and delivery thereof by Lessor, the Transaction Documents constitute legal, valid, and binding obligations of the Lessee, enforceable against the Lessee in accordance with their respective terms, subject to any applicable bankruptcy, insolvency, moratorium or other laws or equitable principles affecting the enforcement of creditors' rights generally. 3. The beneficial use of the Equipment to be leased pursuant to the Lease Agreement, when subjected to use by the Lessee, will not be a fixture under applicable law, 4. The Lessee has complied with any applicable public bidding requirements in connection with the Transaction Documents and the transactions contemplated thereby. The resolution adopted by the Governing Body of the Lessee authorizing the execution and delivery of the Transaction Documents, the investment of lease proceeds into the Escrow Account and Permitted Investments, and certain other matters was adopted at a meeting that was held in compliance with all applicable laws relating to the holding of open and public meetings. 5. No litigation or proceeding is pending or, to the best of my knowledge, threatened to restrain or enjoin the execution, delivery, or performance by the Lessee of the Transaction Documents or in any way to contest the validity of the Transaction Documents, to contest or question the creation or existence of the F-1 55C-31 Lessee or the Governing Body of the Lessee or the authority or ability of the Lessee to execute or deliver the Transaction Documents or to comply with or perform its obligations thereunder. There is no litigation pending or, to the best of my knowledge, threatened seeking to restrain or enjoin the Lessee from annually appropriating sufficient funds to pay the rental payments or other amounts contemplated by the Lease Agreement. The entering into and performance of the Transaction Documents do not and will not violate any judgment, order, law, or regulation applicable to the Lessee or result in any breach of, or constitute a default under, or result in the creation of any lien, charge, security interest, or other encumbrance upon any assets of the Lessee or on the beneficial use of the Equipment (as such term is defined in the Lease Agreement) pursuant to any indenture, mortgage, deed of trust, bank loan or credit agreement, or other instrument to which the Lessee is a party or by which it or its assets may be bound. This opinion may be relied upon by purchasers and assignees of Lessor's interests in the Lease Agreement. Respectfully submitted, Tamara Bogosian City Attorney F-2 55C-32 EXHIBIT G: INTENTIONALLY OMITTED; LEASE IS NBQ, G-1 55C-33 PON 1111.31011 POST -ISSUANCE TAX COMPLIANCE PROCEDURES Dated: June 15, 2017 The following certificate is delivered in connection with the execution and delivery of the Equipment Lease -Purchase Agreement dated June 15, 2017 (the "Lease Agreement"), entered into between the City of Santa Ana (the "Lessee") and Holman Capital Corporation (the "Corporation"). Capitalized terms used herein have the meanings defined in the Lease Agreement. Section 1. In General. I.I. This Certificate is executed for the purpose of establishing the reasonable expectations of Lessee as to future events regarding the financing of certain equipment (the "Equipment") to be acquired by Lessor and leased to Lessee pursuant to and in accordance with the Equipment Schedule executed under the Agreement (together with all related documents executed pursuant thereto and contemporaneously herewith, the "Financing Documents"). As described in the Financing Documents, Lessor shall apply $1,462,000.00 (the "Principal Amount") toward the acquisition of the Equipment and closing costs, and Lessee shall make Rental Payments under the terms and conditions as set forth in the Financing Documents. 1.2. The individual executing this Certificate on behalf of Lessee is an officer of Lessee delegated with the responsibility of reviewing and executing the Financing Documents, pursuant to the resolution or other official action of Lessee adopted with respect to the Financing Documents, a copy of which has been delivered to Lessor. 1.3. The Financing Documents are being entered into for the purpose of providing funds for financing the cost of acquiring, equipping and installing the Equipment which is essential to the governmental functions of Lessee, which Equipment is described in the Equipment Schedule. The Principal Amount will be deposited in escrow by Lessor on the date of issuance of the Financing Documents and held by Santa Cruz County Bank, as escrow agent (the "Escrow Agent") pending acquisition of the Equipment under the terms of that certain Escrow Agreement dated as of June 15, 2017 (the "Escrow Agreement"), by and between Lessor and Escrow Agent. 1.4 Lessee will timely file for each payment schedule issued under the Lease a Form 8038-G (or, if the invoice price of the Equipment under such schedule is less than $100,000, a Form 8038 -GC) relating to such Lease with the Internal Revenue Service in accordance with Section 149(e) of the Internal Revenue Code of 1986, as amended (the "Code"). 1.5 The Lease is NOT a "qualified tax-exempt obligation" for the purposes and within the meaning of Section 265(b)(3) of the Internal Revenue Code of 1986, as amended. Section 2. Non -Arbitrage Certifications. 2.1. The Rental Payments due under the Financing Documents will be made with monies retained in Lessee's general operating fund (or an account or subaccount therein). No sinking, debt service, reserve or similar fund or account will be created or maintained for the payment of the Rental Payments due under the Financing Documents or pledged as security therefor. 2.2. There have been and will be issued no obligations by or on behalf of Lessee that would be deemed to be (i) issued or sold within fifteen (15) days before or after the date of issuance of the Financing Documents, (ii) issued or sold pursuant to a common plan of financing with the Financing Documents and (iii) paid out of substantially the same source of funds as, or deemed to have substantially the same claim to be paid out of substantially the same source of funds as, the Financing Documents. H-1 55C-34 2.3. Lessee does not and will not have on hand any funds that are or will be restricted, segregated, legally required or otherwise intended to be used, directly or indirectly, as a substitute, replacement or separate source of financing for the Equipment. 2.4. No portion of the Principal Amount is being used by Lessee to acquire investments which produce a yield materially higher than the yield realized by Lessor from Rental Payments received under the Financing Documents. 2.5. The Principal Amount does not exceed the amount necessary for the governmental purpose for which the Financing Documents were entered into. Such funds are expected to be needed and fully expended for payment of the costs of acquiring, equipping and installing the Equipment. 2.6. Lessee does not expect to convey, sublease or otherwise dispose of the Equipment, in whole or in part, at a date which is earlier than the final Payment Date under the Financing Documents. Section 3. Disbursement of Funds: Reimbursement to Lessee. 3.1 It is contemplated that the entire Principal Amount will be used to pay the acquisition cost of Equipment to the Contractor or for any financial advisory or closing costs, provided that, if applicable, a portion of the principal amount may be paid to Lessee as reimbursement for acquisition cost payments already made by it so long as the conditions set forth in Section 3.2 below are satisfied. 3.2. Lessee shall not request that it be reimbursed for Equipment acquisition cost payments already made by it unless each of the following conditions have been satisfied: (a) Lessee adopted a resolution or otherwise declared its official intent in accordance with Treasury Regulation § 1.150-2 (the "Declaration of Official Intent', wherein Lessee expressed its intent to be reimbursed from the proceeds of a borrowing for all or a portion of the cost of the Equipment, which expenditure was paid to a Contractor under the Equipment Acquisition Contract not earlier than sixty (60) days before Lessee adopted the Declaration of Official Intent; (b) The reimbursement being requested will be made by a written allocation before the later of eighteen (18) months after the expenditure was paid or eighteen (18) months after the items of Equipment to which such payment relates were placed in service; (c) The entire payment with respect to which reimbursement is being sought is a capital expenditure, being a cost of a type properly chargeable to a capital account under general federal income tax principles; and (d) Lessee will use any reimbursement payment for general operating expenses and not in a manner which could be construed as an artifice or device under Treasury Regulation § 1.148-10 to avoid, in whole or in part, arbitrage yield restrictions or arbitrage rebate requirements. Section 4. Use and Investment of Funds, Temporary Period. 4.1. Lessee has incurred or will incur, within six (6) months from the date of issuance of the Financing Documents, binding obligations to pay an amount equal to at least five percent (5%) of the Principal Amount toward the costs of the Equipment. An obligation is not binding if it is subject to contingencies within Lessee's control. The ordering and acceptance of the items of Equipment will proceed with due diligence to the date of final acceptance of the Equipment. 4.2. An amount equal to at least eighty-five percent (851/o) of the Principal Amount will be expended to pay the cost of the Equipment by the end of the three-year period commencing on the date of this Certificate. No portion of the Principal Amount will be used to acquire investments that do not carry out the governmental purpose of the Financing Documents and that have a substantially guaranteed yield of four (4) years or more. 4.3. (a) Lessee covenants and agrees that it will rebate an amount equal to excess earnings on the Principal Amount deposited under the Escrow Agreement to the Internal Revenue Service if required by, and in accordance with, Section 148(f) of the Code, and make the annual determinations and maintain the records required by and otherwise comply with the regulations applicable thereto. Lessee reasonably expects to cause the Equipment to be acquired by June 15, 2017, but not later than June 15, 2018. (b) Lessee will provide evidence to Lessor that the rebate amount has been calculated and paid to the Internal Revenue Service in accordance with Section 148(f) of the Code unless (i) the entire Principal Amount is H-2 55C-35 expended on the Equipment by the date that is the six-month anniversary of the Financing Documents or (ii) the Principal Amount is expended on the Equipment in accordance with the following schedule: At least fifteen percent (15"/o) of the Principal Amount and interest earnings thereon will be applied to the cost of the Equipment within six months from the date of issuance of the Financing Documents; at least sixty percent (601/o) of the Principal Amount and interest earnings thereon will be applied to the cost of the Equipment within 12 months from the date of issuance of the Financing Documents; and one hundred percent (100%) of the Principal Amount and interest earnings thereon will be applied to the cost of the Equipment prior to eighteen (18) months from the date of issuance of the Financing Documents. (c) Lessee hereby covenants that (i) Lessee is a governmental unit with general tax powers; (ii) the Lease is not a "private activity bond" under Section 141 of the Code; and (iii) at least ninety-five percent (95%) of the Principal Amount is used for the governmental activities of Lessee. Section 5. Escrow Account. The Financing Documents provide that the monies deposited in escrow shall be invested until payments to the Contractor of the Equipment are due. Lessee will ensure that such investment will not result in Lessee's obligations under the Financing Documents being treated as an "arbitrage bond" within the meaning of Section 148(a) of the Internal Revenue Code of 1986, as amended (the "Code"), respectively. Any monies which are earned from the investment of these funds shall be labeled as interest earned. All such monies will be disbursed on or promptly after the date that Lessee accepts the Equipment. Lessee acknowledges that the provisions of Sections 2 and 4 herein are particularly applicable when the Principal Amount is funded into an Escrow Fund subject to the Escrow Agreement. Section 6. No Private Use; No Consumer Loan. 6.1. Lessee will not exceed theprivate use restrictions set forth in Section 141 of the Code. Specifically, Lessee will not permit more than 10% of the Principal Amount to be used for a Private Business Use (as defined herein) if, in addition, the payment of more than ten percent (10%) of the Principal Amount plus interest earned thereon is, directly or indirectly, secured by (i) any interest in property used or to be used for a Private Business Use or (ii) any interest in payments in respect of such property or derived from any payment in respect of property or borrowed money used or to be used for a Private Business Use. 6.2. In addition, if both (A) more than five percent (5%) of the Principal Amount is used as described above with respect to Private Business Use and (B) more than five percent (51/o) of the Principal Amount plus interest earned thereon is secured by Private Business Use property or payments as described above, then the excess over such five percent (5%) (the "Excess Private Use Portion') will be used for a Private Business Use related to the governmental use of the Equipment. Any such Excess Private Use Portion of the Principal Amount will not exceed the portion of the Principal Amount used for the governmental use of the particular project to which such Excess Private Use Portion is related. For purposes of this paragraph 6.3, "Private Business Use" means use of bond proceeds or bond financed -property directly or indirectly in a trade or business carried on by a natural person or in any activity carried on by a person other than a natural person, excluding, however, use by a state or local governmental unit and excluding use as a member of the general public. 6.4. No part of the Principal Amount or interest earned thereon will be used, directly or indirectly, to make or finance any loans to non-governmental entities or to any governmental agencies other than Lessee. Section 7. No Federal Guarantee. 7.1. Payment of the principal or interest due under the Financing Documents is not directly or indirectly guaranteed, in whole or in part, by the United States or an agency or instrumentality thereof. 7.2. No portion of the Principal Amount or interest earned thereon shall be (i) used in making loans the payment of principal or interest of which are to be guaranteed, in whole or in part, by the United States or any agency or instrumentality thereof, or (ii) invested, directly or indirectly, in federally insured deposits or accounts if such investment would cause the financing under the Financing Documents to be "federally guaranteed" within the meaning of Section 149(b) of the Code. H-3 55C-36 Section 8. Miscellaneous. 8.1. Lessee shall keep a complete and accurate record of all owners or assignees of the Financing Documents in form and substance satisfactory to comply with the registration requirements of Section 149(a) of the Code unless Lessor or its assignee agrees to act as Lessee's agent for such purpose. 8.2. Lessee shall maintain complete and accurate records establishing the expenditure of the Principal Amount and interest earnings thereon for a period of five (5) years after payment in full under the Financing Documents. 8.3. To the best of the undersigned's knowledge, information and belief, the above expectations are reasonable and there are no other facts, estimates or circumstances that would materially change the expectations expressed herein. 8.4. The Lessee's Tax Identification Number is: 95-6000785. 8.5. The Lessee has adopted, or will adopt in a reasonable period post -closing, by resolution, separate written procedures regarding ongoing compliance with federal tax requirements necessary to keep, ensure and maintain the interest portions of the Rental Payments under the Lease Agreement as excluded from Lessor's gross income for federal income tax purposes, and will, on an annual basis, conduct an audit of the Lease Agreement to ensure compliance with such procedures IN WITNESS WHEREOF, this Post -Issuance Tax Compliance Procedures Certificate has been executed on behalf of Lessee as of June 15, 2017. CITY OF SANTA ANA, CALIFORNIA 0 Name: Cynthia Kurtz Title: Interim City Manager H-4 55C-37 LESSOR: Holman Capital Corporation 25201 Paseo de Alicia, Suite 290 Laguna Hills, CA 92653 LESSEE: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 EXHIBIT I: ESCROW AGREEMENT ESCROW AGENT: Santa Cruz County Bank 720 Front Street, Suite 220 Santa Cruz, CA 95060 THIS ESCROW AGREEMENT (this "EscrowAgreement'� is made as of June 15, 2017, between Holman Capital Corporation ( "Lessor"), the City of Santa Ana ( "Lessee'), and Santa Cruz County Bank (the "Escrow Agent"). Lessor and Lessee have heretofore entered into that certain Equipment Lease -Purchase Agreement and Equipment Schedule both dated June 15, 2017 (the "Lease Agreement"). The Lease Agreement contemplates that certain Equipment described therein (the "Equipment's is to be acquired from Contractors under the Equipment Acquisition Agreement. After acceptance of the Equipment by Lessee, the Equipment is to be leased by Lessor to Lessee pursuant to the terms of the Lease Agreement. The Lease Agreement contemplates that Lessor will deposit with the Escrow Agent cash in the amount of $1,462,000.00 (the "Deposit Amount'), for deposit into the escrow fund (the "Escrow Fund'), to be held in escrow by the Escrow Agent and applied on the express terms and conditions set forth herein. Such deposit into the Escrow Fund, together with all interest and additions received with respect thereto, is to be applied from time to time to pay the Contractors for the Equipment its invoice cost or pro rata portion thereof (a portion of which may, if required, be paid prior to final acceptance of the Equipment by Lessee). The Escrow Fund is to be held in Lessee's name for the benefit of Lessee and Lessor, and Lessee has granted to Lessor a first priority and perfected security interest in the Escrow Fund and any all proceeds, interest and other earnings thereon and investments therein to the Lessor by virtue of the execution of this Escrow Agreement without the need for any additional filings or financing statements. The parties desire to set forth the terms on which the escrow is to be created and to establish the rights and responsibilities of the parties hereto. NOW, THEREFORE, the parties agree as follows: The Escrow Agent hereby agrees to serve as escrow agent upon the terms and conditions set forth herein. The Escrow Agent agrees that the Escrow Fund shall be held irrevocably in trust for the account and benefit of Lessee and all interest earned with respect to the Escrow Fund shall accrue to the benefit of Lessee and shall be applied as expressly set forth herein. To the limited extent required to perfect the first, priority security interest hereby granted by Lessee to Lessor in the cash and negotiable instruments from time to time held in the Escrow Fund, Lessor I-1 55C-38 hereby appoints the Escrow Agent as its security agent, and the Escrow Agent hereby accepts the appointment as security agent, and agrees to hold physical possession of such cash and negotiable instruments on behalf of Lessor. 2. On such day as determined to the mutual satisfaction of the parties (the "Commencement Date"), Lessor shall deposit with the Escrow Agent cash in the amount of the Deposit Amount to be held by the Escrow Agent on the express terms and conditions set forth herein. The Escrow Agent agrees to accept the deposit of the Deposit Amount by Lessor with the Escrow Agent, and further agrees to hold the amount so deposited together with all interest and other additions received with respect thereto in escrow on the express terms and conditions set forth herein. 3. The Escrow Agent shall at all times segregate the Escrow Fund into an account maintained for that express purpose, which shall be clearly identified on the books and records of the Escrow Agent as being held in its capacity as Escrow Agent. Cash, securities and other negotiable instruments held in the Escrow Fund from time to time shall be held or registered in the name of the Escrow Agent (or its nominee). The Escrow Fund shall not, to the extent permitted by applicable law, be subject to levy or attachment or lien by or for the benefit of any creditor of any of the parties hereto (except with respect to the security interest therein held by Lessor). 4. Lessee hereby directs the Escrow Agent to invest the cash held in the Escrow Fund from time to time in a Santa Cruz County Bank non-interest bearing demand deposit account with no fees or costs or, in the event such fund is not at the time available, such other investments as Lessee may from time to time specify in writing, to the extent the same are at the time legal for investment of the funds being invested. Interest (if any) or other amounts earned and received by the Escrow Agent with respect to the Escrow Fund shall be deposited in and become a part of the Escrow Fund. No investment shall be made that would cause the Lease Agreement to be deemed to be an arbitrage bond within the meaning of Section 148(a) of the Internal Revenue Code of 1986, as amended. Lessor and Lessee hereby authorize the Escrow Agent to take the following actions with respect to the Escrow Fund: a. From time to time, the Escrow Agent shall pay the Contractor for the Equipment payments then due and payable, or reimburse Lessee for amounts that it has paid to the Contractor for the Equipment, upon receipt of the following: (a) a duly executed Certificate of Acceptance and Payment Request in the form attached as Exhibit A hereto, (b) the Contractor invoice(s) (or other evidence provided for in the Equipment Acquisition Contract specifying the acquisition price of the Equipment described in the requisition request, and (c) any additional documentation required by Lessor. b. The Escrow Agent will not charge fees for the ordinary services it renders in connection herewith. C. If Lessor provides to the Escrow Agent written notice of the occurrence of an Event of Default or anEvent of Nonappropriation by Lessee under the Lease Agreement, the Escrow Agent shall thereupon promptly remit to Lessor the entire balance of the Escrow Fund. d. Upon receipt by the Escrow Agent of a duly executed Certificate of Acceptance and Payment Request identified as the final such request, the Escrow Agent shall transfer the then remaining balance of the Escrow Fund to Lessee, upon the express condition that Lessee hereby agrees to use such excess amount solely for capital expenditures as shall be approved by Lessee or, at the written direction of Lessee, for application against the interest I-2 55C-39 component of the Lessee's payment obligation under the Lease Agreement, as provided therein, unless otherwise agreed by Lessor. 6. The Escrow Agent shall have no liability for acting upon any written instruction presented by Lessee and Lessor in connection with this Escrow Agreement that the Escrow Agent in good faith believes to be genuine. Furthermore, the Escrow Agent shall not be liable for any act or omission in connection with this Escrow Agreement except for its own gross negligence, willful misconduct, orbad faith. The Escrow Agent shall not be liable for any loss or diminution in value of the Escrow Fund as a result of the investments made pursuant to Section 4. To the extent authorized by law, Lessee hereby agrees to indemnify and save the Escrow Agent harmless against any liabilities that it may incur in the exercise and performance of its powers and duties hereunder and that are not due to the Escrow Agent's gross negligence or willful misconduct. No indemnification will be made under this Section or elsewhere in this Escrow Agreement for damages arising solely out of gross negligence, willful misconduct, or bad faith by the Escrow Agent, its officers, agents, employees, successors or assigns. The Escrow Agent may at any time resign by giving at least 30 days' prior written notice to Lessee and Lessor, but such resignation shall not take effect until the appointment of the successor Escrow Agent. The substitution of another bank or trust company to act as Escrow Agent under this Escrow Agreement may occur by written agreement of Lessor and Lessee. In addition, the Escrow Agent may be removed at any time, with or without cause, by instrument in writing executed by Lessor and Lessee. Such notice shall set forth the effective date of the removal. In the event of any resignation or removal of the Escrow Agent, a successor Escrow Agent shall be appointed by an instrument in writing executed by Lessor and Lessee. Such successor Escrow Agent shall indicate its acceptance of such appointment by an instrument in writing delivered to Lessor, Lessee and the predecessor Escrow Agent. Upon the effective date of resignation or removal, the Escrow Agent will transfer the Escrow Fund then held by it to the successor Escrow Agent selected by Lessor and Lessee. 9. This Escrow Agreement shall terminate upon receipt by the Escrow Agent of the written notice from Lessor specified in Section 5(c) or Section 5(d) hereof. 10. All notices hereunder shall be in writing, sent by certified mail, return receipt requested, or by mutually recognized overnight carrier addressed to the other party at its respective address shown on page 1 of this Escrow Agreement or at such other address as such party shall from time to time designate in writing to the other parties; and shall be effective on the date or receipt. 11. This Escrow Agreement shall inure to the benefit of and shall be binding upon the parties hereto and their respective successors and assigns. No rights or obligations of the Escrow Agent under this Escrow Agreement may be assigned without the prior written consent of Lessor and Lessee. 12. This Escrow Agreement constitutes the entire agreement between the parties hereto with respect to the subject matter hereof, and no waiver, consent, modification, or change of terms hereof shall bind any party unless in writing signed by all parties. 13. The Escrow Agent may employ agents, attorneys and accountants in connection with its duties hereunder and shall not be liable for any action taken or omitted in good faith in accordance with the advice of counsel, accountants, or other skilled persons. 14. This Escrow Agreement shall be governed by and be construed and interpreted in accordance with the internal laws of the State of California. I-3 55C-40 15. Information Required Under USA PATRIOT ACT: The parties acknowledge that in order to help the United States government fight the funding of terrorism and money laundering activities, pursuant to Federal regulations that became effective on October 1, 2003 (Section 326 of the USA PATRIOT Act) all financial institutions are required to obtain, verify, record and update information that identifies each person establishing a relationship or opening an account. The parties to this Agreement agree that they will provide to the Escrow Agent such information as it may request, from time to time, in order for the Escrow Agent to satisfy the requirements of the USA PATRIOT Act, including but not limited to the name, address, tax identification number and other information that will allow it to identify the individual or entity who is establishing the relationship or opening the account and may also ask for formation documents such as articles of incorporation or other identifying documents to be provided. [Remainder ofpage intentionally left blank] I-4 55C-41 IN WITNESS WHEREOF, the parties hereto have caused this Escrow Agreement to be duly executed as of the day and year first above set forth. LESSOR: HOLMAN CAPITAL CORPORATION By: Lance S. Holman President &CEO ESCROW AGENT: SANTA CRUZ COUNTY BANK L - LESSEE: CITY OF SANTA M Cynthia Kurtz Interim City Manager Name: Shawn Lipman Title: Vice President, Senior Relationship Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Tamara Bogosian Assistant City Attorney I-5 55C-42 EXHIBIT ATO ESCROW AGREEMENT CERTIFICATE OF ACCEPTANCE AND PAYMENT REQUEST The following payment request is directed to Santa Cruz County Bank (the "Escrow Agent'), as escrow agent under that certain Escrow Agreement dated June 15, 2017 (the "Escrow Agreement'), between the City of Santa Ana ( "Lessee'), Holman Capital Corporation ("Lessor'), and the Escrow Agent. Because Holman Capital Corporation has assigned all of its right, title, and interest in and to the Escrow Agreement to Santa Cruz County Bank, all references herein to "Lessor" shall mean Santa Cruz County Bank. The Escrow Agent is hereby requested to pay from the Escrow Fund established and maintained under the Escrow Agreement the amount set forth below to the named payee(s). The amount shown is due and payable under the Equipment Acquisition Contract (or has been paid by and not previously reimbursed to Orange County or the Lessee). The equipment described below is part or all of the Equipment leased pursuant to that certain Equipment Lease -Purchase Agreement and Equipment Schedule both dated June 15, 2017 (the "Lease Agreement'), between Lessor and Lessee: Description of Equipment: The "Equipment" is Lessee's pro rata portion and Cost Share of 800 MHz Countywide Coordinated Communications System (the "System"), as more fully described in that certain Joint Agreement for the Operation, Maintenance and Financial Management of the Orange County 800 Megahertz Countywide Coordinated Communications System dated November 23, 2004, the Lessee, Orange County, CA, and various other parties thereto, the Amendment to the foregoing dated as of May 5, 2015, and a Letter Agreement dated February 20, 2014 between Orange County, CA and the Lessee (collectively, the "Equipment Acquisition Contract"). DESCRIPTION OF LOCATION UNrrsoFEQUIPMENT AMOUNT PAYEE Lessee hereby certifies and represents to and agrees with Lessor as follows with respect to the Equipment described above: (i) the Equipment has been delivered to the location(s) set forth in the Lease Agreement; (ii) a present need exists for the Equipment, which need is not temporary or expected to diminish in the near future; (iii) the Equipment is essential to and will be used by Lessee only for the purpose of performing one or more governmental functions of Lessee consistent with the permissible scope of Lessee's authority; (iv) the estimated useful life of the Equipment based upon the manufacturer's representations and Lessee's projected needs is not less than the term of the Lease Agreement; (v) Lessee has conducted such inspection and/or testing of the Equipment as it deems necessary and appropriate and hereby acknowledges that it accepts the Equipment for all purposes as of the date of this Certificate; (vi) the Equipment is covered by insurance in the types and amounts required by the Lease Agreement; (vii) no Event of Default or Event of Nonappropriation, as those terms are defined in the Lease Agreement, and no event that with the giving of notice or lapse of time or both, would become an Event of Default or an Event of Nonappropriation, has occurred and is continuing on the date hereof; and (viii) sufficient funds have been appropriated by Lessee for the payment of all rental payments due under the Lease Agreement during Lessee's current Fiscal Year. I-6 55C-43 Based on the foregoing, the Escrow Agent is hereby authorized and directed to fund the acquisition of the Equipment set forth above by paying, or causing to be paid, the Contractor or Orange County, CA (as reimbursement for payments made to the Contractor) the amounts set forth on the attached invoices or other evidence provided from the Escrow Fund held under the Escrow Agreement in accordance with its terms. The following documents are attached hereto and made a part hereof: (a) Original Invoice(s) or other evidence that payment is due and (b) other documents and evidence that payment is required as Lessor may reasonably request. IF REQUEST IS FINAL REQUEST, CHECK HERE ❑. The undersigned hereby certifies that the items of Equipment described above, together with the items of Equipment described in and accepted by Certificates of Acceptance and Payment Requests previously filed by Lessee with Lessor constitute all of the Equipment subject to the Lease Agreement. By checking the foregoing box, Lessee certifies and confirms that Lessor has performed all of its obligations under the Lease Agreement. Acceptance Date: Approved: SANTA CRUZ COUNTY BANK, as Lessor C[TY OF SANTA ANA, as Lessee M Name: I-7 55C-44 SCHEDULE A TO ESCROW AGREEMENT: NOTICE AND ACKNOWLEDGEMENT OF ASSIGNMENT OF ESCROW AGREEMENT Holman Capital Corporation ("Lessor"), City of Santa Ana ("Lessee"), and Santa Cruz County Bank ("Escrow Agent") have entered into an Escrow Agreement dated June 15, 2017 (the "Escrow Agreement'), pursuant to which Lessor, or its Assignee (as defined below), has deposited cash into the Escrow Fund established thereunder, which funds are to be used by Lessee to acquire certain Equipment. Escrow Agent is hereby notified that Lessor has assigned all of its right, title, and interest in and to, but not its obligations under, the Escrow Agreement to Santa Cruz County Bank ("Assignee"), including, in particular, but without limitation, Lessor's security interest in the Escrow Fund and Lessor's right to approve all payment requests submitted by Lessee. Date: June 15, 2017 LESSOR: HOLMAN CAPITAL CORPORATION By: Lance S. Holman President &CEO SANTA CRUZ COUNTY BANK LESSEE: CITY OF SANTA ANA 10 Name: Shawn Lipman Title: Vice President, Senior Relationship Manager 55C-45 Cynthia Kurtz Interim City Manager CLOSING MEMORANDUM $1,462,000.00 LEASE OF 911 SYSTEM UPGRADES AND INSTALLATIONS PURSUANT TO THAT EQUIPMENT LEASE -PURCHASE AGREEMENT AND EQUIPMENT SCHEDULE THERETO DATED JUNE 15, 2017 BETWEEN CITY OF SANTA ANA, AS LESSEE, AND HOLMAN CAPITAL CORPORATION, AS LESSOR Pre -Closing: Pre -Closing will be held at the Lessee's convenience, on or before June 13, 2017. All documents will be executed and two (2) blue ink originals will be overnighted to Holman Capital Corporation, 25201 Paseo de Alicia, Suite 290, Laguna Hills, CA 92653, for delivery no later than 9:00 am on the morning of June 13, 2017 and held in trust until such time as the wires and original documents are released by the Parties. Closing: (1) By internal funds transfer and pending receipt of original, executed Lease Documents, on the morning of June 15, 2017, the Investor is authorized by Lessee to transfer via internal credit the Total Equipment Cost (as defined below) to Escrow Agent, pursuant to a general ledger credit to the Escrow Account as follows: Bank Name: Santa Cruz County Bank ABA Number: 121143736 Account Number: 13020064 Account Name: City of Santa Ana (2) By wire transfer and pending receipt of original, executed Lease Documents, on the morning of June 15, 2017, the Investor is authorized by Lessee to transfer via wire transfer the Issuance Costs (as defined below) to Lessor, as follows: Bank Name: Community Business Bank ABA Number: 121144191 Account Number: 201008281 Account Name: Holman Capital Corporation Holman Capital Corporation will confirm by e-mail receipt of funds and then the release of all original documents held in trust, when such funds and/or documents are in the possession of each of the Parties. Upon confirmation by Escrow Agent of the Lease Proceeds, Lessee will wire closing costs, legal fees and other amounts to the parties in accordance with the invoices attached hereto. Sources and Uses of Funds: Principal Amount of Lease TOTAL SOURCES Total Equipment Cost: Issuance Costs: TOTAL LEASE PROCEEDS Attest: CITY OF SANTA ANA By: Name: Cynthia Kurtz Title: Interim City Manager 55C-46 $ 1,462,000.00 $ 1,462,000.00 $ 1,457,000.00 $ 5,000.00 $ 1,462,000.00 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: DISCUSSION ON FOUR AFFORDABLE HOUSING DEVELOPMENT PROJECTS AND OPTIONS FOR CITY FINANCIAL ASSISTANCE (STRATEGIC PLAN NO. 5,3C) zvv - X'3 INTER CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1`' Reading ❑ Ordinance on od Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER As recommended by the Ad Hoc Committee, discuss the various Affordable Housing Development projects requesting City financial assistance and seek City Council direction on the allocation of current and available affordable housing development funds. Following are options for City Council discussion and consideration: A) Santa Ana Arts Collective, Meta Housing Corporation: Option #1: Amend the project's original award by an additional amount up to $2.9 million per Keyser Marston Associates gap analysis report. Option #2: Amend the project's original award by an additional amount up to $1,481,215, per CSG Advisors gap analysis report. City financial assistance to be negotiated by CSG Advisors and Meta Housing. Option #3: Take no additional action to fund the project at this time. B) First Street Apartments, AMCAL Multi -Housing: Option #1: Award of affordable housing development funds for an amount up to $8,522,740, per CSG Advisors gap analysis report. Option #2: Award of affordable housing development funds for an amount up to $8,795,000, per Keyser Marston Associates gap analysis report. 65A-1 Discussion on Four Affordable Housing Development Projects and Options for City Financial Assistance June 1, 2017 Page 2 Option #3: Take no additional action to fund the project at this time. C) Aqua Housing, Community Development Partners: Option #1: Amend the original project award with an additional 31 project -based vouchers. Option #2: Take no additional action to fund the project at this time. D) Tiny Tim Plaza, Community Development Partners: Option #1: Commit to a future award of affordable housing funds for an amount up to $11.7 million per CSG Advisors gap analysis report. Award of funds to follow the approval of the project by the Planning Commission and City Council pending'the availability of funds. Option #2: Take no action to fund the project at this time. 2. Direct staff to prepare the necessary commitment letters and loan documents for City Council consideration at the June 20, 2017 City Council meeting or other future date. 3. Direct staff to develop a policy and criteria for the allocation of future affordable housing development funds. STAFF RECOMMENDATION Staff recommends the approval of items 1A option 1, 1B option 1, 1C option 1, 1D option 1, and items 2 and 3. DISCUSSION On February 21, 2017, City Council established an Ad Hoc Committee to provide recommendations on how to move forward on affordable housing development projects in the queue and to return to the City Council with options for consideration. The Ad Hoc Committee met on February 28, and requested that staff seek the assistance of CSG Advisors, an independent affordable housing development finance firm, to prepare: • A second opinion financial gap analysis for the Santa Ana Arts Collective and First Street Apartments projects to compare to the previously completed financial gap analysis reports prepared by Keyser Marston Associates (KMA), and • Financial gap analysis reports on Aqua Housing and Tiny Time Plaza affordable housing development projects seeking City financial assistance. 65A-2 Discussion on Four Affordable Housing Development Projects and Options for City Financial Assistance June 1, 2017 Page 3 On May 17, 2017, the Ad Hoc Committee met and recommended staff bring the four projects to City Council for discussion and seek direction based on the results of the financial gap analysis. In addition, the Ad Hoc Committee requested that staff provide the currently available affordable housing development funds (Exhibit 1), estimate of potential future funding, restrictions and uses of those funds (Exhibit 2), and development schedule for each project (Exhibit 3). Following is the description, history and status of each of the four projects seeking City financial assistance: Santa Ana Arts Collective, Meta Housing Corporation: 1666 North Main Street The Santa Ana Arts Collective is an artist focused affordable housing development project that consists of a 57 -unit adaptive reuse project to convert an existing five -story office building to residential units and ground -floor commercial and community space. The unit mix consists of 26 one bedroom units, 14 two bedroom units and 17 three bedroom units for 30%, 50% and 60% of the Area Median Income (AMI). This project applied to the City for financial assistance through a competitive Request for Proposals (RFP) process on August 21, 2015. On November 3, 2015, the City Council awarded $4,635,000 in funding for the project from its Community Development Block Grant (CDBG $500,000), Inclusionary Housing Funds ($1.875 million), and a pre -commitment of HOME Investment Partnerships Program funds ($2.26 million). As conditioned in the City's approval, the developer Meta Housing Corporation (Meta Housing) then gathered the balance of awards projected to fully finance the project. In October 2016, the project was awarded Affordable Housing and Sustainable Communities (AHSC) funds by the California Department of Housing and Community Development (CA HCD). In November 2016, Meta Housing was competitively awarded 9% Low Income Housing Tax Credits (LIHTC). Under normal circumstances a LIHTC allocation is the final piece of financing needed for a project to move forward. However, since the November 2016 presidential elections, anticipated federal tax reform has upended LIHTC equity markets and resulted in a financial gap that, absent additional funds, renders the project infeasible. On December 14, 2016, Meta Housing submitted a request for an additional $3.1 in City funds due to the financial gap created by lower tax credit equity pricing and rising interest rates. The request was submitted to KMA for review. In December of 2016, City staff informed Meta Housing of other alternatives such as a hybrid 9 percentA percent tax credit structure proposed by the California Tax Credit Allocation Committee. Meta Housing applied and was unsuccessful in securing the hybrid tax credits. On March 1, 2017, KMA completed a financial gap analysis and determined $2,900,000 as the financial gap for the project if the City required the Developer to defer or forgo $600,000 of the developer fee included in the Project's budget (Exhibit 4). Later as requested by the Ad Hoc Committee, CSG Advisors completed a second opinion financial gap analysis on May 9 and determined $1,481,215 as the financial gap for the project if the City required Meta Housing to contribute a portion of its developer fee to the partnership in the form of a $1 million General Partner Capital Contribution (Exhibit 5). The developer fee would need to be negotiated. 65A-3 Discussion on Four Affordable Housing Development Projects and Options for City Financial Assistance June 1, 2017 Page 4 There are two deadlines tied to the Santa Ana Arts Collective project. The first is Meta must pull their first building permit for the project by July 28, 2017 or they will lose their 9% LIHTC award. The second deadline is the City will forego the $2.26 million in HOME investment Partnership Program funds if they are not committed to the project by September 30, 2017. First Street Apartments, AMCAL Multi -Housing: 1440 East First Street The First Street Apartments project will provide 69 units of affordable workforce housing. The rental units (less one manager's unit) are 100% affordable to family households earning between 30% and 60% of the AMI. The unit mix currently consists of six four-bedroom units, 28 three- bedroom units and 35 two-bedroom units (one being a manager's unit). This project initially applied to the City for financial assistance through a competitive RFP process for project based vouchers (PBVs) and was awarded eight PBVs by the Housing Authority on May 5, 2015. On February 2, 2016, the City Council approved the Planning Commissions' recommendation to direct Heritage Village OC LLC (Heritage Village) inclusionary housing funds to AMCAL and also directed the City Manager to lead discussions on the project. On April 15, 2016, KMA completed a financial gap analysis and determined $8,795,000 as the City's financial assistance (Exhibit 6). On December 20, 2016, the City Council authorized the City Manager to execute a conditional loan commitment letter with AMCAL for $2,600,000 of inclusionary housing in -lieu fees contingent on the City's receipt of an in -lieu fee payment of $2,600,000 from Heritage Village. In addition, the Housing Authority also authorized the drafting of loan agreements in an amount not to exceed $6,195,000 for a total of $8,795,000 pre -committed for the project. On February 21, 2017, staff agendized the City conditional loan and Housing loan agreements for City Council consideration. The City Council tabled the agreements and requested that an Ad Hoc Committee review the project as well as other projects in the queue. As requested by the Ad Hoc Committee, CSG Advisors completed a second opinion financial gap analysis on May 12, 2017, and determined $8,522,740 as the financial gap for the project (Exhibit 7). On May 16, 2017, AMCAL submitted a letter informing the City that Heritage Village will not be making the initial payment of $2.6M in In -lieu fees in time for the June 28 tax credit application deadline. The delay in payment was also confirmed by a representative from Heritage Village. As such, AMCAL requests that the City bridge the $2.6M of in in -lieu fees with currently available City affordable housing development funds in order to meet the tax credit application deadline. The developer is preparing to apply for 9 percent competitive tax credits on June 28, 2017. Aqua Housing, Community Development Partners: 317 East 17th Street The Aqua Housing project consists of a 58 -unit new construction permanent supportive housing development, for chronically homeless individuals with wrap-around supportive services provided on-site by Mercy Housing Living Centers. The unit mix currently consists of 15 studio units and 43 one bedroom units for 30% and 60% of the AMI. This project applied to the City for financial assistance through a competitive RFP process for 56 Project Based Vouchers (PBVs) on January 31, 2017. On April 4, 2017, the Housing Authority awarded 25 project -based vouchers to the project. However, the project will need an additional 31 PBVs to be feasible and for the developer to apply for the June 28th 9 percent tax credit 65A-4 Discussion on Four Affordable Housing Development Projects and Options for City Financial Assistance June 1, 2017 Page 5 deadline. Planning staff have been reviewing the project since the approval of the initial 25 PBVs and the City has invested resources in the required NEPA environmental review. On May 22, the Planning Commission approved the entitlements for the project. The developer is preparing to apply for 9 percent competitive tax credits on June 28, 2017 As requested by the Ad Hoc Committee, CSG Advisors is conducting a financial gap analysis for affordable housing development funds in the event that the additional 31 PBV are not awarded. Tiny Tim Plaza, Community Development Partners: 2223 West 5th Street The Tiny Tim Plaza project consists of a 51 -unit new construction affordable housing development targeting low-income families making 30%-60% AMI, including 5 units targeting at - risk homeless families. This development was identified as one of the projects in the queue and as such, on February 28, 2017, the Ad Hoc Committee requested a financial gap analysis be conducted to determine the financial assistance for the project. On May 18, 2017, the developer, Community Development Partners, requested that the City commit affordable housing funds during the month of June as the commitment will provide for a favorable outcome in the acquisition of land and closing of escrow tentatively scheduled for July. On May 24, as requested by the Ad Hoc Committee, CSG Advisors completed the financial gap analysis and determined $11.7 million as the financial gap for the project (Exhibit 8). The project will apply for 4 percent non-competitive tax credits in October 2017. Currently, the project is in planning development review and anticipated to be reviewed by the Planning Commission on September 11, 2017. Planning staff estimates that the project will be agendized for City Council consideration on October 3, 2017. Additional Ad Hoc Committee Recommendations: The Ad Hoc Committee recommended that the City Council direct staff to develop a policy and criteria for the allocation of future affordable housing development funds. It is anticipated that future federal funding for affordable housing may degrease requiring the City to prioritize projects for funding. The selection criteria would include elements such as; 1) affordability, 2) number of units, 3) operating costs to tenants, and 4) gap analysis. Upon the direction of the City Council, staff will conduct research and prepare options and recommendations for City Council consideration at a later date. Regarding the availability of affordable housing development funds, the Ad Hoc recommended that staff provide the City Council with the current available funds on hand and to estimate future funding. As provided in the May 2, 2017 quarterly report of Housing division projects and activities, the currently available affordable housing development funds amount is $18,661,468. This value includes Housing Successor Agency, Inclusionary Housing, HOME program and CDBG available funds as detailed in exhibit 1. In addition, staff estimates that the City will receive future Inclusionary Housing Funds from the Heritage Project (est. $9.7M) and 421 N. Harbor Blvd mixed use market -rate development project (est. $717,388). The future sale of Housing Successor Agency properties (four developable sites) may generate an estimated $4 65A-5 Discussion on Four Affordable Housing Development Projects and Options for City Financial Assistance June 1, 2017 Page 6 million. Lastly, the allocation of 2017-18 CDBG funds for multi -family housing will provide an additional $300,000 and is dependent on the allocation of federal funds. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods), Strategy C (Provide that Santa Ana residents, employees, artists and veterans receive priority for affordable housing created under the City's Housing Opportunity Ordinance or with City funding to the extent allowed under state law). FISCAL IMPACT There is no fiscal impact associated with this item. However, the allocation of affordable housing development funds and housing assistance payments will require City Council approval of loan agreements and fiscal impact approval. Robert C. Cortez Deputy City Manager City Manager's Office Exhibits: 1. Available Funds for Affordable Housing Development Projects 2. Restrictions and Uses of Funds 3. Development Schedules for Affordable Housing Projects 4. KMA Analysis for the Santa Ana Arts Collective 5. CSG Advisors Analysis for the Santa Ana Arts Collective 6. KMA Analysis for the First Street Apartments 7. CSG Advisors Analysis for the First Street Apartments 8. CSG Advisors Analysis for Tiny Tim Plaza 65A-6 Exhibit 1 Available Funds for Affordable Housing Development Projects As of March 31, 2017 Housing Successor Agency (Housing Authority) $14,602,716 Cash on Hand ($789,853) Reconciling amount (ROPS Projects) ($338,032) Habitat for Humanity Disposition and Development Agreement ($250,000) Administrative Costs Allowance 1 $13,224,831 Available Funds Inclusionary Housing Funds $6,625,980 Cash on Hand 2 ($2,061,381) Santa Ana Arts Collective Pre -Commitment Loan & Associated Project Costs s ($98,594) Administrative Costs Allowance (CDA/PBA) $4,466,005 Available Funds ('Excludes $9,695,725.60 anticipated from Heritage Village) HOME Program $2,923,410 Funds to Drawdown ($2,260,000) Santa Ana Arts Collective Pre -Commitment Loan ($332,778) Community Housing Development Organizations (CHDO) Set -Aside 4 $330,632 Available Funds to Drawdown CDBG Program (Acquisition/Rehabilitation Projects Only) 5 $1,140,000 Funds to Drawdown ($500,000) Santa Ana Arts Collective Pre -Commitment Loan $640,000 Available Funds to Drawdown $ 18,661,468 Total Available Funds The Housing Successor Agency relies on available cash to fund the monitoring and compliance functions related to the former Redevelapmenl Agencys housing loans. I Includes $757,600 payment from the Ventam Walk project (1506 W. 1st Street) received in March 2017. ' Pre -man amount is $1,875,000. 4 The 5332,778 includes funds currently available as noted in the February 7, 2017 City Council Agenda item 25C. An additional $171,771.60 Is estimated in future funding. ' All unencumbered funds at fiscal year end are expected to be rolled over to the Unappropriated Balance for CDBG Capital Projects in FV 17118. 65A-7 65A-8 EXHIBIT 2 RESTRICTIONS AND USES OF AFFORDABLE HOUSING FUNDS Housina Successor Aaencv (Housing Authori The Housing Authority assumed the role of the Housing Successor Agency to the former Redevelopment Agency when the Redevelopment Agency was dissolved in February 2012, which includes the funds and properties in the Low and Moderate Income Housing Asset Fund. Funds must be used to develop, acquire, rehabilitate, acquire long-term affordability covenants for, or preserve lower income housing (at or below 80% of the area median income (AMI)). At least 30% of the funds must be spent on extremely low income housing (at or below 30% AMI) and no more than 20% of the funds may be spent on housing for households earning between 60-80% AMI. These requirements must be met over a 5 -year period. If an agency fails to meet these requirements in any 5 -year period, at least 50% of the funds in each fiscal year must be spent for extremely low income households until the extremely low income target is met. If the agency exceeds the expenditure limits for households earning between 60-80% AMI, the agency is prohibited from spending funds on housing in that income range until the limit is met. Units developed with these funds have the following affordability requirements: 55 -years for rental units and 45 -years for for-sale/ownership units. Rent, affordable sales price and income limits are determined by methodologies set by the State of California. If the Agency has fulfilled all replacement, affordable housing production, and monitoring, database compilation and web site publication requirements, it may spend up to $250,000 per fiscal year on homeless prevention and rapid rehousing services. Inclusionary Housing Funds The City's Inclusionary Housing Ordinance prescribes the use of the monies deposited into the Inclusionary Housing Fund, which are to "be used to increase and improve the supply of housing affordable to Moderate, Low, Very Low and Extremely Low Income Households in the City". Funds shall be used in accordance with the City's Housing Element, Consolidated Plan, or subsequent plan adopted by the City Council to construct, rehabilitate, or subsidize affordable housing or assist other government entities, private organizations, or individuals to do so. The Inclusionary Housing Fund may be used for the benefit of both rental and owner - occupied housing. Eligible uses include, but are not limited to, assistance to housing development corporations, equity participation loans, grants, pre -home ownership co - 65A -9 investment, pre -development loan funds, participation leases, or other public-private partnership arrangements. HOME Investment Partnerships Proaram (HOME) Funds HOME eligible program activities include: (1) Homeowner Rehabilitation; (2) Homebuyer Activities; (3) Rental Housing; and (4) Tenant -Based Rental Assistance (TBRA). For affordable housing development, the City of Santa Ana provides HOME funds as a loan to affordable housing developers, with a 3% interest rate for a 55 -year term repaid by residual receipt payments. HOME funds can be used for the following costs: new construction projects; rehabilitation; reconstruction; conversion; site improvements; acquisition of property; acquisition of vacant land; demolition; relocation costs; refinancing; capitalization of project reserves; and project -related soft costs. Prohibited activities and costs under the HOME program include: project reserve accounts; TBRA for certain purposes; match for other federal programs; public housing; acquisition of city -owned property; payment of delinquent taxes, fees, or charges; and project -based rental assistance. Requirements for HOME -funded projects include, but are not limited, to the following requirements. HOME funds must be used for households at or below 80% AMI with HOME rents determined annually by U.S. Department of Housing and Urban Development (HUD). HOME -funded properties must meet certain minimum property standards, which are outlined in the City's Property Standards. The HOME affordability period is 5 to 20 years depending on the HOME assistance; however, the City's affordability period is 55 -years for all rental projects. The City monitors these units during the affordability period for compliance through on-site physical inspections, review of tenant files and programmatic requirements, and annual reports. The City is required to meet prescribed timeliness requirements to commit within 2 -years and expend within 5 -years of receiving the HOME funds. Allocation of funds must go through a competitive Request for Proposals (RFP) process per 24 CFR PART 85 Administrative Requirements for Grants. Community Development Block Grant (CDBG) Funds CDBG eligible program activities related to housing include: (1) homeowner assistance; (2) rental rehabilitation activities; (3) homeowner rehabilitation activities; (4) housing services in connection with the HOME Program; and (5) acquisition of existing housing. Prohibited activities and costs under the CDBG program, as related to affordable housing development, includes: operating and maintenance expenses, and new housing construction projects. 65A-10 For multi -family rental housing, at least 51 % of the units must be occupied by low- or moderate -income households. Qualified households must have incomes at or below 80% of the AMI. All CDBG-assisted rental units must bring the properties up to local codes and standards. The City monitors rental units through on-site physical inspections, review of tenant files and programmatic requirements, and annual reports. Allocation of funds must go through a competitive RFP process per 24 CFR PART 85 Administrative Requirements for Grants. Project -Based Voucher (PBV) Funds: Project -based vouchers are a component of a public housing authority's (PHA) Housing Choice Voucher Program. A PHA can attach up to 20 percent of its voucher assistance to specific housing units if the owner agrees to either rehabilitate or construct the units, or the owner agrees to set-aside a portion of the units in an existing development. Funding for project -based vouchers comes from funds already obligated by HUD to a PHA under its annual contributions contract (ACC). The PHA can use up to 20 percent of its housing choice vouchers for project based vouchers. Under the tenant -based Housing Choice Voucher Program, the PHA issues an eligible family a voucher and the family selects a unit of its choice. If the family moves out of the unit, the contract with the owner ends and the family can move with continued assistance to another unit. Under the project -based voucher program, a PHA enters into an assistance'contract with the owner for specified units and for a specified term. The PHA refers families from its waiting list to the project owner to fill vacancies. Because the assistance is tied to the unit, a family who moves from the project -based unit does not have any right to continued housing assistance. However, they may be eligible for a tenant based voucher when one becomes available. Allocation of funds must go through a competitive RFP process per 24 § 983.51. 65A-11 65A-12 EXHIBIT 3 Santa Ana Arts Collective Project Schedule Milestone Date City RFP Award 11/3/2015 Escrow Land Closing Date 1/11/2016 PlanningCommission Approval of Entitlements 5/9/2016 9% Tax Credit Application Submittal 6/28/2016 19% Tax Credit Allocation Award 11/16/20161 Estimated Tax Credit Partnership Closing 7/28/2017 Estimated Construction Start 7/28/2017 Estimated Construction Completion 10/28/2018 65A-13 EXHIBIT 3 First Street Apartments Project Schedule Milestone Date City Council Approval of Project Based Section 8 Vouchers 5/5/2015 Escrow Land Closing Date 8/31/2015 Planning Commission Approval of Entitlements _ 3/28/2016 Estimated 9% Tax Credit Application Submittal 6/28/2017 [ Estimated 9% Tax Credit Allocation Award 9/20/2017 Estimated Tax Credit Partnership Closing 2/28/2018 Estimated Construction Start 2/28/2018 Estimated Construction Completion 9/1/2019 65A-14 EXHIBIT 3 Aqua Housing Project Schedule Milestone Date City RFP Award of 25 Project Based Vouchers 4/4/2017 Planning Commission Approval of Entitlements 5/22/2017 Estimated 9% Tax Credit Application Submittal 6/28/2017 Estimated Escrow Land Closing 6/29/2017 Estimated PBV AHAP Executed 11/15/2017 Estimated Construction Start 2/15/2018 Estimated Construction Completion 4/1/2019 65A-15 EXHIBIT 3 Tiny Tim Plaza Project Schedule Milestone Date Estimated Acquisition of Property July 2017 j Estimated Planning Commission Approval of Entitlements 9/11/2017 Estimated 4% TE Bond / LIHTC Award 12/13/2017 Estimated Tax Credit Partnership Closing 6/11/2018 Estimated Construction Start 6/11/2018 Estimated Construction Completion 9/15/2019 65A-16 MGM. kWJ KEYSER MARSTON ASSOCIATES- ADVISORSIN PUBLIC/PRIVATE REAL ESTATE DEVELOPMENT MEMORANDUM ADvIsoRS IN: Real Estate To: Judson Brown, Housing Division Manager Redevelopment Affordable Housing City of Santa Ana Economic Development SAN FBANciSCO A. Jerry Keyser From: Kathleen Head Timothy C. Kelly Tim Bretz Kate Earle Funk Debbie M. Kern Reed T. Kawahara David Doezema cc: Natalie Verlinich, Housing Programs Analyst Los ANGELES Kathleen H. Head Date: March 1, 2017 James A. Rabe Gregory D. Soo -Hoo Kevin E. Engstrom Subject: Santa Ana Arts Collective: Financial Gap Analysis Julie L. Romey SAN DIEGO Paul C. Marra At your request, Keyser Marston Associates, Inc. (KMA) prepared a financial gap analysis for the Santa Ana Arts Collective project being proposed by Meta Housing Corporation (Developer). The purpose of the KMA analysis is to quantify the maximum amount of financial assistance necessary to provide the proposed affordable housing units. EXECUTIVE SUMMARY The Developer acquired an existing office building located at 1666 North Main Street (Site) and is proposing to convert the building through adaptive reuse into a 58 -unit apartment project (Project). Fifty-seven (57) of the units will be subject to long-term income and affordability covenants, and one unit will be provided to an on-site manager. The Developer proposes to target a tenant population that consists of working artist families. Previous Financial Assistance Request The Developer submitted an initial proposal for the Project in Fall 2015. In that proposal, the Developer requested $4.64 million in financial assistance from the City of Santa Ana (City). KMA reviewed the Developer's proposal and confirmed that the financial assistance request was warranted by the Project economics at that time. S00 SOUTH GRAND AVENUE, SUITE 1480: LOS ANGELES, CALIFORNIA 90071 % PHONE 213.622.8095 W W W.KEYSERMARSTON.COM 65A-17 1703001:SNA:TRB 19090.014.007 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 2 Additional Financial Assistance Request Between 2015 and the present, a number of factors created an additional financial gap. The Developer estimates this gap at $3.49 million. If the City fills this increased gap, the City's total financial assistance would be increased to $8.13 million.' The Developer is currently pursuing to options for obtaining increased outside funding. If they are successful, the unfunded gap will be eliminated. If additional outside funding cannot be obtained, at a minimum, KMA recommends that the City require the Developer to defer or forgo $600,000 of the $2.0 million Developer Fee that is included in the Project budget. This would decrease the Project's unfunded financial gap to approximately $2.90 million. In that case, the City's total financial assistance would equal approximately $7.54 million. BACKGROUND Outside Funding Sources The following outside funding sources are proposed to be used to finance the Project: 1. A conventional permanent loan; 2. The Federal 9% Low Income Housing Tax Credits (9% Tax Credits) that are competitively awarded by the California Tax Credit Allocation Committee (TCAC); and 3. Funding from multiple programs within the Affordable Housing and Sustainable Communities Program (AHSC) administered by the California Department of Housing and Community Development (HCD). Reasons for Additional Financial Assistance Request The Developer provided the following primary reasons for the unfunded financial gap: Development Cost Increases The total development costs in the Developer's Fall 2015 proposal were estimated at $26.56 million. The Developer is currently estimating the total development costs at $34.18 million, ' It is our understanding that the City has not determined the specific breakdown of City funds that would be utilized to fulfill the Developer's financial assistance request. 1703001:SNA:TRB 19090.014.007 65A-18 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 3 which equates to an approximately $7.6 million increase in development costs. The Developer provided the following reasons for the increase in development costs: 1. The Project includes the acquisition of an existing office building that was 50% occupied at the time of purchase. Many of these tenants had termination options in their leases, which the Developer did not anticipate. Relocation costs were underestimated by approximately $828,000. 2. The AHSC Program is requiring a $1.29 million bike lane as a part of the funding commitment that was not included in the original proposal. However, it is important to note that the AHSC Program is providing a $1.29 million grant to off -set these costs. 3. The scope of construction necessary to convert the existing office building into a residential use was underestimated in the original proposal. 4. Labor and materials costs have increased significantly over previous years. As a result, current cost estimates are substantially higher than the cost estimates obtained for the original proposal. KMA concurs with statement. Tax Credit Equity Rate Decreases Due to uncertainties related to prospective corporate tax changes, the financial markets are currently experiencing substantial volatility. This uncertainty is creating direct impacts on the Tax Credit equity markets, both in terms of demand and pricing. Given this uncertainty, Tax Credit equity rates have dropped significantly. The Project was previously assuming a Tax Credit equity rate of $1.07 per gross Tax Credit dollar. Currently, the Developer is estimating the Tax Credit equity rate at $0.99 per gross Tax Credit dollar. This estimate is validated by the fact that the majority of the projects that KMA is currently reviewing are estimating Tax Credit equity rates between $0.95 to $1.00 per gross Tax Credit dollar. AHSC Program Requirements Affordability Mix To be more competitive for the AHSC Program, the Developer altered the affordability mix of the original proposal to include a larger number of units restricted to extremely -low and very - low income households. This decreased the Project's net operating income, which in turn, decreased the conventional permanent loan that could be supported by the Project. 1703001:SNA:TRB 65A-19 19090.014.007 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 4 AHSC Loan Limits In October 2016, the Developer was awarded $7.80 million in capital funds from the AHSC Program. However, AHSC Program Loan Limits are primarily based on the type of Tax Credits utilized, and 9% Tax Credit projects must utilize lower loan limits than 4% Tax Credit projects. When the Project was awarded 9% Tax Credits in November 2016, the AHSC award was reduced by approximately $3 million —from $7.80 million to $4.90 million. POTENTIAL FUNDING SOURCES FOR THE UNFUNDED FINANCIAL GAP Additional Funding Sources The Developer is pursing two options to obtain additional funding from outside funding sources. If the Developer is successful with either of the two outside funding options, it is anticipated that the Project will not exhibit an unfunded financial gap. As such, the Developer would not request additional funds from the City. The two options being pursued are as follows: 9% Tax Credit /4% Tax Credit Hybrid structure The volatility in the Tax Credit markets, and the subsequent drop in Tax Credit equity rates, have created additional financial gaps for many Tax Credit projects. To mitigate this loss, TCAC is proposing to create a 99,6/4% Hybrid Structure to help fund a portion of impacted projects' financial gaps. This structure requires the developer to subdivide or legally separate a project into two separate projects with one project receiving the awarded 9% Tax Credits and the other project receiving a new award of 4% Tax Credits. The creation of a separate 4% Tax Credit project generates additional Tax Credit equity. However, this structure has never been undertaken before, and thus, there are many uncertainties regarding its viability. The AHSC award also creates potential impediments to using this proposed hybrid Tax Credit structure. The Developer is corresponding with HCD regarding the following issues: 1. Given that the Project would need to be legally separated into two projects, the AHSC award would also need to be separated. HCD has no programmatic process to accomplish this, and is uncertain if they have the flexibility to implement a new process. 2. HCD will require separate deeds of trust for the 9% project and the 4% project. The Developer's legal counsel advised that it may be difficult to obtain approval of this structure from HCD's legal counsel. The Developer has not yet obtained a definitive answer from HCD as to whether this is a viable option. If the Developer can pursue this structure, it is likely that it will produce sufficient 1703001:SNA:TRB 19090.014.007 65A-20 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 5 additional financing to fill the Project's unfunded financial gap. In that case, the Developer would not need any additional financial assistance from the City. If it is determined that this structure is viable, KMA recommends re -analyzing a more finalized version of the Developer's pro forma to ensure that the City's previous financial assistance package is still warranted by the Project economics. Increase in AHSC Program Funds As discussed above, the Developer was required to utilize 9% Tax Credit Loan Limits, and subsequently reduce the amount of the original AHSC award. However, due to the decrease in Tax Credit equity rates being experienced by all Tax Credit projects, the Developer is working with HCD to allow the Project to use the higher 4%Tax Credit Loan Limits rather than the 9% Tax Credit Loan Limits. If HCD approves this request, the Project will not require additional funds from the City. No Additional Outside Financial Assistance Given the uncertainty of successfully obtaining additional funding through either of the two options outlined above, the Developer is requesting $3.49 million in additional financial assistance from the City. Developer Proposal KMA analyzed the information provided by the Developer, and prepared a financial gap analysis for the Project. The following table compares the KMA and Developer financial gap estimates based on the assumption that no additional outside funding sources are available: Developer KMA Difference Total Development Cost $34,178,000 $34,145,000 $33,000 Available Funding Sources 30,687,000 30,694,000 ($7,000) Unfunded Financial Gap $3,491,000 $3,451,000 $40,000 As shown in the preceding table, based on the Developer's proposal, KMA estimates the Project's unfunded financial gap at $3.45 million. Comparatively, the Developer is requesting $3.49 million in additional financial assistance from the City. This equates to a $40,000, or less than 1% differential, which can be considered inconsequential. 1703001:SNA:TRB 65A-21 19090.014.007 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 6 KMA Recommendation The Project's budget includes a $2.0 million Developer Fee, which is the maximum amount allowed for 9% Tax Credit transactions. If the Developer is unable to obtain additional outside funding, KMA recommends that the City require the Developer to defer or forgo the $600,000 component of this Fee that exceeds the $1.40 million that can be included in the Project's Tax Credit eligible basis. This would decrease the Project's unfunded financial gap to approximately $2.90 million. The City previously committed $4.64 million to the Project. If the City grants the Developers request for $3.49 million in additional financial assistance, the City assistance package would total $8.13 million. If the City requires the Developer to defer or forgo $600,000 of the Developer Fee, the City's assistance would total $7.54 million. PROJECT DESCRIPTION The proposed scope of development can be described as follows: 1. The Site is comprised of 1.0 acre, or 43,560 square feet of land area. 2. The 58 -unit Project represents a density of 58 units per acre. 3. The Project's unit mix is as follows: 4. The existing building is five stories in height and consists of approximately 66,800 square feet of gross building area (GBA). 5. The existing building contains a 142 -space subterranean parking garage. 6. The Project's proposed affordability mix is as follows: 1703001:SNA:TRB 19090.014.007 65A-22 Number of Unit Size Units (SF) One -Bedroom Units 26 550 Two -Bedroom Units 15 871 Three -Bedroom Units 17 1,252 Total / Weighted Average 58 839 4. The existing building is five stories in height and consists of approximately 66,800 square feet of gross building area (GBA). 5. The existing building contains a 142 -space subterranean parking garage. 6. The Project's proposed affordability mix is as follows: 1703001:SNA:TRB 19090.014.007 65A-22 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 7 Low HOME/ AHSC / Tax Credit @ 30% Median 20 Low HOME/ AHSC / Tax Credit @ 35% Median 6 Low HOME / AHSC / Tax Credit @ 40% Median 6 Low HOME/ AHSC/ Tax Credit @ 60% Median 25 Unrestricted On -Site Manager's Unit 1 Total Units FINANCIAL GAP ANALYSIS m KMA prepared pro forma analysis to assist in evaluating the Developer's proposal assuming that no additional financial assistance from outside funding sources can be obtained. The analysis is located at the end of this memorandum, and is organized as follows: Table 1: Estimated Development Costs Table 2: Stabilized Net Operating Income Table 3: Unfunded Financial Gap Calculation Estimated Development Costs (Table 1) KMA reviewed the Developer's development cost estimate, and then independently prepared a pro forma analysis for the Project. The development cost estimates used in this analysis are as follows: Property Assemblage Costs The following summarizes the property assemblage costs: 1. The purchase price for the Site was $7.20 million. The Developer submitted an appraisal prepared by BC Valu on August 21, 2015 that estimated the market value of the Site at $7.15 million, which is approximately equal to the purchase price. 2. The building was approximately 50% occupied with office tenants when it was acquired by the Developer, and the Developer initially estimated the relocation costs for these tenants at $782,000. However, the Developer has since stated that there are lease 1703001:sNA:TRB 65A-23 19090.014.007 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 8 termination options that were understated by the Developer's appraiser. The Developer currently estimates these costs at $1.61 million.' 3. The Developer included $30,000 in closing costs. The total property assemblage costs are estimated at $8.84 million. Direct Costs The direct costs estimates assume that the Project will be subject to prevailing wage requirements. The direct costs applied in this analysis can be summarized as follows: 1. The Developer estimates the AHSC infrastructure costs at $1.29 million. 2. The Developer estimates the City -required off-site improvement costs at $1.13 million. City staff should verify the scope and accuracy of the off-site improvements required to serve the Project. 3. The Developer did not include a specific line item estimate for on-site improvement costs. It is assumed these costs are included in the residential building costs line item. 4. The Developer estimates the residential building costs are estimated at $207,100 per unit, or $12.01 million. 5. The Developer included a $275,000 allowance for furnishings, fixtures and equipment. 6. A 10% allowance for contractorfees and general requirements is provided. 7. An allowance for construction bonds / general liability insurance at 2% of construction costs is provided. 8. A direct cost contingency allowance equal to 5% of other direct costs is provided. KMA estimates the total direct costs at $17.26 million. This equates to $297,500 per unit.' ' The Developer provided a breakdown of relocation payments that total $1.41 million. KMA assumes that the additional $200,000 in costs are related to administering relocation activities. 3 The Developer originally provided independently prepared cost estimates that range from $12.81 to $15.13 million for off -sites, building, contractor and insurance costs. The Developer currently estimates these costs at $14.36 million, however, contractors' bids have not yet been obtained for the Project. 1703001:SNA:TRB 19090.014.007 65A-24 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 9 Indirect Costs KMA utilized the following assumptions in estimating the indirect costs: 1. The architecture, engineering and consulting costs are estimated at 10% of direct costs. 2. The Developer estimated the public permits and fees costs at $1.40 million, or $24,080 per unit. City staff should verify the accuracy of this estimate. 3. The taxes, insurance, legal and accounting costs are estimated at 3% of direct costs. 4. An approximately $1,000 per unit allowance for marketing and leasing costs is provided. 5. The Developer Fee is set at $2.0 million, which is the maximum amount allowed for the Project by TCAC. 6. An indirect cost contingency allowance equal to 5% of other indirect costs is provided. KMA estimates the total indirect costs at $5.99 million. Financing Costs The financing costs for the Project are estimated as follows: 1. The Developer estimates the interest costs for the acquisition / predevelopment loan at $617,000. This estimate is based on a $6.04 million loan amount, a 15 -month predevelopment period, an 18 -month construction period, and a 5% interest rate. 2. The interest costs on the construction loan are estimated at $855,000. These costs are based on the following assumptions: a. The construction period interest costs are based on a 3.52% interest rate, an 18 - month construction period, and a 60% average outstanding balance. b. The absorption period interest costs are based on a three-month absorption period and a 100% average outstanding balance. The financing fees are estimated at $349,000, and are based on 1.50 points for the construction and permanent loans. 1703001:SNA:TRB 65A-25 19090.014.007 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 10 4. A $146,000 capitalized operating reserve is provided. This equates to three months of operating expenses and debt service payments on the permanent loan supported by the Project's income. 5. The Tax Credit fees are estimated at $97,000 based on the following: a. A $2,000 application fee; b. A $410 per unit monitoring fee; and C. Four percent (4%) of the gross Tax Credit proceeds for one year. KMA estimates the total financing costs at $2.06 million. Total Development Costs As shown in Table 1, KMA estimates the total development costs at $34.15 million, which equates to approximately $588,700 per unit. In comparison, the Developer estimates the total development costs at $34.18 million, or $589,300 per unit. This equates to a less than 1% differential, which can be considered inconsequential. Stabilized Net Operating Income The Project's funding sources are likely to include City Housing Opportunity Ordinance (H00) in - lieu fees, HOME Program funds, CDBG funds, AHSC funds, and 9% Tax Credits. The Project's income and affordability standards must comport with the most stringent of the following standards: 1. Income Restrictions: The tenants' household incomes cannot exceed the strictest of: a. HOME Program income restrictions as defined under United States Code, Title 26, Section 142(d)(2)(B). b. Federal Low Income Housing Tax Credits income restrictions defined under United States Code, Title 26, Section 142(d)(2)(B). 2. Affordability Restrictions: Rents applied to all the units must reflect the most stringent of: a. HOME Program rents published annually by HUD; and b. Tax Credit rents published annually by TCAC. 1703001:SNA:TRB 19090.014.007 65A-26 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 11 Achievable Rent Income The rents used in this analysis are based on 2016 information published by TCAC and the HOME Program. The maximum allowable rents, net of the appropriate utility allowances, are estimated as follows:' 4 The monthly utility allowances are estimated at: $42 for one -bedroom units; $52 for two-bedroom units; and $79 for three-bedroom units. 1703001:SNA:TRB 65A-27 19090.014.007 One- Two- Three - Bedroom Bedroom Bedroom Rent Restriction Units Units Units Low HOME / TC @ 30% Median HOME Rents $872 $1,045 $1,188 TCAC Rents $506 $606 $681 Applicable Rents $506 $606 $681 Low HOME / TC @ 35% Median HOME Rents $872 TCAC Rents $598 Applicable Rents $598 Low HOME / TC @ 40% Median HOME Rents $872 TCAC Rents $689 Applicable Rents $689 Low HOME / TC @ 60% Median HOME Rents $1,395 $1,584 TCAC Rents $1,265 $1,442 Applicable Rents $1,265 $1,442 4 The monthly utility allowances are estimated at: $42 for one -bedroom units; $52 for two-bedroom units; and $79 for three-bedroom units. 1703001:SNA:TRB 65A-27 19090.014.007 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 12 KMA estimates the Project's gross residential income at $639,100, which includes laundry and miscellaneous income averaging $10 per unit per month. After applying a S% vacancy and collection allowance, KMA estimates the resulting effective gross income at $607,100. The residential operating expenses are estimated as follows: 1. Based on the Developer's estimates, the general operating expenses are estimated at $5,990 per unit per year. 2. KMA assumes the Developer will apply for the property tax abatement that is accorded to non-profit housing organizations that own and operate low income apartments. The Developer estimates the property tax assessment overrides at $2,500 per year. 3. The Developer estimates the social services costs at $40,000 per year. 4. The AHSC Program requires mandatory annual debt service payments equal to .42% of the Affordable Housing Capital Loan amount. The annual debt service payment is estimated at $20,800 based on a $4.94 million loan amount. 5. The annual capital replacement reserve deposit is estimated at $600 per unit per year, which is assumed to be a requirement of the AHSC Program. As shown in Table 2, the residential operating expenses are estimated to total $445,500, or approximately $7,680 per unit. When the Project's effective gross income is reduced by the residential operating expenses, KMA estimates the stabilized net operating income at $161,600. Available Funding Sources The available funding sources committed to the Project can be described as follows: Conventional Permanent Loan To estimate the maximum permanent loan that can be supported by the Project's stabilized net operating income, KMA assumed that the loan would be underwritten at a 117% debt service coverage ratio, a 5.65% interest rate, and a 35 -year amortization period. Based on these assumptions, KMA estimates that the $161,100 in stabilized net operating income can support a $2.10 million permanent loan. Tax Credit Proceeds In November 2016, the Project was awarded gross Tax Credits with a value of $17.90 million paid out over a 10 -year period. These Tax Credits are sold on the secondary market, and the net 1703001:SNA:TRB 19090.014.007 65A-28 Judson Brown, City of Santa Ana Santa Ana Arts Collective: Financial Gap Analysis March 1, 2017 Page 13 syndication value is ultimately determined based on competitive market conditions and on the timing of the disbursements. Based on currently available information, KMA and the Developer estimate the proceeds at $0.99 per gross Tax Credit dollar. As such, the total net Tax Credit proceeds are estimated at $17.70 million. AHSC Program Funds The Developer received a total of $6.26 million in funding from the AHSC Program. The specific sources for these funds are as follows: 1. A $4.94 million AHSC Affordable Housing Capital Loan; 2. A $1.29 million AHSC Sustainable Transportation Infrastructure (STI) Grant; and 3. A $23,000 AHSC Program Activities (PRG) Grant. Deferred Developer Fee The Developer did not include a deferral of any portion of the Developer Fee as a funding source forthe Project. However, KMA does not agree with this assumption, which is discussed subsequently in this memorandum. Previous City Commitment The City previously committed to provide $4.64 million in financial assistance to the Project. Total Available Funding Sources As shown in Table 3, KMA estimates the total available funding sources at $30.69 million. Unfunded Financial Gap Calculation Based on the assumptions outlined in this analysis, KMA estimates the Project's financial gap as follows: Total Development Costs $34,145,000 (Less) Total Available Funding Sources (30,694,000) Unfunded Financial Gap $3,451,000 Per Unit $59,500 1703001:SNA:TRB 65A-29 19090.014.007 Judson Brawn, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 14 The Developer is requesting $3.49 million in additional financial assistance from the City, which is $40,000 more than the unfunded financial gap identified in the KMA financial analysis. This less than 1% differential can be considered inconsequential. As such, KMA concludes that the Developer's request for $3.49 million in financial assistance is warranted by the Project economics under the following assumptions: 1. No additional financial assistance from outside funding sources is available; and 2. The City does not require the Developer to defer any of the Developer Fee included in the Project's budget. Deferred Developer Fee Under the TCAC regulations, the proposed Project can include a Developer Fee of up to $2.0 million in the Project's budget. However, for 9% Tax Credit projects, TCAC only allows up to $1.40 million of the Developer Fee to be included in the Project's eligible Tax Credit basis. As such, any amount of Developer Fee above $1.40 million does not generate Tax Credit equity for the Project, and unless this portion of the Developer Fee is deferred, it directly adds to the Project's financial gap. Given the Developer's request for additional financial assistance from the City, KMA recommends that the $600,000 of the total $2.0 million Developer Fee (the amount above $1.40 million) be deferred and repaid out of the Project's cash flow, or be given up by the Developer. This requirement would decrease the unfunded financial gap to approximately $2.90 million, which is approximately $600,000 less than the Developer's additional financial assistance request. It should be noted that the IRS requires the deferred Developer Fee to be repaid within 15 years. If the total deferred Developer Fee is not repaid within 15 years, there will be tax ramifications for the limited partnership that purchased the Tax Credits. KMA estimates that the Project's cash flow supports the repayment of approximately $188,000 during the first 15 years. Thus, the Developer may decide to do one of the following: 1. Set the Developer Fee at $2.0 million, and defer $600,000 of that Fee. In this case the Developer and limited partner would be taking the risk that the full amount of the deferral will not be able to be paid from the Project's cash flow within 15 years. That will trigger tax consequences unless the Tax Credit investor and/or the Developer step in to fund the shortfall. 1703001:SNA:TRB 19090.014.007 65A-30 Judson Brown, City of Santa Ana March 1, 2017 Santa Ana Arts Collective: Financial Gap Analysis Page 15 2. Set the total Developer Fee at $1,588,000, and defer $188,000 of this amount. In this case, it is projected that sufficient cash flow will be generated within 15 years to repay the entire deferred amount. CONCLUSIONS The following summarizes the conclusions KMA has derived from the preceding analysis: 1. KMA recommends that the City require the Developer to pursue additional financing from the outside funding sources prior to approving the Developer's additional financial assistance request. The two options identified are: a. Pursue TCAC's 9%/4% Hybrid Structure; and b. Pursue utilizing the AHSC 4% Tax Credit Loan Limits instead of the lower AHSC 9% Tax Credit Loan Limits. 2. If the Developer is unable to obtain additional outside funding, KMA estimates the Project's unfunded financial gap as follows: a. KMA recommends that the City require the Developer to defer or forgo $600,000 of the Developer Fee included in the Project's budget. This would decrease the warranted additional financial assistance to $2.90 million. b. If the City does not require the Developer to defer or forgo $600,000 of the total Developer Fee, the Developer's request for $3.49 million in additional financial assistance would be warranted by the Project economics. 3. The City should require the Developer to produce the following documents prior to the disbursement of any City funds: a. The Developer should be required to produce formal contractors' bids for the currently proposed scope of development. b. The Developer estimated that the Project could support a $2.09 million permanent loan. This is based on a 1.17 debt service coverage ratio and lower than typical projected increases in management fees and social services costs. The Developer should be required to provide evidence that $2.09 million in permanent loan funds have been committed to the Project. 1703001:SNA:TRB 19090.014.007 65A-31 TABLE I ESTIMATED DEVELOPMENT COSTS DEVELOPER PROPOSAL: $2.0 MILLION DEVELOPER FEE WITH NO DEFERRAL SANTA ANA ARTS COLLECTIVE SANTA ANA, CALIFORNIA I. Property Assemblage Costs Property Acquisition Costs i 43,560 Sf Land $165 /Sf Land $7,200,000 Relocation Costs 2 1,610,000 Closing Costs 0.4% Purchase Price 30,000 Total Property Assemblage Costs $8,840,000 II. Direct Costs 6 AHSC Infrastructure Costs $1,288,000 Off-site Improvements 1,126,000 On-site Improvements 43,560 Sf Land $0 /Sf Land 0 Residential Adaptive Reuse Costs 4 58 Units $207,100 /Unit 12,012,000 Furnishings, Fixtures & Equipment 275,000 Contractor Fees / General Requirements 10% Construction Costs 1,443,000 Construction Bonds 2% Construction Costs 289,000 Contingency Allowance 5% Other Direct Costs 822,000 Total Direct Costs 58 Units $297,500 /Unit 17,255,000 III. Indirect Costs Arch, Eng, Consulting & Construction Mgt 30% Direct Costs $1,726,000 Public Permits & Fees s 58 Units $24,080 /Unit 1,397,000 Taxes, Insurance, Legal & Accounting 3% Direct Costs 518,000 Marketing & Leasing 58 Units $1,034 /Unit 60,000 Developer Fee 6 9% Eligible Basis 2,000,000 Contingency Allowance 5% Other Indirect Costs 285,000 Total Indirect Costs $5,986,000 IV. Financing Costs Interest During Construction Predevelopment Loan 7 $617,000 Construction Loan a $21,128,000 Loan Amount 3.52% Interest 855,000 Financing Fees Construction Loan $21,128,000 Loan Amount 1.50 Points 317,000 Permanent Loan $2,100,000 Loan Amount 1.50 Points 32,000 Operating Reserve 3 Months Operating Expenses / Debt Service 146,000 TCAC Fees a 97,000 PA Total Financing Costs $2,064,000 r An appraisal prepared on August 21, 2015 by BC Valu estimates the fair market value of the property at $7,150,000. 1 Based on Developer estimate. A relocation plan was not provided for review. ' Estimates assume prevailing wage requirements will be imposed on the Project. ° Based on Developer estimate. A physical needs assessment or contractor's bid was not provided for review. ' Based on Developer estimate. The estimate should be verified by City staff. 6 This is the maximum amount allowed to be included in the Project by TCAC. ' Based on Developer estimate. s Includes debt on the 80% of the Tax Credit Equity which will not be funded during construction. Assumes an 18 -month construction period with a 60% average outstanding balance and a 3 -month absorption period with a 100% average outstanding balance. ' Includes a $2,000 application fee; $410/unit monitoring fee; and 4% of the gross Tax Credit proceeds for one year. Prepared by: Keyser Marston Associates, Inc. n Filename: Meta _22617; PF_9%; trb 65A-32 TABLE 2 STABILIZED NET OPERATING INCOME DEVELOPER PROPOSAL: $2.0 MILLION DEVELOPER FEE WITH NO DEFERRAL SANTA ANA ARTS COLLECTIVE SANTA ANA. CALIFORNIA I. Gross Residential Income' Manager's Unit 1 Unit $0 /Unit/Month $0 Low HOME/AHSC/TC C1 30% Median 1 -Bedroom Units @ (550-Sf) 14 Units $506 /Unit/Month 85,000 2 -Bedroom Units @ (871-Sf) 2 Units $606 /Unit/Month 14,500 3 -Bedroom Units @ (1,252-Sf) 4 Units $681 /Unit/Month 32,700 Low HOME/AHSC/TC @ 35% Median 1 -Bedroom Units @ (550-Sf) 6 Units $598 /Unit/Month 43,100 Low HOME/AHSC/TC @ 40% Median 1 -Bedroom Units @ (550-5f) 6 Units $689 /Unit/Month 49,600 High HOME/AHSC/TC @ 60% Median 2 -Bedroom Units @ (871-Sf) 12 Units $1,265 /Unit/Month 182,200 3 -Bedroom Units @ (1,252-Sf) 13 Units $1,442 /Unit/Month 225,000 Laundry/Miscellaneous Income 58 Units $10 /Unit/Month 7,000 Gross Base Income $639,100 (Less) Vacancy & Collection Allowance 5% Gross Base Income (32,000) Effective Gross Base Income $607,100 II. Operating Expenses General Operating Expenses 58 Units $5,990 /Unit $347,400 Property Taxes 58 Units $43 /Unit 2,500 Services 58 Units $690 /Unit 40,000 HCD Required Debt Service 0.42% AHSC Loan Amount 20,800 Replacement Reserve 58 Units $600 /Unit 34,800 Total Operating Expenses $445,500 III. 1 Net Operating Income $161,600 ' Based on Orange County Incomes distributed by HUD/HCD. As pertinent, the rents are based on those published in 2016 by TCAC, and the HOME Program. Utility Allowances per the Developer: $42 for 1-Bdrm units; $52 for 2-Bdrm units; and $79 for 3-Bdrm units. 3 Based on Developer estimate. Assumes that the Developer will receive the property tax abatement accorded to non-profit housing organizations that develop income -restricted apartments. Prepared by: Keyser Marston Associates. Inc. w �^ ^ Filename: Meta_22517; PF 9%; trb H 33 TABLE 3 FINANCIAL GAP CALCULATION DEVELOPER PROPOSAL: $2.0 MILLION DEVELOPER FEE WITH NO DEFERRAL SANTA ANA ARTS COLLECTIVE SANTA ANA, CALIFORNIA I. Available Fundine Sources Permanent Loan Net Operating Income r $161,600 NO[ (See Table 2) Income Available for Mortgage 1.17 DCR Interest Rate 5.65% Interest Rate Permanent Loan Tax Credit Equity z Gross Tax Credit Value $17,908,000 Syndication Rate $0.99 /Tax Credit Dollar Net Tax Credit Equity AHSC Affordable Housing Capital a AHSC STI a AHSC PRG s Deferred Developer Fee a City of Santa Ana Commitment Total Available Funding Sources II. Unfunded Financial Gap Calculation Total Available Funding Sources (Less) Total Development Costs $137,800 Debt Service 6.56% Mortgage Constant $2,100,000 $17,704,000 $4,944,000 $1,288,000 $23,000 $0 $4,635,000 $30,694,000 $30,694,000 (34,145,000) Unfunded Financial Gap $3,451,000 r Assumes a 35 -year amortization term. z Assumes an $15.9 million requested unadjusted eligible basis, which includes a $776,000 million voluntary basis reduction, a 130% difficult -to - develop premium, a 9.0% Tax Credit rate and an applicable fraction of 100%. a Based on Developer estimate. Prepared by: Keyser Marston Associates, Inc. Q w Filename: Meta_ 22517; PF_9%;it 65A-34 EXHIBIT 5 CSG I advisors 1 Post Street, Suite 575 San Francisco, CA 94104 tel. 415.956.2454 Memorandum To: Judson Brown, City of Santa Ana From: John Hamilton, CSG Advisors Date: May9,2017 Re: Santa Ana Arts Collective Financial Feasibility Review SUMMARY Project Overview and the Proposed Project Meta Housing proposes to develop the Santa Ana Arts Collective (the "Project"), a 58 -unit adaptive reuse of a mid -rise building located in the City of Santa Ana (the "City"). The Project would target artists, and would be affordable to individuals and families earning from 30% AM[ to 60% AM]. The Proposed Financing The Developer proposes to finance the Project though funds committed through the California Housing and Community Development's (HCD) Affordable Housing and Sustainable Communities (AHSC) program, equity from the syndication of 9% federal Low Income Housing Tax Credits (LIHTC), and funds from the City of Santa Ana. The Project has received an allocation of 9% LIHTC from the California Tax Credit Allocation Committee (CTCAC) in the annual amount (for 10 yrs) of $1,790,841; a commitment of $4,635,000 from the City of Santa Ana; and $6,254,630 of funds from AHSC. The Developer has secured senior lender commitments from Wells Fargo (as construction lender) and CCRC (as permanent lender). Conclusion The Project, as analyzed using most recent CTCAC rents and certain budget modifications as proposed by CSG, demonstrates a financial shortfall of ($1,481,215). The City may choose to fill this financing deficit on behalf of the Developer, or require the Developer to pursue other sources. PROJECT FINANCIAL ANALYSIS Project Description Meta Housing (the "Developer"), an experienced developer of affordable housing, proposes an "adaptive reuse" of an existing mid -rise office building. The Project, the Santa Ana Arts Collective, is located at 1666 North Main Street, in Santa Ana. The Developer proposes to convert the building to 58 units (57 affordable units plus 1 unrestricted manager's unit). The Developer proposes to finance the Project with an allocation of 9% low-income housing tax credits (LIHTC), committed funds from the City, and committed funds from HCDs AHSC program. The Developer proposes to target artists as the building's primary residents. The Project would contain affordable units as indicated in Table 1, below. SAN FRANCISCO ATLANTA 65A -36s ANGELES NEW YORK Judson Brown, City of Santa Ana May 9, 2017 Santa Ana Arts Collective Financial Feasibility Pace 2 of 5 Table Restriction (AMI) 30% AM[ (/Low HOME*) 1: Proposed Units and Affordability 1 -Bedroom 2 -Bedroom 3 -Bedroom 5 2 4 Total 11 30%AMI 9 9 35%AMI 6 6 40%AMI 6 6 60% AM] 12 13 25 Manager's Unit 1 1 Total 26 15 17 58 These HOME units will be "floating" i.e., not assigned to specific units est for Funds In addition to the $4,635,000 funds already committed by the City, the Developer has requested additional City financing to eliminate an expected financing deficit. The Developer's budget indicates a financing deficit of approximately $3,500,000. Financial Plan Analysis We have focused our analysis on a review of the Project's sources and uses in the context of the Project's proposed 9% tax credit financing. Table 2, below, provides a consolidated form of the Developer's budget, and modifications proposed by CSG. In creating this analysis and variance, we have used the Developer's assumptions (except as noted) and modeled the Project using the CTCAC application form applicable to the existing credit reservation, updating where necessary (e.g., 2017 rents). Table 2: Variance Analysis of Developer's Budget USES Budoet Item Total Land CostNalue Developer $7,230,000 CSG $7,230,000 Variance Explanation of Variance $0 Total Acquisition Cost $2,413,522 $2,413,522 $0 Total New Construction Costs $13,236,620 $13,236,620 $0 Total Architectural Costs $830,000 $830,000 $0 Total Survey and Engineering $800,000 $800,000 $0 Total Construction Interest and Fees $1,467,534 $1,467,534 $0 Total Permanent Financing Costs $30,934 $37,095 $6,161 origination fee for higher loan amount Total Attorney Costs $205,001 $205,001 $0 Total Reserve Costs $140,564 $140,564 $0 Total Appraisal Costs $5,700_ $5,700 $0 Total Continaencv Cost $1,330.262 $1,330.262 $0 CSG Iadvisors SAN FRANCISCO 65AI-AN • LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 9, 2017 Santa Ana Arts Collective Financial Feasibility Page 3 of 5 Table 2: Variance Analysis of Developer's Budget (Cont.) Budget Item Developer CSG Variance Explanation of Variance Developer has provided documentation supporting $1,486,811 of Relocation costs, Deferred Developer Fee $3,491,484 $269,942 ($3,221,542) rather than the $1,610,00 included in the budget. We have therefore reduced the Total Other Costs488627 $0 JLaL5438 ($123,189) Relocation by the difference (i.e., $123,189) Subtotal Development Costs $32,178,764 $32,061,736 ($117,028) Federal Equity reflects $0.989 net pricing per Developer Overhead/Profit $2.000,000 $2.000.000 $0 developer Notal Project Cost $34,178,764 $34,061,736 _ ($234,055J�_�� SOURCES Increase loan amount assuming 2017 CTCAC rents and underwriting rate of 5.65% CCRC $2,093,389 $2,709,532 $616,143 (consistent with CCRC termsheet) Citv of Santa Ana $4.635.000 $4,635.000 $0 AHSC $22,500 $22,500 $0 AHSC $1,288,000 $1,288,000 $0 AHSC $4.944,130 $4.944.130 $0 4FI NAN C I N G GAP _ _ ($7)_� _ ($1,481,215) Discussion of Table 1 The "Uses" portion of Table 1 shows the Developer's budget, contrasted with necessary modifications proposed by CSG. • Total Permanent Financing Costs: The Developer's budget reflects origination fee of 1% (per CCRC term sheet) of a permanent loan amount of $2,093,389. We have adjusted the fee to reflect a loan amount of $2,709,532 (reflecting higher 2017 restricted rents as published by CTCAC). The loan amount reflects: ➢ Effective Gross Rents $653,243 (per Developer unit mix, 2017 CTCAC rents, and 5% vacancy) > Operatinq Expenses and Reserves ($424,875) Cash Flow Available to Support Debt CSG Iadvisors SAN FRANCISCO 65Aw3Ta LOS ANGELES NEW YORK Correction of deferred fee to net present value of maximum 15 -year cash flow available after asset and partnership Deferred Developer Fee $3,491,484 $269,942 ($3,221,542) management fees. (Proposed) GP Contribution required to net GP Capital Contribution $0 $1,000,000 $1,000,000 $1 M Developer Fee Federal Equity reflects $0.989 net pricing per Federal Tax Credit Equity $17,704,254 $17,711,417 $7,163 - developer _Total Sources $34,178,757_ $32,580,522 ($1,364,180)_ 4FI NAN C I N G GAP _ _ ($7)_� _ ($1,481,215) Discussion of Table 1 The "Uses" portion of Table 1 shows the Developer's budget, contrasted with necessary modifications proposed by CSG. • Total Permanent Financing Costs: The Developer's budget reflects origination fee of 1% (per CCRC term sheet) of a permanent loan amount of $2,093,389. We have adjusted the fee to reflect a loan amount of $2,709,532 (reflecting higher 2017 restricted rents as published by CTCAC). The loan amount reflects: ➢ Effective Gross Rents $653,243 (per Developer unit mix, 2017 CTCAC rents, and 5% vacancy) > Operatinq Expenses and Reserves ($424,875) Cash Flow Available to Support Debt CSG Iadvisors SAN FRANCISCO 65Aw3Ta LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 9, 2017 Santa Ana Arts Collective Financial Feasibility Page 4 of 5 ➢ Required MHP Debt Service 20765 ➢ Available to Support First Mortgage $177,815 ➢ Interest rate/Amortization Term 5.65%/35yrs Total Other Costs: The Developer's budget includes Relocation costs of $1,610,000. However, the Developer has provided supporting documentation for only $1,486,811. We have adjusted the cost to reflect the supporting documentation. The "Sources" portion of the table illustrates proposed corrections to certain of the sources. • CCRC: We have adjusted the CCRC permanent loan to reflect the most recently released 2107 restricted rents, as illustrated below Table 3: 2016 vs 2017 Restricted Rents • Deferred Developer Fee: The Developer budgets shows $3.4M of deferred developer fee. The Developer has indicated that this was intended to demonstrate the size of the financing deficit (the project only can earn, per CTCAC restrictions, a $2M developer fee). • General Partner (GP) Capital Contribution: CSG proposes that the Developer/GP contribute a portion of its Developer Fee to the partnership in the form of a GP capital contribution. This amount is subject to negotiation between the Developer and the City (and may be limited by tax concerns), but is suggested as tool to reduce the remaining financial deficit. Based on the project's cashflows, approximately $371,912 is available to repay of Developer Fee within 14 years. We have discounted the annual cashflows by 4% (i.e., a risk adjustment) in order to derive a net amount of fee to be deferred (i.e., $250,526). The suggested GP capital contribution, when subtracted from the total Developer Fee of $2,000,000, yields the total Developer fee to be paid in cash — to be allocated between the net present value of deferred fee paid over time and cash fee received during development and construction. The amount of suggested GP capital contribution, therefore, equals: ' HUD, 04/2016 2 California Tax Credit Allocation Committee, April 2016 3 California Tax Credit Allocation Committee, April 2017 CSG Iadvisors SAN FRANCISCO 65AL-48 • LOS ANGELES NEW YORK 2016 Low Home Rent AMI (by bedroom 2016 CTCAC 2017 CTCAC Utility Bedroom Size Restriction onl t Rent= Rent' Allowance Net Rent 1 Bedroom 30% $553 $548 $587 $43 $544 1 Bedroom 35% NA $640 $685 $43 $642 _ 1 Bedroom 40% NA $731 $783 $43 $740 2 Bedrooms 30% $1,097 $658 $704 $49 $655 2 Bedrooms 60% NA $1,316 $1,408 $49 $1,359 3 Bedrooms 30% $1,267 $760 _ _ $813 $71 $742 3 Bedrooms 60% NA $1,520 $1,627 $71 $1,556 • Deferred Developer Fee: The Developer budgets shows $3.4M of deferred developer fee. The Developer has indicated that this was intended to demonstrate the size of the financing deficit (the project only can earn, per CTCAC restrictions, a $2M developer fee). • General Partner (GP) Capital Contribution: CSG proposes that the Developer/GP contribute a portion of its Developer Fee to the partnership in the form of a GP capital contribution. This amount is subject to negotiation between the Developer and the City (and may be limited by tax concerns), but is suggested as tool to reduce the remaining financial deficit. Based on the project's cashflows, approximately $371,912 is available to repay of Developer Fee within 14 years. We have discounted the annual cashflows by 4% (i.e., a risk adjustment) in order to derive a net amount of fee to be deferred (i.e., $250,526). The suggested GP capital contribution, when subtracted from the total Developer Fee of $2,000,000, yields the total Developer fee to be paid in cash — to be allocated between the net present value of deferred fee paid over time and cash fee received during development and construction. The amount of suggested GP capital contribution, therefore, equals: ' HUD, 04/2016 2 California Tax Credit Allocation Committee, April 2016 3 California Tax Credit Allocation Committee, April 2017 CSG Iadvisors SAN FRANCISCO 65AL-48 • LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 9, 2017 Santa Ana Arts Collective Financial Feasibility Page 5 of 5 ➢ Total Develooer Fee ➢ Equals Fee to be Paid in Cash (both current and deferred) $1,000,000 ➢ Less ➢ Equals current Developer Fee (i.e., paid during development $749,474 process) The deferred Fee is calculated as the net present value (NPV) of the amounts available to pay deferred developer fee payments over 14 years, discounted at a 4% estimated cap rate for Class A multifamily properties in Santa Ana (Source: Marcus & Millichap Multifamily Research Market Report, Fourth Quarter 2016) Financing Deficit Based on the Sources and Uses as adjusted by CSG, the Project financing demonstrates a ($1,481,215) financing shortfall. The Developer must identify other financing sources — either the City or other sources, such as Federal Home Loan Bank's Affordable Housing Program (AHP) — to alleviate the financing shortfall. Operating Expenses and Operating Pro Forma The Developer proposes annual operating expenses per unit of approximately $6,725 per unit not including reserves, and approximately $7,325 per unit including reserves. CSG has not examined specific support for these estimates, but they appear reasonable based on our recent experience with other projects. The Developer's proposed operating pro forma uses standard underwriting requirements for tax -credit and bond financing projects: annual income inflation at 2.5% and annual expense inflation of 3.5%; vacancy of 5% annually. These underwriting assumptions along with calculated debt service on the CCRC senior permanent mortgages results in an initial year debt service coverage (DCR) of 1.15, with increasing DCR each year there after. The Developer's proposed operating pro forma indicates a healthy project from an operational perspective. CONCLUSION The Project, as analyzed using most recent CTCAC rents and certain budget modifications as proposed by CSG, demonstrates a financial shortfall of ($1,481,215). The City may choose to fill this financing deficit on behalf of the Developer, or require the Developer to pursue other sources. CSGIadvlsors SAN FRANCISCO 65A -),M LOS ANGELES NEW YORK 65A-40 EXHIBIT 6 >0911 KEYSER MARSTON ASSOCIATES, ADVISORS IN PUBLIC/PRIVATE REAL ESTATE DEVELOPMENT MEMORANDUM ADVISORS IN: Real Estate To: Natalie Verlinich, Housing Programs Analyst Redevelopment Affordable Housing City of Santa Ana Economic Development SAN FRANCISCO From: Kathleen Head A. Jerry Keyser Subject: First Street Apartments: Financial Gap Analysis Timothy C. Kelly Tim Bretz Kate Earle Funk Debbie M. Kern Reed T. Kawahara Date: April 15, 2016 David Doezema At your request, Keyser Marston Associates, Inc. (KMA) prepared a financial gap analysis Los ANGELES Kathleen H. Head Subject: First Street Apartments: Financial Gap Analysis James A. Rabe Gregory D. Soo -Hoo Kevin E. Engstrom Julie L. Bonney At your request, Keyser Marston Associates, Inc. (KMA) prepared a financial gap analysis SAN DIEGO Paul C. Marra for the First Street Apartments project being proposed by AMCAL Multi -Housing Inc. (Developer). The purpose of the KMA analysis is to quantify the amount of financial assistance necessary to provide the proposed affordable housing units. EXECUTIVE SUMMARY The Developer is proposing to develop the 2.15 -acre site located at 1440 East First Street (Site) with a 69 -unit apartment project (Project). Sixty-eight (68) of the units will be subject to long-term income and affordability covenants, and one unit will be provided to an on-site manager. Estimated Financial Gap KMA conducted an independent pro forma analysis of the Project. While the KMA analysis varied on a line -by- line item basis from the Developer's proposal, KMA's estimate of the Project's financial gap is approximately equal to the Developer's request for financial assistance. 500 SOUTH GRAND AVENUE, SUITE 1480: LOS ANGELES, CALIFORNIA 900711 PHONE 213.622.8095 W W W.KEYSERMARSTON.COM 65A-41 1604007:SA;TRB 19090.014.001 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 2 The following outlines the financial gap calculations derived from the KMA pro forma analysis: Total Development Cost $28,506,000 (Less ) Available Outside Funding Sources (19,711,000) Estimated Financial Gap $8,795,000 As shown in the preceding table, KMA estimates the financial gap at $8.79 million. This is $105,000 less than the Developer's request fro $8.9 million in financial assistance. This represents a 2% differential, which can be considered insignificant. As such, KMA concludes that the Developer's financial assistance request is necessary to provide the proposed affordable housing units. Available Funding Sources KMA estimates that $19.71 million in outside funding sources are available to the Project as follows: 1. The net operating income generated from the affordable rents supports approximately $7.02 million in permanent financing. 2. The revenue generated from the Project -Based Section 8 rental assistance vouchers (PBVs) provided by the Santa Ana Housing Authority (Housing Authority) supports approximately $1.46 million in permanent financing. The Developer anticipates receiving an allocation of 9% Federal Low Income Housing Tax Credits (Tax Credits) that are competitively awarded by the California Tax Credit Allocation Committee (TCAC). KMA estimates the net Tax Credit proceeds at $11.23 million. The Developer is requesting $8.9 million in financial assistance from the City for the Project. The Developer intends to utilize in -lieu fee funds generated by the Housing Opportunity Ordinance (HOO) as the funding source for this financial assistance request. -;TO) 1X41 MR] *Yy1]I:AI[a]►1 The proposed scope of development can be described as follows: 1604007:SA;TRB 19090.014.001 65A-42 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 3 1. The Site is comprised of 2.15 acres, or 93,654 square feet of land area. 2. 3 4. a The Project's unit mix is as follows: Number of Unit Size Units SF Two -Bedroom Units 35 782 Three -Bedroom Units 28 1,031 Four -Bedroom Units 6 1,219 Total/ Weighted Average 69 921 The Project's gross building area (GBA) is estimated at 81,218 square feet, and is comprised of the following: a. The residential GBA is estimated at 63,549 square feet; and b. The circulation / common area GBA is estimated at 17,669 square feet. The Project includes 119 tuck -under parking spaces, which equates to approximately 1.7 parking spaces per unit. The Project's proposed affordability mix is as follows: Very -Low Inc H&SC / Tax Credit @ 30% TC Median 1 7 Very -Low Inc H&SC / Tax Credit @ 35% TC Median 7 Very -Low Inc H&SC / Tax Credit @ 40% TC Median 7 Very -Low Inc H&SC / Tax Credit @ 45% TC Median z 7 Low Inc H&SC /Tax Credit @ 50% TC Median 7 Moderate Inc H&SC / Tax Credit @ 60% TC Median 33 Unrestricted On -Site Manager's Unit 1 Total Units 69 1 H&SC = the California Health and Safety Code, and the "Median' represents the Orange County Median Income published by HCD. The median income published byTCAC is referred to as the TC Median. z The Developer's rent for 2 -Bedroom units at 45% of the TC Median is higher than the H&SC Very -Low Income rent. The Developer's pro forma should be updated to reflect the H&SC very -low income rent. 1604007:SA;TRB 19090.014.001 65A-43 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 4 FINANCIAL GAP ANALYSIS KMA prepared a pro forma analysis to assist in evaluating the Developer's proposal. The analysis is located at the end of this memorandum, and is organized as follows: Table 1: Estimated Development Costs Table 2: Stabilized Net Operating Income Table 3: Financial Gap Calculation Estimated Development Costs (Table 1) KMA reviewed the Developer's development cost estimates, and then independently prepared a pro forma analysis for the Project. The resulting development costs are estimated as follows: Property Assemblage Costs The total property assemblage costs are estimated at $5.47 million, and they are comprised of the following components: 1. The proposed purchase price for the Site is $4.5 million, or $48 per square foot of land area. The Developer submitted an appraisal prepared by Lidgard and Associates, Inc. on January 20, 2015 to validate the purchase price. The appraisal estimated the market value of the Site at $4.55 million, which is approximately equal to the purchase price. 2. The Developer included a $942,000 allowance for relocation expenses. A relocation plan prepared by Overland, Pacific & Cutler, Inc. on December 18, 2015 estimates the relocation costs at $865,000. The additional $77,000 in costs are assumed to represent the estimated costs to implement the relocation plan. 3. The Developer included $25,000 in closing costs. 1604007:SA;TRB 19090.014.001 65A-44 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 5 Direct Costs The direct cost estimates assume that the Project will not be subject to State of California or Federal Davis Bacon prevailing wage requirements. The direct costs applied in this analysis are estimated at $14.38 million, and can be summarized as follows: 1. A $550,000 allowance for remedial work and demolition costs is provided. 2. The Developer estimated the off-site improvement costs at $319,000. City staff should verify the scope and cost of the off-site improvements required to serve the Project. 3. The on-site improvement costs are estimated at $17 per square foot of land area, or $1.63 million. 4. The residential shell costs are estimated at $115 per square foot of residential GBA, or $9.34 million. 5. A $76,000 allowance for furnishings, fixtures and equipment is provided. 6. A 14% allowance for contractor fees and general requirements is provided. 7. An allowance for construction bonds / general liability insurance at 2% of construction costs is provided. 8. A direct cost contingency allowance equal to 5% of other direct costs is provided. Indirect Costs KMA estimated the indirect costs at approximately $6.5 million, based on the following assumptions: 1. The architecture, engineering and consulting costs are estimated at 10% of direct costs. 2. The Developer estimated the public permits and fees costs at $2.2 million, or $31,900 per unit. City staff should verify the accuracy of this estimate. 1604007:SA;TRB 19090.014.001 65A-45 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 6 3. The taxes, insurance, legal and accounting costs are estimated at 3% of direct costs. 4. A $1,700 per unit allowance for marketing and leasing costs is provided. 5. The Developer Fee is set at $2.0 million, which is the maximum amount allowed for the Project by TCAC. 6. An indirect cost contingency allowance equal to 5% of other indirect costs is provided. Financing Costs KMA estimated the Project's financing costs at $2.17 million. The financing cost assumptions are as follows: 1. The Developer purchased the property in part with a $3.74 million loan from the Low Income Investment Fund (LIIF). The estimated loan term is 30 months, and the loan carries a 4.70% interest rate. The interest costs are estimated at $440,000. 2. The Developer provided a $1.15 million loan to the Project to fund acquisition and predevelopment expenses. The estimated loan term is 30 months at a stated interest rate of 10%. However, KMA contends that the interest rate on a loan provided by a party related to the Project should be in line with the interest charged on similar loans. In this case, the Developer obtained a predevelopment loan with an interest rate of 5.25%. KMA applied this same interest rate to the Developer's $1.15 million acquisition and predevelopment loan. The interest costs are estimated at $151,000. 3. The Developer obtained a $2.21 million predevelopment loan with a 30 -month loan term and a 5.25910 interest rate. The interest costs are estimated at $290,000. 4. The interest costs on the approximately $17 million construction loan are estimated at $446,000. These costs are based on the following assumptions: 1604007:SA;TRB 19090.014.001 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 7 a. The interest costs incurred during the construction period are estimated based on a 2.5% interest rate, a 16 -month construction period, and a 60% average outstanding loan balance. b. The absorption period interest costs are based on a three-month absorption period and a 100% average outstanding loan balance. The financing fees are estimated at $547,000, and are based on 1.0 point for the LIIF acquisition loan, and 2.0 points for the construction and permanent loans. 6. A $221,000 capitalized operating reserve account is provided. This equates to approximately three months of operating expenses and debt service payments on the permanent loans supported by the Project's base income and PBV income. 7. The Tax Credit fees are estimated at $71,000 based on the following: a. A $2,000 application fee; b. A $410 per unit monitoring fee; and C. Four percent (4%) of gross Tax Credit proceeds for one year. Total Development Costs As shown in Table 1, the total development costs at $28.51 million, which equates to approximately $413,100 per unit. Stabilized Net Operating Income (Table 2) The Project's funding sources include City HOO in -lieu fees, Tax Credits, and PBVs. The Project's income and affordability standards must comport with the most stringent of the following standards: 1. Income Restrictions: The tenants' household incomes cannot exceed the strictest of: 65A-47 1604007:SA;TRB 19090.014.001 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 8 a. H&SC Section 50105 for very -low income households, 50079.5 for low income households and Section 50093 for moderate income households; and b. Federal Low Income Housing Tax Credits income restrictions defined under United States Code, Title 26, Section 142(d)(2)(B). 2. Affordability Restrictions: Rents applied to all of the units must reflect the most stringent of: a. H&SC very -low, low and moderate income rents based on the calculation methodology defined in Section 50053; and b. Tax Credit rents published annually by TCAC. Achievable Rent Income The rents used in this analysis are based on 2016 information published by TCAC, and 2015 information published by HCD.3 The maximum allowable rents, net of the appropriate utility allowances, are estimated as follows:° Rent Restriction H&SC Rents TCAC Rents Applicable Rents Two -Bedroom Units VL Inc H&SC /TC @ 30%TC Median $902 $579 $579 VL Inc H&SC/TC @ 35% TC Median $902 $689 $689 VL Inc H&SC/TC @ 40% TC Median $902 $799 $799 VL Inc H&SC /TC @ 45% TC Median $902 $908 $902 Low Inc H&SC / TC @ 50% TC Median $1,099 $1,018 $1,018 Mod Inc H&SC/TC @ 60% TC Median $2,080 $1,238 $1,238 3 As of April 15, 2016, HCD has not yet published the 2016 household income information required to calculate the affordable rents under H&SC Section 50053. 4 The monthly utility allowances are estimated at: $79 for two-bedroom units; $115 for three-bedroom units; and $128 for four-bedroom units. 1604007:SA;TRB 19090.014.001 o 46 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 9 H&SC Rent Restriction Rents TCAC Rents Applicable Rents Three -Bedroom Units Rents Rents VL Inc H&SC/TC @ 30%TC Median $975 $645 $645 VL Inc H&SC / TC @ 35% TC Median $975 $772 $772 Mod Inc H&SC / TC @ 60% TC Median $2,283 $1,406 $1,406 H&SC TCAC Applicable Rents Rents Rents Rent Restriction Four -Bedroom Units VL Inc H&SC /TC @ 30%TC Median $1,050 $720 $720 Mod Inc H&SC / TC @ 60% TC Median $2,463 $1,568 $1,568 The Developer is proposing that the Housing Authority provide eight PBVs to the Project. The PBV payments are equal to the difference between the tenants' rent payments and the fair market rents (FMRs) approved by the Housing Authority. The 2016 FMRs for the Project are as follows: Two -Bedroom Units $1,543 Three -Bedroom Units $2,160 The PBVs are proposed to be applied as follows: 1. Three 2 -bedroom units at 30% of the TC Median; 2. Three 3 -bedroom units at 30% of the TC Median; 3. One 2 -bedroom unit at 35% of the TC Median; and 4. One 3 -bedroom unit at 35% of the TC Median. The PBV assistance is estimated at $106,900 per year. 1604007:SA;TRB 19090.014.001 65A-49 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 10 Estimated Effective Gross Income KMA estimates the Project's effective gross income at approximately $962,100 based on the following assumptions: 1. The base rental income is estimated at $898,300. 2. The PBV income is estimated at $106,900. 3. Laundry and miscellaneous income is estimated to average $9 per unit per month for a total of $7,500 per year. 4. A vacancy and collection allowance equal to 5% of gross income is provided. This equates to $50,600. Estimated Operating Expenses The residential operating expenses are estimated at $371,700 based on the following assumptions: 1. The general operating expenses are estimated at $4,790 per unit per year. 2. KMA assumes the Developer will apply for the property tax abatement that is accorded to non-profit housing organizations that own and operate apartment units that are restricted to households earning less than 80% of the Median. The Developer estimates that the Project will incur $2,500 per year in property tax assessment override costs. 3. The Developer is proposing to provide social services at an estimated cost of $18,000 per year. 4. Annual deposits to a capital replacement reserve account are estimated at $300 per unit per year. This exceeds the minimum amount required by TCAC. Stabilized Net Operating Income The Project's effective gross income is estimated at $962,100, and the operating expenses are estimated at $371,700. This results in an estimated stabilized net operating income of $590,400. 1604007:SA;TRB 19090.014.001 65A-50 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 11 Financial Gap Calculation (Table 3) Available Funding Sources The outside funding sources anticipated to be received by the Project are estimated at $19.71 million. These funding sources can be described as follows: Permanent Loan — Base Net Operating Income To estimate the maximum permanent loan that can be supported by the Project's base income, KMA assumed that the loan would be underwritten at a 115% debt service coverage ratio, a 5.0% interest rate, and a 35 -year amortization period. Based on these assumptions, KMA estimates that the $488,800 in Base Net Operating Income can support a $7.02 million permanent loan. Permanent Loan — PBV Subsidy To estimate the maximum permanent loan that can be supported by the eight PBVs, KMA assumed that the loan would be underwritten at a 115% debt service coverage ratio, a 5.0% interest rate, and a 35 -year amortization period. Based on these assumptions, KMA estimates that the $101,600 in PBV income can support a $1.46 million permanent loan. Tax Credit Proceeds Tax Credit Basis It can be assumed that the Project's eligible Tax Credit basis is equal to the lesser of the depreciable costs for the 69 Tax Credit units, or the basis limits established by TCAC. KMA calculated the eligible Tax Credit basis as follows: 1. The Project's depreciable costs are estimated at $20.39 million, and the threshold basis limits applied by TCAC equal $17.67 million. 2. The threshold basis limit is less than the depreciable costs. As such, the Project's eligible basis is set at $17.67 million. 1604007:SA;TRB 19090.014.001 65A-51 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 12 3. The Developer targeted a 46% tiebreaker score for the competitive TCAC application process. To obtain this tiebreaker score it is necessary to reduce the Project's requested eligible Tax Credit basis to $8.65 million. Tax Credit Proceeds KMA estimates the net Tax Credit proceeds at $11.23 million based on the following assumptions: 1. KMA calculated the gross Tax Credit amount for the Project at $10.12 million based on the following assumptions: a. The Project is located in a designated "Difficult to Develop" census tract. This allows the requested eligible Tax Credit basis to be increased by 30%. The current Tax Credit regulations set the annual Tax Credit rate at 9.0%. This rate is applied over the 10 -year Tax Credit period. C. 100% of the Project's building area is located in units that qualify for Tax Credits. 2. The net syndication value supported by the Tax Credit is ultimately determined based on competitive market conditions and on the timing of the disbursements. Based on currently available information, KMA and the Developer estimated the proceeds at $1.11 per gross Tax Credit dollar. Estimated Financial Gap Based on the assumptions outlined in this analysis, KMA estimates the Project's financial gap as follows: Total Development Costs $28,506,000 (Less) Total Available Outside Funding Sources (19,711,000) Financial Gap $8,795,000 Per Unit $127,500 1604007:SA;TRB 19090.014.001 65A-52 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 13 The Developer is requesting $8.9 million in financial assistance from the City, which is $105,000 higher than the financial gap identified in the KMA financial analysis. This less than 2% differential can be considered inconsequential. As such, KMA concludes that the Developer's request for $8.9 million in financial assistance is warranted by the Project economics. ADDITIONAL FINANCIAL CONSIDERATIONS Tax Credit Consideration Approximately 40% of the Project's funding is anticipated to be derived from the receipt of competitively awarded 9% Tax Credits. While the Project is structured to achieve the maximum available points in the competitive process, the Tax Credit Program is consistently oversubscribed. As a result, TCAC created an allocation process that distributes Tax Credits on a geographical basis, and applies a tie-breaker formula in each region. The tie-breaker calculation is weighted heavily towards the amount of outside financial assistance as a function of the project's development costs. The Orange County region receives funding for one or two projects in each Tax Credit allocation round. Historically, there have not been sufficient Tax Credit dollars to fund all the projects submitted, and thus the tie-breaker formula comes into play. As currently structured, the Project generates a tie-breaker score of 46%. This score falls within the range of the tie-breaker scores that have received Tax Credit awards in the Orange County region during recent Tax Credit allocation rounds. However, the tie- breaker scores have been volatile in Orange County, so it uncertain what tie-breaker score will win in any Tax Credit allocation round. Developer Fee UnderTCAC regulations, the proposed Project qualifies for a Developer Fee of up to $2.0 million. However, it is important to note that only $1.4 million of the Developer Fee can be included in the Project's eligible Tax Credit basis. In some cases, it would be financially prudent to require the Developer to defer payment of $600,000 of the Developer Fee, and to recoup those funds from the cash flow generated by the Project over time. To test this concept, KMA prepared pro forma analyses for the Project with and without the requirement that $600,000 of the Developer Fee be deferred. The results of this comparative analysis indicate that given tiebreaker considerations 1604007:SA,TRB 19090.014.001 65A-53 Natalie Verlinich, City of Santa Ana April 15, 2016 First Street Apartments: Financial Gap Analysis Page 14 associated with the competitively awarded 9% Tax Credits, the financial gap is approximately equal under both scenarios. As such, it is KMA's recommendation that no Developer Fee deferral be required. CONCLUSION Based on the results of the preceding analysis, the Developer's request for $8.9 million in direct financial assistance from the City is warranted by the Project economics. 1604007:SA,TRB 19090.014.001 65A-54 TABLE 1 ESTIMATED DEVELOPMENT COSTS FIRST STREET APARTMENTS SANTA ANA, CALIFORNIA 1. Property Assemblage Costs Property Acquisition Costs 1 93,654 Sf Land $48 /Sf Land $4,500,000 Relocation Costs r 942,000 Closing Costs 3 0.6% Purchase Price 25,000 Total Property Assemblage Costs $5,467,000 II. Direct Costs 4 Remedial Work/Demolition 3 $550,000 Off-site Improvements 319,000 On-site Improvements 93,654 Sf Land $17 /Sf Land 1,628,000 Residential Shell Costs 81,218 Sf GBA $115 /Sf GBA 9,340,000 Furnishings, Fixtures & Equipment 76,000 Contractor Fees / General Rqts 14% Construction Costs 1,580,000 Construction Bonds 2% Construction Costs 226,000 Contingency Allowance 5% Other Direct Costs 658,000 Total Direct Costs 81,218 Sf GBA $177 /Sf GBA $14,377,000 III. Indirect Costs Architecture, Engineering & Consulting 10% Direct Costs $1,438,000 Public Permits & Fees 9 69 Units $31,900 /Unit 2,201,000 Taxes, Insurance, Legal & Accounting 3% Direct Costs 431,000 Marketing & Leasing 69 Units $1,700 /Unit 117,000 Developer Fee 6 11% Eligible Basis 2,000,000 Contingency Allowance 5% Other Indirect Costs 309,000 Total Indirect Costs $6,496,000 IV. Financing Costs Interest During Construction Acquisition Loan Rl $3,743,000 Loan Amount 4.70% Interest $440,000 Acquisition Loan N2 7 $1,151,000 Loan Amount 5.25% Interest 151,000 Predevelopment Loan $2,209,000 Loan Amount 5.25% Interest 290,000 Construction Loan 9 $16,992,000 Loan Amount 2.50% Interest 446,000 Financing Fees Acquisition Loan N1 $3,743,000 Loan Amount 1.00 Points 37,000 Construction Loan $16,992,000 Loan Amount 2.00 Points 340,000 Permanent Loan $8,477,000 Loan Amount 2.00 Points 170,000 Operating Reserve 3 Months Operating Exp / Debt Svc 221,000 TCAC Fees 9 71,000 Total Financing Costs $2,166,000 V. JTotal Development Costs 69 Units $413,100 /Unit $28,506,000 3 Based on Developer estimate and supported by an appraisal prepared by Lidgard and Associates, Inc. on January 20, 2015. ' Based on Developer estimate. Overland, Pacific & Culter, Inc. prepared a relocation plan on December 18, 2015, and estimated the relocation expenses at $865,000. The $77,000 in additional costs are assumed to be the estimated costs to implement the relocation plan. 3 Based on Developer estimate. 4 Estimates assume prevailing wage requirements will not be imposed on the Project. 5 Based on Developer estimate. The estimate should be verified by City staff. 6 This represents the maximum amount allowed by TCAC to be Included in the Project's total development costs. 7 The Developer provided an acquisition loan to the Project with a 10% interest rate. KMA contends that the maximum interest rate that should be charged on this loan is 5.25% which is equal the interest rate on the predevelopment loan. a Includes debt on the 80% of the Tax Credit Equity that will not be funded during construction. Assumes a 16 -month construction period with a 60% average outstanding balance and a 3 -month absorption period with a 100% average outstanding balance. 9 Includes a $2,000 application fee; $410/unit monitoring fee; and 4% of the gross Tax Credit proceeds for one year. Prepared by: Keyser Marston Associates, Inc. Filename: AMCAL 41516;PF_9%;trb 65A-55 TABLE 2 STABILIZED NET OPERATING INCOME FIRST STREET APARTMENTS SANTA ANA, CALIFORNIA I. Income Manager's Unit 2 -Bedroom Units Cal (782-5 t 1 Unit $0 /Unit/Month $0 VL Inc H&SC/TC @ 30% TC Median 3 Units $579 /Unit/Month 20,800 VL Inc H&SC/TC @ 35% TC Median 6 Units $689 /Unit/Month 49,600 VL Inc H&SC/TC @ 40% TC Median 7 Units $799 /Unit/Month 67,100 VL Inc H&SC/TC @ 45% TC Median 7 Units $902 /Unit/Month 75,800 Low Inc H&SC/TC @ 50% TC Median 7 Units $1,018 /Unit/Month 85,500 Mod Inc H&SC/TC @ 60% TC Median 4 Units $1,238 /Unit/Month 59,400 3 -Bedroom Units @ (1,031-Sf) VL Inc H&SC/TC @ 30% TC Median 3 Units $645 /Unit/Month 23,200 VL Inc H&SC/TC @ 35% TC Median 1 Unit $772 /Unit/Month 9,300 Mod Inc H&SC/TC @ 60% TC Median 24 Units $1,406 /Unit/Month 404,900 4 -Bedroom Units Cd (1.219-Sf) VL Inc H&SC/TC @ 30% TC Median 1 Unit $720 /Unit/Month 8,600 Mod Inc H&SC/TC @ 60% TC Median 5 Units $1,568 /Unit/Month 94,100 PBV Subsidy z VL Inc H&SC/TC Cal 30% TC Median 2 -Bedroom Units @ (782-5f) 3 Units $885 /Unit/Month 31,900 3 -Bedroom Units @ (1,031-Sf) 3 Units $1,400 /Unit/Month 50,400 VL Inc H&SC/TC @ 35% TC Median 2 -Bedroom Units @ (782-Sf) 1 Unit $775 /Unit/Month 9,300 3 -Bedroom Units @ (1,031-5f) 1 Unit $1,273 /Unit/Month 15,300 Laundry/Miscellaneous Income 69 Units $9 /Unit/Month 7,500 Gross Income $1,012,700 (Less) Vacancy & Collection Allowance 5% Gross Base Income (50,600) Effective Gross Income $962,100 IL Operating Expenses General Operating Expenses 69 Units $4,790 /Unit $330,500 Property Taxes ' 69 Units $36 /Unit 2,500 Services 69 Units $261 /Unit 18,000 Replacement Reserve 69 Units $300 /Unit 20,700 Total Operating Expenses 69 Units $5,400 /Unit $371,700 III. IStabilized Net Operating Income $590,400 As pertinent, rents are based on the 2016 rents published by TCAC, and the rents calculated under H&SC Section 50053. The H&SC Section 50053 rents are calculated based on 2015 income information published by HCD. Utility Allowances per the Developer: $79 for 2-Bdrm units; $115 for 3- Bdrm units; and $128 for 4-Bdrm units. z The Section 8 subsidy is equal to the difference between the Fair Market Rent (FMR) established by HUD and the rent paid by the tenant. 3 Based on Developer estimate. Assumes that the Developer will receive the property tax abatement accorded to non-profit housing organizations that own and operate apartment units that are restricted to households earning less than 80% of the County median income. Prepared by: Keyser Marston Associates, Inc. File name: AMCAL_41516; PF 9%; trb 65A-56 TABLE 3 FINANCIAL GAP CALCULATION FIRST STREET APARTMENTS SANTA ANA, CALIFORNIA I. Available Funding Sources Permanent Loan - Base Income Net Operating Income Income Available for Mortgage Interest Rate Permanent Loan - Base Income Permanent Loan - PBV Subsidy Net Operating Income Income Available for Mortgage Interest Rate Permanent Loan - PBV Subsidy Tax Credit Epuity Gross Tax Credit Value Syndication Rate Net Tax Credit Equity Deferred Developer Fee Total Available Funding Sources II. Financial Gap Calculation Total Available Funding Sources (Less) Total Development Costs $488,845 NO1 (See Table 2) 1.15 DCR $425,100 Debt Service 5.00% Interest Rate 6.06% Mortgage Constant $7,019,000 $101,555 EGI 1.15 DCR $88,309 Debt Service 5.00% Interest Rate 6.06% Mortgage Constant $10,121,000 $1.11 /Tax Credit Dollar $1,458,000 $11,234,000 $0 $19,711,000 (28,506,000) $19,711,000 Financial Gap Calculation 69 Units $127,500 /Unit $8,795,000 III. Estimated Tie -Breaker Score 46% r Assumes a 35 -year amortization term. z Assumes a 35 -year amortization term. 3 Assumes an $8.7 million requested unadjusted eligible basis, which includes a $9,017,000 voluntary basis reduction, a 130% difficult -to -develop premium, a 9.0% Tax Credit rate and an applicable fraction of 100%. Prepared by: Keyser Marston Associates, Inc. ���_�� File name: AMCAL_41516; PF 9%; trb 65A-58 EXHIBIT 7 CSGadvisors 1PostStco,Cui94104 San Francisco, CA 94104 tel. 415.956.2454 Memorandum To: Judson Brown, City of Santa Ana From: John Hamilton, CSG Advisors Date: May 12, 2017 Re: First Street Apartments Financial Feasibility Review SUMMARY Project Overview and the Proposed Project AMCAL Enterprises (the "Developer") to develop the First Street Apartments (the "Project"), a 69 -unit new construction family housing project located in the City of Santa Ana (the "City"). The Project would target families and would be affordable to individuals and families earning from 30% AMI to 60%AMI. The Proposed Financing The Developer proposes to finance the Project though private senior first mortgage loans, subordinate financing from the City of Santa Ana, and equity from the syndication of 9% federal Low Income Housing Tax Credits (LIHTC). The Developer proposes to submit an application for an allocation of Low Income Housing Tax Credits to the 2017 second application round of the California Tax Credit Allocation Committee (CTCAC). The Developer has tentative secured senior construction and permanent loan commitment from JPMorgan CHASE Bank Conclusion The Project will be competing for 9% Low Income Housing Tax Credits. Absent the CTCAC particular tie breaker - and maximum deferred developer fee -the project would not require funds from the City. However, the nature of the CTCAC competition requires committed public funds in order to be successful. The City must decide the level of tie-breaker it wishes to target in combination with the amount of City funds necessary to achieve that target. PROJECT FINANCIAL ANALYSIS Project Description AMCAL Enterprises (the "Developer"), an experienced developer of affordable housing, proposes to develop a 69 -unit affordable housing development, for families, to be located at 1440 East First Street, in the City of Santa Ana. The Developer has already purchased the site from an un -related party, Grand Frontier Investments, LLC. The Developer proposes to construct 7 buildings: 6 buildings would house 68 affordable units and one manager's unit; 1 building would be a non-residential community building. The Developer proposes to finance the Project with an allocation of 9% low-income housing tax credits (LIHTC), committed funds from the City, and senior first mortgage financing for JPMorgan CHASE or another lender. SAN FRANCISCO ATLANTA 65A -59)s ANGELES NEW YORK Judson Brown, City of Santa Ana May 12, 2017 First Street Apartments Financial Feasibility Pace 2 of 7 Eight units will be the recipients of a project -based Section 8 contract awarded through the City of Santa Ana. The Project would contain affordable units as indicated in Table 1, below. Table 1: Proposed Units and Affordability Restriction (AMI) 2 -Bedroom 3 -Bedroom 4 -Bedroom Total 30%AMI 29* 4* 1 34 500/.AMI 4 17 21 60%AMI 1 7 5 13 Manager's Unit Total 35 28 6 69 * four 2-bdm 30%AMI unis and 4 3-bdm 30% AMI units will be subject to a Section 8 HAP contract. Table 2: Units Rents Bedroom Size AMI Restriction 2017 CTCAC Rent Utility Allowance Net Rent Section 8 Contract Rent 2 Bedrooms 30% $704 $55 $649 $1,685 2 Bedrooms 50% $1,173 $55 $1,118 2 Bedrooms 60% $1,408 $55 $1,353 3 Bedrooms 30% $813 $63 $750 $2,367 3 Bedrooms 50% $1,356 $63 $1,293 3 Bedrooms 60% $1,627 $63 $1,564 _ 4 Bedrooms 30% $907 $71 $836 4 Bedrooms 60% $1,815 $71 $1,744 Request for Funds On January 18, 2017, the City notified the Developer that the City had provided a "pre -commitment" for a subordinate loan in the amount $2,600,000. The City's obligation to fund the loan in respect of its pre - commitment is subject to certain conditions, including receipt by the City of a certain In -Lieu Fee payment necessary to fund the loan. The City, through the Housing Authority of the City of Santa Ana, acting as successor agency to the Redevelopment Agency of the City of Santa Ana, has also provided a pre -commitment for a subordinate loan up to the amount of $6,195,000 Financial Plan Analysis We have focused our analysis on a review of the Project's sources and uses in the context of the Project's proposed 9% tax credit financing. In most cases, subordinate financing from public agencies finances the "affordability gap" i.e., the financial gap resulting from the addition of affordable units. In the case of First Street Apartments, the subordinate financing, arguably, is not necessary to close an affordability gap but, rather, it is necessary to finance the financial gap necessitated by the completion for 9% tax credits. CSGIadvisorS SAN FRANCISCO 65AIA60 • LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 12, 2017 First Street Apartments Financial Feasibility Page 3 of 7 Understanding this clearly should assist the City in understanding the ultimate purpose of its funds and therefore, the amount it is willing to provide in order to achieve the desired outcome. (In order to cause a winner among perfectly scoring projects, CTCAC institutes a "tie-breaker" that largely relies on public subsidy to determine winners. Le., the more public subsidy, the more likely a project to "win" the tie- breaker.) In order to achieve the foregoing, the analysis proceeds as follows • Side-by-side comparison of the Developer's sources and uses budget with a "Base Budget" constructed by CSG, with explanation of variances. • Building upon the CSG Base Budget, comparison of the Developer's sources and use budget with a CSG -constructed budget including deferred developer fee. Each of the above maintains the same tie-breaker score (44.7%) targeted by the Developer. We then provide three financing scenarios, starting from no City financing, and the resulting tie-breaker score, and two additional scenarios with increasing higher tie-breaker scores and the resulting City funds necessary to achieve them. Table 3, below, provides a consolidated form of the Developer's budget compared to the CSG "Base Budget" showing modifications proposed by CSG. In creating this analysis and variance, we have used the Developer's assumptions (except as noted) and modeled the Project using the CTCAC application form applicable to the upcoming application round. Table 3: Variance Analysis of Developer's Budget to CSG "Base Budget" USES Budget Item Total Land Cost Developer $4,894,375 CSG $4,894,375 Variance Explanation of Variance $0 Total Acquisition Cost $98,039 $98,039 $0 Predevelopment Interest/Holding Cost $826,991 $826,991 $0 See Discussion, below Site Remediation $175,000 $175,000 $0 Relocation Expenses $955,161 $955,161 $0 See Discussion, below Total New Construction Costs $13,683,815 $13,683,815 $0 See Discussion, below Total Architectural Costs Total Survey and Engineering $1,130,140 $1,130,140 $0 Construction Loan Interest $1,017,061 $675,955 ($341,106) See Discussion, below Construction Loan Origination Fee $193,857 $130,392 ($63,465) 0.75% commitment Fee per chase letter Other Construction Interest and Fees $0 Permanent Origination Fee $65,600 $0 ($65,600) No Commitment Fee per Chase letter Other Permanent Financing Costs $45,000 $45,000 $0 Total Attorney Costs $225,000 $225,000 $0 Total Reserve Costs $214,053 $214,053 ($0) Total Appraisal Costs $15,000 $15,000 $0 Total Contingency Costs $716,593c /x$716,5933 $0 CSG Iadvisors SAN FRANCISCO •65A9T6A1 • LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 12, 2017 First Street Apartments Financial Feasibility Page 4 of 7 Total Other Costs $2,781,280 $2,781,280 $0 Subtotal Project Costs $27,999,913 $27,529,742 ($470,171) Developer Fee $2,199,087 $2,205,612 $6,525 Total Development Costs $30,199,000 $29,735,354 ($463,646) PERMANENT SOURCES JPMorgan Chase -Perm Loan $5,109,022 $5,413,350 $304,328 See Discussion, below JPMorgan Chase -Section 8 Loan $1,451,023 $1,537,459 $86,436 See Discussion, below Reduction to balance budget while maintaining same approximate CTCAC tie - City of Santa Ana -Inclusionary Funds $2,600,000 $2,327,740 ($272,260) breaker City of Santa Ana -Housing Funds $6,195,000 $6,195,000 $0 Deferred Developer Fee $0 $0 $0 Low Income Housing Tax Credit Reduced equity necessary for SURPLUS/ (DEFICIT) $0 $0 $0 Discussion of Table 3 The "Uses" portion of Table 3 shows the Developer's budget, contrasted with modifications proposed by CSG. • Predevelopment Interest/Holding Costs: The Developer's sources for acquiring the site include an unsecured note from a developer -related entity (AMCAL 1440 Santa Ana Fund) in the amount of $1,151,000 at an interest rate of 10%. The interest rate would appear high given the relationship of the parties: because the transaction is extant, the City may want to provide consideration of this cost in other aspects of the transaction. Total New Construction Costs. CSG has not received information from the developer concerning its estimates of construction costs. The Developer proposes to use a related entity, AMCAL General Contractors, to serve as the general contractor for the project. While such an arrangement may provide for cost savings, it also can result in abuses. The City may want to consider requiring competitive bidding not only for the sub -contractors, but also for the general contractor. Relocation Costs: The Developer has provided a relocation plan prepared by Overland, Pacific & Cutler indication total relocation costs of only $865,000. The City should require the Developer to provide justification for their budgeted amount. Construction Loan Interest. Per the Chase commitment letter, the base rate today would be 0.99% plus indicated spread of 2%. The total rate would be 2.99%. We have added 0.25% "cushion" to total 3.24% annual interest. Considering the Developer's construction loan amount of $17,385,665 and a total construction period (i.e., to conversion), the Developer's construction loan interest of $1,017,061 would represent an average outstanding balance of 90%, which is unlikely, given the other sources. A more typical underwriting would be 60% average outstanding balance. So underwritten, the outstanding construction interest is reduced to approximately $676,000. Origination Fee. The Chase commitment letter indicates a 0.75% construction loan origination fee. 0.75% of the construction loan amount equals the indicated origination fee. CSG Iadvisors SAN FRANCISCO 65k662 • LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 12, 2017 First Street Apartments Financial Feasibility Pace 5 of 7 • Permanent Origination Fee. The Chase commitment letter does not indicate a permanent origination fee. The "Sources" portion of the table illustrates proposed corrections to certain of the sources. • Chase: We have evaluated the interest rate and terms contained in the Chase commitment letter (also taking into account the Developer's indication that the California Community Reinvestment Corporation (CCRC) may provide the permanent loan) with recent proposals from CCRC as well as published rates from Citibank. Recent indications from CCRC have been in the 5.65% range (including for the Santa Ana Arts Collective). Citibank, in its "Citi Community Capital's Multifamily Housing Indicative Rates and Terms" publication (May 10, 2017) indicates, for a forward commitment loan for 9% LIHTC project (18yr term, 30-35yr amortization), all -in rates of 5.41% — 5.91%. We have, therefore lowered the underwriting rate from 6.5% to 6.0%. The calculation of the permanent loans is as indicated below: Tax Credit Rents Section 8 Increment Effective Gross Rents $806,573 per Developer units mix and 5% $120,977 and Reserves commitment letter) 1.15 $1 Cash Flow Available to Support Debt $370,369 $105.197 Interest rate/Amortization Term 6.0%/35yrs 6.0%/35yrs Loan Amount $5,413,350 $1,537,459 City of Santa Ana Inclusionary Funds and Low Income Housing Tax Credit Equity: these two entries are "toggles" to eliminate the financing gap and maintain the targeted CTCAC tie-breaker. CSG Base -Budget with Deferred Developer Fee. For this scenario, we have adjusted the sources of the CSG Base Budget to reflect the addition of deferred Developer Fee. The amount of deferred fee was calculated as the sum of all cashflows in years 1-12. The amount of City loan and Low Income Housing Tax Credit Equity were "toggles" to maintain the 44.7% tie-breaker target and eliminate financing deficits. A summary of the Scenario follows in Table 4 below. USES Table 4: CSG Base -Budget with Deferred Developer Fee Budaet Item Developer CSG Variance Explanation of Variance Total Development Costs $30,199,000 $29,735,354 ($463,646) PERMANENT SOURCES JPMorgan Chase -Perm Loan $5,109,022 $5,413,350 $304,328 Per above i JPMorgan Chase -Section 8 Loan $1,451,023 $1,537,459 $86,436 Per above Reduction to balance budget while maintaining same approximate CTCAC tie - City of Santa Ana -Inclusionary Funds $2,600,000 $1,986,876 ($613,124) breaker CSG Iadvisors SAN FRANCISCO •65A7563 LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 12, 2017 First Street Apartments Financial Feasibility Pace 6 of 7 City of Santa Ana-Housinq Funds $6,195,000 $6,195,000 $0 Deferred Developer Fee $0 $1,284,518 $1,284,518 Max. deferred ® 12yrs cash flow. Low Income Housing Tax Credit Equity —_ $14,843,955__ $13,318,151 ($1,525,804) Reduced equity necessary for feasibility TOTAL SOURCES $30,199,000 $29,735,354 ($463,646) SURPLUS/ (DEFICIT) $0 _ $0 $0 Additional Tie -Breaker Scenarios The attached tables illustrate the detail of three additional tie-breaker scenarios. These scenarios allow the City to compare varying tie-breaker scores — and the amount of City subsidy necessary to achieve them — with the tie-breaker scores of recently successful CTCAC 9% projects. A summary of the scenarios follows below in Table 5 Table 5: Summary of Tie -Breaker Scenarios Tie Breaker Target 1 15.15% Scenario 2 37.6% 3 40.0% Total Development Costs $29,735,354 $29,735,354 $29,735,354 PERMANENT SOURCES 2015 2nd _ 46.298% JPMorgan Chase -Perm Loan $5,413,350 $5,413,350 $5,413,350 JPMorgan Chase -Section 8 Loan $1,537,459 $1,537,459 $1,537,459 City of Santa Ana -Inclusionary Funds $0 $20,447 $685,145 City of Santa Ana-Housinq Funds $0 $6,195,000 $6,195,000 _Deferred Developer Fee $1,284,518 __$1,284,518 $1,284,518 Low Income Housing Tax Credit Equity $21,500,027 $15,284,580 $14,619,882 L TOTAL SOURCES$29,735,354 $29,735,354__ $29,735,354 SURPLUS / (DEFICIT)_ _ $0 _ $0 $0 The above tie -breakers can be compared with the tie -breakers of recently successful projects (not including wait -list projects) in the Orange County geographic region Table 6: Tie -Breakers Scores of Recently Successful Orange County Region CTCAC 9% Projects Project Name Fullerton Family Housing Year 2016 Round 2nd Tie -Breaker 35.765% Oakcrest Height 2016 1st 27.669% Derian Apartments 2015 2nd _ 46.298% Depot at Santiago 2015 2nd _ 45.381% Lincoln Avenue Apts 2014 2nd 34.323% City Yard Workforce Housing 2014 1st 41.101% CSG Iadvisors SAN FRANCISCO 65A44 . LOB ANGELES NEW YORK Judson Brown, City of Santa Ana May 12, 2017 First Street Apartments Financial Feasibility Page 7 of 7 Financing Deficit As noted, absent the need achieve a successful tiebreaker score in the CTCAC completion for 9% credits, the Project would not exhibit a financing deficit. The City must decide, based on an expectation of the successful tie-breaker score, the amount of subsidy necessary to achieve that score. Operating Expenses and Operating Pro Forma The Developer proposes annual operating expenses per unit of approximately $4,920 per unit not including reserves, based on expenses of its recently completed projects in the region, e.g., Ocean Apartments in Huntington Beach. CSG has not examined specific support for these estimates; they seem on the lower end of the spectrum but not out of the question for an efficient manager. The Developer's proposed operating pro forma uses standard underwriting requirements for tax -credit and bond financing projects: annual income inflation at 2.5% and annual expense inflation of 3.5%; vacancy of 5% annually. These underwriting assumptions along with calculated debt service on the CCRC senior permanent mortgages results in an initial year debt service coverage (DCR) of 1.15, with increasing DCR each year there after. The Developer's proposed operating pro forma indicates a healthy project from an operational perspective. CONCLUSION The Project will be competing for 9% Low Income Housing Tax Credits. Absent the CTCAC particular tie- breaker — and maximum deferred developer fee -- the project would not require funds from the City. However, the nature of the CTCAC competition requires committed public funds in order to be successful. The City must decide the level of tie-breaker it wishes to target in combination with the amount of City funds necessary to achieve that target. 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The Developer proposes to purchase the existing site, which is currently a strip mall and parking lot. The Developer would rehabilitate and "re - purpose" the existing commercial for use by non -profits and community agencies, and newly develop 51 units of affordable housing. Units in the Project would be affordable to families earning between 30% and 60% of area median income. The Proposed Financing The Developer proposes to finance the Project using the proceeds of the issuance of tax-exempt bonds along with the equity derived from the sale of 4% low-income housing tax credits and deferred Developer fee. In addition, the Developer proposes to obtain five Section 8 vouchers, and funds from the State of California's Affordable Housing Sustainable Communities (AHSC) program and New Market Tax Credits to eliminate the Project's financing deficit. Conclusion The Project has a financing deficit of approximately $11.7M. The Developer proposes, in addition to funds requested from the City, to close the financing deficit with a permanent loan funded by commercial rents; and funds from the AHSC, New Market Tax Credits, and the use of Section 8 vouchers. The project has not yet applied for these sources. The suitability of the Project for those sources and the likelihood of success in obtaining those sources should be the source of a separate analysis. PROJECT FINANCIAL ANALYSIS Project Description Community Development Partners (the "Developer"), an experienced developer of affordable housing, proposes to develop a 51 -unit affordable housing development, to be located at 2223 and 2237 West 5t" Street (the "Site"), in the City of Santa Ana. The Developer proposes to purchase the existing site, which is currently a strip mall and parking lot. The Developer would rehabilitate and "re -purpose" the existing commercial for use by non -profits and community agencies, and newly develop 51 units of affordable housing. The Developer proposes to finance the Project using the proceeds of the issuance of tax-exempt bonds along with the equity derived from the sale of 4% low-income housing tax credits. SAN FRANCISCO ATLANTA 65A -67S ANGELES NEW YORK Judson Brown, City of Santa Ana May 24 2017 Tiny Tim Plaza Apartments Financial Feasibility Pace 2of6 The Site The Virginia A. Nicholas Trust (Seller) currently owns the Site. On May 1, 2016, Magis Realty entered into a Purchase and Sale Agreement (PSA), as amended, with the Seller for the purchase of the Site. Magis Realty assigned its interest under PSA to the Developer pursuant to an Assignment of Buyers Interest (Assignment). Please note that the Assignment as provided for CSG's review required execution by six members of the Seller; however, only one Seller's signature was present. Therefore, CSG cannot conclude that the Developer actually controls the Site. Note, further, that the amendment to the PSA requires close of escrow by June 1, 2017. In the absence of a further amendment extending the period to close escrow, the Developer must purchase the Site in order to retain control. According to an email from the Developer to the City dated March 16, 2017, the Developer plans to use an acquisition loan from the Low Income Investment Fund (LIIF) to purchase the Site; the Developer would like a commitment of soft financing from the City before purchasing the Site. Units And Affordabil The Developer proposes affordability and unit mix as described Table 1, below. Table 1: Proposed Units and Affordability Restriction AMI 2 -Bedroom 3 -Bedroom 4 -Bedroom Total 30% AMI 2 3 5 50%AMI 1 1 60%AMI 17 26 1 44 Manager's Unit 1 1 Total AMI Bedroom Size Restriction 20 Table 2: Units 2017 CTCAC Rent 29 Rents Utility Allowance 2 Net Rent 51 Section 8 Contract Rent 2 Bedrooms 30% $704 $60 $649 NA 2 Bedrooms 60% $1,408 $60 $1,353 NA 3 Bedrooms 30% $813 $85 $750 NA 3 Bedrooms 60% $1,627 $85 $1,564 NA 4 Bedrooms 50% $1,512 $10S $836 NA 4 Bedrooms 60% $1,815 $105 $1,744 NA Note that CSG has adjusted the Developer's pro forma rents (i.e., increased) to conform with the 2017 CTCAC rents applicable to Orange County Request for Funds The Developer has requested, via email to the City, subordinated financing in the amount of $6,000,000. The Developer would like a commitment of these funds before purchasing the Site before the expiration of the escrow period (June 1, 2017). CSG Iadvisors SAN FRANCISCO 65AI-68 • LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 24 2017 Tiny Tim Plaza Apartments Financial Feasibility Page 3 of 6 Financial Plan Analysis The Developer proposes to use 4% tax credits and tax-exempt bonds to financing, in part, the Project. In addition, the Developer proposes: Funding to be obtained through the State of California's Affordable Housing Sustainable Communities program; New Market Tax Credits • Section 8 vouchers for the five 30% AMI units. However, as the Developer has neither obtained, applied for, nor provided draft applications for these sources, CSG has not accounted for them in this analysis. Nor have we evaluated the Project for competitiveness or suitability for any of the above. We have focused our analysis on a review of the Project's sources and uses in the context of the Project's proposed 4% tax credit financing. In order to achieve the foregoing, the analysis proceeds as follows Side-by-side comparison of the Developer's sources and uses budget with a "Base Budget" constructed by CSG, with explanation of variances. Building upon the CSG Base Budget, comparison of the Developer's sources and use budget with a CSG -constructed budget including deferred developer fee. Table 3, below, provides a consolidated form of the Developer's budget compared to the CSG "Base Budget" showing modifications proposed by CSG. In creating this analysis and variance, we have used the Developer's assumptions (except as noted) and modeled the Project using the applicable CTCAC application form. Table 3: Variance Analysis of Developer's Budget to CSG "Base Budget" USES Budget Item Developer CSG Variance Notes/Explanation of Variance Total Land /Acquisition Cost $3,996,300 $3,996,300 Includes land and holding costs Total New Construction Costs Total Construction Contingency (5%) $763,515 $763,515 Total Architectural Costs Total Survey and Engineering $150,500 $150,500 Construction Loan Interest $690,000 $926,990 $236,990 See discussion below Construction Loan Origination Fee $221,000 $221,000 0.75% commitment Fee per chase letter Permanent Origination Fee $10,000 $10,000 Typical Citi "Conversion fee" Total Attorney Costs $165,000 $165,000 Total Reserve Costs 6 mos. Operating Reserve typical of Citi $371,938 $371,938 underwriting Total Appraisal Costs 10,000cc 10,000e0 CSG Iadvisors //�� SAN FRANCISCO •v5�'I -m69 LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 24 2017 Tiny Tim Plaza Apartments Financial Feasibility Page 4 of 6 Costs of Bond Issuance Permits and Fees Soft Costs $508,786 $508,786 Subtotal Project Costs $23,890,144 $24,127,134 Max Developer Fee per CTCAC (assuming Developer Fee 12AW000 12,576205 $176.205.15 eligible basis of approx.$17,174,701) Total Development Cost' $26,290,144 $26,703,339 $413,195 PERMANENT SOURCES Permanent Loan - Residential $8,420,587 $7,829,652 ($590,935) See Discussion, below Permanent Loan — Retail $2,113,746 $0 ($2,113,746) See Discussion, below Reflects total 12 -year cash flow (after partnership and asset management fees starting at $18,500) available for payment of Deferred Developer Fees $1,014,984 $1,330,993 $316,009 deferred fees. Low Income Housing Tax Credit Equity r $5.770.828 JL841 326 $70,498 See Discussion, Below TOTAL SOURCES $17.320.145 $15.001.971 ($565,768) ( SURPLUS/(DEFICIT) ($8,969,999) ($11,701_368) _($968,963) *Developer's budget total of $26,320,144 does not correctly total by $30,000 (error in Developer's "Indirect Construction" total) Discussion of Table 3 The "Uses" portion of Table 3 shows the Developer's budget, contrasted with modifications proposed by CSG. • Total New Construction Costs: Supported by a "Conceptual Estimate" provided by the Advent Companies. Le., these are very preliminary estimates based on conceptual drawings. • Construction Loan Interest: CSG has applied typical underwriting criteria i.e., 60% average outstanding balance, during the term (24 mos), at the underwriting interest rate (3.65%). • Developer Fee: CSG has adjusted the Developer Fee to reflect 15% of unadjusted eligible basis (i.e., $17,174,701) not including the Developer Fee as allowed by CTCAC for 4% tax credit projects. The "Sources" portion of the table illustrates proposed corrections to certain of the sources. • Permanent Loan - Residential: We have sized the Permanent Loan with out reference to Section 8, because the developer has not applied for or secured an award of Section 8 vouchers. The calculation of the permanent loans is as indicated below based on terms consistent with the market and typical Citibank tax-exempt bond transactions: Tax Credit Rents Effective Gross Rents $793,406 (per Developer units mix and 5% Net Cash Flow DSCR Cash Flow Available to Support Debt CSG Iadvisors SAN FRANCISCO 65XA70 1.15 $459,309 LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 24 2017 Tiny Tim Plaza Apartments Financial Feasibility Pace 5 of 6 Interest rate/Amortization Term 4.75%/35yrs Loan Amount $7,829,652 Note that the Effective Gross Rents reflect 2017 CTCAC rents for Orange County. Permanent Loan — Retail: Lender and investor underwriting of the retail space would be atypical for affordable lending and, as CSG has not received substantiation of Lender willingness to underwrite the retail, CSG has eliminated this source. • Low -Income Housing Tax Credit Equity: The LIHTC equity reflects slightly adjusted eligible basis as compared to the Developer Budget. The LIHTC equity calculation is as follows (per the CTCAC application form): Total Eligible Basis $19,750,906 QCT basis boost 100% Total Adjusted Eligible Basis $19,750,906 Applicable Fraction 100.00% Total Qualified Basis $19,750,906 Applicable Percentage 3.25% Annual Federal Credit $641,904 Total Federal Credit $6,419,040 Tax Credit Factor $0.91 LIHTC Equity $5,841,326 Financing Deficit Based on the adjustments• noted above, the Project has a financing deficit of approximately $11.7M. The Developer has proposed to close this financing deficit with permanent financing based on the commercial rents; and with funds from City, the State of California's AHSC program, Section 8 vouchers, and New Market Tax credits. This analysis has not addressed the Project's suitability or likelihood of success for the latter three programs. Operating Expenses and Operating Pro Forma The Developer proposes annual operating expenses per unit of approximately $4,900 per unit not including reserves, based on expenses of its recently completed projects in the region, e.g., Guest House apartments. The Developer's proposed operating pro forma uses standard underwriting requirements for tax -credit and bond financing projects: annual income inflation at 2.5% and annual expense inflation of 3.5%; vacancy of 5% annually. These underwriting assumptions along with calculated debt service on the first Permanent Loan results in an initial year debt service coverage (DCR) of 1.15, with increasing DCR each year there after. The Developer's proposed operating pro forma indicates a healthy project from an operational perspective. CONCLUSION The Project has a financing deficit of approximately $117M. The Developer proposes, in addition to funds requested from the City, to close the financing deficit with permanent financing based on the commercial rents; and with funds from the AHSC, New Market Tax Credits, and the use of Section 8 CSG Iadvisors SAN FRANCISCO •65AA74 LOS ANGELES NEW YORK Judson Brown, City of Santa Ana May 24 2017 Tiny Tim Plaza Apartments Financial Feasibility Pace 6 of 6 vouchers. The project has not yet applied for these sources. The suitability of the Project for those sources and the likelihood of success in obtaining those sources should be the source of a separate analysis. CSG IadvisorS SAN FRANCISCO 65A42 LOS ANGELES NEW YORK CORRESPONDENCE 65A-74 CDP COMMUNITYDli' UOPMF7Y1'PAR'INFES May 31, 2017 Mr. Robert Cortez Deputy City Manager City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Re: Tiny Tim Plaza Affordable — Request for City Funding Commitment Dear Mr. Cortez: This letter is to formalize our request for a commitment of $6,000,000 in City funds to serve as gap financing for the Tiny Tim affordable housing development, located at 2223 W 5th St in Santa Ana. The project will provide 51 units of new, high quality, affordable rental homes targeting large families, while also enhancing the existing businesses through rehabilitation of the retail center. Upon completion the project will serve as a community social node where housing, local businesses and community services interact to promote a healthier neighborhood. The commitment of funds from the City of Santa Ana will provide our acquisition lender the comfort needed to move forward with the acquisition loan and allow us to meet our close of escrow deadline. Additionally the commitment of funds will make Tiny Tim more competitive when trying to leverage alternative financing sources, including New Market Tax Credits (NMTCs) and Cap & Trade (AHSC) funds. Both of these sources are not available until later in the year, after our escrow close deadline. We believe the Tiny Tim project will have an incredibly large and positive impact on the surrounding community. We also believe as a developer we should attempt to leverage City resources with alternative funding sources available for the project. The commitment of City funds is a crucial component to allow the project to compete for future sources. Thank you for your consideration of the Tiny Tim project. Should you have any questions, please do not hesitate to contact me at 949-922-3578. Sincerely, V 4 Kyle Paine, President Community Development Partners 3416 Via Oporto, Ste 301, Newport Beach, CA 92663 T: 949-.467.1344 FX: 949.419.0952 www.communitydevpartners.com 65A-75 65A-76 Mitre -Ramirez, Norma From: Huizar, Maria Sent: Thursday, June 1, 2017 12:22 PM To: Cortez, Robert Cc: Kurtz, Cynthia; Mitre -Ramirez, Norma Subject: RE: Santa Ana Arts - Council Options We will include in the packet for 6/6 meeting, which is when the item will be considered, correct? From: Cortez, Robert Sent: Thursday, June 1, 2017 12:09 PM To: Huizar, Maria <MHuizar@santa-ana.org> Cc: Kurtz, Cynthia <CKurtz@santa-ana.org> Subject: FW: Santa Ana Arts - Council Options Maria, This correspondence came in today and was tied to the special meeting. Thanks, Robert Cortez, Deputy City Manager City of Santa Ana 20 Civic Center Plaza I Santa Ana, CA 92701 (714) 647-5200 1 rcortez5@santa-ana.ora From: Chris Maffris fmailto:cmaffris@metahousine.com] Sent: Thursday, June 1, 2017 11:03 AM To: Cortez, Robert <RCortezS@santa-ana.ore> Cc: Kasey Burke <kburke@meta housing.com>; Michelle Coulter <MCoulter@metahousine.com>; Brian Hendricks <bhendricks@maeisrealtv.com>; Brown, Judson <JBrown @santa-ana.ore> Subject: Santa Ana Arts - Council Options Hello Robert, We appreciate the opportunity to respond to the financial assistance options for Santa Ana Arts Collective, as presented in today's Agenda. Per the Agenda, the following are the options for Council discussion and consideration: Option #1: Amend the project's original award by an additional amount up to $2.9 million per Keyser Marston Associates (KMA) gap analysis. Option #2: Amend the project's original award by an additional amount up to $1,481,215, per CSG Advisors gap analysis. City financial assistance to be negotiated by CSG Advisors and Meta Housing. Though both reports agree that a Developer Fee of $2 million is a CTCAC limit for projects financed with competitive 9% tax credits, KMA and CSG's suggestions for the means and extent to which developer fee is further limited, differ greatly. 65AL77 KMA has recommended that Meta forgo at least $600K in developer fee to help close the financial gap, which while onerous, we can still live with. CSG has recommended that Meta forgo $1,269,942 of its developer fee via a $269,942 fee deferral and a $1M GP contribution. This $1M contribution would need to be taken as income and taxed, further reducing the actual net developer fee received to only about $380K (a total deferral of $1,620,000). In short, Meta's financial upside for nearly five years of work and incredible construction risk would be limited to $380K, which does not even cover overhead. Additionally and perhaps more importantly, developer fee, specifically un -deferred developer fee, is viewed by the lenders and investors as Project Contingency and necessary to avoid capital shortfalls that could inhibit construction completion. In other words, under the KMA option, lenders and investors can rely upon Meta's un -deferred developer fee to cover $1.4 million in unanticipated cost increases. Under the CSG option, they would only see $380K in net developer fee to cover unanticipated cost increases, which is insufficient for their underwriting. In summary, we respectfully request that the City Council elects to move forward with KMA's suggested financial assistance of $2.9 million, with a minimum deferred developer fee of $600K. We are prepared to shoulder $600K of the gap, but anything further leaves us unable to cover 5 years of our own internal costs and the financial risks of guaranteeing completion of a $34M project. We remain hopeful that we can continue moving forward in partnership with the City on this exciting and innovative project. Thank you again for your time and consideration. Chris Christopher Maffris, Senior Vice President META HOUSING CORPORATION 1640 Sepulveda Blvd., Suite 425 Los Angeles, CA 90025 T. (310) 575-3543 ext. 108 F. (310) 575-3563 Email: cmaffris@metahousins.com Website: www.metahousing.com This email and any files or attachments transmitted with it may contain privileged or otherwise confidential information. If you are not the intended recipient, or believe that you may have received this communication in error, please advise the sender via reply email and immediately delete the email you received. 65A-78 kelly associates Management Group June 1, 2017 Ms. Cynthia J. Kurtz, Interim City Manager Mr. Francisco Gutierrez, Executive Director of Finance City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 SUBJECT ANALYSIS OF CITY OF SANTA ANA RESERVE FUNDS Dear Ms. Kurtz and Mr. Gutierrez: The City of Santa Ana retained Kelly Associates Management Group LLC ("KAMG") to perform a review of the City's financial operating reserve balances. The Scope of Work for this engagement included the following tasks: • A review of the last three years audited financial statements to ascertain the level and prior historical use and classification of fund reserves. This would include not only the General Fund but all funds to ensure that fund reserves are being used and accounted for accurately. • A review of the last three years adopted budgets to identify any City Council directives regarding use of fund balance reserves or one-time budget savings. • Identify the financial events that led to the budget savings in fiscal years 2014-15 and 2015-16. Confirm that the remaining savings are accounted for properly in the 2015-16 financial statements • Review and reconfirm that any identified one-time budget savings are indeed one-time savings and not ongoing structural budget surpluses. Review methodologies of budgeting for full-time positions, as well costing allocations. • Review potential 2016-17 and 2017-18 budget shortfalls, including budgeting practices that are followed to ensure that best practices are being followed to produce fiscally sound citywide budgets. This would include a detail review of the budget practices and philosophies implemented in each budget cycle that led to, one, balanced budgets, and two, any potential structural budget surpluses and/or budget savings. • Prepare a Status Memorandum to the City summarizing its findings and recommendations. • Prepare and submit a final report and will assist in the preparation of any required follow-up reports to the City Council as directed. KAMG has now completed its data collection and analysis and offers this report with ourfindings and recommendations. 1,1=10 north harbor botilevard w suite 900 m hillerlon m ca m 92835 7g.gBA Analysis of City of Santa Ana Reserve Funds Page 2 Report Overview The City of Santa Ana has engaged Kelly Associates Management Group ("KAMG"), to conduct a review of the current reserve balances to verify that the financial information presented to the City Council in prior budget adoption processes was accurate and clearly identified. KAMG had two preliminary meetings with City staff to discuss the specific needs of the City. The focus of this engagement was to review the composition of the General Fund reserve balances at June 30, 2016 so that information could be presented to the City Council to enable them to differentiate between reserves that could be used to potentially balance the General Fund budget and/or used for one-time special programs or projects, or, reserves that are restricted, per the City Council's discretion, for safeguards against economic downturns which would require special circumstances to be used. The City of Santa Ana's General Fund reserves increased significantly between 2010-11 and 2015-16. In addition, a new Budget and Fiscal policy was adopted in 2012. New reserve classifications were created to separate monies available for citywide needs and monies available for fiscal emergencies. Six (6) years of audited financial statements were reviewed to determine how the reserve balances were accumulated and if they were classified correctly, per the Fiscal and Budget policy. Our conclusion is that the reserves identified in the June 30, 2016 Comprehensive Annual Financial Report "(CAFR"), accurately reflect the financial activity of the City of Santa Ana through this date. The financial reserves are also correctly identified, per the Fiscal and Budget policy, at June 30, 2016. One area of concern was the "Attrition Savings" process that was used during the 2016-17 budget adoption. This process redirected anticipated personnel savings into other programs and/or projects, but did so without reducing the number of funded personnel positions in the budget. This process should be discontinued as it does not clearly identify the number of funded positions in the budget. In 2016-17 a higher number of positions were authorized by the City Council, but were not funded. Regarding potential changes to the Budget and Fiscal Policy, City staff should closely monitor and project future cost increases that could dramatically affect the required reserve level amounts. Scope of Review KAMG has completed its review of the General Fund Reserves as of June 30, 2016. Our scope of review was focused on the 2010-11 fiscal year through the last completed fiscal year of 2015-16. Fiscal years 2010-11 through 2015-16 have been audited by an independent CPA firm, and each fiscal year's audit has been given an unqualified/unmodified opinion. KAMG has relied on these audit reports for the analysis of the General Fund reserve amounts for each year. Each annual audit produced a financial report called a Comprehensive Annual Financial Report, ("CAFR"), which includes the City of Santa Ana's financial statements, notes to the financial statements, supplementary information, management's discussion and analysis, and the transmittal letter. KAMG relied on this information to form assumptions as to the reasonableness of the General Fund reserves. 65B-2 Analysis of City of Santa Ana Reserve Funds Page 3 KAMG also reviewed the City Council approved budgets for fiscal years 2013-14 through 2016-17. Each City Council budget was approved as a balanced budget. Each budget document approved by the City Council contain a detailed discussion about the Fiscal and Budget Policy. KAMG also reviewed the budgeting philosophies used by staff in preparing the budgets submitted to the City Council for their adoption. Budget concepts and assumptions were reviewed for reasonableness and accuracy. Fiscal and Budget Policy The City Council adopted a Fiscal and Budget Policy on June 4, 2012. This policy follows Government Finance Officers Association ("GFOA") recommended Best Practices by establishing two distinct reserve amounts. The first one is the Operating Reserve Account. It is accounted for in the Unassigned Reserve Account Section of the City's financial statements. This also follow's GFOA's recommended Best Practices. The Operating Reserve Policy established a minimum of 15% of General Fund operating expenditures be used as the target goal. The City Council set an additional goal for the Operating Reserve Account. Upon attaining the 15% benchmark, the City would strive to reach an operating reserve of 20% of operating expenditures. Any funds allocated to the Operating Reserve would not be used to fund/pay for any type of operating expenditures or to cover any budgetary shortfall other than to preserve ongoing cash flow needs of the City. In other words, these funds should not be used to balance a proposed budget, whether it is a structural unbalanced budget, or a budget that needs one time funds to balance it. The City of Santa Ana was able to reach the 15% benchmark goal by the end of the 2013-14 fiscal year. The City was also able to reach the 20% reserve goal during this period as well. (Not a mandated goal per the policy, but a goal for the City to strive for.) It is a GFOA recommendation that at least two months of operating expenditures be kept to ensure that the liquidity needs of the city are met. The two months benchmark is approximately 16.67% of expenditures. Since the 2013-14 fiscal year, the City has maintained the 20% reserve level. Based on the 2015-16 actual General Fund expenditures, the current reserve level should be close to $43 million. Currently the reserves are at $42.4 million. This is an acceptable amount. The City Council also established an Economic Uncertainty Reserve Account. This account was established to maintain a minimum reserve level of 1% to 10% of recurring General Fund revenues, with a goal of attaining the maximum 10%. Funds in this account should only be used to offset negative variations in projected revenues from the largest revenues sources in the City. It is common for this reserve account to be used of offset negative fluctuations in expenditure accounts. A downturn in the economy will usually effect revenues first, but can cause expenditures to increase as markets constrict. An example of this is the increase in cities PERS rates over the last few years, which have been due in part to CALPERS generating lower investment earnings than they had projected. LIRW Analysis of City of Santa Ana Reserve Funds Page 4 The Economic Uncertainty Reserve Fund was funded in Fiscal Year 2012-13 with a $3.85 million contribution. This was made possible by General Fund revenues exceeding General Fund expenditures at the end of the 2012-13 fiscal year. This reserve amount has not changed through the 2015-16 fiscal year. The current amount represents a 1.5% reserve level. Governmental Accounting Standards Board, ("GASB") Statement No. 54 states that governmental funds' fund balances should be classified based primarily on the extent of which the City is bound to honor the constraints on the specific purposes for which the amounts in the funds can be spent. Both the Operating Reserve Account and the Economic Uncertainty Account have been correctly classified as an Unassigned Fund Balance. An Unassigned Fund Balance is an amount that does not have legal or committed restrictions on its use. City staff has recently brought to the City Council for their consideration revisions to the Fiscal and Budget Policy. After reviewing the recommended changes, KAMG supports the changes. The revisions will keep the City of Santa Ana up to date with the current best practices for establishing and maintaining local government fund reserves. The City is recommending a target reserve balance of two months of operating expenditures. This equates to about 16.67% of operating expenditures and is an acceptable amount. In addition, KAMG recommends a five -to ten-year expenditure projection be prepared to forecast the growth in General Fund expenditures because the dollar amount tied to the 16.67% will grow with the increase in General Fund expenditures. Significant PERS rate increases are anticipated over the next five to ten years. Because pension costs are a large part of the General Fund budget, these potential rate increases will drive the total General Fund budget up. This will in turn drive up the two month operating reserve (16.67%) requirement. The more that funds have to be allocated to meet the operating reserve requirement, the more strain will be put on the overall General Fund budget to fund any other reserve accounts, or to fund any potential city project. By preparing the five to ten year financial projection, the City will be aware of what monetary commitments will be required annually to meet the reserve policy. This will impact the annual budget process. The City is not proposing any fiscal policy changes to the Economic Uncertainty Reserve.. The 10% reserve level is still the goal for the City. KAMG recommends that the City Council make it a priority to try and fund this reserve up to the 5% level. At June 30, 2016, the reserve is at 1.5%. The 3.5% increase would equate to an approximate contribution to reserves of $7 million, based on the 2015-16 actual expenditures. Putting the two reserve amounts together, the overall goal of the City would be to obtain a 21.67% (16.67% plus 5%) reserve level. This is a sound financial goal that meets best practices standards. LIMM Analysis of City of Santa Ana Reserve Funds Page 5 Six Year Analysis of General Fund Reserves The attached "Exhibit A" is an analysis of reserves of the last six fiscal years. The analysis focuses on the accumulation of reserves year over year, including not only the Operating Reserve and the Economic Uncertainty Reserve, but also the Unallocated Amount Reserve, (not designated for anything), and the Assigned Amount Reserve, (earmarked for future projects and/or programs by the City Council). The Santa Ana City Council and City staff should be commended for their ability to increase their reserves from very low levels in fiscal year 2010-11 to financially stable amounts by fiscal year 2013-14. The exhibit shows that the Operating Reserve Account was able to meet the Budget Fiscal Policy goal by the end of the 2013-14 fiscal year. It has been able to stay very close to the 20% reserve goal ever since. The accumulation of most of these reserves occurred in fiscal years 2011-12 through 2013-14. In 2011-12, property tax, sales tax, hotel tax, and business license tax revenues came in almost $5 million over budget. On the expenditure side, one-time citywide expenditures were approximately $8 million less than expected. These were the main factors in reserves increasing approximately $13 million for the year. In 2012-13, all revenues, but primarily property tax, sales tax, hotel tax, and business license tax revenues came in approximately $9.6 million over budget. On the expenditure side, personnel cost savings, primarily in Recreation and Community Services, the Police Department, and Planning and Building, were approximately $7 million. These were the main factors in spendable reserves increasing approximately $15.5 million for the year. In 2013-14, all revenues, but primarily property tax, sales tax, hotel tax, and business license tax revenues, came in approximately $9.3 million over budget. On the expenditure side, personnel cost savings, primarily in Recreation and Community Services and the Fire Department (contract savings), were approximately $5.4 million. Capital Outlay expenditures were almost $2.7 million less than anticipated. These were the main factors in spendable reserves increasing approximately $15 million for the year. In 2014-15, property tax, sales tax, hotel tax, business license tax, and revenues from other agencies came in approximately $7 million over budget. This was offset by a $4 million rental income loss due to the Police Departmentjail operations. On the expenditure side, personnel cost savings, primarily in Recreation and Community Services, the Police Department, Planning and Building, and Community Development, were approximately $9.3 million. One-time citywide expenditures were approximately $1 million less than expected. These were the main factors in reserves increasing approximately $13 million for the year. Of the $13 million new reserves added at the end of the 2015-16 fiscal year, approximately $11 million was designated by the City Council to be spent on specific future projects / programs. This is what staff refers to as the Assigned Accounts. In 2015-16, property tax, sales tax, hotel tax, business license tax, and revenues from other agencies came in approximately $1 million over budget. This was offset by a $4.5 million rental income loss due to the Police Department jail operations. On the expenditure side, personnel and operational cost o• Analysis of City of Santa Ana Reserve Funds Page 6 savings across all departments, but primarily in the Police Department, were approximately $14 million. These were the main factors in spendable reserves increasing approximately $10 million for the year. Overall, from the 2011-12 fiscal year through the end of the 2015-16 fiscal year, total reserves grew from approximately $11 million to almost $77 million. Out of the $77 million, approximately $75 million is reserved, in some form, for a specific purpose. The remaining $2 million has not been designated for a specific purpose. Of the $77 million at June 30, 2016, $29 million was available at the discretion of the City Council. During the last two budget adoptions by the City, $27 million of the $29 million has been earmarked by the City Council for one-time uses and/or special projects. As of to date, a number of these funds have not been spent. The remaining reserve amounts are separately identified as reserve goals set by the City's Fiscal and Budget Policy. This is an important point because these unspent funds, even though they have been earmarked by the City Council, may be needed and/or considered as one-time funds to balance an upcoming budget. In reviewing the City's other (non -General Fund) funds, all the funds classified as Governmental Funds had reserves that are classified as Restricted. Forthe Proprietary Funds, all of these funds' reserves are restricted for the enterprise operation that they operate. Nothing came to our attention that these funds' reserves are misrepresented in the City's financial statements. Budgeting Methods ("Attrition Savings") Used During the 2016-17 budget adoption process, the City Manager initiated an "Attrition Savings Process", which was aimed at redirecting potential personnel and operational cost savings for the upcoming year to other General Fund programs and/or projects. The philosophy of the program worked as follows. Based on historical data, each operating department within the General Fund, (i.e., the Police Department, the City Clerk's Office), had a historical record of salary savings and operational cost savings each year, mainly due to funded personnel positions that were not filled (for the full year or part of the year), during a given budget year. Based on the historical average of vacant positions, and the corresponding salary and benefits cost, the average cost of salary savings, and unused operational savings, was removed from the respective department's overall budget. The accumulation of these savings across all operating departments within the General Fund were than reprogramed into other programs and/or projects for the 2016-17 fiscal year. As far as communications with the City Council, it should be noted that the attrition savings were identified as a line item in the General Fund Trial Budget that was presented to the City Council in April, 2016. Beyond that, there did not seem to be any substantial discussion about the reprograming at any further budget meetings. There also does not seem to be any direct correlation between the savings removed from department's budgets and any new and/or additional programs that were added. The "attrition savings" process of removing a portion of a department's personnel budget, which in essence is what was done, is a budgeting methodology that has been done in other cities. Recognizing o• � •, Analysis of City of Santa Ana Reserve Funds Page 7 that there will most likely by salary savings in any given year and taking those funds and appropriating them to other city services is an acceptable practice. What is important during the budget process is that the true number of funded personnel positions for the fiscal year be clearly identified. During the City of Santa Ana's 2016-17 budget process, it is not clearly evident that the City Council approved a specific amount of personnel positions for the fiscal year. By not doing this it allowed budgeted funds to be redirected to other needs without clearly identifying that a certain number of positions were not funded for the upcoming year. KAMG recommends the City Council, as part of the budget adoption, approve a specific number of full- time positions for the upcoming budget year. This will demonstrate transparency to the public, and it will clearly communicate to each department what the approved number of personnel staffing is for the new fiscal year. Granted, it still may be difficult to fill all vacant positions for any given department, and personnel cost savings may occur in some years. If that is a situation that exits in one or more departments, staff should discuss with the City Council the possibility of reducing the number of budgeted positions, and possibly redirecting the funds, for other citywide needs. Long -Term Financial Projections The reserve amounts on hand by the City of Santa Ana are a result of, one, a much improved local and national economy and, two, General Fund savings over the last five years. The additional funds (revenues generated but not spent), at the end of each of the last six fiscal years, has enabled the City to establish and meet reserve policy goals, and to have create additional discretionary funds. As the City is actively preparing its 2017-18 budget, one-time reserves may be needed to balance the budget. Two reasons for this situation are the slowdown in the local and state economy and the constant pressure of increased operational costs. Pension costs have the highest risk of dramatically increasing over the next 5 to 10 years. Because of this financial uncertainty is it critically important that the potential large increases in the PERS pension rates be incorporated into the current long-range General Fund financial forecasts of the City. This will enable the City Council and Staff to make better informed decisions regarding, one, the use of one-time reserves to balance future budgets, and, two, new revenue sources and/or expenditure cuts. The use of reserves to balance a budget that is structurally unbalanced should not be an ongoing practice that is put into place. It can be used for a short period of time, one to two years, but only if during that time period long term solutions are found to structurally balance the budget, and also to potentially repay the reserves account. As the City considers the use of one-time reserves to balance the 2017-18 General Fund budget, and potential future year budgets, it is also very important that an estimated cost of labor negotiations be incorporated into the budget. All represented employee groups' labor contracts are expiring June 30, 2017. If there is a possibility that salary and/or benefit enhancements could be given to any or all employee groups, then estimates should be factored into the current year budget and any long-range financial projections. These estimates will better represent the true costs of future projects, and will better inform the City Council and Staff as to use of future reserves. 65B-7 Analysis of City of Santa Ana Reserve Funds Page 8 Findings/Recommendations In conclusion, based on the audited financial statements reviewed and the budgets adopted by the City Council, the following reflects KAMG's findings and recommendations regarding the status of the General Fund Reserves of the City of Santa Ana, at June 30, 2016: • The reserves identified in the June 30, 2016 Comprehensive Annual Financial Report "(CAFR" ), accurately reflect the financial activity of the City of Santa Ana through this date. The financial reserves are also correctly identified, per the Fiscal and Budget policy, at June 30, 2016. • The City of Santa Ana's General Fund reserves increased significantly between 2010-11 and 2015-16. • A new Budget and Fiscal policy was adopted in 2012. New reserve classifications were created to separate monies available for citywide needs and monies available for fiscal emergencies. Changes to the current policy have been discussed with the City Council. KAMG agrees with the proposed changes, but also recommends that the City Council fund the Economic Uncertainty Fund to 5%. • Since the 2013-14 fiscal year, the City has maintained the 20% reserve level in the Operating Reserve Account. Based on the 2015-16 actual General Fund expenditures, the current reserve level should be approximately $43 million. If the proposed changes to the Budget and Fiscal Policy are adopted, the Operating Reserve Account would be overfunded. KAMG recommends these potential excess funds stay in the Operating Reserve Fund. These excess funds will slowly evaporate (as a percentage of reserves), as the General Fund expenditures increase year over year. When the Operating Reserve Account, as a percentage, drops to 16.67%, the City will need to start funding this reserve. • The "Attrition Savings" process that was used during the budget adoptions redirected anticipated personnel savings into other programs and/or projects, but did so without reducing the number of funded personnel positions in the budget. KAMG recommends that if this process is to continue, the potential savings be based only on personnel savings, and that the specific number of funded personnel positions be clearly identified in the budget adoption process. KAMG recommends a five- to ten-year expenditure projection be prepared to forecast the growth in General Fund expenditures because the dollar amount tied to the 16.67% will grow with the increase in General Fund expenditures. Regarding the potential changes to the Budget and Fiscal Policy, KAMG recommends City staff should closely monitor and project future cost increases that could dramatically affect the required reserve level amounts. KAMG appreciates the opportunity to work with the City of Santa Ana. Please feel free to contact us if you have any questions regarding this report or would like to discuss our findings and recommendations further. Respectfully submitted, KELLY ASSOCIATES MANAGEMENT GROUP, LLC om w • William R. Kelly President/CEO Analysis of City of Santa Ana Reserve Funds Page 9 Mark D. Alvarado, CPA Principal Attachment 1—Six-Year Analysis of General Fund Reserve o• Analysis of City of Santa Ana Reserve Funds Page 10 City of Santa Ana 6 Year Analysis of General Fund Reserves _tI 2014-15 2015.1 — — _—_� -- 2010-11 2011-12 2012-13 2013-1__4 Operating Reserve Account Economic Uncertainty.Account $6,673,2901 $19,335,569 $26,842,243 $3,845,592 $40,538,518J41,512,985 $3,845,592 $3,8455 _$42,397,974 $3,845,592 Assigned Account = _$2,986,397 $4,660,762 $5,424,045 $5,403,946 $16,618.376 $27,077,619 Unallocated Account Prepaid @ems __T$1,314,3311 Restricted/Committed" I $3,266,819 $913,595 _$3,357,089 $532,895 _$3,434,420 $954954 $2,151,297 _ $1454962 1 $10,974,0181 $23,996,3311 $39,378,6991 $54,058,7401 $66,899,2221 $76,927,444 - Target Goal for Reserve Operating Reserve Account (20%) 1 $40,400,000 $41,000,000 - $38,800,000 $40,538,518 $41,512,985 $42,397,974 1 i 1 1 ` Carryforward of projects not completed in prio _y_qar,_ and supplemental programs identified. " Restricted for contractual obligations and/or debt service agreements. JT — — 65B-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: APPROVE MODIFICATIONS TO THE CITY'S BUDGET AND FINANCIAL POLICIES {STRATEGIC PLAN NO. 4, 11 CI MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve the revised Budget and Financial Policies, which includes the following elements: 1. Operating Reserve Modify the operating reserve to require a range of two months (16.67%) to a maximum of 20% operating reserve. Provide language that operating reserves cannot be used to cover budgetary shortfalls unless a fiscal emergency or fiscal crisis is declared by the City Council. 2. One Time Revenue Allow the use of one-time revenue to offset structural deficits for one-year. Additionally, approve the use of one-time revenue for a concurrent second year, subject to two-thirds approval by the City Council. 3. Updated Terminology Amend the current policy to include terminology utilized in the Budget and Fiscal Policy consistent with the terms utilized in the City's Comprehensive Annual Financial Report. Alternative Option Do not approve revisions to the existing Budget and Financial Policies. Direct staff to develop a budget in accordance to the existing policy for Council consideration. ECONOMIC DEVELOPMENT, INFRASTRUCTURE, BUDGET AND TECHNOLOGY COUNCIL COMMITTEE ACTION At its meeting on May 15, 2017, the Council Committee recommended elements 1 and 2 of the staff recommendation. 65C-1 Modifications to the City's Budget and Financial Policies June 6, 2017 Page 2 DISCUSSION On June 4, 2012, the City Council adopted the current Fiscal Policy. The policy was established in response to the 2008 recession that resulted in major revenue shortfalls and the depletion of City reserves. The policy's main objective is to ensure long-term financial sustainability through the establishment of reserve levels proposed by the Government Finance Officer Association (GFOA), ensure the ability to address short term variations in revenue with the establishment of an Economic Uncertainty Account, defining the use of one-time revenue for one-time or term specific expenditures, and providing budgetary guidelines. Since its approval, the City has achieved a 20% reserve level ($42.4 million) and has established an Economic Uncertainty Account ($3.8 million). However, the City has forecasted a structural deficit for FY 17-18 and FY 18-19. In order to address the deficit and allow for an opportunity to develop and implement strategies, staff recommends changes in the fiscal policy to allow the use of one-time revenue to balance the budget. On May 15, 2017, staff presented options for consideration for the Economic Development, Infrastructure, Budget and Technology Committee (Committee). The presentation provided an opportunity to review the current policy and discuss options. In terms of the City's Operating reserve, there was consensus that preserving the current dollar value ($42.3 million) was paramount to ensuring the City's financial sustainability and ensuring the City's AA rating issued by Standard & Poor's. As expenditures related to the General Fund budget grows a corresponding increase is required to continue maintenance of a 20% reserve level. To maintain the operating reserve level at 20% as of June 30, 2017, staff is projecting that an additional $2.6 million would be required. Best management practices by the GFOA, calls for a minimum of two months reserve. Therefore, the Committee recommended a range that includes a minimum reserve level of two months (16.67%) up to 20%. To further protect the reserves, the Committee is recommending a provision requiring that the use of the operating reserves be limited to financially declared emergencies. Furthermore regarding one-time revenue, the Committee clarified that one-time revenues are separate and distinct from the operating reserves. One-time revenues are primarily related to year-end operating balances and savings related to the completion of encumbered projects and programs. The Committee sought to ensure that the use of one-time revenue should be to fund one-time or term specific programs but recognized the need to include language that would allow the use of these revenues to balance the budget for FY 2017-18 and FY 2018-19. The Committee recommended additional language that would require a mid -year budget review, provide for the accounting of unspent funds as it relates to vacant positions. These items will be included as budget directives to the City Manager under the budget adoption actions. Furthermore staff is recommending adding language that would allow the terminology used in the fiscal policy to be consistent with the terms used in the City's Annual Comprehensive Financial Report. This would allow for greater transparency as it relates to the use of one-time revenue. 65C-2 Modifications to the City's Budget and Financial Policies June 6, 2017 Page 3 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 Adoption of the recommended changes will preserve the current operating reserve value and would allow the use of one-time revenue to balance the Fiscal Year 2017-18 General Fund Operating Budget. Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibit: 1. Budget and Financial Policies (red -lined) 65C-3 65C-4 EXHIBIT 1 City of Santa Ana = Council Policy Mayor's Authorization Subject Council Approval Date: BUDGET AND FINANCIAL POLICIES m nlGET 9 - FINANCIAL 9- FINANCIALPOLICIES June 6, 2017 Background The severity of the recent economic recession highlighted the need to establish and maintain adequate reserve policies to offset significant economic downturns and unforeseen rising costs more effectively. In 2002, The Government Finance Officers' Association (GFOA) recommended reserve levels equal to a minimum of 5% to 15% of operating revenues or one to two months of operating expenditures as a basis to establish sound reserve levels. Adoption of a formal City Budget and Reserve Policy will provide a basis to manage significant financial events more effectively in the future. PURPOSE The City's reserve policy will define the recommended level for reserves for the General Fund as well as internal and enterprise operations. The policy will outline a timeframe and plan that will assist the City in meeting the minimum General Fund requirements overthe course of the next few years. It will also establish criteria for the use of reserves and establish a process by which to replenish reserves if used. It is the intent to focus on the General Fund initially and incorporate additional reserve policies for internal and enterprise funds over the next fiscal year. General Fund GENERAL FUND The General Fund is the general operating fund for the City. It accounts for all general revenues including sales tax, property tax, business tax, hotel visitors tax, as well as otherfees and charges. It is the basis to fund general ongoing City operations such as police, fire (contract services), recreation, planning and building as well as other general support services. Furthermore, the following budget policy directives are recommended to be continued/implemented in order to maintain Positive operating reserve levels: General Fund Budget Policy Directives It shall be established that a balanced budget will be presented annually to the City Council for adoption. A balanced budget will be defined as ongoing recurring operating revenues matching ongoing recurring operating expenditures including debt service. One time or term specific funding can only be used to match one-time non-recurrin expenditures; with the exception of during a budget deficit, term specific projects and programs, as well as capital expenditures. - In order to ensure a balanced budget objective, the City will continue to pursue internal operational efficiencies and strategies, such as technology, that minimize City costs and impacts to City services. Budget & Financial Polices 65C-5 Page 1 In order to ensure proper maintenance of a continued balanced budget, the City Council will adopt a compensation and retirement benefit directive that provides guidance and conforms with the established budget directives and reserve requirements as outlined in this policy. One -Time Monies Fund Balance determined to be one-time in nature, including but not limited to: ending operating balance, unallocated fund balance or un -appropriated "Assigned" fund balance is herein classified as "One -Time monies'. Utilization of one-time monies is allowable upon two-thirds approval by the City Council to be utilized in the event a structural budget deficit exists. Use of one-time funds is allowable for one-year and may be eligible for two consecutive years upon further consideration by the City Council. Unassigned Fund Balance In accordance with Governmental Accounting Standards Board (GASB) 54 and continuing to ensure a continued orderly operation of City Government and address any unforeseen economic occurrences, the City shall establish the following Reserve Accounts within the Unassigned Fund Balance category: • Operating Reserve • Economic Uncertainty Reserye • Unallocated Amount As a result of the GASB 54, the following fund balance categories were also created: Non -Spendable; Restricted; Committed; Assigned and Unassigned. Operating Reserve Account As a measure of prudent fiscal health and recommendations made by GFOA, the Citv created an OoeratinR Reserve Account, disclosing a range where two months (approximately 16.67%) up to twenty percent (20%) of recurring General Fund (011) operating revenues or expenditures (including transfers) are maintained. At no time is it permissible for the Operating Reserve requirement to fall below the above -referenced threshold range. Budget & Financial Polices Page 2 65C-6 0 0 14oweveF, at - 0 61p9A attaipmpnt of I q%, 0 One -Time Monies Fund Balance determined to be one-time in nature, including but not limited to: ending operating balance, unallocated fund balance or un -appropriated "Assigned" fund balance is herein classified as "One -Time monies'. Utilization of one-time monies is allowable upon two-thirds approval by the City Council to be utilized in the event a structural budget deficit exists. Use of one-time funds is allowable for one-year and may be eligible for two consecutive years upon further consideration by the City Council. Unassigned Fund Balance In accordance with Governmental Accounting Standards Board (GASB) 54 and continuing to ensure a continued orderly operation of City Government and address any unforeseen economic occurrences, the City shall establish the following Reserve Accounts within the Unassigned Fund Balance category: • Operating Reserve • Economic Uncertainty Reserye • Unallocated Amount As a result of the GASB 54, the following fund balance categories were also created: Non -Spendable; Restricted; Committed; Assigned and Unassigned. Operating Reserve Account As a measure of prudent fiscal health and recommendations made by GFOA, the Citv created an OoeratinR Reserve Account, disclosing a range where two months (approximately 16.67%) up to twenty percent (20%) of recurring General Fund (011) operating revenues or expenditures (including transfers) are maintained. At no time is it permissible for the Operating Reserve requirement to fall below the above -referenced threshold range. Budget & Financial Polices Page 2 65C-6 Such Operating Reserves shall not be used to fund any form of operating expenditures or to cover any budgetary shortfall other than to preserve ongoing cash flow needs for the City. If at any point in time it is deemed that the City budget is performing at a budgetary structural deficit and a "Fiscal Emergency' is declared, the use of the above -referenced Operating Reserve account is permissible for up to two consecutive fiscal years upon approval by two thirds of the City Council. The utilization of the Operating Reserve in Year Two (2) requires a plan to replenish the funds utilized. Asa matter of prudence and fiscal solvency and in the event of a projected and/or realized structural deficit (budget basis), the City will utilize Economic Uncertainty (see below for account description) account funds prior to accessing the Operating Reserve account. Economic Uncertainty4ie6eFveAccount - It is hereby established that upon fulfillment of achieving a minimum Unassigned Reserve Account of 10%, the City shall consider the establishment of a reserve account for Economic Uncertainty. The reserve for Economic Uncertainty is established to offset any major variations in tax receipts as well as fees and charges or unforeseen cost increases. It is hereby established the City maintain a minimum reserve level of 1 to 10% of recurring General Fund revenues with an objective of attaining a maximum goal of 10%. Upon determination by the Finance Department, that negative variations in projected revenues from the largest revenue sources defined as Sales tax, Property tax, Property tax in Lieu, Utility Users tax, Business Tax, and Hotel Visitors tax exceed 2%with no corresponding General Fund expenditure offset, then the City Council may authorize use of the Economic Uncertainty Reserve by a two-thirds vote to offset the revenue loss priorto the close of the fiscal yearend. A corresponding plan to replenish the reserve account must be adopted by the same vote. Upon determination by the Finance Department and report submission to the City Council that a structural deficit exists in the budgeted forecast of the upcoming fiscal year, the City Council may authorize use of the Economic Uncertainty Reserve to balance the budget by two thirds vote of the Council. However, authorization to utilize the Economic Uncertainty Reserve beyond two consecutive years is strictly prohibited. General Work Plan for Achievina General Fund Reserve Obiectives The following work plan is intended to reach the unassigned reserve account of 15% in phases. The initial objective is to attain at least a 5% threshold over the course of the following fiscal year and between 7% and 8% over the subsequent fiscal year. Upon attainment of the phased objectives, a comprehensive review of the general financial condition of the City will be completed and a new reserve work plan will be developed and submitted for approval that outlines the next intermediate steps for meeting the main objective of a reserve target level of 15%. Until such time that the General Fund Unassigned Reserve meets the minimum phased requirements as outlined above, the following budgetary and operational guidelines shall be used as a basis to achieve the various minimum requirements. Budget consideration of new programs, personnel, or capital related expenditures shall only be considered if a source of funding is identified either through a corresponding cost reduction, an identified general increase in general tax revenue, or a one-time revenue infusion. Source of funding should include consideration of ongoing general maintenance and operational costs. - Departments will be encouraged to continually achieve savings through internal organizational efficiencies. Budget & Financial Polices Page 3 65C-7 Technology will be encouraged if it can be demonstrated that a one-time capital infusion can result in savings being generated beyond two years. Any internal service fund that has funds in excess of the identified minimum reserve requirement as outlined in this policy, can be utilized as a means to meet the minimum General Fund Reserve requirements. Only unrestricted funds deemed transferable can be utilized. Any transfer to the General Fund Unassigned Reserve Balance will be submitted to Council for consideration and approval. In order to generate additional savings and until such time that the minimum level of reserves has been achieved, the Budget Office will only utilize a fiscally conservative profile for revenue projections. If the phased reserve target requirements as outlined above have not been met It is recommended that beginning in FY 14-15 a more conservative projection factor be used to generate forced budgetary savings: (NOTE: Each 1% equates to approximately $ 2 million) FY 12-13: 100 % of recurring revenue projected; FY 13-14: 100 % of recurring revenue projected; FY 14-15: 99 % of recurring revenue projected; Such factors shall be used to generate General Fund savings until such time that a 7%-8% unassigned General Fund reserve has been achieved. Any generated General Fund savings achieved after reaching between a 7%-8% undesignated General Fund reserve shall be applied in the following order: Up to a max of 25% -Unassigned General Fund Reserve Up to a max of 25% -Economic Uncertainty Reserve Up to a max of 50% -Can be applied to term specific programs, projects, personnel as well as deferred capital maintenance. Budget & Financial Polices Page 4 65C-8 Internal Service Funds Background Internal Service Funds are established to administer and account for various activities whose purpose is to provide for goods and services to support other departments for their ongoing operational and programming needs. The delivery of these services is recovered on a cost recovery basis. Purpose It is the intent of the Internal Service Fund Reserve Policy to establish general guidelines as to the establishment of a proper recovery rate structure and define an appropriate level of reserves for each Internal Service Fund. It will also establish criteria for the use of reserves and establish a process by which to replenish reserves if utilized. Although this polity only addresses the Risk Management Funds (i.e. Liability and Property Insurance and Workers Compensation Fund), it is the intent to build upon and include all internal service funds within this policy. Risk Management The Risk Management programs are established to protect the City's assets through the administration of a properly funded liability claim and insurance program and by minimizing the cost and effect of work-related injuries. Rates for these programs are established on a biennial actuarial basis. Reserves Reserves for these accounts will be funded at not less than 80% as defined in the actuarial study. In addition, three months of operational reserves will be included to address any variations related to revenues and expenditures. Any surplus amounts defined in these accounts from general agencies shall be available for transfer to the General Fund until such time that the General Fund reserve meets the minimum requirement of 15% or to establish the reserve for Economic Uncertainty. Transfers shall be submitted to Council for approval. There after any surplus can be used to fund any deficits identified in other Internal Service Fund reserves, as well as other unfunded capital and deferred related maintenance. Budget & Financial Polices 65C-9 Page 5 65C-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: FISCAL YEAR 2017-2018 MISCELLANEOUS FEE RESOLUTION {STRATEGIC PLAN 4,2A) MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution establishing the fiscal year (FY) 2017-2018 Schedule of Uniform Fees for Miscellaneous Services. DISCUSSION The Miscellaneous Fee Resolution (Exhibit 1) is comprised of various charges associated with city services, building and enterprise fees. These fees are intended to recover the reasonable costs associated with delivering the corresponding services. Annually, as part of the budget process, the fees and services associated with the Miscellaneous Fee Resolution are reviewed and adjusted to reflect these costs. Unless otherwise noted, the fees are adjusted 3.36%. This percentage reflects the change in the Consumers Price Index (CPI) -Urban, All Services Component, for the Los Angeles -Riverside -Orange County area in a twelve month period ending December 31, 2016. The FY 2017-2018 Miscellaneous Fee Schedule identifies all fees assessed as well as proposed new fees and those recommended for adjustment (Exhibit 2 and Exhibit 3). The FY 2017-2018 Miscellaneous Fee Schedule includes the continued waiver of the Credit Card Processing fee, establishment of eleven new fees, modification of seven existing fees and the deletion of three fees. All proposed fee changes herein become effective July 1, 2017. As for both, the Development Impact Fee Study and the User Fee Study, authorized by Council on April 18, 2017, these studies are currently under way. Upon completion of the analyses, staff will share consultants' findings and recommendations with Council. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City 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 A (adopt a budget that is in alignment with the financial forecast and strategic plan). 75A-1-1 Fiscal Year 2017-2018 Miscellaneous Fee Resolution June 6, 2017 Page 2 FISCAL IMPACT The proposed fee schedule will generate additional revenue that will be appropriated to the City's various funds, departments, programs and enterprise activities. A WNm,'N •lac 0 N.� „, Francisco Gutierrez ,�! Executive Director --el Finance and Management Services Exhibits: 1. Resolution 2. Miscellaneous Fees Schedule 3. Summary of Proposed New, Modified and Deleted Fees 75A-1-2 EXHIBIT 1 LS 5.11.17 RESOLUTION NO. 2017-xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A UNIFORM SCHEDULE OF MISCELLANEOUS FEES FOR FISCAL YEAR 2017-2018 BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby, finds, determines and declares as follows: . A. Each year, for the convenience of the public, the City Council gathers in a single document a comprehensive listing of fees and service charges imposed by the City upon that limited number of persons seeking services of value from the City. B. This document is known as the "Miscellaneous Fee Schedule" for Fiscal Year 2017-2018 and is on file at the Clerk of the Council office, and incorporated by this reference. C. As part of approving the Miscellaneous Fee Schedule for Fiscal Year 2017-2018, the various agencies of the City have analyzed the cost to administer the various programs, activities and applications for which the City imposes fees or service charges. D. In certain circumstances, agencies have determined that the cost to the City to process or undertake the services set forth in the Miscellaneous Fee Schedule has increased over the prior fiscal year by approximately 3.36%, so that certain proposed fees for Fiscal Year 2017-2018 have been increased by this percentage, or by this amount rounded. This percentage reflects the change in the Consumer Price Index - All Urban Consumers Component, for the Los Angeles -Riverside -Orange County area in a twelve month period ending December 31, 2016 (CPI). E. The Council finds that the cost of providing the services set forth in the Miscellaneous Fee Schedule has risen by 3.36% and that this reflects the cost of administering certain programs, activities or applications for which the City levies charges, fees or service charges. Such 3.36% increase does not exceed the City's estimated reasonable cost to provide the pertinent service, process the specified application or administer the certain program for which the charge, fee or service charge is imposed. Similarly, in a few limited circumstances, agencies have determined that the fee should be deleted; new charges should be added or modified; or, existing charges raised beyond this 3.36%. Such charges are listed in the 'Proposed New Miscellaneous Fees' and 'Proposal to Modify Existing Fees', attached to the staff report submitted for this matter and made a part hereof by this reference. Resolution No. 2017 -XXX 75A-1-3 Page 1 of 3 LS 5.11.17 F. In order to have a single comprehensive document for Fiscal Year 2017- 2018, the majority of fees which are unchanged have simply been reprinted in the Miscellaneous Fee Schedule. The Council expressly states that it is not its intention to repeal previously adopted fees and adopt new fees of exactly the same amount, but is simply repeating these fees so that the Miscellaneous Fee Schedule can continue to be a comprehensive source of City fees and service charges. G. In each of these cases, the Council finds, determines and declares that such new or increased charges, fees or service charges do not exceed the City's estimated reasonable cost to provide the pertinent service, process the specified application or administer the certain program for which the charge, fee or service charge is imposed. H. Based upon the testimony, reports and other evidence submitted on these matters, this City Council makes the above-specified findings. Section 2: The Miscellaneous Fee Schedule for Fiscal Year 2017-2018 is hereby adopted. Each fee or service charge set forth shall be levied until further resolution of this Council. Section 3: To the extent that any fee or service charge established pursuant to City Resolution No. 2016-36 is inconsistent with the fees or service charges established pursuant to this Resolution, then said Resolution No. 2016-36 is hereby repealed. Section 4: If any charge, fee, service charge, section, subsection, sentence, clause, phrase or word of this Resolution is for any reason held to be invalid by a court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Resolution. The City Council hereby declares that it would have passed and adopted this Resolution, and each and all provisions hereof, irrespective of the fact that one or more provisions may be declared invalid. Section 5: This Resolution shall be operative from and after July 1, 2017. Resolution No. 2017 -XXX 75A-1-4 Page 2 of 3 LS 5.1 1.17 ADOPTED this _day of June, 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: �z J�4- Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No. 2017 -XXX 75A-1-5 Page 3 of 3 75A-1-6 p i� to al] 1411 a A Ll I a• I If you have any questions regarding the fees or rates in this document, please contact the appropriate departmental representative listed below: Section Representative Phone ALL DEPARTMENTS Budget Office 647-5420 CLERK OF THE COUNCIL Maria D. Huizar 647-6520 COMMUNITY DEVELOPMENT AGENCY Susan Gorospe 647-5376 FINANCE & MANAGEMENT SERVICES Will Holt 647-5440 FIRE SERVICES Budget Office 647-5420 LIBRARY Silvia Cuevas 647-5254 PARKS, RECREATION & COMMUNITY SERVICES Francisco Arroyo 571-4218 PLANNING & BUILDING AGENCY Mario Espindola 667-2717 POLICE DEPARTMENT Robert Carroll 245-8135 PUBLIC WORKS AGENCY Margaret Mercer 647-5050 If you have any questions regarding the Miscellaneous Fee Process, please contact the Budget Office at 647-5420. 75A-1-8 TABLE OF CONTENTS Section Department I ALL DEPARTMENTS 11 CLERK OF THE COUNCIL III COMMUNITY DEVELOPMENT AGENCY IV FINANCE & MANAGEMENT SERVICES V FIRE SERVICES VI LIBRARY SERVICES VII PARKS, RECREATION & COMMUNITY SERVICES VIII & IX PLANNING & BUILDING AGENCY X POLICE DEPARTMENT XI PUBLIC WORKS AGENCY Appendix Summary of Proposed New, Modified, and Deleted Fees 75A-1-9 2 6 7 8 10 13 15 23 67 75 80 EXHIBIT 2 This Page Intentionally Left Blank 75A-1-10 1XV41 MAK RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION I ALL DEPARTMENTS Certification- Any Public Record Each 3.15 3.25 Proof of Residency/Living Certification Each 10.00 10.34 Copy of Public Records (from Paper, Fax, Microfilm, or Other Media; Hour 24.00 24.00 In General (excluding Police Accident Reports, Quarter hour or Size up to 8 1/2" x 14" Each Page 0.20 0.20 Oversized (larger than 8 1/2" x 14") Each Page Actual Cost Actual Cost Postage Charges Each Actual Cost Actual Cost DVD or CD with records Each 5.54 5.73 Subpoena Duces Tecum -same as above general fees plus the following Special reproduction charges (if any; Each Actual Cost Actual Cost Labor charges per person for locating and preparing documents' Hour 24.00 24.00 Quarter hour or fraction thereof 6.00 6.00 Charges paid to a third person for retrieval ani return of records held by that third persor Each Actual Cost Actual Cost Witness Fees' Per Day 275.00 275.00 Police/Fire Per Day 275.00 275.00 at tender of Subpoena plus full cost that city incurs in terms of salary and traveling expenses for employee All other Employees 275.00 275.00 at tender of Subpoena plus full cost that city incurs in terms of salary and traveling expenses for employee Mileage Fees' (per mile, each way) Each 0.20 0.20 NOTE: Copies of maps, documents, graphs, or special work may be furnished upon the payment of the cost of printing and preparation. In cases where a regular established price is unavailable, the Department Head, in collaboration witl the Executive Director of Finance & Management Services, may establish a price consistent with the cost of printing an. preparation thereof. The Executive Director of Finance & Management Services shall report such exceptions to the City Manager. It shall be the responsibility of the City Manager to review costs annually and make such recommendations b the City Council as required to keep rates consistent with costs. Government agencies and their official representative(s shall be exempt from paying these charges for single copies for official use Preparation of Administrative Records Deposit to be applied to copy charges of $0.20 per page. 75A-1-11 Deposit -Flat Rate 118.30 122.28 K EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION ALL DEPARTMENTS Subscriptions Agenda or Minutes: Council Annual 81.12 83.85 Boards/Commissions Annual 40.57 41.93 'Conforms to California Government Code Section 68096.1 and 68097.2 City Council Agenda and Minutes can be obtained otno charge frorr the City's internet website at www.sonta-ano.org Santa Ana Municipal Cade (SAMC) and Supplement (order directly by calling Municipal Code Corporation at 1-800-262-2633, Building Rental Fees Santa Ana Regional Transportation Center (SARTC) Facility Rental for Special Events Per Reservation 4,027.70 4,163.03 Group 1 City of Santa Ana sponsored or cosponsored event or program; agencies with a reciprocal facility use an, fee schedule; and governmental agencies (serving Santa Ana residents) for business meetings and programs. Group 2 Resident not-for-profit civic, social, and religious organizations Group 3 Nonresident not-for-profit civic, social, and religious organizations Group 4 Resident commercial, business, and for-profit organizations Group 5 Nonresident commercial, business, and for-profit organizations Facility Group 1 Group 2 Group 3 Group 4 Group 5 Police Facility Community Room Up to 3 hours N/C 149.71 299.42 207.37 432.50 Proposed 3.36% 154.74 309.48 214.34 447.03 Each additional hour N/C 47.69 96.48 68.76 144.17 Proposed 3.36% 49.29 99.73 71.07 149.01 Cleaning Deposit (may be refundable) 230.66 230.66 230.66 230.66 230.66 Proposed 3.36% 238.41 238.41 238.41 238.41 238.41 SARTC Lobby Per Hour N/C 186.81 248.36 185.73 309.90 Proposed 3.3691 193.08 256.70 191.97 320.32 Lobby Cleaning Deposit 221.36 221.36 221.36 221.36 221.36 Proposed 3.36% 228.80 228.80 228.80 228.80 228.80 SARTC Courtyard Per Hour N/C 61.55 91.78 61.55 123.09 Proposed 3.36% 63.62 94.87 63.62 127.23 Courtyard Cleaning Deposit 111.22 111.22 111.22 111.22 111.22 Proposed 3.36% 114.96 114.96 114.96 114.96 114.96 SARTC Meeting Room Up to 3 Hours N/C 79.91 160.89 111.22 234.32 Proposed 3.36% 82.59 166.30 114.96 242.19 Each Add. Hour N/C 18.36 31.31 23.76 48.59 Proposed 3.36% 18.97 32.37 24.55 50.22 Cleaning Deposit (may be refundable) 230.66 230.66 230.66 230.66 230.66 Proposed 3.36% 238.41 238.41 238.41 238.41 238.41 75A-1-12 3 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION I ALL DEPARTMENTS Facility SARTC-Suite 100 Up to 3 hours Proposed 3.36% Each additional hour Proposed 3.36% Cleaning Deposit (may be refundable) Proposed 3.36% Group 1 Group 2 Group 3 Group 4 Group 5 N/C 560.42 1,120.84 784.59 1,569.18 579.25 P leeting Ream 1,158.50 810.96 is.99 1,621.90 N/C 134.98 269.95 188.97 tiena. Feems '..I.I..(QFaj..eat 377.93 3-04 i'....&W .. 139.51 279.02 195.32 '17,92 390.63 230.66 230.66 230.66 230.66 230.66 Lawn Bowling Clubhouse 238.41 238.41 238.41 238.41 WbFa.y o___ RentaleF u„ s P leeting Ream WX is.99 3053 2-2:RR 44:66 v:,. The I'I....Fyhos.«eeti. tiena. Feems '..I.I..(QFaj..eat N/6 the 3-04 i'....&W .. is..95 i&63 '17,92 ` Refer to Summary of New, Modified and Deleted Fee! Lawn Bowling Clubhouse N/C 58.61 117.22 84.14 174.67 Proposed 3.36% 60.58 121.16 86.96 180.54 Southwest Sr. Center California Room N/C 104.45 175.26 117.22 210.07 Proposed 3.3651 107.96 181.15 121.16 217.13 Dining Room N/C 34.81 55.71 41.79 84.16 Proposed 3.36% 35.98 57.59 43.19 86.99 Kitchen N/C 27.86 41.79 34.81 55.71 Proposed 3.36% 28.79 43.19 35.98 57.59 Conference Room N/C 34.81 55.71 41.79 84.16 Proposed 3.36% 35.98 57.59 43.19 86.99 Santa Ana Sr. Center Main Room N/C 107.27 179.99 120.38 215.74 Proposed 3.36% 110.88 186.04 124.43 222.99 Dining Room N/C 34.81 55.71 41.79 84.16 Proposed 3.36% 35.98 57.59 43.19 86.99 Kitchen N/C 27.86 41.79 34.81 55.71 Proposed 3.36% 28.79 43.19 35.98 57.59 Classroom N/C 19.15 - 38.30 27.86 55.71 Proposed 3.36% 19.80 39.59 28.79 57.59 Salgado Community Center Meeting Room A N/C 38.30 77.76 55.71 111.99 Proposed 3.36% 39.59 80.37 57.59 115.76 Meeting Room B N/C 19.15 38.29 27.86 55.70 Proposed 3.36% 19.80 39.58 28.79 57.57 Kitchen N/C 14.52 29.01 20.32 41.79 Proposed 3.36% 15.00 29.99 21.00 43.19 Gymnasium N/C 73.12 146.24 104.45 210.07 Proposed 3.36% 75.58 151.15 107.96 217.13 75A-1-13 4 EXHIBIT 2 RESOLUTION 2017 -XXX REVENUE ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE 19.15 13.93 20.32 UNIT 336% PROPOSED FY 16-17 FY 17-18 FEES FEES SECTION ALL DEPARTMENTS 21.00 N/C 19.15 38.30 27.86 55.71 19.80 Facility 28.79 Group 1 Group 2 Group 3 Group 4 Group 5 34.19 Garfield Community Center 41.39 82.78 N/C 36.56 74.28 53.40 106.77 Multi -Purpose Room 76.77 N/C 96.73 162.31 99.82 108.55 111.99 194.54 103.17 Other 115.76 75.54 126.75 55.70 84.77 80.09 151.91 Dance Room 115.76 N/C 32.24 51.60 70.23 38.70 99.82 77.94 72.59 Proposed 3.36% 103.17 33.32 53.33 46.42 40.00 52.00 80.56 Jerome Recreation Center 80.13 53.75 95.97 N/C 58.61 117.22 84.14 174.67 Social Hall 60.58 N/C 19.15 38.30 27.86 55.71 Proposed 3.36% 19.80 39.59 28.79 57.59 Class Room N/C 19.15 38.30 27.86 55.71 Proposed 3.36% 19.80 39.59 28.79 57.59 Kitchen N/C 14.52 29.01 20.32 41.79 Proposed 3.36% 15.00 29.99 21.00 43.19 Gymnasium N/C 70.98 141.97 101.40 203.94 Proposed 3.36% 73.37 146.74 104.81 210.79 EI Salvador Center Social Hall N/C 19.15 38.30 27.86 55.71 Proposed 3.36% 19.80 39.59 28.79 57.59 Class Room N/C 19.15 38.30 27.86 55.71 Proposed 3.36% 19.80 39.59 28.79 57.59 Kitchen N/C 14.52 29.01 20.32 41.79 Proposed 3.36% 15.00 29.99 21.00 43.19 Memorial Center Social Hall N/C 19.15 38.30 27.86 55.71 Proposed 3.36% 19.80 39.59 28.79 57.59 Class Room N/C 19.15 38.30 27.86 55.71 Proposed 3.36% 19.80 39.59 28.79 57.59 Loa Cabins Proposed 3.36% Corbin Center (per room) Proposed 3.36% Hector Godinez High School Class Room Proposed 3.36% Meeting Room Proposed 3.36% Performing Arts Facility Proposed 3.36% Band Room Proposed 3.36% Gymnasium Proposed 3.36% See SECTION VII for surcharges Santiaao Wildlife and Watershed Center Class Room Proposed 3.36% Stadium Concession Building Proposed 3.36% N/C 9.86 19.15 13.93 20.32 10.19 19.80 14.40 21.00 N/C 19.15 38.30 27.86 55.71 19.80 39.59 28.79 57.59 N/C 33.08 53.40 40.04 80.09 34.19 55.19 41.39 82.78 N/C 36.56 74.28 53.40 106.77 37.79 76.77 55.19 110.36 N/C 99.82 167.12 111.99 200.20 103.17 172.74 115.76 206.93 N/C 55.70 111.99 80.09 166.56 57.57 115.76 82.78 172.15 N/C 70.23 139.85 99.82 200.20 72.59 144.55 103.17 206.93 N/C 46.42 77.53 52.00 92.85 47.98 80.13 53.75 95.97 N/C 58.61 117.22 84.14 174.67 60.58 121.16 86.96 180.54 75A-1-14 5 LWO : NO RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION II CLERK OF THE COUNCIL 57070 Initiative Petition Pursuant to California Elections Code 9202(b) & City of Santa Ana Council Resolution 88-048 Per Filing 200.00 200.00 57070 Maps City Precinct Maps (Refer to the Orange County Voter Registrar's Office) Oversized City and Ward Maps (Actual cost to reproduce by Public Works Agency Actual Cost Actual Cost Geographical Information Systems (GIS) Maps 57070 Notification for New or Increased Taxes Pursuant to Government Code Section 54954.6 (b) (1) Per Request 56.56 58.46 57070 City Charter Over the Counter Per Unit 14.42 14.90 Mailed Requested Per Unit 18.30 18.91 57070 Copies of Council Minutes, Ordinances, Resolutions Paper Copies including Fax Copies Each Page 0.20 0.20 Specially Reproduced Copies (e.g ., floppy disks) Each Page Actual Cost Actual Cost 57070 Fair Political Practice Commission (FPPC) Statements Retrieval Fee for Statements 5 years of age or over Per Record 5.00 5.00 Copy Charge for Statements Per Record 0.10 0.10 57070 Tapes of Council Meetings DVD's Per Meeting 5.54 5.73 (order DVD's directly by calling Parks, Recreation and Community Services at (714) 571-4200) 57070 Hearings Chapter 3 Appeal Hearing Application Fee Per Request 124.85 129.04 Processing Fee Per Request 42.30 43.73 Labor Charges (Deposit Only) Per Hour 42.30 43.73 *** Appellant will be billed for ACTUAL costs, including Hearing Officer 75A-1-15 s EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION III COMMUNITY DEVELOPMENT AGENCY Various -57990 Subordination Fee Per Loan 250.00 250.00 Density Bonus Setup Fee 1/8 of 1% 1/8 of 1% Gross Gross Valuation of Valuation of Construction Construction Charge Charge 53902 Inclusionary Housing Plan Submittal Fee Per Submittal 250.00 250.00 53902 Initial Sale of Ownership Units Per Unit 310.00 310.00 53902 Annual Rental Monitoring Fee Per Unit 100.00 100.00 75A-1-16 ' EXHIBIT 2 RESOLUTION 2017 -XXX 3.369/ PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IV FINANCE & MANAGEMENT SERVICES 51002 Dog License Fees County of Orange fees relating to the redemption of dogs adopted by City Council on 01/06/03 (Reso. No 2003-004) Program administered by Police Department County of Orange proposed fees, subject to change pending County approval"' CA Food & Agriculture Code Sec. 30804.5 sets the fee for altered dogs at no more than 50Y of unaltered dogs Annual "Altered (Neutered or Spayed) Each Dog** 27.00 27.00 "Unaltered Each Dog** 100.00 100.00 Replacement of Tag Each" 3.00 3.00 "Senior Citizen (65 or older) Animal must be spayed/neutered. Each" 13.50 13.50 "Late License Penalty (after 30 days) Each" 35.00 35.00 "Puppy License (12 month license for dogs under 6 months) Each Dog** 27.00 27.00 53902 Bound Copy (Unabridged) Chapter 21 SAMC Business License Code Customer Pickup Each 37.53 38.79 Mailed Each 46.25 47.80 53902 Finance- Record Abstract Certified Each 19.51 20.16 Uncertified Each 12.48 12.89 53902 Finance- Records Research Fee (Minimum 1 hour; Per Hour 48.47 50.10 50035 w o.,.-_--:.,.. Fe r 1 -11 -IT n.tw TAX rr.RF@ i..........:...um s..,, 6heFge _[ear» oo _.,.-..t ewn s9F o Pee F .c..a.-�. nd ..o......=.n _,i _ 2-3238 &90 9 _nn e. h ...h,....,. re ., _ %Mslievff is f-59 " Refer to Summary of New, Modified and Deleted Fee: 50045 Monthly New Business License Lis' Each 19.51 20.16 50045 Inspection/Collection Service Fee Each BLT 55.07 56.92 re-inspection/collection visit Per qualifying BLT audit (underpayments of 50045 Audit Service Fee 309/ or greater, but not less than $250) 57.23 59.15 50045 Autoregistration Service Fee Per BLT account autoregistration/assessment 15.12 15.62 50045 Recording Service Fee Per recording of BLT (Business License Tax) lier 57.00 58.92 50045 Transfer Service Fee Per BLT account collection transfer 36.71 37.95 50045 Hearing Service Fee Per BLT administrative hearing 107.98 111.61 53900 Credit Card Processing Fee(fee waived by Council) Per Transaction Waived Waived 57900 Return Payment Service Fee 1st item 25.00 25.00 each Subsequent item 35.00 35.00 53901 Stop Payment/Reissue Fee Each 11.61 12.00 75A-1-17 8 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IV FINANCE & MANAGEMENT SERVICES 06017002 UtilityService Set-up 53716 After hours Each 143.89 148.73 53715 Consumption On/Off Meter Charge Each 57.48 59.41 53715 Collection Charge Each 28.20 29.15 53715 Re/Disconnect Charge Each 57.48 59.41 Connection Charge Each 37.79 39.06 53715 Off for Bad Check Each 57.48 59.41 53717 Tag Fee (Upon affixing) Each 12.40 12.81 53714 Investigation/Re-read Metei Each 12.40 12.81 57000 Copy of Comprehensive Annual Financial Report (CAFR, Each Actual Cost Actual Cost 57000 Copy of CityAnnual Budget Each Actual Cost Actual Cost 53402 Paramedic Subscription Fee Per Household/Business Location City Administered Paramedic Subscription Program Fe( Annual 53.84 55.65 75A-1-18 s EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION V FIRE SERVICES 53505 Fire Incident Reports Per Report (20 pages or less)` per page 0.22 0.23 53505 Fire Incident Report/Photographs on Computer Disc (CD) per page 0.22 0.23 Reports and photographs in a digital format 53505 Fire Incident or Medical Incident Reports (Requiring computer search) *Minimum one (1) hour per page 0.22 0.22 53505 Fire Inspection Reports per page 0.22 0.23 53505 Fire Code and Fire Code Standard Copies per page 0.22 0.23 51501 Fireworks/Stands and Displays: Permit for Sale (Retail Stand Only) Per Stand 420.26 434.38 Cleanup Deposit Bond (Refundable) Per Stand 189.85 196.23 12015002 53700 Fire Facilities Per Sq. Ft. of floor area 0.82 0.85 Pertains to construction built over 2 stories in height. Rate is set by ordinance in accordance with the Engineering News Report. "Other Fire Services related fees that may apply can be found at www.ocfa.org MEDICAL RESPONSE 53509 Basic Life Support (BLS) Treatment Per BLS Treated Patient Each 282.78 292.29 53509 Advanced Life Support (ALS) Treatment Per ALS Treated Patient Each 452.46 467.66 53509 Emergency Medical Assessment N/A 149.71 154.74 Per BLS or ALS assessment where no transport occurs 53509 Administration of Oxygen during Transport Per Patient receiving oxygen Each 78.74 81.38 53509 Emergency Base Rate/Transportation (in Fire Dept -owned vehicle) Per Transported Patient Each 633.22 654.49 75A-1-19 10 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION V FIRE SERVICES 53509 Mileage Per Transport Per Transport Mile Per Transported Patient Each 16.63 17.19 53509 DISPOSIBLE MEDICAL SUPPLIES AIRWAY OXYGEN SUCTION Airway Bridge Each 28.83 29.80 Airway - Combitube, holder Each 116.44 120.35 Airway - ET Kit, Slick set, holder, laryngoscope blade, Per Patient 49.90 51.58 eye protection, N-95 mask Each 3.18 3.29 Airway Nasal Each 34.38 35.53 Airway Oral Each 2.95 3.05 Ambu. Bag, Adult, Pediatric, Infant Each 67.65 69.92 "Cook Kit" (thoracostomy set) Each 180.76 186.83 Mask -Resuscitator Each 21.07 21.78 Mask- Non -rebreather -oxygen Each 4.28 4.42 Nasal cannula Each 3.79 3.92 Nebulizer Each 4.87 5.03 Oxygen Per Patient 80.62 83.33 Suction Kit - Manual or electric 11 V -vac, canister, catheters, yankauer, bulb, feeding tube Per Patient 31.72 32.78 CARDIAC MONITOR/ DEFIBRILLATION Monitor- electrodes Per Patient 30.39 31.41 Defibrillation gel Per Patient 4.88 5.04 Defibrillation pads Per Pair 54.16 55.98 DRESSING/ IMMOBILIZATION Minor trauma kit - Band-Aid, 44, 2x2, Kerlix, tape, eye pad Per Patient 6.25 6.46 Major trauma kit - 44's, ABD pads, Kerlix, tape, petroleum dsg Per Patient 9.20 9.51 Burn pack - Burn sheet, any size burn towel, irrigation saline Per Patient 35.69 36.88 Cold pack Each 3.18 3.29 Gloves Per Pair 1.75 1.81 Hip wrap (disposable hip splint) Each 36.11 37.32 Restraint (limb restraint) Each 3.18 3.29 Spinal Immobilization - backboard, cervical collar, StaBlock, tape Per Patient 46.26 47.82 Splint - air or cardboard Each 14.44 14.92 Vacuum Splint Each 14.45 14.93 IV ADMINISTRATION Armboard Each 6.25 6.46 IV Start- IV Start Kit, prep razor, sharpsafe, connectors Each 13.90 14.36 75A-1-20 11 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECiIONV FIRESERVICES IV Solution - 250cc Saline, tubing Each 15.82 16.36 IV Solution - 3000cc Saline, tubing Each 17.03 17.61 Needles -disposable Each 1.56 1.62 Saline lock Each 5.72 5.91 Syringe Each 3.01 3.11 MEDICATIONS Each 2.41 2.49 Adenosine Each 32.05 33.13 Albuterol Each 2.99 3.09 Amiodarone Each 43.91 45.39 Atropine, Ampule Each 3.55 3.67 Atropine, Syringe Each 11.71 12.10 Diphenhydramine Each 3.84 3.97 Dextrose, Syringe Each 17.57 18.16 Dopamine, with drip regulator Each 9.56 9.88 Epinephrine, 1:1000 amp Each 4.92 5.09 Epinephrine, 1:1000 30cc vial Each 20.49 21.18 Epinephrine, 1:10000 syringe Each 45.79 47.33 Glucagon Each 233.10 240.94 Glucose solution Each 6.83 7.06 Lidocaine Each 11.71 12.10 Morphine, amp Each 3.55 3.67 Narcan, syringe Each 49.61 51.28 Narcan, vial Each 109.08 112.74 Nitro spray Each 7.43 7.68 Normal saline 10ccvial Each 1.89 1.95 Sodium Bicarb Each 2.48 2.57 Versed Each 6.79 7.01 MISCELLANEOUS SUPPLIES Linen - Disposable sheet, gurney Each 1.39 1.43 Blanket KCD Each 18.83 19.46 Blanket, quilted (disposable) Each 24.08 24.89 Communicable Disease Kit - Personal protection pak, eye protection, vionex wipes Each 10.83 11.20 Emesis Basin -Convenience bag Each 2.41 2.49 Glucometer Strips Each 5.89 6.09 Irrigation Saline - 500cc bottle Each 3.24 3.35 N 95 Mask Each 2.83 2.92 OB Kit - Disposable OB Kit, eye protection Each 56.87 58.78 75A-1-21 12 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VI LIBRARY 55200 Compact Discs - Overdue/Lass of Use Fee Per Day 0.25 0.25 75A-1-22 13 Maximum 15.00 15.00 55200 Audio books - Overdue/Loss of Use Fee Per Day 0.25 0.25 Maximum 15.00 15.00 55200 Video Cassettes / DVDs- Overdue/Loss of Use Fee Per Day 1.50 1.50 *Not to exceed $15 Maximum Actual Cost* Actual Cost* 55200 Regular Books & Multi -Media Kits- Overdue/Loss of Use Fee Per Day 0.25 0.25 (Includes adult books and children books) Maximum Actual Cost* Actual Cost* *Not to exceed $15 55200 Magazines - Overdue/Loss of Use Fee Per Day 0.25 0.25 Maximum Actual Cost Actual Cost 55200 Paperbacks - Overdue/Loss of Use Fee Per Day 0.25 0.25 ($30 or Actual Cost whichever is less) Maximum 55200 Jetpacks(Hotspots)- Overdue/Loss of Use Fee Per Day 2.00 2.00 ($100 or Actual Cost whichever is less) Maximum 53203 Compact Discs/Rental Per 2 Week 0.50 0.50 Children's Per 2 Week 0.25 0.25 53203 DVD/Video Cassettes / Rental Entertainment Pert Weeks 2.00 2.00 Instructional & Non -Fiction Per 2 Weeks No Charge No Charge Children's Entertainment Per 2 Weeks 1.00 1.00 55201 Lost/Damaged Catalogued Materials Process Fee Each 10.00 10.00 Replacement Cost Actual Cost Actual Cost Plus overdue charges if incurred 55201 Lost/Damaged Uncatalogued Materials Process Fee Each 7.00 7.00 Replacement Cost Actual Cost Actual Cost Plus overdue charges if incurred 55201 Lost/Damaged Jetpacks(Hotspots) Process Fee Each 10.00 10.00 Replacement Cost (Jetpack, USB cord, AC Adapter) Actual Cost Actual Cost Plus overdue charges if incurred 57200 Damaged Bar Cade label Per Incident 2.00 2.00 75A-1-22 13 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36°% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VI LIBRARY 57200 Other Damaged Materials Fabric Bag (Multimedia) Per Incident 6.00 6.00 CD/DVD Pamphlet Per Incident 2.00 2.00 Video cases (Includes Bar Code Replacements) Per Incident 5.00 5.00 Cassette Cases Per Incident 1.00 1.00 CD/DVD Cases (Includes Bar Code Replacements) Per Incident 6.00 6.00 Library Card Replacement Fee Per Incident 3.00 3.00 Other Per Incident Actual Cost Actual Cost 57200 Material Recovery Surcharge Per Incident 15.00 15.00 57200 Data Base Access No Charge No Charge 57200 Reserve Postal Card Per Item 1.00 1.00 57200 Reserved/Mail Books Homebound SA Residents 1.00 1.00 Other Santa Ana Addresses 3.00 3.00 Non -Santa Ana Addresses 4.00 4.00 57200 Newspaper Search Fee Per Search 20.00 20.00 57200 Computer Rental Per Hour 5.00 5.00 53200 Nonresident Library Card Fee Per Card 45.00 45.00 Nonresident Library Card for Employees of Santa Ana Businesses Per Card/Year 0.00 0.00 To be consistent with Resolution 63-204: Fixed Charge for Nonresidents. One Day Library Pass Per Day 15.00 15.00 Digital Services Photograph Request- Non -Commercial Use jpeg images from online catalog for personal use Per Image Free Free Tiff files/prints from existing scan Per Image 5.00 5.00 Image from previously unscanned material Per Image 15.00 15.00 Image for Commercial Use Per Image 25.00 25.00 Compact Disc Fee Per Disc 1.00 1.00 57200 Interlibrary Loan Fee Per Request 5.00 5.00 75A-1-23 14 EXHIBIT 2 RESOLUTION 2017 -XXX 3.365' PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VII PARKS, RECREATION & COMMUNITY SERVICES DEFINITION OF RESIDENT For Group activities, those groups for which at least 51% of participants either live or work in the City of Santa Ana, the resident rate shall he applied. 53316 LEISURE CLASSES Variable Variable From time to time, privately taught leisure and instructional classes will be offered by various agency divisions. The announcement of same will be mads by printed fliers or in the quarterly program booklet mailed to registerec participants. Programs so offered will be conducted in a 4-10 week format. Charges for each class will be established by the Executive Director of Parks, Recreation & Community Services. STAFF FEES 53319 Park Facilities/Reservation/Supervision (Mandatory) Resident/Nan-Resident Per Hour 22.52 23.28 TBD Rate for all other Services, Labor, Material, Lost or Damaged Equipment City's Cost City's Cost ATHLETIC FIELDS AND FACILITIES Multi -Purpose Field Fees 53308 Adult Non -Resident/ Profit Per Hour 26.38 27.27 Adult Non -Resident/ Nan -Profit Per Hour 23.09 23.86 Adult Resident/ Profit Per Hour 16.49 17.04 Adult Resident/ Non -Profit Per Hour 13.18 13.63 53307 Youth Non -Resident/ Profit Per Hour 9.60 9.92 Youth Non-Resident/Non-Profit Per Hour 6.40 6.62 Youth Resident/ Profit Per Hour 3.21 3.31 Youth Resident/ Non -Profit Per Hour 1.59 1.64 Multi -Purpose Court Fees 53308 Adult Non -Resident/ Profit Per Hour 13.18 13.63 Adult Non -Resident/ Non -Profit Per Hour 11.54 11.93 Adult Resident/ Profit Per Hour 8.25 8.53 Adult Resident/ Non -Profit Per Hour 6.60 6.82 53307 Youth Non -Resident/ Profit Per Hour 4.95 5.11 Youth Non-Resident/Non-Profit Per Hour 3.30 3.42 Youth Resident/ Profit Per Hour 1.64 1.70 Youth Resident/ Non -Profit Per Hour 0.79 0.81 75A-1-24 15 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VII PARKS, RECREATION & COMMUNITY SERVICES DYSC Reservation Fee- No Admission 53308 Adult Non -Resident/ Profit Per Hour 71.35 73.75 Adult Non -Resident/ Non -Profit Per Hour 62.43 64.53 Adult Resident/ Profit Per Hour 44.59 46.09 Adult Resident/ Non -Profit Per Hour 35.67 36.87 53307 Youth Non -Resident/ Profit Per Hour 25.97 26.84 Youth Non-Resident/Non-Profit Per Hour 17.32 17.91 Youth Resident/ Profit Per Hour 8.66 8.95 Youth Resident/ Non -Profit Per Hour 4.16 4.30 DYSC Reservation Fee- Admission 53308 Adult Non -Resident/ Profit Per Hour 101.95 105.38 Adult Non -Resident/ Non -Profit Per Hour 89.21 92.21 Adult Resident/ Profit Per Hour 63.72 65.87 Adult Resident/ Non -Profit Per Hour 50.97 52.68 53307 Youth Non -Resident/ Profit Per Hour N/A N/A Youth Non-Resident/Non-Profit Per Hour N/A N/A Youth Resident/ Profit Per Hour N/A N/A Youth Resident/ Non -Profit Per Hour N/A N/A DYSC Synthetic Turf Youth Field 13518783-69011 Adult Non -Resident/ Profit Per Hour N/A N/A Adult Non -Resident/ Non -Profit Per Hour N/A N/A Adult Resident/ Profit Per Hour N/A N/A Adult Resident/ Non -Profit Per Hour N/A N/A 13518783-69011 Youth Non -Resident/ Profit Per Hour 25.97 26.84 Youth Non-Resident/Non-Profit Per Hour 17.32 17.91 Youth Resident/ Profit Per Hour 8.66 8.95 Youth Resident/ Non -Profit Per Hour 4.16 4.30 53307 Willard lnermediate Sports Field Non-Resident/Profit Per Hour 40.49 41.85 Non-Resident/Non-Profit Per Hour 29.67 30.67 Resident/Profit Per Hour 14.84 15.34 Resident/Nan-Profit Per Hour 7.13 7.37 75A-1-25 16 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VII PARKS, RECREATION & COMMUNITY SERVICES Athletic Facility Lights 53308 Adult Non -Resident/ Profit Per Hour 47.51 49.11 Adult Non -Resident/ Non -Profit Per Hour 42.11 43.53 Adult Resident/ Profit Per Hour 31.31 32.37 Adult Resident/ Non -Profit Per Hour 25.92 26.79 53307 Youth Non -Resident/ Profit Per Hour 11.41 11.80 Youth Non-Resident/Non-Profit Per Hour 7.60 7.86 Youth Resident/ Profit Per Hour 3.80 3.93 Youth Resident/ Non -Profit Per Hour 1.82 1.89 53307 & 53308 Hector God inez Field Lights Per Hour N/A N/A Football Field Per Hour 12.96 13.39 Baseball Field Per Hour 17.28 17.86 Soccer Field Per Hour 12.96 13.39 Classroom Per Hour 2.16 2.23 Gymnasium Per Hour 22.68 23.44 Performing Arts Center Per Hour 52.91 54.69 Black Box Per Hour 11.88 12.28 Outdoor Basketball Per Hour 4.32 4.46 57390 Hector Godinez Reservation Surcharge Per Reservation 10.00 10.00 Perloint Use Agreement with the Santa Ana Unified School District 57390 Hector Godinez Participant Fee Per Participant 1.00 1.00 Per Joint Use Agreement with the Santa Ano Unified School District SANTA ANA STADIUM 57362 Stadium Sporting Event (12-14 Hours) Fee Adult Non -Resident/ Profit Per Day 1,461.44 1,510.55 Adult Non-Resident/Non-Profit Per Day 1,278.75 1,321.72 Adult Resident/ Profit Per Day 913.40 944.09 Adult Resident/ Non -Profit Per Day 730.72 755.27 Youth Non -Resident/ Profit Per Day 532.03 549.91 Youth Non-Resident/Non-Profit Per Day 354.68 366.60 Youth Resident/ Profit Per Day 177.35 183.31 Youth Resident/ Non -Profit Per Day 85.18 88.04 75A-1-26 17 OVA :117kIN RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VII PARKS, RECREATION & COMMUNITY SERVICES 57362 Stadium Sporting Events Fee Adult Non -Resident/ Profit Per Hour 122.28 126.39 Adult Non -Resident/ Non -Profit Per Hour 106.99 110.58 Adult Resident/ Profit Per Hour 76.42 78.99 Adult Resident/ Non -Profit Per Hour 61.14 63.19 Youth Non -Resident/ Profit Per Hour 44.51 46.01 Youth Nan-Resident/Nan-Profit Per Hour 29.67 30.67 Youth Resident/ Profit Per Hour 14.84 15.34 Youth Resident/ Non -Profit Per Hour 7.13 7.37 57362 Local high schools and colleges + Security Flat Fee Per Day 1,510.52 1,561.27 57362 Playoff Games + Security Colleges, Universities, League or Conference Playoff Games for NCAA, ETC. Flat Fee plus security Per Day 1,870.17 1,933.01 Stadium Concession Building (see SECTION 1) 57362 Commercial Events/Admin. 7500 and over Both Grandstands Per Day 12,186.37 12,595.83 West Grandstand Only Per Day 6,093.18 6,297.91 West Grandstand and Field Level Seating Per Day 9,139.78 9,446.88 Both Grandstands and Field Level Seating Per Day 18,279.55 18,893.74 57362 Commercial Events/Extra Day Move -in, if available: Flat Fee Per Day 1,200.85 1,241.20 57362 Commercial Events/Non-Spectator One to two days Per Day 1,584.84 1,638.10 Three or more consecutive days Per Day 1,267.88 1,310.48 All-inclusive rental includes basic staffing, lighting, and rental fees 57362 Events/Solicit Donations No admission charge Per Day 4,278.06 4,421.80 57362 Santa Ana Stadium- Television Rights Per Event 1,056.56 1,092.06 57362 Santa Ana Stadium Graphics Operator Per Hour 87.05 89.98 75A-1-27 18 EXHIBIT 2 RESOLUTION 2017 -XXX REVENUE ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FY 16-17 FEES 3.36% PROPOSED FY 17-18 FEES SECTION VII PARKS, RECREATION & COMMUNITY SERVICES 53315 Santa Ana Stadium Advertising Fee (per advertiser) Group 1 Per Day No charge No charge Group 2 Per Day 46.42 47.98 Group 3 Per Day 58.03 59.98 Group 4 Per Day 69.64 71.98 Group 5 Per Day 92.85 95.97 See SECTION I, All Departments, Building Rental Fees, for group descriptions AQUATICS 53304 General Admin. Adult -Pools Fee 2.00 2.00 53304 General Admin. Child -Pools Fee 1.00 1.00 53304 Pools Rental, to 50 people, includes 2 Lifeguards - Day Rates Resident Per Hour 101.03 104.42 Non -Resident Per Hour 122.67 126.80 53304 Pools Rental, 51 or more people, includes 3 Lifeguards - Day Rates Resident Per Hour 151.54 156.63 Non -Resident Per Hour 173.20 179.02 Note: Minimum 1 lifeguard for each group of up to 25 people Ex. 51-75 people - 3 lifeguards, 76-100 - 4 lifeguards 53304 Lifeguard per additional 25 people Per Hour 21.66 22.39 Note: Pool rental charges are far nonprofit private and swim teams. OTHER RECREATION FACILITIES 53318 Tennis -First & Flower/weekdays 9am-4pm Per Hour 2.00 2.00 4pm-dusk Per Hour 2.00 2.00 with lights Per Hour 4.00 4.00 53318 Tennis: Non-profit reservations per hour Resident Per Hour 1.00 1.00 Non -Resident Per Hour 2.00 2.00 57361 Santiago Lawn Bowling Greens Per Month 528.28 546.03 57361 Plaza Calle Cuatro From the hours of B:OOam to 10:00pm Non-Resident/Business Per Reservation 184.97 191.18 Non-Resident/Non-Profit Per Reservation 180.00 186.05 Resident/Business Per Reservation 140.00 144.70 Resident/Non-Profit Per Reservation 120.00 124.03 Event Staffing Fee- Per Event Day 20.00 20.67 'If special event requires access to electricity 75A-1-28 19 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17.18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VII PARKS, RECREATION & COMMUNITY SERVICES 57361 Showmobile and Other Equipment Professional Commercial Rentals Per Day 432.99 447.54 Schools, Non-profit, Government Per Day 216.49 223.77 Supervision Cost (Mandatory) Per Hour 37.53 38.79 Mobile Bleacher "4 Hour Minimum Per Hour* 37.53 38.79 Mobile Bleacher Additional Hour Per Hour 30.03 31.04 57361 Events Trailer- Tables and Chairs Tables Per Table/Day 11.27 11.65 Chairs Per Chair/Day 1.69 1.74 OTHER RECREATION PROGRAMS 53303 Sports, Youth: Registration for Baseball, T -Ball, Basketball, Flag football, Kickball, Softball, Soccer, and Volleyball. Reg. per person/sport (includes T-shirt) Each 33.27 34.39 Shirt -Extra Each 11.21 11.59 Cap -Extra Each 11.21 11.59 Shirt & Cap -Extra Set 21.03 21.73 53301 Vacation Recreation Program Resident -per week Per Child 84.50 87.34 Resident Second Child -per week Per Child 56.34 58.23 Additional Non -Resident Fee Per Registration 14.43 14.91 Resident -per day (two day minimum) Per Child 16.90 17.47 53301 Family PRIDE Fees Excursion Bus Fees Per Child 2.66 2.75 Per Adult 4.00 4.14 Family Annual Membership Fee Per Family 66.60 68.84 Campout Per Family 33.29 34.41 Halloween Dance Per Child 1.33 1.38 Per Adult 4.00 4.14 Christmas Dinner Per Child 6.65 6.88 Per Adult 9.33 9.64 Parent Dinner Dance Per Person 19.98 20.65 Per Couple 33.29 34.41 Teen Club Annual Membership Per Member 19.98 20.65 Teen Dance Per Person 4.00 4.14 53301 Excursion Bus Fee Per Child 4.00 4.14 Per Adult 6.65 6.88 75A-1-29 20 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VII PARKS, RECREATION & COMMUNITY SERVICES 53301 After School Adventures Program Per Child 20.00 20.00 Additional Child 15.00 15.00 SANTA ANA ZOO AT PRENTICE PARK 53312 Zoo Admissions(Full-day) - Weekday Adult Each 10.00 10.00 Child/Senior Each 7.00 7.00 Friends of Zoo Each Free Free Groups: Adult (w/ schools, scouts, etc.) Each 8.00 8.00 Child/Senior Each 5.00 5.00 53312 Zoo Admissions(Full-day) - Weekend Adult Each 12.00 12.00 Child/Senior Each 9.00 9.00 Friends of Zoo Each Free Free Groups: Adult (w/ schools, scouts, etc.) Each 8.00 8.00 Child/Senior Each 5.00 5.00 53312 Zoo Admissions (Half-day, after 2:00 PM, Monday -Friday, Except Holidays) Adult Each 8.00 8.00 Child/Senior Each 5.00 5.00 53312 Zoo Admissions (Half-day, after 2:00 PM, Saturday -Sunday, Except Holidays) Adult Each 10.00 10.00 Child/Senior Each 7.00 7.00 53310 Zoo Education Programs: Rates to be established and advertised by the Executive Director of Recreation & Community Services Agency, through fliers or other media. OTHER SPECIAL FEES 57010 Reservation Cancellation/Transfer Fee Per Reservation 15.00 15.00 57010 Reservation No -Show Fee Per Reservation 25.00 25.00 57010 Reservation Permit Processing Fee Per Annual Permit 25.00 25.00 57010 Portable Restroom Fee Per Hour 2.98 3.08 05113002-53317 Adult Soccer Reservation Surcharge Per Game 30.43 31.45 75A-1-30 21 Lace ::0 RESOLUTION 2017 -XXX REVENUE ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FY 16.17 FEES 3.36% PROPOSED FY 17-18 FEES SECTION VII PARKS, RECREATION & COMMUNITY SERVICES 05113002-53317 Adult Baseball Reservation Surcharge Per Game 19.44 20.09 51301 Filming Permit Fee Per Day 426.17 440.49 Program administered by Parks, Recreation & Community Services 53308 Park Facilities/Reservation/Audio Permits Resident Each 45.03 46.55 Non -Resident Each 60.05 62.07 53308 Public Space Special Event Fee First Event Day Group 1 City Sponsored Event Each No charge No charge Group 2 Resident Non -Profit Each 720.52 744.72 Group 3 Nan Resident Non -Profit Each 1,080.77 1,117.09 Group 4 Resident Commercial Each 1,260.90 1,303.27 Group 5 Non Resident Commercial Each 1,801.29 1,861.81 Each Additional Day Group 1 City Sponsored Event Per Day No charge No charge Group 2 Resident Non -Profit Per Day 216.16 223.42 Group 3 Non Resident Non -Profit Per Day 324.24 335.13 Group 4 Resident Commercial Per Day 378.28 390.99 Group 5 Non Resident Commercial Per Day 540.39 558.54 See SECTION I, All Departments, Building Rental Fees, for group descriptions 99810002-57391 Park Facilities Deposit Per Reservation 100.00 to 100.00 to 500.00 500.00 The appropriate deposit for each facility will be determined by the Executive Director of Parks, Recreation and Community Services TBD Other Recreation and Aquatic Programs Rates to be established and advertised by the Executive Director of Parks, Recreation and Community Services Agency through fliers or other media. 3xx13002-53300 Park Acquisition and Development Fees 5 bedrooms Each 6,832.81 7,062.39 4 bedrooms Each 6,141.46 6,347.81 3 bedrooms Each 5,546.44 5,732.80 2 bedrooms Each 4,133.98 4,272.88 1 or less Each 3,102.61 3,206.86 75A-1-31 22 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES _ FEES SECTION VIII PLANNING & BUILDING AGENCY 57770 Accelerated Records Research Fee Per Hour 66.09 68.31 53606 Adult Entertainment Land Use Permit Fee 1,526.91 1,578.21 57770 Aerial Photos Individual Sheets Per Sheet 26.20 27.08 Complete Set Per Set 797.36 824.16 53606 Appeal Applicant Each 3,964.08 4,097.28 Non -Applicant Each 394.34 407.59 53606 Certificate of Compliance Certificate 1,150.37 1,189.03 51605 Certificate of Occupancy (Planning & Inspection) Certificate 431.69 446.20 53606 Amendment Application(A.A.) Change of Zone or District Fee 4,946.70 5,112.91 53613 Change of Site Address Request Fee 1,112.85 1,150.24 53613 Conceptual Review"First Look" Fee Fee n/a 486.90 53606 Conditional Use Permit Application Fee Fee 5,317.41 5,496.08 53606 Condition Modification Fee 50% App. Fee 50% App. Fee 53606 Conditional Use Permit With a PC&N Determination (ABC License) Fee 4,733.42 4,892.47 53606 Conditional Use Permit Planned Residential Development Application Fee Fee 8,455.03 8,739.12 53606 Conditional Use Permit (CUP) -Coffee House Entertainment CUP Fee 4,969.90 5,136.89 53606 Development Agreement/Review Deposit: (Nonrefundable deposit required initially) Deposit 12,424.58 - 12,842.05 Plus Reimburse City for Actual Cost 53606 General Plan Amendment Flat Filing Fee Flat Fee 8,912.55 9,212.02 57770 General Plan Elements (Text) Per Set Actual Cost Actual Cost 57770 General Plan (Complete Text) Per Set Actual Cost Actual Cost 57770 General Plan Workbooks Per Set Actual Cost Actual Cost 75A-1-32 23 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-I8 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VIII PLANNING & BUILDING AGENCY 53613 Land Use Certificate Category 1 Bazaars,Fiestas, Sidewalk Sales, Outdoor Auctions, Per Certificate 378.40 391.12 Child Care (8-14 children), Ancillary Massage 53613 Category 2 Sidewalk Sales, Parking Lot Sale, Outdoor Actions, Mobile Medical and Veterinary units, Outdoor Booths Per Certificate 378.40 391.12 53613 Category 3 Carnival, Circus, Outdoor Music, Concert, Arcade, Temporary ABC Licenses Flat Fee Per Certificate 678.56 701.36 53613 Category 4 Antennas/Dishes Flat Fee Per Certificate 704.76 728.44 53613 Category5 Exterior Telephones (Pay Phones) First Pay Phone Fee 589.32 609.12 Per Additional Pay phone Each 175.43 181.32 53613 Category6 Small Collection (Recycling) Facilities Fee 983.05 1,016.08 53613 Entertainment Permit Category 2 Amplified music, without dancing, Each 378.40 391.12 Entertainment ends by 12:00 a.m. (midnight) Category 3 Amplified music, with dancing, Each 378.40 391.12 Entertainment ends by 12:00 a.m. (midnight) Category 4 Amplified music, dancing, Each 678.56 701.36 Entertainment ends after 12:00 a.m. (midnight) 57770 Land Use Map Per Map Actual Cost Actual Cost 53605 Landscape Plan Review Single Family or Duplex Fee 652.71 335.57 Triplex, Townhouse, or Multiple Family Fee 652.71 620.68 Mixed Use or Non-residential Fee 1,460.33 882.84 Per Inspection after the 2nd Inspection Fee 487.53 503.91 53606 Lot Line Adjustment Filing Fee Fee 1,266.30 1,308.84 53606 Minor Exception Filing Fee Fee 2,456.35 2,538.89 75A-1-33 24 O3:113IIK RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VIII PLANNING & BUILDING AGENCY 53613 Home Occupation Permit Fee 267.70 276.70 53613 New Single Family Residence Review Fee 1,377.17 1,423.45 53613 Major Commercial Modification Review Fee 1,377.17 1,423.45 53613 Off -Premise Advertising(Billboard)Permit Application Fee Fee 5,192.03 5,366.48 53606 Parcel Map Extension Fee 20% App. Fee 20% App. Fee Tentative Flat Filing Fee Fee 4,289.71 4,433.84 Plus per Lot Fee Fee 18.25 18.87 5407 Voluntary Lot Merger Application Fee Fee 2,447.94 2,530.19 53606 Residential Relocation Filing Fee Fee 3,909.39 4,040.74 53613 Second Dwelling Unit Review Fee 2,093.35 2,163.68 57770 Sectional Districts Maps Individual Sheets Per Map Actual Cost Actual Cost Complete Set Per Set Actual Cost Actual Cost 53613 Sign Permit Review Fee 475.02 490.98 53613 Planned Sign Program Review Fee 535.35 553.34 53606 Regional Planned Sign Program Fee 5,317.41 5,496.08 53613 Sign Program Amendment Fee 50% App. Fee 50% App. Fee 53606 Site Plan Review (Public Hearing) Fee n/a 4,059.96 53606 Specific Development Zone Fee (No Additional Dwelling Unit Fee) Fee 15,752.25 16,281.53 53613 Temporary Sign Permit Fee 154.92 160.13 53613 Temporary Trailer Permit Fee 594.15 614.12 57770 Subdivision Ordinance Each City's Cost City's Cost 75A-1-34 25 WNIM11-:111" RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VIII PLANNING & BUILDING AGENCY 53616 Development Project Review (Site Plan Review) S.F. RANGE BASE COST ADDITIONAL SQUARE FOOTAGE 4,503.45 plus [5.51 x sq. footage above 1 sq. ft.] 4,357.05 4,503.45 1,000-1,999 s.f...... 5,521.91 plus [4.06 x sq. footage above 1,000 sq. ft.] 5,342.40 5,521.90 2,000- 4,499 s.f...... 9,594.44 plus [2.30 x sq. footage above 2,000 sq. ft.] 9,282.55 9,594.44 4,500 - 9,999........... 15,385.98 plus [1.31 x sq. footage above 4,500 sq. ft.] 14,885.82 15,385.98 10,000 -19,999....... 22,638.48 plus [0.72 x sq. footage above 10,000 sq. ft.] 21,902.56 22,638.49 20,000 - 49,999...... 29,892.29 plus [0.27 x sq. footage above 20,000 sq. ft.] 28,920.56 29,892.29 50,000 - 99,999....... 37,645.41 plus [0.14 x sq. footage above 50,000 sq. ft.] 36,421.64 37,645.41 100,000+ s.f............. 45,121.57 plus [0.07 x sq. footage above 100,000 sq. ft.] 43,654.77 45,121.57 53606 Tract Map Tentative Filing Fee Fee 4,638.43 4,794.28 Plus Each Lot Fee 18.25 18.87 Plus Each Dwelling Unit Fee 18.25 18.87 53606 Underground Utilities Waiver Flat Filing Fee Fee 481.83 498.02 57770 Zoning Ordinance Booklets Per Booklet City's Cost City's Cost 53606 Variance Filing Fee Fee 5,158.17 5,331.49 Condition Modification Fee 50% App. Fee 50% App. Fee 53607 Environmental Impact Report Environmental Impact Report- In -House Fee 103,396.10 106,870.21 Environmental Impact Report- With Consultant 10% of Consultant fee 53607 Negative Declaration - In -House Fee 67,507.59 69,775.84 Negative Declaration - With Consultant 10% of Consultant fee Negative Declaration - Without Studies Fee 7,414.40 7,663.53 53607 Categorical Exemption / Environmental Determination Each 590.06 609.88 5406 Mobile Vending Fee Each 538.79 556.89 55601 Vendor Merchandise Release Fee Street/pushcart vendors Incident 169.74 175.44 51601 Re -Inspection Fees First assessment Each 84.83 87.69 Second assessment Each 125.29 129.50 Third assessment Each 169.74 175.44 51601 Extension Fee (Notice of Violation) Each 251.77 260.23 75A-1-35 26 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-38 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VIII PLANNING & BUILDING AGENCY 5579 Dangerous and Abandoned Building Fee Fee 40% of board up fee 40% of board up fee or $205, whichever or $205, whichever 75A-1-36 27 is greater. is greater. 53613 Nonconforming Status/ Zoning Verification Letter Each 552.49 571.05 53613 Zoning Interpretation Letter Each 490.68 507.17 53606 Zoning Ordinance Amendment Each 5,558.61 5,745.38 53418 Code Enforcement and Hearing Examiner Fee Per Hour 125.29 129.50 53418 Monitoring Fee Per Hour 142.98 147.78 Minimum 142.98 147.78 53606 Public Convenience & Necessity Determination Per Application 5,359.46 5,539.54 53618 Accelerated Development Project Review Each City's Cost City's Cost 53612 Mitigation Monitoring Fee due upon submission of site plan review Per Project 438.58 453.31 Fee due upon submission for Plan Check Per Project 928.34 959.53 53626 Medical Marijuana Registration Application Fee 1,690.00 1,690.00 53613 Historic Property Preservation Agreement Each 2,059.50 2,128.70 (Mills Act Application) 50% Reducation 53606 Historic Exterior Modification (HEMA) Each 2,105.08 2,175.81 53060 Self -nomination of properties to the Santa Ana Register of Each 5,415.29 5,597.24 Historical Properties 57770 Sale of Miscellaneous Items City's Cost City's Cost (e.g., Informational Literature) 53614 Shopping Cart Containment Program Annual Fee 668.65 691.11 55402 Commercial Vehicle Violation: Private Property First Violation 75.21 77.73 Second Violation 113.91 117.74 Third Violation 142.41 147.19 Pursuant to SAMC Sec 41-6071(h) 55000 Commercial Vehicle Violation: Public Streets First Violation 75.21 77.73 Second Violation 113.91 117.74 Third Violation 142.41 147.19 Pursuant to SAMC Sec 41-607(h) Program administered by Police Department 75A-1-36 27 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION VIII PLANNING & BUILDING AGENCY 50045 PREP Recording Service Fee Per Recording 57.00 58.92 Pursuant to SAMC Sec 8-1981 (b) 50045 PREP Rental Housing Annual Inspection Fee Per Unit 23.00 23.77 Pursuant to SAMC Sec 8-1967 50045 PREP Re -inspection Fee Per Unit 15.00 15.50 55402 Yard Parking Violation First Violation 75.21 77.73 Second Violation 113.91 117.74 Third Violation 142.41 147.19 Pursuant to SAMC Sec 41-6071(e) 55402 Displaying Vehicle For Sale First Violation 75.21 77.73 Second Violation 113.91 117.74 Third Violation 142.41 147.19 Pursuant to SAMC Sec 41-1301(a) 75A-1-37 28 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% see individual see individual 51602 7) 60,000 sf w/o interior improvements- EMP Insp PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT item schedule DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 53600 1) 10,000 s/f w/o interior improvements - Structural Plan Check sq. ft. 0.93 0.96 51601 2) 10,000 s/f w/o interior improvements - Structural Plan Inspection sq. ft. 0.26 0.26 51602 3) 10,000 sf w/o interior improvements- EMP Insp see Individual see individual item schedule item schedule 53602 item schedule item schedule 51603 53603 51604 53600 9) 100,000 sf w/o interior improvements -Structural Plan Check sq. ft. 53601 4) 10,000 sf w/o interior improvements - EMP Plan Check 10) see individual see individual 0.13 0.14 item schedule item schedule 53602 see individual 51602 11) 100,000 sf w/o interior improvements- EMP Insp 53603 53600 5) 60,000 sf w/o interior improvements -Structural Plan Check sq. ft. 0.09 0.09 51601 6) 60,000 sf w/o interior improvements - Structural Insp sq. ft. 0.09 0.09 75A-1-38 29 see individual see individual 51602 7) 60,000 sf w/o interior improvements- EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 8) 60,000 sf w/o interior improvements- EMP Plan Check item schedule item schedule 53602 53603 53600 9) 100,000 sf w/o interior improvements -Structural Plan Check sq. ft. 0.08 0.08 51601 10) 100,000 sf w/o interior improvements -Structural Insp sq. ft. 0.13 0.14 see individual see individual 51602 11) 100,000 sf w/o interior improvements- EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 12) 100,000 sf w/o interior improvements- EMP Plan Check item schedule item schedule 53602 53603 53600 13) 10,000 sf with interior improvements -Structural Plan Check sq. ft. 1.27 1.32 51601 14) 10,000 sf with interior improvements - Structural Insp sq. ft. 0.36 0.37 see individual see individual 51602 15) 10,000 sf with interior improvements - EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 16) 10,000 sf with interior improvements - EMP Plan Check item schedule item schedule 53602 53603 53600 17) 60,000 sf with interior improvements- Structural Plan Check sq. ft. 0.09 0.09 51601 18) 60,000 sf with interior improvements - Structural Insp sq. ft. 0.15 0.15 75A-1-38 29 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION I% PLANNING & BUILDING AGENCY 51602 51603 51604 53601 53602 53603 53600 51601 51602 51603 51604 53601 53602 53603 53600 51601 51602 51603 51604 53601 53602 53603 53600 51601 51602 51603 51604 53601 53602 53603 53600 51601 19) 60,000 sf with interior improvements - EMP Insp 20) 60,000 sf with interior improvements - EMP Plan Check 21) 100,000 sf with interior improvements- Structural Plan Check 22) 100,000 sf with interior improvements - Structural Insp 23) 100,000 sf with interior improvements- EMP Insp 24) 100,000 sf with interior improvements- EMP Plan Check 25) High Rise, 5 Stories or more - Structural Plan Check 26) High Rise, 5 Stories or more - Structural Insp 27) High Rise, 5 Stories or more- EMP Insp 28) High Rise, 5 Stories or more - EMP Plan Check see individual see individual item schedule item schedule see individual see individual item schedule item schedule sq. ft. 0.12 0.13 sq. ft. 0.15 0.16 see individual see individual item schedule item schedule see individual see individual item schedule item schedule assumes 50k sq. ft. 0.86 0.89 assumes 50k sq. ft. 0.25 0.26 see individual see individual item schedule item schedule see individual see individual item schedule item schedule 29) 2,500 sf Residential 2 story SFD - Structural Plan Check sq. ft. 2.21 2.28 If single story sq. ft. 1.01 1.04 If repeat sq. ft. 0.51 0.53 30) 2,500 sf Residential SFD-Structural Insp sq. ft. 0.58 0.60 see individual see individual 31) 2,500 sf Residential SFD -EMP Insp item schedule item schedule see individual see individual 32) 2,500 sf Residential SFD - EMP Plan Check item schedule item schedule 33) Apartment, 10 units -,Structural Plan Check assumes 10k sq. ft. 1.01 1.04 34) Apartment, 30 units - Structural Insp assumes 10k sq. ft. 0.24 0.25 75A-1-39 30 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 75A-1-40 31 see individual see individual 51602 35) Apartment, 10 units - EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 36) Apartment, 30 units - EMP Plan Check item schedule item schedule 53602 53603 53600 37) Hotel/Motel, 20 units -Structural Plan Check assumes 15k sq. ft. 1.08 1.11 51601 38) Hotel/Motel, 20 units -Structural Insp assumes 15k sq. ft. 0.42 0.44 see individual see individual 51602 39) Hotel/Motel, 20 units - EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 40) Hotel/Motel, 20 units- EMP Plan Check item schedule item schedule 53602 53603 53600 41) Misc Resid. Structure: Patio Cover/Garage-Structural Plan Check sq. ft. 0.36 0.37 51601 42) Misc. Resid. Structure: Patio Cover/ Garage -Structural Insp sq. ft. 0.37 0.38 see individual see individual 51602 43) Misc. Resid. Structure: Patio Cover/ Garage - EMP Insp item schedule item schedule 51603 51604 53600 44) Addition: up to 500 sf Resid 1st floor - Structural Plan Check sq. ft. 1.25 1.30 51601 45) Addition: up to 500 sf Resid 1st floor -Structural Insp sq. ft. 1.01 1.04 see individual see individual 51602 46) Addition: up to 500 sf Resid 1st floor- EMP Insp item schedule item schedule 51603 51604 53600 47) Addition: up to 1,500 sf Resid 1st floor- Structural Plan Check sq. ft. 1.01 1.04 51601 48) Addition: up to 1,500 sf Resid 1st floor - Structural Insp sq. ft. 0.85 0.88 see individual see individual 51602 49) Addition: up to 1,500 sf Resid 1st floor- EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 50) Addition: up to 1,500 sf Resid 1st floor- EMP Plan Check item schedule item schedule 75A-1-40 31 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17.18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES 53602 53603 53600 51) Addition: up to 500 sf Resid 2nd floor -Structural Plan Check sq. ft. 3.45 3.56 51601 52) Addition: up to 500 sf Resid 2nd floor- Structural Insp sq. ft. 1.75 1.81 75A-1-41 32 see individual see individual 51602 53) Addition: up to 500 sf Resid 2nd floor- EMP Insp item schedule item schedule 51603 51604 53600 54) Addition: up to 1,500 sf Resid 2nd floor - Structural Plan Check sq. ft. 2.25 2.33 51601 55) Addition: up to 1,500 sf Resid 2nd floor- Structural Insp sq. ft. 0.99 1.02 see individual see individual 51602 56) Addition: up to 1,500 sf Resid 2nd floor- EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 57) Addition: up to 1,500 sf Resid 2nd floor- EMP Plan Check item schedule item schedule 53602 53603 53600 58) Swimming Pool, 350 sf- Structural Plan Check sq. ft. 0.51 0.53 51601 59) Swimming Pool, 350 sf- Structural Insp sq. ft. 0.56 0.58 see individual see individual 51602 60) Swimming Pool, 350 sf- EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 61) Swimming Pool, 350 sf- EMP Plan Check item schedule item schedule 53602 53603 53600 62) Fence (wood), 20 If - Structural Plan Check If 0.36 0.37 51601 63) Fence (wood), 20 If - Structural Insp If 0.27 0.28 53600 64) Retaining Wall, 20 If- Structural Plan Check If 0.37 0.38 51601 65) Retaining Wall, 20 If - Structural Insp If 0.36 0.37 53600 66) TI, 4,000 sf- Structural Plan Check sq. ft. 0.33 0.34 51601 67) TI, 4,000 sf- Structural Insp sq. ft. 0.23 0.24 see individual see Individual 51602 68) TI, 4,000 sf - EMP Insp item schedule item schedule 51603 75A-1-41 32 0:cir: M RESOLUTION 2017 -XXX 3.36% see individual see individual 51602 76) TI, 12,000 sf- EMP Insp PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT item schedule DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51604 53601 77) TI, 12,000 sf- EMP Plan Check see individual see individual see individual see individual 53601 69) TI, 4,000 sf- EMP Plan Check 53603 item schedule item schedule 53602 53600 78) Tl, 20,000 sf- Structural Plan Check sq. ft. 53603 0.19 51601 79) TI, 20,000 sf- Structural Insp sq. ft. 53600 70) TI, 8,000 sf- Structural Plan Check sq. ft. 0.27 0.28 51601 71) TI, 8,000 sf- Structural Insp sq. ft. 0.13 0.14 item schedule item schedule 51603 see individual see individual 51602 72) TI, 8,000 sf- EMP Insp 53601 81) item schedule item schedule 51603 see individual 51604 item schedule 53602 53603 see individual see individual 53601 73) TI, 8,000 sf- EMP Plan Check 82) Resid. Misc (window, door, etc.) -Structural Plan Check Flat 536.97 555.01 51601 83) item schedule item schedule 53602 408.95 53600 84) Comm. Misc (storage rack) - Structural Plan Check °i Flat 53603 1067.25 51601 85) Comm. Misc (storage rack) - Structural Insp Flat 53600 74) TI, 12,000 sf - Structural Plan Check sq. ft. 0.25 0.26 51601 75) TI, 12,000 sf -Structural Insp sq. ft. 0.09 0.09 75A-1-42 33 see individual see individual 51602 76) TI, 12,000 sf- EMP Insp item schedule item schedule 51603 51604 53601 77) TI, 12,000 sf- EMP Plan Check see individual see individual item schedule item schedule 53602 53603 53600 78) Tl, 20,000 sf- Structural Plan Check sq. ft. 0.19 0.19 51601 79) TI, 20,000 sf- Structural Insp sq. ft. 0.11 0.11 51602 80) TI, 20,000 sf- EMP Insp see individual see individual item schedule item schedule 51603 51604 53601 81) TI, 20,000 sf- EMP Plan Check see individual see individual item schedule item schedule 53602 53603 53600 82) Resid. Misc (window, door, etc.) -Structural Plan Check Flat 536.97 555.01 51601 83) Resid. Misc (window, door, etc.) - Inspection Flat 395.66 408.95 53600 84) Comm. Misc (storage rack) - Structural Plan Check °i Flat 1,032.56 1067.25 51601 85) Comm. Misc (storage rack) - Structural Insp Flat 556.14 574.83 75A-1-42 33 EXHIBIT 2 RESOLUTION 2017 -XXX REVENUE ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FY 16-17 FEES 3.36% PROPOSED FY 17-18 FEES SECTION IX PLANNING & BUILDING AGENCY see individual see individual 51602 86) Comm. Misc (storage rack) - EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 87) Comm. Misc (storage rack) - EMP Plan Check item schedule item schedule 53602 53603 53600 88) Commercial Sign -Structural Plan Check hourly 206.91 213.86 51601 89) Commercial Sign -Structural Insp hourly 149.25 154.26 see individual see individual 51602 90) Commercial Sign- EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 91) Commercial Sign- EMP Plan Check item schedule item schedule 53602 53603 53600 92) Residential Re -roof- Structural Plan Check hourly 206.91 213.86 51601 93) Residential Re -roof - Structural Insp hourly 149.25 154.26 53600 94) Commercial Re -roof - Structural Plan Check °i hourly 206.91 213.86 51601 95) Commercial Re -roof - Structural Insp hourly 149.25 154.26 53600 96) Demolition- Structural Plan Check hourly 206.91 213.86 51601 97) Demolition -Structural Insp hourly 149.25 154.26 see individual see individual 51602 98) Demolition - EMP Insp item schedule item schedule 51603 51604 see individual see individual 53601 99) Demolition - EMP Plan Check item schedule item schedule 53602 53603 53600 100) 400 sf Tl and Seismic Reinforcement- Structural Plan Check sq. ft. 0.51 0.53 51601 101) 400 sf Tl and Seismic Reinforcement- Structural Insp sq. ft. 0.40 0.41 see individual see individual 53601 102) 400 sf Tl and Seismic Reinforcement- EMP Plan Check item schedule item schedule 75A-1-43 34 EXHIBIT 2 RESOLUTION 2017 -XXX perspace 3.36% 2.09 105)Parking Lot- 20 or fewer spaces Restriping- Inspection PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY perspace 2.02 53602 108) Minimum Fee - Inspection flat 53603 154.26 109) Minimum Fee- Plan Check 53600 103) Seismic Reinforcement Only sq. ft. same as Ti rates same as TI rates 53600 51601 53600 51601 51601 51602 51603 51604 53600 53601 53602 53603 51601 51602 51603 51604 53600 53601 53602 53603 �XI14S 53600 53600 51601 53600 51601 F#IYlIS 53600 53601 53602 53603 53600 104)Parking Lot- 20 or fewer spaces Restriping- Structural Plan Check perspace 2.02 2.09 105)Parking Lot- 20 or fewer spaces Restriping- Inspection perspace 2.02 2.09 106) Parking Lot ->20 spaces Resurface- Structural Plan Check perspace 2.02 2.09 107)Parking Lot ->20 spaces sf Resurface -Insp perspace 2.02 2.09 108) Minimum Fee - Inspection flat 149.25 154.26 109) Minimum Fee- Plan Check hourly, min 1/2 hr 206.91 213.86 110) Re -inspection hourly 149.25 154.26 111) Prelim Plan Check Review- per hour °i hourly 206.91 213.86 112)Energy PC -4,000A sq. ft. 0.10 0.10 113) Energy PC - 8,000 sf sq. ft. 0.10 0.10 114) Accessibility PC -4,000 sf- Structural Plan Check sq. ft. 0.15 0.15 115) Accessibility PC -4,000 sf- Inspection sq. ft. 0.05 0.05 116) Accessibility PC - 8,000 sf - Structural Plan Check sq, ft. 0.10 0.10 117) Accessibility PC -8,000 sf- Inspection sq. ft. 0.04 0.04 118) Change of Use b) deposit 756.02 781.43 119) Code Modification - simple flat 825.65 853.39 120) Code Modification - moderate flat 1,651.31 75A-1-44 35 1706.80 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 53601 53602 53603 53600 121) Code Modification - complex flat 3,302.63 3413.60 53601 53602 53603 53600 122) Notice of Violation -Structural Plan Check New hourly 206.91 213.86 51601 123) Permit Issuance Fee - EMP and Misc. Building flat 51.26 52.98 51602 51603 51604 51601 124) Permit Issuance Fee - Residential and Non Residential flat 136.72 141.32 51600 125) Permit Issuance Fee - General Plan Update surcharge flat 20.56 21.25 51601 126) Permit Renewal/Extension Fee flat 74.63 77.13 51602 (per permit renewed or extended) 51603 51604 51601 127) Residential Rooftop Solar (1kW to 15kW) flat 500.00 500.00 Plus each additionl kW over 15kW each 15.00 15.50 Commercial Rooftop Solar (1kW to SOkW) flat 1,000.00 1033.60 Plus each additional kW over 50kW up to 250 kW each 7.00 7.24 Commercial Rooftop Solar (over 250 kW) flat 2,400.00 2480.64 Plus each additional kW over 250kW each 5.00 5.17 53600 128) Solar Panel -Structural Plan Check hourly 206.91 213.86 51601 129) Solar Panel - Inspection Residential flat 304.80 315.04 51601 130) Solar Panel - Inspection Commercial flat 918.51 949.37 51601 131) Field Plan Check -subject to field Structural Plan Check - hourly 149.26 154.27 53600 132) Cell Tower - Structural Plan Check hourly 206.91 213.86 53600 133) Deferred Submittal -Structural Plan Check hourly 206.91 213.86 53600 134) Rooftop equipment -Structural Plan Check hourly 206.91 213.86 53600 135) Equipment Changeout- Structural Plan Check hourly, min 1/2 hr 206.91 213.86 75A-1-45 36 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 53600 136)Dust Collecting- Structural Plan Check hourly 206.91 213.86 53600 137)Above/Below Ground Tank- Structural Plan Check hourly 206.91 213.86 53600 138) Trash Enclosures -Structural Plan Check flat 206.91 213.86 53600 139) Lighting Standards -Structural Plan Check hourly, min 1/2 hr 206.91 213.86 51601 140) Lighting Standards - Inspection hourly 149.25 154.26 53600 141) Pedestrian Protection -Structural Plan Check hourly, min 1/2 hr 206.91 213.86 51601 142) Pedestrian Protection - Inspection hourly, min 2hr 149.25 154.26 53600 143) Security Card Reader -Structural Plan Check hourly, min 1/2 hr 206.91 213.86 53600 144) Fire Damage Repair, Structural - Plan Check hourly 206.91 213.86 51601 145) Certificate of Occupancy inspection flat 53.38 55.17 51601 146) Temporary Certificate of Occupancy flat 449.13 464.22 53600 147) Revision - Structural Plan Check hourly, min 1/2 hr 206.91 213.86 53601 148) Revision - EMP Plan Check hourly, min 1/2 hr 206.91 213.86 53602 53603 51601 149) Special Inspection hourly 149.25 154.26 51602 51601 150) Relocation Inspections Main building or structure Each 454.39 469.65 Accessory structure Each 90.14 93.17 Inspection for structures located outside of the City Per Mile 0.89 0.92 Travel time Per Hour 90.14 93.17 53600 151) Misc. Non-resid. Structures: 200 sf Patio Cover- Structural sq. ft. 0.40 0.41 Plan Check 51601 152) Misc. Non Resid. Structures: 200 sf Patio Cover -Structural Insp sq. ft. 0.36 0.37 see individual see individual 51602 153) Misc. Non Resid. Structures: 200 sf Patio Cover- EMP Insp item schedule item schedule 51603 51604 57600 154) Accelerated Plan Check Fee hourly 132.61 137.07 75A-1-46 37 [WIRWHUM RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51601 155) Appeals Each 1,261.01 1303.38 The fee for an appeal of a ruling of the Building Official to the Planning Commission (SAMC Section 806.254) shall be payable at the time of fling of the appeal. 51601 156) Change of incorrect address Each Project 61.57 63.64 51601 157) Change of owner or contractor Each Project 61.57 63.64 51601 158) Flood plain construction standards variances Each 272.21 281.36 51601 159) Expedited copy request Per Hour 61.57 63.64 51601 160) Penalty Fees in addition to investiagation fee and permit fee flat 226.47 234.08 51602 51603 51611 51604 51606 51601 161) Violation/Investigation Fees Per Hour 90.14 93.17 51602 51603 51611 51604 51606 53513 162) OCFAAdministrative Processing Fee Each 15.00 15.00 51601 163) Microfilm Records Each Sheet 3.50 3.62 51630 Fireworks Stand Inspections Per Booth 28.06 29.00 164) Refunds 43.09 44.54 Upon written request from the permittee, refunds of permit fees may be made to the permittee in an amount equal to 80% of the permit fee, exclusive of the plan check and issuance fee; except that no permit fees shall be refunded under any of the following circumstances: (1) 180 days has elapsed from the date of the issuance of the permit (2) inspections have been performed by the Building Safety Division If a permit has been issued for a project located in an area outside of the jurisdiction of the City, 100% of the permit and plan check fee may be refunded. If a permit has been erroneously issued, 100% of the permit and plan check fee may be refunded. 75A-1-47 38 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16.17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY If a plan check fee has been paid and the plan is withdrawn by the applicant prior to the plan check, refunds of plan check fees may be made to the permittee in an amount equal to 100% of the plan check fee in excess of $4999 $44.54 paid. In no other case may any plan check fees be refunded. Waiver of Fee No permit or plan check fees required by this resolution will be charged for public improvement projects performed by construction contractors and subcontractors pursuant to contract with the City of Santa Ana or the Community Redevelopment Agency of the City of Santa Ana nor for any work performed by employees of the City in the course of their employment. However, this fee waiver does not exempt any party from obtaining a permit for such work nor exempt such party from conforming to the procedures established by the City nor from compliance with all applicable City and State ordinances regulating such work. 75A-1-48 39 Note: The volume for Plan Check activity has been reduced to reflect the fact that contract services and overtime are used to complete a portion of activity. °I Not all re -roofing activities require plan check. Material and current structure design will be the deciding factor. °I This service will be charged on initial deposit and then charged by hourly rate. `I These services were reallocated across fee areas as an overhead. aI Up to 10 racks. Each additional rack will be charged at $11.09 $11.46 each. 11.09 11.46 `I Hourly rates will be charged after the minimum is met, if required. n This revenue is earmarked for the General Plan Update and is not included in new revenue figures. All plan check services reflect an initial plus two rechecks. Additional reviews will be charged on an hourly basis. Any unique plan check or inspection that does not match a service category will be charged on an hourly basis. Electrical Fees 51603 165) Permit Issuance 51.26 52.98 51603 166) Minimum Fee (Nonresidential) 68.34 70.64 53601 167) Electrical Plan Check Fee (when required) 65% of Subtotal 65% of Subtotal 51603 168) 125 Volt Receptacle Outlets 1.35 1.40 51603 169) Light Switches, Occupancy Sensors 1.47 1.52 51603 170) Light Fixtures 0.98 1.01 75A-1-48 39 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51603 171) Air Conditioners, Heat Pumps 90.25 93.28 51603 172) Factory -Wired Units (Solid Hook -Ups) 23.09 23.87 51603 173) Dedicated Circuits (15 or 20 AMP Receptacles) 23.09 23.87 51603 174) Time Clock, Photo -Cell, Time Switch 11.27 11.65 51603 175) Track -Light, Cable Tray, Special Raceway, Plugmold, 23.09 23.87 Under -Floor Duct, Plug -In Busways, Wiremold, Etc. Each 100 ft. Service Meter, Reset Meter, Subpanel, Switchboard, Motor or fraction thereof Control Center, Transfer Switch, Busduct, or other Distribution Equipment changes or modifications. 51603 176) Under 400 amperes 49.63 51.29 51603 177) 400 amperes to 1199 amperes 135.31 139.86 51603 178) 1200 amperes and over 225.45 233.03 Motor, Transformer, Welder, Industrial Equipment, Oven, Rectifier, Generator, Surge Arrestor, Water Heater, Photovoltaic Panel or other Power Equipment. 51603 179) 0 to 1 HP, kW or kVA 3.32 3.43 51603 180) Over 1 to 10 HP, kW or kVA 21.69 22.42 51603 181) Over 10 to 50 HP, kW or kVA 43.04 44.48 51603 182) Over 50 to 100 HP, kW or kVA 97.74 101.03 51603 183) Over 100 to 500 HP, kW or kVA 140.44 145.16 51603 184) Over 500 HP, kW or kVA 175.43 181.32 Low Voltage: phone, data outlet, speaker, thermostat, door holder, doorbell, pull station, smoke detector, alarm device, card reader, etc. Commercial: 51603 185) FIRST 10 devices or outlets 31.55 32.61 51603 186) Additional Devices 2.98 3.08 51603 187) Each control panel, power supply annunciator, switch or auxiliary equipment 15.03 15.53 75A-1-49 40 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY Residential: 51603 188) Single Dwelling Unit 34.20 35.35 51603 189) Each Additional dwelling unit (2-20) 30.09 31.10 51603 190) Each additional Unit (Over 20) 18.36 18.98 Miscellaneous: 51603 191) Light Standard (Pole) with one fixture 23.10 23.88 51603 192) Additional Fixtures - Same Pole 0.00 51603 193) Power Pole (Temporary) 95.99 99.22 51603 194) Additional Distribution Poles 23.10 23.88 51603 195) Swimming Pool, Spa, Fountain 112.78 116.57 51603 196) Above Ground Spa 48.73 50.37 51603 197) Demolition 45.13 46.65 51603 198) Signs & Neon/LED Decorative Lighting 69.97 72.33 (refundable bond) New or Total Rewire for Single Family Dwellings: 51603 199) SFD (per square foot) sq. ft. 0.13 0.14 51603 200) Garage (per square foot) sq. ft. 0.13 0.14 51603 201) Temporary Electrical Service, Prior to approval or Each Meter 227.34 234.98 Occupancy (30 Days) At the time of application for temporary power, the owner shall post a $1,000.00 cash or cashier's check conforming to the Santa Ana Municipal Code Section 8-1768 for each service meter. This deposit shall be released upon request after the Certificate of Completion or Certificate of Occupancy is issued. Mechanical Fees 51604 202) Permit Issuance Fee 51.26 52.98 51604 203) Minimum Fee (Nonresidential) 68.34 70.64 53603 204) Stand Alone Mechanical Plan Check 65% of Subtotal 65% of Subtotal 75A-1-50 41 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING Be BUILDING AGENCY Furnace includine ducts & vents (each) 51604 205) Up to 100,000 BTU 61.09 63.14 51604 206) Over 100,000 BTU 87.15 90.08 51604 207) Furnace/Compressor Combo (Residential) 118.19 122.16 Each Compressor. Boiler or Heat Pump (packaged or split system) 51604 208) Up to 5 HP 84.00 86.82 51604 209) Over 5 to 30 HP 100.45 103.82 51604 210) Over 30 to 50 HP 125.57 129.79 51604 211) Over 50 HP 135.31 139.86 51604 212) VAV Boz up to 2,000 CFM 41.46 42.85 51604 213) VAV Boz Over 2,000 CFM 61.07 63.12 51604 214) Air Handling Unit Up to 2,000 CFM 41.46 42.85 51604 215) Air Handling Unit Over 2,000 CFM 61.07 63.12 Miscellaneous 51604 216) Outdoor Dual Package Heating/Cooling 105.46 109.01 51604 217) Wall Heater 61.07 63.12 51604 218) Unit Heater 60.44 62.47 51604 219)Suspended Heater 54.14 55.96 51604 220) Decorative Fireplace (Wood or Gas) 54.14 55.96 51604 221) Clothes Dryer (Residential) 37.57 38.83 51604 222) Clothes Dryer (Commercial) 50.75 52.46 51604 223) Any Alteration, Repair or Addition to a Ventilation System (per system unit) 40.62 41.99 51604 224) Vent System (Not part of an HVAC System) 57.18 59.10 51604 225) Type I hood with Duct & Fan 105.47 109.01 51604 226) Type II hood with Duct & Fan 61.07 63.12 75A-1-51 42 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51604 227) Environmental Air Fan (Residential or Commercial) 32.79 33.89 51604 228) Laundry Fan (Environmental air) 32.45 33.54 51604 229) Bathroom/Restroom Fan 28.42 29.38 51604 230) Range Hood (Residential) 30.09 31.10 51604 231) Commercial Vent Fan 40.62 41.99 51604 232) Fan Coil 52.90 54.67 51604 233 Evaporative Cooler 61.07 63.12 51604 234) Gas Piping (Incidental) 20.84 21.54 51604 235) Fire Damper 61.07 63.12 51604 236) Install/Repair/Replace Appliance Vent 61.07 63.12 51604 237) Product Conveying System (Flammable Vapors, Fumes, Smoke, Heat) 175.43 181.32 51604 238) Dust Collection System 175.43 181.32 51604 239) Appliance Not Listed 61.07 63.12 51604 240) System Not Listed (Halon, Smoke Evac, Crematory, Etc) 175.43 181.32 Absorption System 51604 241) Up to 1,000,000 BTU 72.90 75.35 51604 242) 1,000,001 to 1,750,000 BTU 103.65 107.14 51604 243) 1,750,001 and over 175.43 181.32 51604 244) Commercial Cooking Equipment (Ovens/Fryers/Etc) 39.89 41.23 51604 245) Condensate Pump 29.80 30.80 51604 246) Kiln <20cubic feet (includes hood and duct) 61.51 63.58 51604 247) Air Compressor (each includes piping) 61.51 63.58 51604 248) Cooling Tower 61.51 63.58 51604 249) Heat Exchanger 56.39 58.28 75A-1-52 43 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51604 250) Electrostatic Precipitator 36.40 37.63 51604 251) Vacuum Cleaner System (Residential) 61.51 63.58 51604 252) Humidifier 36.45 37.68 51604 253) Duct Heater 61.51 63.58 51604 254) Wood Sawdust System 132.17 136.61 51604 255) Incinerator (Residential) 41.00 42.38 51604 256) Incinerator (Commercial) 175.43 181.32 Plumbing Fees 51602 257) Permit Issuance Fee 51.26 52.98 51602 258) Minimum Fee (Nonresidential) 68.34 70.64 53602 259) Stand Alone Plumbing Plan Check Fee 65% of Subtotal 65% of Subtotal Fixtures: 51602 260) Water Closet 13.24 13.69 51602 261) Urinal 10.13 10.47 51602 262) Tub/Shower 20.73 21.42 51602 263) Whirlpool Tub 20.73 21.42 51602 264) Sinks 11.83 12.23 51602 265) Clothes Washer 13.01 13.45 51602 266) Dishwasher 11.15 11.52 53602 267) Garbage Disposal 9.92 10.26 51602 268) Floor Sink 15.03 15.53 51602 269) Floor Drain 15.03 15.53 51602 270) Drinking Fountain 8.34 8.62 51602 271) Cap Fixture 6.48 6.69 75A-1-53 44 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17.18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY Sewer: 51602 272) New Sewer (First 100 Feet) 60.16 62.18 51602 273) Additional Sewer Connection 20.73 21.42 51602 274) Each Additional 100 Feet of Sewer 20.73 21.42 51602 275) Repair/Alter Sewer 41.46 42.85 51602 276) Private Sewage Disposal System 125.57 129.79 51602 277) Cesspool 61.07 63.12 51602 278)Cap Sewer 93.06 96.18 Gas: 51602 279) New Gas System (1-4 outlets) 41.46 42.85 51602 280) Additional Gas Outlet (each) 6.58 6.80 51602 281)Extend/Alter Gas System 61.07 63.12 51602 282) Repair Gas Piping 41.46 42.85 51602 283) Cap Gas Outlet 7.88 8.15 Swimming Pools: 51602 284) Pool Trap 20.73 21.42 51602 285) Pool Heater 67.67 69.94 51602 286) Pool Piping 41.46 42.85 Miscellaneous: 51602 287) Water Heater (Residential up to 50 gallons) 20.73 21.42 51602 288) Water Heater (Commercial up to 50 gallons) 20.73 21.42 51602 289) Water Heater (Res/Comm over 50 gallons) 85.01 87.87 51602 290) Water Heater (Tankless) 61.07 63.12 51602 291) Water Service (each 100 feet) 41.46 42.85 51602 292) Water Piping (each 100 feet) 41.46 42.85 75A-1-54 45 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51602 293) Repipe (Residential - Each 100 Feet) 41.46 42.85 51602 294) Primary/Secondary Roof Drain (per set) 41.46 42.85 51602 295) Deck/Area Drain 8.96 9.26 51602 296) Rainwater System 41.46 42.85 51602 297) Rainwater Piping (buried) 20.17 20.85 51602 298) Storm Drains 26.65 27.54 51602 299) Water Softener (Residential) 20.73 21.42 51602 300) Water Softener (Commercial) 41.46 42.85 51602 301) Lawn Sprinkler (Each) 9.46 9.78 51602 302) Backflow Preventer(Less than 2inches) 20.73 21.42 51602 303) Backflow Preventer (2 inches and bigger) 41.46 42.85 51602 304) Vacuum Breakers (1 to 5) 18.93 19.57 51602 305) Vacuum Breakers (Over S - each) 5.41 5.59 51602 306) Hose Bib with Vacuum Breaker 14.41 14.89 51602 307) Grease/Waste Interceptor 34.98 36.15 51602 308) Dental Unit 30.09 31.10 51602 309) Medical Gas Piping (Fire Department) 41.46 42.85 51602 310) Alteration to Drain or Vent Piping 41.46 42.85 51602 311) Appliance not listed 61.07 63.12 51602 312) Sewage Ejector 61.07 63.12 51602 313) Sump Pump 61.07 63.12 51602 314) Hot Water Storage Tank 28.38 29.33 51602 315) Heat Exchanger 53.68 55.49 51602 316) Cooling Tower 61.07 63.12 75A-1-55 46 EXHIBIT 2 RESOLUTION 2017 -XXX REVENUE ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE FY 16-17 UNIT FEES 3.36% PROPOSED FY 17-18 FEES SECTION IX PLANNING & BUILDING AGENCY 51602 317) Booster Pumps 33.07 34.18 51602 318) Fireline/Hydrant (Each 100 Feet) 41.46 42.85 51602 319) Temporary Gas Meter, Prior to approval Each Meter 227.34 234.98 Or Occpancy (30 Days) At the time of application for temporary power, the owner shall post a $1,000.00 cash or cashier's check conforming to the Santa Ana Municipal Code Section 8-1768 for each service meter. This deposit shall be released upon request after the Certificate of Completion or Certificate of Occupancy is issued. PIPELINE PROJECT FEES PER RESOLUTION NO. 2009-018 GENERAL PROVISIONS Unless otherwise provided, payment of fees and charges as established herein shall be made to the Executive Director of the Planning and Building Agency or his/her authorized representative at the time of initial application or request for the permit or service for which a fee is charged or Imposed. No permit shall be issued to any person, firm or corporation unless all fees therefore have been paid in full. Exception: Waiver of Fee No permit or plan check fees required by this resolution will be charged for public improvement projects performed by construction contractors and subcontractors pursuant to contract with the City of Santa Ana or the Community Redevelopment Agency of the City of Santa Ana nor for any work performed by employees of the City in the course of their employment. However, this fee waiver does not exempt any party from obtaining a permit for such work nor exempt such party from conforming to the procedures established by the City nor from compliance with all applicable City and State ordinances regulating such work. 75A-1-56 47 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES 41:(" I M Pe l:1111111111111111•LI_LIPIRLrF11111U 1PLeL[rl4� rrl l REFUNDS Upon written request from the permittee, refunds of permit fees may be made to the permittee in an amount equal to 80% of the permit fee, exclusive of the plan check and issuance fee; except that no permit fees shall be refunded under any of the following circumstances: (1) 180 days has elapsed from the date of the issuance of the permit (2) inspections have been performed by the Building Safety Division If a permit has been issued for a project located in an area outside of the jurisdiction of the City, 100% of the permit and plan check fee may be refunded. If a permit has been erroneously issued, 100% of the permit and plan check fee may be refunded. If a plan check fee has been paid and the plan is withdrawn 43.09 44.54 by the applicant prior to the plan check, refunds of plan check fees may be made to the permittee in an amount equal to 100% of the plan check fee in excess of $43:89 $44.54 paid. In no other case may any plan check fees be refunded. 51601 SPECIAL INVESTIGATION FEE 90.14 93.17 51602 51603 A special investigation fee shall be charged by the Building 51611 Official for any investigation of a building structural work, 51604 reports, certification, or any other related work requested by 51606 an owner or his authorized agent. Said fee shall be assessed in an amount sufficient to reimburse the City for the costs actually incurred by the City based upon a rate of $90,14 $93.17 per hour but in no case shall be less than $99.14$93.17. 51601 VIOLATION/INVESTIGATION FEES 90.14 93.17 51602 51603 When any work for which a permit is required has been 51611 commenced without the authorization of such permit, an 51604 investigation may be required before a permit will be issued 51606 for such work. An investigation fee shall be assessed in an amount sufficient to reimburse the City for costs actually incurred by the City based on a rate of $9614 93.17 per hour but in no case less than $9044 $93.17 shall be collected. 75A-1-57 48 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51601 PENALTY FEES 226.47 234.08 51602 51603 In addition to the investigation fee and regular permit fee, a 51611 penalty in an amount equal to the amount of the total permit 51604 fee shall be required, but in no case less than $226.47$234.08. 51606 51601 EXPEDITED COPY REQUEST Per Hour 61.57 63.64 51605 APPROVAL FOR BUSINESS Each 87.73 90.67 CERTIFICATE OF OCCUPANCY Whenever a Business License Tax application requires approval of a Business Certificate of Occupancy each application shall be accompanied by the payment of a nonrefundable application processing fee of $84,35 $35.50 and an inspection fee of $52.99 $55.17 which shall be refunded if an inspection proves to be unnecessary. 51601 DEMOLITION PERMIT 90.14 93.16 The fee for a permit to demolish a building or structure shall be based upon the contract price but in no case less than the minimum building permit fee of $90,14 $93.16. 098001001- When a building is demolished, the owner shall provide the 24015 City with a cash or surety bond as described in Section 8-1768 through 8-1771 of the Santa Ana Municipal Code. For the purpose of lot cleanup and capping of the sewer lateral, the value of the bond is to be established by the Building Official but in no case shall the bond be less than $1,000.00 per building. A single family dwelling and garage shall be considered as one building for bonding purposes. 51601 FLOODPLAIN CONSTRUCTION Each 272.22 281.36 STANDARDS VARIANCES 51601 APPEALS Each 1,261.01 1303.38 The fee for an appeal of a ruling of the Building Official to the Planning Commission (SAMC Section 806.254) shall be payable at the time of filing of the appeal. 75A-1-58 49 WA11ll lNIN RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51601 RELOCATION INSPECTIONS The fee for an inspection on a building or structure, as required for its proposed relocation. Main building or structure Each 454.39 469.65 Accessory structure Each 90.14 93.16 Inspection for structures located outside of the City Per Mile 0.89 0.92 Travel time Per Hour 90.14 93.16 53600 APPLICATION PROCESSING AND PLAN CHECKING FEES An application processing fee and plan checking fee shall be paid to the Building Official at the time of submitting plans for checking. Such fee shall be equal to 65% of the building permit fee as set forth in this resolution. For all buildings, such fee shall also include a surcharge for state mandated energy conservation enforcement equal to $22.00 for each 1,000 square feet of building area, or fraction thereof, up to 4,000 square feet, and $11.00 for each additional 1,000 square feet or fraction thereof. For any plan submitted which is subject to the disabled accessibility requirements of Title 24, California Code of Regulations, a surcharge of 10% of the basic plan check fee shall be required. 51601 OSHPD CERTIFICATION FEE 53600 Whenever plans are submitted for the construction of specialized medical clinics which require by law certification of compliance with requirements set forth by the Office of Statewide Health Planning and Development (OSHPD-3 certification), a building permit fee will be paid to the Building Official equivalent to 1% of the construction valuation. An additional plan check fee equivalent to.65%of the construction valuation will be paid to the Building Official at the time plans are submitted for plan check. This fee does not preclude other applicable fees which are normally assessed by the City. 51601 MICROFILM RECORDS Each Sheet 3.50 3.61 Whenever plans are submitted which are required by any law or City procedure to be maintained as a permanent record, the following fees are to be charged for the purpose of creating and maintaining permanent files. 75A-1-59 50 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 53600 RESEARCH AND PROCESSING FEES (ALTERNATE MATERIALS/MODIFICATIONS) 53602 53601 Whenever the Building Official is requested to approve Each 272.22 281.36 53603 alternate materials or methods of construction in accordance with the Building Code, Plumbing Code, Mechanical Code or the Administrative Code provisions for the Electrical Code. Whenever the Building Official is requested to approve a Each 272.22 281.36 modification of code in accordance with the Building Code, Plumbing Code, Mechanical Code or the Administrative Code provisions for the Electrical Code. 53600 STRUCTURAL ENGINEERING PLANCHECK Fees for structural engineering plan check services for structures requiring a dynamic structural analysis in accordance with Chapter 16 of the Building Code, or in accordance with State AB 3249, shall be charged to the applicant. Said charge shall be the actual costs incurred by the City for such service and shall be paid in addition to other applicable fees listed herein. SPECIAL INSPECTOR REGISTRATION FEE Each 90.14 93.16 Inspection The fee for registration of special inspectors in accordance Specialty with Section 8-100 of the Santa Ana Municipal Code. 53600 BUILDING PLAN CHECK FEE FOR IDENTICAL, RESIDENTIAL R-3, WITH DETACHED ORATTACHED GARAGES: Models Only 100% All other identical plans 50% 53602 ELECTRICAL, PLUMBING AND MECHANICAL PLAN 53601 CHECK FEE FOR IDENTICAL, RESIDENTIAL R-3, 53603 WITH DETACHED OR ATTACHED GARAGES: Models Only 100% All other identical plans 50% 51601 CHANGE INCORRECT ADDRESS Each Project 61.57 63.64 51601 CHANGE OWNER OR CONTRACTOR Each Project 61.57 63.64 75A-1-60 51 W/:11MI6a RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 09801001- NOTICE OF VIOLATION AND 24015 NOTICE AND ORDER BONDS Prior to issuance of permits to correct work required by a Notice of Violation or Notice and Order, the Building Official may require a cash or surety bond as described in Sections 8-1769, 8-1770 and 8-1771 Santa Ana Municipal Code. The amount of the bond shall be established by the Building Official, but shall not be less than $200.00 for each Notice of Violation or Notice and Order. 57600 ACCELERATED PLAN CHECK FEE Per Hour 132.61 137.06 FIELD PLAN CHECK FEE Minimum Fee Per Hour 90.14 93.16 53600 PRELIMINARY REVIEW OF BUILDING Minimum Fee Per Hour 90.14 93.16 STANDARDS COMPLIANCE 09801001- SIGNS 24015 When a permit is required for an illuminated or non -illuminated sign, the owner shall provide the City a cash or surety bond as described in Section 8-1768 through 8-1771 of the Santa Ana Municipal Code. The amount of the bond shall be established by the Building Official, but shall not be less than $200.00 per address. 51601 TEMPORARY CERTIFICATE OF OCCUPANCY Each Project 449.13 464.22 SPECIFIC CODE FEES AND CHARGES 51601 BUILDING CODE Any person desiring a permit required by the Building Code Each Permit 43.09 44.54 shall, at the time of filing an application fee of $43,09 $44.54 The determination of total valuation shall be made by the Building Official. The value to be used shall be the total value of all construction work for which the permit is issued using the building valuation data based upon in the most recent edition of Building Safety Journal published by the International Code Council. The value of work performed as a remodel and other valuations not published by the International Code Council shall be determined by the Building Official. 75A-1-61 52 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51601 PARKING LOT RESURFACING AND/OR REPAINTING Existing parking lot resurfacing and/or repainting, fee shall be based on the value of the work performed. 51601 UNDERGROUND TANK REMOVAL Underground tank removal and backfill fee shall be based upon valuation. 51601 EXCAVATION FOR SOIL CONTAMINATION Excavation and backfill related to soil contamination fee shall be based upon valuation. BUILDING PERMIT FEE SCHEDULE (FEES BASED UPON VALUATION OF WORK) TOTAL VALUATION FEE $1.00 TO $500.00 =&I 24.46 23.67 24.46 $501.00 TO $2,000.00 $23,67 $24.46 for the first $500.00 plus $3.32 23.67 24.46 for each additional $100.00 or fraction thereof, to and including $2,000.00 $2,001.00 TO $25,000.00 ' $73:59 $81.23 for the first $2,000.00 plus $10.73 78.59 81.23 for each additional $1,000.00 or fraction thereof, to and including $25,000.00 $25,001.00 TO $50,000.00 $350:69 $362.47 for the first $25,000.00 plus $7.72 350.69 362.47 for each additional $1,000.00 or fraction thereof, to and including $50,000.00 $50,001.00 TO $100,000.00 $363.35 $582.28 for the first $50,000.00 plus 563.35 582.28 $5.52 for each additional $1,000.00 or fraction thereof, to and including $100,000.00 75A-1-62 53 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY $100,001.00 TO $500,000.00 FEE SCHEDULE 51603 1) For new construction and relocation on residential single family and duplexes: Six cents ($.06) per square foot per floor plus $36:00 $37.21 per Per 36.00 37.21 service meter shall only include receptacle, switch and lighting outlets. All other fees shall apply. 75A-1-63 54 3867-.3b $896.71 for the first $100,000.00 plus 867.56 896.71 $4.19 for each additional $1,000.00 or fraction thereof, to and including $500,000.00 $500,001.00 TO $1,000,000.00 32;7-15.36 $2,806.60 for the first $500,000.00 plus 2,715.36 2806.60 $3.68 for each additional $1,000.00 or fraction thereof, to and including $1,000,000.00 $1,000,001.00 AND UP 34,749.43 $4,902.81 for the first $1,000,000.00 4,743.43 4902.81 plus $2.25 for each additional $1,000.00 or fraction thereof. 51601 1) Inspections outside of normal business hour (4 hour minimum charge for Holidays, Saturday or Sunday Inspections) Per Hour 90.14 93.17 51601 2) Re -inspection fee assessed under applicable provisions of the Building Code Per Hour 90.14 93.17 51601 3) Inspections for which no fee is specifically indicated (minimum charge - one (1) hour) Per Hour 90.14 93.17 53600 4) Additional plan review required by changes, additions, or revisions to approved plans (minimum charge- one (1) hr.) Per Hour 90.14 93.17 51603 ELECTRICAL CODE Any person desiring a permit required by the Electrical Code Each Permit 43.09 44.54 shall, at the time of filing an application, pay a fee of$43..09-$44.54. There is no minimum fee for the issuance of a permit for single family residences and duplexes. The minimum fee for issuance of a permit for all other uses shall be $70,42 $72.79 70.42 72.79 FEE SCHEDULE 51603 1) For new construction and relocation on residential single family and duplexes: Six cents ($.06) per square foot per floor plus $36:00 $37.21 per Per 36.00 37.21 service meter shall only include receptacle, switch and lighting outlets. All other fees shall apply. 75A-1-63 54 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 75A-1-64 55 Six cents ($.06) per square foot for detached or attached garages or carports shall only include receptacle, switch and lighting outlets. All other fees shall apply. 51603 2) Receptacles, outlets, light fixtures and general use switches, Each 1.13 1.17 each 51603 3) Each air conditioner Each 48.16 49.78 51603 4) Each self-contained factory wired approved unit, such as Each 11.89 12.29 home appliances, heaters, vegetable cases, drinking fountain, heating appliances, multiple outlet assemblies, etc. 53603 5) Busways, special raceways, under floor ducts, trolley or Each 100' 11.89 12.29 plug-in busways each one hundred (100) feet or fraction thereof 51603 6) Fire alarm communications, data control systems, smoke detectors and low voltage system: Commercial (charge by number of devices): 0 - 30 total devices Each 25.35 26.20 10 or more total devices 2.05 2.12 Each control panel, standby power supply panel, annunciator panel or similar main piece of control equipment for one of the above systems. Each 11.89 12.29 Residential (charge by number of dwelling units): Residential unit (1) 25.92 26.79 Each add'I residential unit in a multiple -dwelling occupancy Each 15.55 16.07 Each add'I residential unit over 20 in a hotel, motel, boarding house or lodge Each 9.40 9.72 51603 7) Dedicated circuit Each 11.89 12.29 51603 8) Service Meters, Reset Meters, Subpanel, Switchboard, Motor Control Center, or similar equipment changes or additions. 599 volts or less, under 400 amps. Each Meter 36.00 37.21 599 volts or less, 400 amps and less than 1200 amps. Each Meter 90.14 93.17 598 volts or less, 1200 amps and over. Each Meter 181.28 187.37 75A-1-64 55 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51603 9) Signs and high -potential gas tube lighting, each Each 36.00 37.21 Note: This shall include all necessary control equipment 51603 10) Swimming pool, fountain, spas, each Each 79.60 82.28 51603 11) Above ground spas Each 25.63 26.49 51603 12) Temporary power -construction: For services supplying a temporary power pole, Each 62.59 64.69 pedestal or piggyback For a system of distribution and utilization of poles Each Pole 11.89 12.29 for temporary construction power, each pole 51603 13) Temporary construction lighting: 500 lamps or less 5.36 5.54 Over 500 lamps 9.35 9.66 51603 14) Temporary services: At the time of application for temporary power, the owner shall post a $1,000.00 cash or cashier's check conforming to the Santa Ana Municipal Code Section 8-1768 for each service meter. This deposit shall be released upon request after the Certificate of Completion or Certificate of Occupancy is issued. Temporary Electrical Service, Prior to Approval Each Meter 227.34 234.98 Or Occupancy (30 Days) Temporary work with service, each meter Each Meter 31.66 32.72 51603 15) Lighting standards: With one (1) fixture each Each 11.89 12.29 Each additional fixture on the same standard Each 3.44 3.55 51603 16) Time clock or photo electric cell, each Each 9.35 9.66 51603 17) Radiant ceiling heat per room Per Room 11.89 12.29 51603 18) Power apparatus: generators, motors, transformers, rectifiers, synchronous converters, capacitors, industrial heating, cooking or baking equipment, and other apparatus as follows: 75A-1-65 56 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY (Ratings- horsepower (HP), kilowatts (KW), and Kilovolt amps (KVA)) Up to and including 1 HP, KW, KVA each Each 4.85 5.01 Over 1 and not over 10 HP, KW, KVA each Each 12.51 12.93 Over 10 and not over 50 HP, KW, KVA each Each 25.35 26.20 Over 50 and not over 100 HP, KW, KVA each Each 54.31 56.13 Over 100 and not over 500 HP, KW, KVA each Each 72.34 74.77 Over 500 HP, KW, KVA each Each 90.14 93.17 51603 19) Demolition, per project Per Project 35.10 36.28 51603 20) Inspections outside of normal business hours (four hour Per Hour 90.14 93.17 minimum charge for Holidays, Saturday or Sunday inspections) 51603 21) Re -inspection fee assessed under applicable provisions Per Hour 90.14 93.17 of the Building Code 51603 22) Inspections for which no fee is specifically Per Hour 90.14 93.17 indicated (minimum charge - one (1) hour) 53601 23) Additional plan review required by changes, additions, or Per Hour 90.14 93.17 revisions to approved plans (minimum charge- one (1) hour) ELECTRICAL PLAN CHECK FEES Whenever electrical plans are required by the Building Official, plan check fees shall be 65% of the electrical permit fee and shall be paid at the time of submitting plans. 51604 MECHANICAL CODE Any person desiring a permit required by the Mechanical Each Permit 43.09 44.54 Code shall, at the time of filing an application, pay a fee of $49 09 $44.54. There is no minimum fee for the issuance of a permit for single family residences and duplexes. The minimum total fee for issuance of a permit for all other uses shall be $70:42 $72.79. 70.42 72.79 75A-1-66 57 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY FEE SCHEDULE 51604 1) For the installation or relocation of each forced -air or Each 31.44 32.50 gravity -type furnace or burner, including ducts and vents attached to such appliance, up to and including - 100,000 BTU/h 51604 2) For the installation or relocation of each forced -air Each 44.90 46.41 or gravity -type furnace or burner, including ducts and vents attached to such appliance over 100,000 BTU/h 51604 3) For the installation or relocation of each boiler, compressor, Each 54.31 56.13 condensing unit or heat pump up to and including five horsepower, or each absorption system to and including 100,000 BTU/h 51604 4) For the installation or relocation of each boiler, Each 54.31 56.13 compressor, condensing unit or heat pump over five horsepower up to and including 30 horsepower or for each absorption system over 100,000 BTU/h up to and including 1,000,000 BTU/h 51604 5) For the installation, relocation of each boiler, compressor, Each 65.92 68.13 condensing unit or heat pump over 29 horsepower up to and including 50 horsepower or for each absorption system over 1,000,000 BTU/h up to and including 1,750,000 BTU/h 51604 6) For the installation or relocation of each boiler, compressor, Each 90.14 93.17 condensing unit or heat pump over 49 horsepower, or each absorption system over 1,750,000 BTU/h 51604 7) For each VAV control box or air handling Each 21.35 22.06 unit to and including 2,000 cubic feet per minute, including ducts attached thereto 51604 8) For each VAV or air -handling unit over 2,000 cfm Each 31.44 32.50 Note: This fee shall not apply to an air -handling unit which is a portion of a factory assembled appliance, cooling unit, evaporative cooler or absorption unit for which a permit is required else where in this code. 51604 9) Outdoor dual packaged heating and cooling Each 54.31 56.13 51604 30) For the installation or relocation of each Floor Each 31.44 32.50 furnace, including vent 75A-1-67 58 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING Be BUILDING AGENCY 51604 11) For the installation or relocation of each suspended Each 31.44 32.50 heater, recessed wall heater or floor -mounted unit heater 51604 12) Decorative fireplace Each 31.44 32.50 51604 13) For the repair of, alteration of, or addition to each heating Each 21.35 22.06 appliance, refrigeration unit, cooling unit, absorption unit, or each heating cooling, absorption, or evaporative cooling system, including installation of controls regulated by this code Note: Each HVAC system served by a VAV control box is considered a separate system. 51604 14) For the installation of each Type I commercial Each 54.31 56.13 kitchen hood which is served by mechanical exhaust, including the ducts for each hood 51604 15) For the installation of each Type II residential or Each 31.44 32.50 commercial kitchen hoods which is served by mechanical exhaust, including the ducts for each hood 51604 16) For each ventilation fan connected to a single duct Each 21.35 22.06 (environmental air) (a) Bathroom or toilet room exhaust. (b) Laundry room exhaust. (c) Residential range or oven exhaust. (d) Other environmental air duct. 51604 17) Fan coil installation Each 36.00 37.21 51604 18) For each evaporative cooler other than portable type Each 31.44 32.50 51604 19) Incidental gas piping Each 21.35 22.06 51604 20) Fire damper installation, each Each 31.44 32.50 51604 21) Ventfan Each 31.44 32.50 51604 22) Approved fire extinguishing system Each 31.44 32.50 75A-1-68 59 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51604 23) For each appliance or piece of equipment regulated by this Each 31.44 32.50 code but not classed in other appliance categories, for which no other fee is listed in this code (a) Commercial gas-fired cooking equipment (ranges, ovens, deep fryers, broilers, etc.) (b) Clothes dryer and exhaust duct. (c) Kilns, including hood and exhaust duct. (d) Air compressor and related compressed air piping for manufacturing process. (e) Cooling tower (f) Heat exchanger (g) Exhaust fans for Type I or If Commercial Kitchen Hoods. (h) Electrostatic precipitator. (i) Residential central vacuum cleaner system. 0) Clean -room filter bank (NEPA) (k) Humidifier. (1) Duct heater. (m) Condensate Pumps (n) Etcetera. 51604 24) For the installation, relocation or replacement of each Each 31.44 32.50 appliance "vent" installed and not included in an appliance permit 51604 25) Each process piping system Each 90.14 93.17 51604 26) For each ventilation system which is not a portion of any Each 90.14 93.17 heating or air-conditioning system authorized by permit (a) Halon exhaust system. (b) Wood sawdust collection system or similar collection system (paper, plastic, metal filings, etc.) (c) Smoke evacuation and exhaust system for public buildings, atrium, malls, etc. (d) Crematory furnace and exhaust system. (e) Each other product conveying duct system: (1) Flammable vapors (2) Fumes (3) Smoke (4) Heat 51604 27) For the installation or relocation of each domestic- Each 21.35 22.06 type incinerator (Shall have permit and approval from S.C.A.O.M.D.) 75A-1-69 60 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51604 28) For the installation or relocation of each commercial Each 90.14 93.17 or industrial -type incinerator (Shall have permit and approval from S.C.A.Q.M.D.) 51604 29) Inspections outside of normal business hours Per Hour 90.14 93.17 (4 hour minimum charge for Holidays, Saturday or Sunday inspections) 51604 30) Re -inspection fee assessed under applicable provisions Per Hour 90.14 93.17 of the Building Code 51604 31) Inspections for which no fee is specifically indicated Per Hour 90.14 93.17 (minimum charge - one (1) hour) 51604 32) Additional plan review required by changes, additions Per Hour 90.14 93.17 or revisions to approved plans (minimum charge - one (1) hour) MECHANICAL PLAN CHECK FEES Whenever mechanical plans are required by the Building Official, plan check fees shall be 65% of the mechanical permit fee and shall be paid at the time of submitting plans. PLUMBING CODE 51602 Any person desiring a permit required by the Plumbing Code shall, Each Permit 43.09 44.54 at the time of filing an application, pay a fee of -543709 $44.54. There is no minimum fee for the issuance of a permit for single family residences and duplexes. The minimum total fee for issuance of a permit for all other uses 70.42 72.79 shall be $79.42 $72.79. FEE SCHEDULE 51602 1) For each plumbing fixture or trap or set of fixtures Each 10.65 11.00 on one trap (including water, drainage piping, and backflow protection therefore) 51602 2) For each dental unit Each 21.35 22.06 51602 3) Medical gas piping system per 100' Per 100' 21.35 22.06 51602 4) For each building sewer Each 31.44 32.50 (a) Each additional connection Each 10.65 11.00 (b) Each additional 100 feet or fraction thereof Each 10.65 11.00 (c) Sewer/alteration/repair Each 21.35 22.06 75A-1-70 61 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51602 5) For each private sewage disposal system Each 65.29 67.49 51602 6) For each cesspool (where permitted) Each 31.44 32.50 51602 7) For each sewer cap Each 90.14 93.17 51602 8) For each fixture cap Each 5.70 5.89 51602 9) For each new gas piping system (includes one to Each 21.35 22.06 four outlets) 51602 10) For each gas outlet of five or more Each 3.38 3.50 51602 11) For the repair/replacement of a gas piping system Each 21.35 22.06 (includes one to four outlets) 51602 12) For the alteration/addition to an existing gas system Each 31.44 32.50 (includes one to four outlets) 51602 13) For each residential water heater and/or vent Each 10.65 11.00 51602 14) For each commercial boiler or water heater Each 54.31 56.14 51602 15) For installation, alteration, or repair of water Each 21.35 22.06 piping, each 100' 51602 16) Rain water piping (buried), each 100' Each 13.75 14.22 51602 17) Rainwater systems- per drain (inside building) Each 21.35 22.06 51602 18) Roof drain system, per drain Each 21.35 22.06 51602 19) Deck drains, per drain Each 7.50 7.75 51602 20) For each lawn sprinkler system on any one meter, Each 13.75 14.22 including backflow protection devices therefore (atmospheric type only) 51602 21) For atmospheric -type vacuum breakers not included in Item 20: 0 to 5 10.65 11.00 Over S, each 3.38 3.50 51602 22) For each backflow protective device other than atmospheric -type vacuum breakers: 2 inches and smaller 10.65 11.00 Over 2 inches 21.35 22.06 75A-1-71 62 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51602 23) Foreach pooltrap Each 10.65 11.00 51602 24) For each pool heater Each 54.31 56.13 51602 25) For each industrial waste pretreatment interceptor Each 18.04 18.65 including its trap and vent, excepting kitchen -type grease interceptors functioning as fixture traps 51602 26) For each residential water conditioner Each 10.65 11.00 51602 27) For each commercial water conditioner Each 21.35 22.06 51602 28) For repair or alteration of drainage or vent piping, Each 21.35 22.06 each fixture 51602 29) For each appliance, fixture or piece of equipment regulated Each 31.44 32.50 by this code but not classed in other categories, for which no other fee is listed in this code (a) Sewage Ejector (b) Sump Pump (c) Hot Water Storage Tank (d) Heat Exchanger (e) Cooling Tower (f) House Booster Pumps 51602 30) Temporary Gas Service, Prior to Approval Each Meter 227.34 234.98 Or Occupancy (30 Days) At the time of application for temporary power, the owner shall post a $1,000.00 cash or cashier's check for each service meter. This deposit shall be released upon request after the Certificate of Completion or Certificate of Occupancy is issued. 51602 31) Inspections outside of normal business hours (4 hour Per Hour 90.14 93.17 minimum charge for Holidays, Saturday or Sunday inspections). 51602 32) Re -inspection fee assessed under applicable provisions Per Hour 90.14 93.17 of the Building Code 51602 33) Inspections for which no fee is specifically indicated Per Hour 90.14 93.17 (minimum charge - one (1) hour) 51602 34) Additional plan review required by changes, additions or Per Hour 90.14 93.17 revisions to approved plans (minimum charge -one (1) hour) 75A-1-72 63 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY PLUMBING PLAN CHECK FEES Whenever plumbing plans are required by the Building Official, plan check fees shall be 65% of the plumbing permit fee and shall be paid at the time of submitting plans. GRADING PERMITS 51606 Any person desiring a grading permit required by the Building Each Permit 43.09 44.54 Code, shall, at the time of filing an application, pay a fee of $43.09 $44.54. Il44p19:14-bill IF: 51606 1) Grading Permit: Minimum Per Hour 90.14 93.17 a. One and Two S.F.D. 1 Hour b. Multiple Residential including, Residential tracts, 2 Hours Apartments, Condominiums, Hotels, Motels, and Similar Construction c. Non -Residential Site Less Than 2 Acres 3 Hours d. Non -Residential Site 2 Acres and More 5 Hours e. Preliminary Grading Permit, Underground Tank 1 Hour Removal and Excavation for Soil Contamination f. Existing Parking Lot Resurfacing and Repainting 1 Hour 51606 2) In addition to the above noted permit fees, Minimum Sq. Ft. 0.04 0.04 a fee shall be collected for new site improvements, new parking lots, new concrete curb and gutter, and asphalt paving. 51606 3) Inspections outside of normal business hours Per Hour 90.14 93.17 (4 hour minimum charge for Holidays, Saturday or Sunday inspections). 51606 4) Re -inspection fee assessed under applicable Per Hour 90.14 93.17 provisions of the Building Code. 51606 5) Inspections for which no fee is specifically Per Hour 90.14 93.17 indicated (minimum charge -one (1) hour) 75A-1-73 64 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES FiQeiG]@DCIaIN14-R9.rID0NR13ci414Y 75A-1-74 65 SOLAR ENERGY CODE 51611 Any person desiring a permit required by the Solar Energy Each Permit 43.09 44.54 Code shall, at the time of filing, pay an application, fee of $42 99 $44.54. There is no minimum fee forthe issuance of a permit for single family residences and duplexes. The minimum total fee for issuance of a permit for all other uses shall be $79.42 $72.79. 70.42 72.79 FEE SCHEDULE 51611 1) For collectors (including related piping and regulating devices): Up to 1,000 sq. ft. (93m2) 10.65 11.00 Between 1,001 (93.1m') and 2,000 sq. ft. (186 m) 18.04 18.65 More than 2,000 sq. ft. (18m) 18.04 18.65 plus per 1,000 sq. ft. (93m) or fraction 1.89 1.95 thereof over 2,000 sq. ft. (186m2) 51611 2) For storage tanks (including related piping and regulating devices): Up to 750 gallons (3m) 9.13 9.43 Between 751 (3m) and 2,000 gallons 16.39 16.95 More than 2,000 (8m) gallons 16.39 16.95 plus per 1,000 (4m) or fraction thereof 1.89 1.95 over 2,000 gallons (8m3) 51611 3) For rock storage: Up to 1,500 cu. ft. (42m3) 10.65 11.00 Between 1,501 (42.1m3) and 3,000 cu. ft. (84m3) 18.04 18.65 More than 3,000 cu. ft. (84m3) 18.04 18.65 plus per 1,000 cu. ft. (28m) or fraction 1.88 1.94 thereof over 3,000 cu. ft. (84m) 51611 4) Self-contained water heater (residential type) Each 10.65 11.00 75A-1-74 65 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION IX PLANNING & BUILDING AGENCY 51611 5) Water heater (commercial type) Each 54.31 56.14 51611 6) Heat exchanger Each 10.65 11.00 51611 7) Water piping replacement, each 100 feet Each 21.35 22.06 51611 8) Gas piping service, 1-5 outlets Each 21.35 22.06 51611 9) Backflow prevention device Each 10.65 11.00 51611 30) For each appliance or piece of equipment regulated Each 10.65 11.00 by this code for which no fee is listed 51611 11) Inspections outside of normal business hours Per Hour 90.14 93.17 (4 hour minimum charge for Holidays, Saturday and Sunday inspections) 51611 12) Re -inspection fee assessed under provisions of the Per Hour 90.14 93.17 Building Code 51611 13) Inspections for which no fee is specifically indicated Per Hour 90.14 93.17 (minimum charge - one (1) hour) 51611 14) Additional plan review required by changes, Per Hour 90.14 93.17 additions, or revisions to approved plans (minimum charge - one (1)hour) SOLAR PLAN CHECK FEES Whenever solar plans are required by the Building Official, plan check fees shall be 65% of the solar permit fee and shall be paid at the time of submitting plans. 75A-1-75 66 EXHIBIT 2 RESOLUTION 2017 -XXX REVENUE ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FY 16-17 FEES 3.36% PROPOSED FY 17-18 FEES SECTION X POLICE DEPARTMENT 51001 Bingo License Fee Each 53.99 55.80 51401 Alarm User Permit Commercial & Residential Per Year 32.39 33.48 51706 Medical Marijuana Regulatory Safety Permit Each 12,086.00 12,086.00 53413 False Alarm Services (Code 459) Burglary Calls Commercial & Residential Per Incident 1st Incident No Charge No Charge 2nd Incident 79.24 81.90 3rd Incident 105.66 109.21 4th Incident 132.07 136.51 5th Incident 158.48 163.81 6th Incident- fee & warning of non -response 211.31 218.41 7th Incident 316.97 327.62 8th Incident -fee & placed on non -response status 422.63 436.83 53413 False Alarms (Code 211) Robbery Calls - Residential Per Incident 1st Incident No Charge No Charge 2nd Incident 79.24 81.90 3rd Incident 132.07 136.51 4th Incident 184.90 191.11 Sth Incident 237.73 245.71 6th Incident- fee & warning of non -response 290.55 300.32 7th Incident 422.63 436.83 8th Incident - fee & placed on non -response status 528.28 546.03 53413 False Alarms (Code 211) Robbery Calls - Commercial Per Incident 1st Incident 105.66 109.21 2nd Incident 132.07 136.51 3rd Incident 184.90 191.11 4th Incident 237.73 245.71 5th Incident 290.55 300.32 6th Incident - fee&warning of non -response 343.38 354.92 7th Incident 422.63 436.83 8th Incident -fee & placed on non -response status 528.28 546.03 53419 Firearms Examination Service Fee- Outside Agencies Basic Function Exam - perfirearm 37.79 39.06 Full Function Exam - perfirearm 226.76 234.38 Examination & Comparison 345.54 357.15 Examination&Comparison - Major Crime(up to 6 hours) 669.48 691.98 Hourly charge in excess of 6 hours - each additional hour 107.98 111.61 53409 Storage of Weapon Fee - perweapon 100.00 100.00 1-1-05 state law change (AB 2431, PC 12021.3): fee can be charged when any weapon is released to an owner or gun dealer 53404 Fingerprint Fee Per Card 24.84 25.67 City processing fee only Applicants exempted by law shall not pay. 99810002 Fingerprint Fee 57491 State processing fee Actual Cost Actual Cost For all fingerprinting requiring State processing, the applicable state fee will be added to the $25.67 Cityfee above 75A-1-76 67 WHIMIN&: RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT _ FEES FEES SECTION X POLICE DEPARTMENT 53407 Citation Sign Off- Non-SAPD Equipment violators Per Incident 16.20 16.74 53407 Vehicle Citation Sign Off -SAPD Per Citation 5.16 5.33 57470 Copy of Lost Citation Per Citation 2.06 2.13 57000 Driving Under Influence Cost Recovery Actual Cost Actual Cost Persons arrested for driving under the influence Per Incident Up to $1,000 Up to $12,000 Pursuant to Government Code Sec. 53150 et seq. 57000 Police Pursuits Cost Recovery Actual Cost Actual Cost Persons apprehended in police pursuits Per Incident Up to $1,000 Up to $12,000 Pursuant to Government Code Sec. 53150 et seq. 57000 Hit & Run Accident Investigation Actual Cost Actual Cost Persons responsible for hit and run accidents Per Incident Up to $1,000 Up to $12,000 Pursuant to Government Code Sec. 53150 et seq. 57000 Disturbing the Peace Police Service Fee Each Actual Cost Actual Cost Pursuant to S.A. Municipal Code Sec. 10-300 et seq. Up to $500 Up to $500 51607 Ice Cream Truck Vendor Permits Includes one Driver/Operator Each 248.36 256.70 Additional Truck Each 38.87 40.18 53419 License to Sell Pistols/Revolvers Per License 156.57 161.83 53416 Administration Citation Fee First Violation 107.98 111.61 Allows Animal Service Officers the right to cite for State and Second Violation 215.96 223.22 Local Animal Law Violations Third Violation 539.90 558.04 53405 Police Evidence Photos to CD/DVD Per set-up Each 20.00 20.00 Per4mage Ea& 4:00 &00 'Refer to Summary of New, Modified, & Deleted Fees 53405 Digital Media Reproduction Each 27.00 27.90 53405 Police Evidence Tape (audio or video tape) Each 38.87 40.18 53417 Police Accident Reports Each 20.00 20.00 53403 Search Fee (no case N) Each 10.00 10.00 53417 Police Immigration/Clearance Letters Each 20.00 20.00 53417 Police Incident Reports Citizens Request for Information Form Each' 20.00 20.00 'Reports in excess of 20 pages Per Page 1.00 1.00 53403 Search fee (no case k) 10.00 10.00 57000 Request to Review Criminal History Per Request 20.00 20.00 57000 Request to Review Incident Information Per Request 20.00 20.00 53411 Jail Pay to Stay Program fee Per Request 110.00 110.00 53420 Jail Booking Fee Per Conviction 232.16 239.96 75A-1-77 68 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION POLICE DEPARTMENT 57401 Police Security Services Commander Per Hour 73.78 86.51 Sergeant Per Hour 102.49 108.26 Police Officers Per Hour 85.58 90.33 PCO/PSO/Reserve Per Hour 52.83 48.39 53410 Impound of Owner Release Animals Per Impound•• 108.00 108.00 (includes 2 nights boarding charge) "County of Orange fee, subject to change 51607 Pushcart Permits Vendor/Operator Permit -kart Each* 248.36 256.70 `Additional Carts/Operators Each 38.87 40.18 53400 Release of Impounded Vehicles-SAPD/Traffic Vehicle Registration Expired Over Months Each 144.45 149.31 Unlicensed/Suspended-Revoked Drivers Each 196.04 202.63 53423 Vehicle Storage Fee Each 75.00 75.00 57402 Solicitation Permit Per Permit 38.87 40.18 Vehicle for Hire (Taxi) Fees Driver's Permits Each 37.79 39.06 (Original, Renewal, Replacement or Duplicate) Vehicle for Hire Permit Each 156.57 161.83 Vehicle for Permit Transfer Each 6.48 6.70 57402 Reinspection Fee -Plan Checks/Not Completed Minimum' 44.27 45.76 '$45.76 minimum or hourly employee rate. Fee to be charged when inspection is called foo work not complete or corrections called for are not made. Second Hand Dealer Fee Each 76.67 79.24 53407 Equipment Violation Pursuant to SAMC Sec. 40225 Each 87.04 87.04 Proof of Correction Each 10.00 10.00 51402 Street Closure Permit Per Permit 151.17 156.25 Accelerated Processing Fee Per Permit, Additional 151.17 156.25 57010 Downtown Event Litter Control Deposit Per event, up to 3 blocks 528.28 546.03 53613 Land Use Certificate Processing Fee for temporary outdoor event Per Permit 33.47 34.60 Accelerated Processing Fee Per Permit 72.35 74.78 50045 Escort Bureau, Introduction Service Establishment, and Escort Fees Program administered by Police Department Escort Bureau Permit Each 780.70 806.93 Introduction Service Permit Each 780.70 806.93 Escort Permit Each 167.37 172.99 75A-1-78 69 EXHIBIT 2 RESOLUTION 2017 -XXX REVENUE ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FY 16-17 FEES 3.365A PROPOSED FY 17-18 FEES SECTION POLICE DEPARTMENT fine of $100 or less: (Rounded Total delinquent 50045 Massage Establishment/Massage Technician Fees: up to the next whole dollar) fine is 190% fine is 190% Program administered by Police Department of base fine. of base fine. Massage Establishment Permits Each 780.70 806.93 407. of base fine. Massage Technician Permits Each 323.94 334.83 Total delinquent Massage Technician Testing Fee Each 161.97 167.41 fine Is 140% Massage Technician Transfer/Duplicate Each 37.79 39.06 Massage Establishment Sale Transfer Each 780.70 806.93 56.00 Massage Establishment Change of Location or Name Each 280.75 290.18 NOTE: Massage Establishment Permit Pursuant to SAMC Sec. 36-493(a) Each 47.00 47.00 Applicants who are also Massage Techniclar Parking in a red zone Permit Applicants shall only be required to pay Pursuant to SAMC Sec. 36-131(1) Each 64.00 64.00 the Massage Establishment Permit fee. Parking In a yellow zone Tobacco License Fee Each 670.92 693.46 50045 Pool/Billiard Permit Fee Each 336.90 348.22 Program administered by Police Department Pursuant to SAMC Sec. 36-131(3) Each 47.00 57402 Police Training Media Reproduction Per Media 49.67 51.34 55000 Parking Violation: Late fee Violations with abase' (original) 50% of base fine. SOY. of base fine. 47.00 fine of $100 or less:(Rounded Total delinquent Total delinquent up to the next whole dollar) fine Is 150% fine is 150% of base fine. of base fine. Violations with a'base' (original) 20% of base fine. 20Y. of base fine. fine of $100 or more:(Rounded Total delinquent Total delinquent up to the next whole dollar) fine is 120% fine is 120% of base fine. of base fine. Additional late charges will be imposed at the time an unpaid Parking Violation penalty is placed as a vehicle registration "hold" with DMV. The "total" Late Charge assessed will increase to: 75A-1-79 70 Violations with abase' (original) 90% of base fine. SOY. of base fine. fine of $100 or less: (Rounded Total delinquent Total delinquent up to the next whole dollar) fine is 190% fine is 190% of base fine. of base fine. Violations with a 'base' (original) 40% of base fine. 407. of base fine. One of $100 or more: (Rounded Total delinquent Total delinquent up to the next whole dollar) fine is 140% fine Is 140% apparatus answering a fire alarm Pursuant to SAMC Sec. 36-41(7) Each 56.00 56.00 55000 Permit required Special Parking District Pursuant to SAMC Sec. 36-493(a) Each 47.00 47.00 55000 Parking in a red zone Pursuant to SAMC Sec. 36-131(1) Each 64.00 64.00 55000 Parking In a yellow zone Pursuant to SAMC Sec. 36-131(2) Each 47.00 47.00 55000 Parking in a white zone Pursuant to SAMC Sec. 36-131(3) Each 47.00 47.00 55000 Parking in a green zone Pursuant to SAMC Sec. 36-131(4) Each 47.00 47.00 75A-1-79 70 75A-1-80 71 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY I6-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION POLICE DEPARTMENT 55000 Parking in a blue (handicapped) zone Pursuant to SAMC Sec. 36-131(5) Each 111.00 111.00 55000 Cancellation of citation (Disabled Placards) Each 25.00 25.00 55000 Parking in a "No Parking" zone Pursuant to SAMC Sec. 36-132 Each 68.00 68.00 55000 No parking -street sweeping Pursuant to SAMC Sec. 36-133 Each 63.00 63.00 55000 Parking in violation of "emergency no parking sign" Pursuant to SAMC Sec. 36-134 Each 68.00 68.00 55000 Parking in alley Pursuant to SAMC Sec. 36-135(a) Each 55.00 55.00 55000 Stopping, standing or parking a vehicle w/in parkway Pursuant to SAMC Sec. 36-135(6) Each 55.00 55.00 55000 Parking at certain places and for certain purposes Pursuant to SAMC Sec. 36-136 Each 55.00 55.00 55000 For sale; inoperable vehicles; repairing vehicles Pursuant to SAMC Sec. 36-136(a) Each 63.00 63.00 55000 Parking over 72 hours Pursuant to SAMC Sec. 36-136(b) Each 63.00 63.00 55000 Parking on left side of one-way roadway Pursuant to SAMC Sec. 36-136(d) Each 39.00 39.00 55000 Parking outside of lapping marked parking Pursuant to SAMC Sec. 36-138(a) Each 47.00 47.00 55000 Angle parking prohibited in certain areas Pursuant to SAMC Sec. 36-139 Each 47.00 47.00 55000 Parking in restricted areas. Time limit parking Pursuant to SAMC Sec. 36-142 Each 47.00 47.00 55000 Overnight parking prohibited in certain areas Pursuant to SAMC Sec. 36-144 Each 39.00 39.00 55000 Parking any commercial vehicle over 10,000 lbs. In a residential district for a period of time longer than two(2) hours prohibited Pursuant to SAMC Sec. 36-145 Each 78.00 78.00 55000 Parking on City property Pursuant to SAMC Sec. 36-147 Each 39.00 39.00 55000 Parking on property of Joint Powers Agency -city is member Pursuant to SAMC Sec. 36-147.1 Each 39.00 39.00 55000 Parking in metered space time expired or beyond max. time Pursuant to SAMC Sec. 36-402(1) Each 40.00 40.00 55000 Parking outside of painted or marked area of metered space Pursuant to SAMC Sec. 36-402(2) Each 56.00 56.00 75A-1-80 71 75A-1-81 72 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION POLICE DEPARTMENT 55000 Park anyvehicle restricting traffic(ingress/egress) Pursuant to SAMC Sec. 36-432(2) Each 56.00 56.00 55000 Park any vehicle with trailer, etc., restricting traffic Pursuant to SAMC Sec. 36-432(4) Each 68.00 68.00 55000 Red no parking areas -striped no parking areas Pursuant to SAMC Sec. 36-432(5) Each 56.00 56.00 55000 Parking outside/across designated parking lines Pursuant to SAMC Sec. 36-432(6) Each 47.00 47.00 55000 Parking overtime on public parking lot Pursuant to SAMC Sec. 36-432(9) Each 47.00 47.00 55000 Use metered spaces when meter Indicates unlawful parking Pursuant to SAMC Sec. 36-432(11) Each 40.00 40.00 55000 Park any truck in excess of 2 tons In parking lot Pursuant to SAMC Sec. 36-432(12) Each 56.00 56.00 55000 Unauthorized parking in "handicapped" zone Pursuant to SAMC Sec. 36-432(15) Each 85.00 85.00 55000 Continued Time Zone Pursuant to SAMC Sec. 36-143 Each 47.00 47.00 55000 Parking within an intersection Pursuant to CVC Sec. 22500(a) Each 54.00 54.00 55000 Parking within a crosswalk Pursuant to CVC Sec. 22500(b) Each 54.00 54.00 55000 Parking adjacent to safety zone Pursuant to CVCSec. 22500(c) Each 54.00 54.00 55000 Parking within 15 ft. of driveway entrance of fire station Pursuant to CVC Sec. 22500(d) Each 54.00 54.00 55000 Parking on a sidewalk Pursuant to CVC Sec. 22500(f) Each 54.00 54.00 55000 Obstructing traffic by stopping, standing or parking alongside highway obstruction Pursuant to CVC Sec. 22500(g) Each 54.00 54.00 55000 Double Parking Pursuant to CVC Sec. 22500(h) Each 54.00 54.00 55000 Parking upon a bridge Pursuant to CVC Sec. 22500(k) Each 54.00 54.00 55000 Parked, right hand wheels more than 18" from right hand curb Pursuant to CVC Sec. 22502(a) Each 54.00 54.00 55000 Motorcycle parked, one wheel or fender not touching curb Pursuant to CVC Sec. 22502(e) Each 54.00 54.00 75A-1-81 72 75A-1-82 73 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION X POLICE DEPARTMENT 55000 Parked within 15 feet of fire hydrant Pursuant to CVC Sec. 22514 Each 54.00 54.00 55000 Unattended vehicle, stop motor and set breaks Pursuant to CVC Sec. 22515(a) Each 60.00 60.00 55000 Parking in a space designated for disabled persons without a distinguishing plate or placard Pursuant to CVC Sec. 22507.8(a) Each 376.00 376.00 55000 Obstruct, block, or otherwise bar access to a parking space designated for disabled persons Pursuant to CVC Sec. 22507.8(6) Each 376.00 376.00 55000 Park or leave standing any vehicle, including one displaying plates or placard, on boundary lines marking a parking space designated for disabled persons Pursuant to CVC Sec. 22507.8(c) Each 376.00 376.00 55000 Entering an Intersection, Rail -crossing or crosswalk Pursuant to CVC Sec. 22526 Each 171.00 171.00 55000 No Year or Month License Plate Tab Pursuant to CVC Sec. 5204 Each 108.00 108.00 55000 No Vehicle Front/Rear License Plate Pursuant to CVC Sec. 5200 Each 108.00 108.00 55000 Stopping/Parking in a Fire Lane Pursuant to CVC Sec. 22500.1 Each 119.00 119.00 55000 Parking in Front of a Driveway Pursuant to CVC Sec. 22500(e) Each 54.00 54.00 55000 Parking vehicleforsale-1st violation See Planning& Building section of Pursuant to SAMC Sec. 41-1301(a, MISC. Fee Schedule See Planning & Building section of 55000 Parking vehicle forsale- 2nd conviction w/in year Pursuant to SAMC Sea 41-1301(a� MISC. Fee Schedule See Planning & Building section of 55000 Parking vehicle forsale- 3rd conviction w/in year Misc. Fee Schedule Pursuant to SAMC Sec. 41-1301(ai Program administered by Police Department 53319 Park Ranger/Security Per Hour 59.17 61.16 55000 Occupied Motor Home Each 35.00 35.00 Pursuant to SAMC Sec. 10.89 55000 Park Hours Each 95.00 95.00 Pursuant to SAMC 31-2.9 55000 Parked on Park Property Each 37.00 37.00 Pursuant to SAMC 31-2.16c 75A-1-82 73 LASH RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION X POLICE DEPARTMENT 55000 Exceed Period - Vehicle Storage Each 116.00 116.00 Pursuant to SAMC 36-434 55000 Improper Display of Permit Each 41.00 41.00 Pursuant to SAMC 36-488 55000 Off Truck Route Each 89.00 89.00 Pursuant to SAMC 36-171 53416 Wild Animal Permit Fee (Nonrefundable) Pursuant to SAMC Sec. 5-8 Each 148.58 153.57 55402 Commercial Vehicle Violation: Public Streets vehicle in excess of 6 ft. In height parked within 100 ft. of posted Intersection (SAMC 36-145.5) First Violation Per Violation 66.00 66.00 Second Violation (within a 12 month period) Per Violation 100.00 100.00 Third Violation (within a 12 month period) Per Violation 125.00 125.00 55606 Fireworks Administrative Citation Per First Violation and Pursuant to SAMC Sec. 1-21 any Subsequent Violation 1,000.00 1,000.00 75A-1-83 74 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION XI PUBLIC WORKS AGENCY 05817002-51701 Transportation Permits/Oversize/Overweight 01117002-53707 Street Name Sign 01117002-53707 Miscellaneous Street Signs Stop, Yield, Bus Stop, etc. 06817002-57010 Tree Planting 24" box minimum tree 06817002-57010 ETAC Tree Appeal Fee 08617002-57770 City Street Map (22"X29") First Map Additional 08617002-57770 Water System Map (62"X78") 08617002-57770 Sewer System Map (62"X78") 10117002-57006 Geographic Information System (GIS) Consultant(s) Time Staff Time 08617002-56305 Telecommunications Facility Application 08617002-51704 Telecommunications Facility Inspection Charged in addition to Street Work Permits/Inspection Fees 08617002-56305 Accelerated Plan Check for Public Improvements 08617002-56305 Traffic Analysis/Studies Plan Check 75A-1-84 Each Annual Permit (Per CALTRANS) 90.00 Single Trip Permit (Per CALTRANS) 16.00 Fax Processing Service (Optional) 01117002-51701 Building Moving Permits 41.30 Permit Fee (Per CALTRANS) 90.00 Building Under 1,000 sq. ft. Each Building 1,000 sq. ft. or over 16.00 Legal Weight/Size Load 01117002-57991 Banner and Decorations Not Required Application Fee No Charge Removal Fee 01117002-51608 Newsbox Permits and Inspection Per Street Per Pole Initial/Renewal Permit Fee 163.13 Annual Inspection Fee 01117002-53707 Curb Painting 01117002-53707 Street Name Sign 01117002-53707 Miscellaneous Street Signs Stop, Yield, Bus Stop, etc. 06817002-57010 Tree Planting 24" box minimum tree 06817002-57010 ETAC Tree Appeal Fee 08617002-57770 City Street Map (22"X29") First Map Additional 08617002-57770 Water System Map (62"X78") 08617002-57770 Sewer System Map (62"X78") 10117002-57006 Geographic Information System (GIS) Consultant(s) Time Staff Time 08617002-56305 Telecommunications Facility Application 08617002-51704 Telecommunications Facility Inspection Charged in addition to Street Work Permits/Inspection Fees 08617002-56305 Accelerated Plan Check for Public Improvements 08617002-56305 Traffic Analysis/Studies Plan Check 75A-1-84 Each 90.00 90.00 Each 16.00 16.00 Per Fiscal Year 39.96 41.30 Each 90.00 90.00 Each 16.00 16.00 Each 16.00 16.00 Not Required No Charge No Charge Per Transaction 157.83 163.13 Per Street Per Pole 157.83 163.13 Per Publication 182.26 188.38 Per Location 47.40 48.99 Per Foot 12.10 12.51 Minimum 219.34 226.71 Each 380.36 393.14 Each 391.02 404.16 Each 763.40 789.05 Each 181.47 187.57 Each 3.84 3.97 Each 3.84 3.97 Each 11.19 11.57 Each 11.19 11.57 Actual Contract Actual Contract Actual Staff Cost Actual Staff Cost Each 1,034.48 1,069.24 Each 416.93 430.93 Per Hour 240.35 248.42 Per Hour 222.13 229.59 75 EXHIBIT 2 RESOLUTION 2017 -XXX Per Day 303.37 313.56 3.36% Deposit 959.19 991.41 Major Streets Deposit 1,277.08 PROPOSED 08617002-51704 Manhole, Vaults, Catch Basins and required signage, REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES 08617002-51704 Curb, Gutter or Combination including Earthwork FEES 2.23 SECTION XI PUBLIC WORKS AGENCY Minimum 161.75 167.19 08617002-51704 Curb Return, including Earthwork Each 08617002-56305 Improvement Plan Check Per Hour Per Hour 179.98 186.03 NOTE: Street, Storm Drain, Traffic, Grading, Sewer and Water Plan Check and Storm Drain, Sewer, Water and Related Studies. 08617002-56305 Surface Drainage Plan Check Per Hour 179.98 186.03 08617002-56305 Improvement Standard Plans/Specifications Storm Drains Set 13.04 13.48 Street Improvements Set 16.76 17.32 Sanitary Sewers Set 13.04 13.48 Water Improvements Set 22.35 23.10 Revision within 1 year 01117002-56305 Plans/Specifications Fees (nonrefundable) Reproduction 10 Sheets 27.95 28.88 Each additional 1.89 1.95 Mailing Minimum 16.42 16.98 08617002-56305 Tract Map - Final Per Hour 179.98 186.03 08617002-56305 Parcel Map- Final Per Hour 179.98 186.03 08617002-56305 Lot Line Adjustment/Lot Merger Per Hour 179.98 186.03 08617002-56305 Certificate of Compliance Per Hour 179.98 186.03 08617002-51704 Single Family Residence Repair Fee for: driveways, sidewalks, curb coring Each 266.55 275.51 05817002-53706 Street Work Permits/Inspection Fees Charged in addition to other fees Each 301.87 312.01 08617002-51704 Inspection Fees: Trench Excavation/Back Fill Linear Foot 1.95 2.02 (unless included in other fees) Minimum 161.75 167.19 08617002-51704 Storm Drains/Culverts, Sewer, Water Mains/Line Channels Linear Foot 9.12 9.42 Minimum 161.75 167.19 08617002-51703 Sewer Laterals/Water Services Each 988.74 1,021.96 08617002-51704 Traffic Occupancy or Lane Closure Requiring Signage All Streets Per Day 303.37 313.56 Minor Streets Deposit 959.19 991.41 Major Streets Deposit 1,277.08 1,319.99 08617002-51704 Manhole, Vaults, Catch Basins and required signage, striping or barricades Plus Earthwork Each 1,169.86 1,209.16 08617002-51704 Curb, Gutter or Combination including Earthwork Linear Foot 2.23 2.30 Minimum 161.75 167.19 08617002-51704 Curb Return, including Earthwork Each 300.72 310.82 75A-1-85 76 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION XI PUBLIC WORKS AGENCY 08617002-51704 Sidewalk including Earthwork Sq. Foot 1.46 1.51 08617002-51704 Drive Approach including Earthwork 08617002-51704 Paving, including Earthwork 08617002-51704 Uninitiated Street Work Permit 08617002-57790 Abandonment Processing Summary Non -Summary 05817002-51705 Encroachment Processing 06017002-53720 Meter Test in Field/Shop Note: Fee is refunded if the meter shows an error of more than 251.' over the correct reading. (0 - 2000 sq. ft.) 167.19 (Over 2000 sq. ft.) 08617002-51704 Fencing Minimum Masonry, Concrete or Block 08617002-57006 Street Trees 0.41 By Developer, Inspection Only 08617002-51704 Permanent Street Patch Guarantee 0.30 Refundable if done in 30 calendar days 08617002-51704 Projects Exceeding $50,000 & <=$100,000 and/or Linear Foot Work items not included here 08617002-51704 Projects Exceeding $100,000 and/or 145.32 Work items not included here 08617002-57006 Overtime Rate for Construction Inspectors 202.50 Construction Inspector overtime rate range. Actual overtime 36.61 hourly- rate based on Inspector's salary step 08617002-56305 Certificate of Correction 08617002-56305 Covenants, Conditions, & Restrictions; Agreements and 9.59% Miscellaneous Checking 06817002-53710 Notice of Abatement- Standard Administration Fee 06817002-53710 Notice of Abatement - Multiple Postings in a 12 -month Period 08617002-51704 Survey Monument Check: 1st Monument Check Per Hour Additional monument 08617002-51704 Uninitiated Street Work Permit 08617002-57790 Abandonment Processing Summary Non -Summary 05817002-51705 Encroachment Processing 06017002-53720 Meter Test in Field/Shop Note: Fee is refunded if the meter shows an error of more than 251.' over the correct reading. 75A-1-86 77 161.75 167.19 Sq. Foot 1.00 1.03 Minimum 161.75 167.19 Sq. Foot 0.41 0.42 Sq. Foot 0.29 0.30 Minimum 161.75 167.19 Linear Foot 1.73 1.79 Minimum 145.32 150.20 Each 195.92 202.50 Sq. Foot 36.61 37.84 Percent of estimated construction costs 9.59% 9.59% Percent of estimated construction costs 7.00% 7.00% Per Hour Actual OT Rate Actual OT Rate Per Hour 179.98 186.03 Per Hour 179.98 186.03 Each 398.68 412.08 Each 66.07 68.29 Each 914.25 944.97 Each 183.39 189.55 Per Permit Double Street Work Double Street Work Permit Fee Permit Fee Per Application 1,800.91 1,861.42 Per Application 5,402.74 5,584.27 Each 476.65 492.67 Each 106.46 110.04 75A-1-86 77 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION XI PUBLIC WORKS AGENCY 06017002-53720 Replace Meter (Removed for Unpaid Bills) Program administered by Public Works Agency. * 5/8" Each* 67.28 69.54 * 3/4" Each* 87.06 89.99 1" Each 143.49 148.31 11/2.. Each 336.58 347.89 2" Each 449.87 464.99 • After business hours, the charge for replacement Minimum 145.32 150.20 NOTE., These charges are equal to the cost of installation of new meters (a meter is only removed in cases where normal collection procedures fail). 06017002-53720 Cut-off Water Service in Street Each 376.12 388.75 06017002-53725 Temporary Construction Meter Deposit Each 1,154.32 1193.10 06017002-53720 Removal of Straight Pipe (administered by PWA) Each 97.41 100.68 06017002-53720 Repair Curb Stop (administered by PWA) Each 143.49 148.31 06017002-53720 Backflow Device Testing Administrative Fee Each 0.00 87.00 06017002-53720 Backflow Preventer 3rd and Final Notice Fee Each 0.00 105.20 06017002-53720 Fire Flow Test Application Fee Each 0.00 24.46 06017002-53720 Fire Flow Test Witness Fee Each 0.00 114.75 06017002-53720 Water Service Applicaiton Fee Each 0.00 24.46 06017002-53725 Construction Meter Daily Rental Charge Per Day 0.00 2.00 01117002-51609 Outdoor Dining Fee Application Fee 1,276.93 1319.83 Annual license fee based on size of dining area Square Foot 0.83 0.86 08617002-57006 Citywide Bicycle Locker Program Application Processing Per Fiscal Year 8.42 8.70 Security Deposit One-time, Refundable 84.04 86.86 Key Replacement Per Key 25.23 26.08 Lock Replacement Per Lock 134.47 138.99 Damage/Repair Fee Each 50.42 52.12 08617002-51704 Directional Boring Fee Per Linear Foot 2.27 2.35 01117002-51402 2nd Street Mall Use Fee Per Event 42.04 43.45 Drainage Assessment Area Fee Per Acre 22117002-50500 Area 1 6,992.44 7227.39 22217002-50500 Area 2 8,429.60 8712.83 22317002-50500 Area 3 4,538.37 4690.86 22417002-50500 Area 4 6,698.30 6923.36 22517002-50500 Areas 7,631.18 7887.59 22617002-50500 Area 6 7,505.12 7757.30 75A-1-87 78 EXHIBIT 2 RESOLUTION 2017 -XXX 3.36% PROPOSED REVENUE FY 16-17 FY 17-18 ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES FEES SECTION XI PUBLIC WORKS AGENCY 05517002-53701 Sewer Connection Fee 05617002-53902 Sewer Grease Cleaning 08617002-57006 Residential Parking Permit 05817002-53704 05817002-53705 05817002-53704 Bli:IiYDIr➢A.l %YLrlI Per Plumbing Fixture Unit Per Year Single Family Home - each permit every two years maximum 3 permits Multi -family Home (up to four plex) - each permit every two years maximum 1 permit Trench Cut Fees - Changes based on Engineering News Record Dry Utilities Arterial Street Resurfaced between 0 and 5 years Local Street Wet Utilities Arterial Street Local Street Resurfaced between 6 and 10 years Resurfaced between 11 and 15 years Resurfaced between 16 and 20 years Resurfaced between 0 and 5 years Resurfaced between 6 and 30 years Resurfaced between 11 and 15 years Resurfaced between 16 and 20 years Resurfaced between 21 and 25 years 99.92 2,262.44 64.79 64.79 19.10 16.91 15.90 12.71 12.94 11.50 10.81 9.75 8.67 103.27 2338.46 66.97 66.97 19.74 17.48 16.44 13.14 13.38 11.89 11.18 10.08 8.96 Resurfaced between 0 and 5 years 29.69 30.68 Resurfaced between 6 and 10 years 26.27 27.15 Resurfaced between 11 and 15 years 24.72 25.55 Resurfaced between 16 and 20 years 19.77 20.44 Resurfaced between 0 and 5 years 20.13 20.80 Resurfaced between 6 and 10 years 17.87 18.47 Resurfaced between 11 and 15 years 16.79 17.35 Resurfaced between 16 and 20 years 15.15 15.66 Resurfaced between 21 and 25 years 13.47 13.93 75A-1-88 79 EXHIBIT 2 Summary of Proposed New, Modified, and Deleted Fees FY 2017-2018 75A-1-89 80 EXHIBIT 2 Proposed New Miscellaneous Fees FY 2017-2018 PLANNING AND BUILDING AGENCY 1. Conceptual Review "First Look" Fee Existing Fee: None Proposed Fee: $486.90 The "First Look" fee covers staff time to perform conceptual reviews of proposed development projects (pre -submittals). A conceptual review involves two planners and a manager to review documents, discuss, and render a decision on a project. Projected annual revenues are $4,869. 2. Site Plan Review (Public Hearing) Existing Fee: None Proposed Fee: $4,059.96 The Site Plan Review fee is to recover costs associated with taking a site plan to the Planning Commission for a public hearing. Costs such as preparation time by a Senior Planner and Planning Commision Secretary, as well as, incidental supplies/duplication costs necessary to bring a site plan before the Commission are fully covered. Department is anticipating to receive $16,240 annually. PUBLIC WORKS AGENCY 3. Backflow Device Testing Administrative Fee Existing Fee: None Proposed Fee: $87.00 This fee is to recover in full for an hour of staff's time to acquire a backflow test for a customer not in compliance with Santa Ana Municipal Code (SAMC) and State of California backflow preventer device testing requirements. Due to revisions in SAMC, this fee will now be as set in the Miscellaneous Fees Schedule. Department anticipates $26,000 a year. 4. Backflow Preventer 3rd and Final Notice Fee Existing Fee: None Proposed Fee: $105.20 The Backflow Preventer 3rd and Final Notice Fee is to cover the full costs for staff to generate repeat notices for customers not in compliance with Santa Ana Municipal Code (SAMC) and State backflow preventer device testing requirements. Due to revisions in SAMC, this fee will now be as set in the Miscellaneous Fees Schedule. $52,600 is projected annually by the department in revenue. 75A-1-90 81 EXHIBIT 2 PUBLIC WORKS AGENCY - Continued 5. Fire Flow Test Aoolication Fee Existing Fee: None Proposed Fee: $24.46 This fee is to recover costs for an Assistant Engineer II to gather pertinent data for performing a witnessed fire flow test. These tests are required of certain development projects by the Orange County Fire Authority. Per revisions in the Santa Ana Municipal Code (SAMC), this fee will now be as set in the Schedule of Miscellaneous Fees. Department anticipates $978 in fees annually. 6. Fire Flow Test Witness Fee Existing Fee: None Proposed Fee: $114.75 This fee covers in full staff time in witnessing the fire flow test performed by a 3(a party in the field. Orange County Fire Authority requires these tests of certain development projects. Due to revisions in the Santa Ana Municipal Code (SAMC), this fee will now be as set in the Schedule of Miscellaneous Fees. $4,590 in fees is anticipated for FY 17-18. 7. Water Service Application Fee Existing Fee: None Proposed Fee: $24.46 This application fee recovers staff time gathering and processing pertinent data for the installation of a water meter as requested by customers. Per revisions in the Santa Ana Municipal Code (SAMC), this fee will now be as set in the Schedule of Miscellaneous Fees. Water Enterprise anticipates $1,468 in fees for FY 17-18. 8. Construction Meter Daily Rental Charge Existing Fee: None Proposed Fee: $2.00 per day This charge is based on the cost of the equipment to be located at a construction site. This fee has been charged and collected per Santa Ana Municipal Code (SAMC) in the past, however due to revisions in the code, this charge will now be as set in the Miscellaneous Fees Schedule. 75A-1-91 82 PARKS, RECREATION, COMMUNITY SERVICES AGENCY 9. Jetoacks (Hotsoots) - Overdue/Loss of Use Fee Existing Fee: Proposed Fee: None $2.00 per day EXHIBIT 2 This fee is to deter borrowers from holding on to materials past the due date. Library Services estimates to receive $500 in Overdue/Loss of Use Fees in FY 17-18. 10. Lost/Damaged Jetoacks(Hotsoots) Existing Fee: None Proposed Fee: $10.00 Plus Replacement Cost of Equipment and Materials This fee is to recover in part some of staff's time and costs of materials to prepare a replacement unit for public use. Preparation requires a Library Assistant to unpack and log the serial number of a unit for inventory and tracking purposes. Before making the hotspots available to patrons, units need to be activated and tested for connectivity. A user guide is printed, and the creation and adhering of labels need to be completed. Staff does not anticipate many replacements in FY 17-18 and therefore estimates $200 in cost recovery. 11. Garfield Community Center Existing Fee: None Proposed Fee: Multi -Purpose Room Group 1 Group 2 Group 3 Group 4 Group 5 N/C $75.54 $126.75 $84.77 $151.91 Dance Room Group 1 Group 2 Group 3 Group 4 Group 5 N/C $33.32 $53.33 $40.00 $80.56 This fee is to recover costs associated with the use of spaces by requestors maintained by Park and Recreation. 75A-1-92 83 EXHIBIT 2 Proposals to Modify Existing Fees FY 2017-2018 PLANNING AND BUILDING AGENCY 1. Landscape Plan Review - Single Family or Duolex Existing Fee: $ 652.71 Proposed Fee: $ 335.57 Reclassification of the fee name will specify the proper project category and distinguish this charge from two other Landscape Plan Review fees for multiple family (residential), and non-residential/mixed-use. The fee amount is being decreased to stimulate voluntary re -landscaping projects throughout the City. 2. Landscape Plan Review - Triolex. Townhouse. or Multiple Family Existing Fee: $ 652.71 Proposed Fee: $ 620.68 Reclassification of the fee name will specify the proper project category and distinguish this charge from the other two Landscape Plan Review fees for single family/duplex (residential), and non-residential/mixed-use. The fee amount is being decreased to stimulate voluntary re -landscaping projects throughout the City. 3. Landscape Plan Review - Mixed Use or Non-residential Existing Fee: $ 1,460.33 Proposed Fee: $ 882.84 Reclassification of the fee name will specify the proper project category and distinguish this charge from the other two residential Landscape Plan Review fees for single family/duplex and triplex/townhouse/multiple family. The fee amount is being decreased to stimulate voluntary re -landscaping projects throughout the City. POLICE DEPARTMENT 4. Driving Under Influence Cost Recovery Existing Fee: Actual Cost Up to $1,000 Proposed Fee: Actual Cost Up to $12,000 (per incident) The proposed action is based on Government Code Section 53150 that allows forthe reimbursement of expenses up to $12,000. This increase is in response to obtaining 100% cost recovery when statutes sanction full cost recovery. 75A-1-93 84 EXHIBIT 2 POLICE DEPARTMENT - Continued 5. Hit & Run Accident Investi ation Existing Fee: Actual Cost Up to $1,000 Proposed Fee: Actual Cost Up to $12,000 (per incident) The proposed action is based on Government Code Section 53150 that allows for the reimbursement of expenses up to $12,000. This increase is in response to obtaining 100% cost recovery when statutes sanction full cost recovery. 6. Police Pursuits Cost Recovery Existing Fee: Actual Cost Up to $1,000 Proposed Fee: Actual Cost Up to $12,000 (per incident) The proposed action is based on Government Code Section 53150 that allows for the reimbursement of expenses up to $12,000. This increase is in response to obtaining 100% cost recovery when statutes sanction full cost recovery. 7. Police Security Services Police Personnel Existing Fee (Hourly) Proposed Fee (Hourly) Police Commander $73.78 $86.51 Police Sergeant $102.49 $108.26 Police Officers $85.58 $90.33 PCO, PSO, other Civilian $52.83 $48.39 Proposed modifications would achieve full cost recovery. Department estimates $10,000 to $30,000 annually depending on special events needs. 75A-1-94 85 EXHIBIT 2 Proposals to Delete Fees FY 2017-2018 POLICE DEPARTMENT 1. Police Evidence Photos to CD/DVD Per Image Fee Existing Fee: $1.00 per image Proposed Fee: $0.00 This fee is being eliminated because staff time to set-up and burn one image to a disk is not much different than burning multiple images to a disk. Therefore with the elimination of this fee all Police's evidence photos to CD/DVD would be subject to the $20 per a disk charge. 11:1:7.1;1'1 2. Library Room Rental oer Hour Meeting Room: Existing Fee: $46.08 Proposed Fee: $0.00 Kitchenette: Existing Fee: $17.56 Proposed Fee: $0.00 Due to nominal requests to utilize these areas by the public, the Library has ceased renting them. However, these rooms remain available for Library programs and events, as well as, city activities at no charge. FINANCE & MANAGEMENT SERVICES 3. UUT Max Tax Processine Fee Maximum: Proposed Fee: Review & processing: Proposed Fee: $232.39 per refund $0.00 per refund $40.00 per hour $0.00 per hour UUT Max Tax Processing Fee is being deleted due to the repeal of the Max Tax Program in November 2014 through ballot Measure AA. 75A-1-95 86 75A-1-96 EXHIBIT 3 Summary of Proposed New, Modified, and Deleted Fees FY 2017-2018 75A-1-97 Proposed New Miscellaneous Fees FY 2017-2018 PLANNING AND BUILDING AGENCY 1. Conceptual Review "First Look" Fee Existing Fee: None Proposed Fee: $486.90 The "First Look" fee covers staff time to perform conceptual reviews of proposed development projects (pre -submittals). A conceptual review involves two planners and a manager to review documents, discuss, and render a decision on a project. Projected annual revenues are $4,869. 2. Site Plan Review (Public Hearing) Existing Fee: None Proposed Fee: $4,059.96 The Site Plan Review fee is to recover costs associated with taking a site plan to the Planning Commission for a public hearing. Costs such as preparation time by a Senior Planner and Planning Commision Secretary, as well as, incidental supplies/duplication costs necessary to bring a site plan before the Commission are fully covered. Department is anticipating to receive $16,240 annually. PUBLIC WORKS AGENCY 3. Backflow Device Testing Administrative Fee Existing Fee: None Proposed Fee: $87.00 This fee is to recover in full for an hour of staff's time to acquire a backflow test for a customer not in compliance with Santa Ana Municipal Code (SAMC) and State of California backflow preventer device testing requirements. Due to revisions in SAMC, this fee will now be as set in the Miscellaneous Fees Schedule. Department anticipates $26,000 a year. 4. Backflow Preventer 3rd and Final Notice Fee Existing Fee: None Proposed Fee: $105.20 The Backflow Preventer 3rd and Final Notice Fee is to cover the full costs for staff to generate repeat notices for customers not in compliance with Santa Ana Municipal Code (SAMC) and State backflow preventer device testing requirements. Due to revisions in SAMC, this fee will now be as set in the Miscellaneous Fees Schedule. $52,600 is projected annually by the department in revenue. 75A-1-98 PUBLIC WORKS AGENCY - Continued 5. Fire Flow Test Aoolication Fee Existing Fee: None Proposed Fee: $24.46 This fee is to recover costs for an Assistant Engineer II to gather pertinent data for performing a witnessed fire flow test. These tests are required of certain development projects by the Orange County Fire Authority. Per revisions in the Santa Ana Municipal Code (SAMC), this fee will now be as set in the Schedule of Miscellaneous Fees. Department anticipates $978 in fees annually. 6. Fire Flow Test Witness Fee Existing Fee: None Proposed Fee: $114.75 This fee covers in full staff time in witnessing the fire flow test performed by a 3rd party in the field. Orange County Fire Authority requires these tests of certain development projects. Due to revisions in the Santa Ana Municipal Code (SAMC), this fee will now be as set in the Schedule of Miscellaneous Fees. $4,590 in fees is anticipated for FY 17-18. 7. Water Service Application Fee Existing Fee: None Proposed Fee: $24.46 This application fee recovers staff time gathering and processing pertinent data for the installation of a water meter as requested by customers. Per revisions in the Santa Ana Municipal Code (SAMC), this fee will now be as set in the Schedule of Miscellaneous Fees. Water Enterprise anticipates $1,468 in fees for FY 17-18. 8. Construction Meter Daily Rental Char¢e Existing Fee: None Proposed Fee: $2.00 per day This charge is based on the cost of the equipment to be located at a construction site. This fee has been charged and collected per Santa Ana Municipal Code (SAMC) in the past, however due to revisions in the code, this charge will now be as set in the Miscellaneous Fees Schedule. 75A-1-99 2 PARKS, RECREATION, COMMUNITY SERVICES AGENCY 9. Jetoacks (Hotsoots) - Overdue/Loss of Use Fee Existing Fee: Proposed Fee: None $2.00 per day This fee is to deter borrowers from holding on to materials past the due date. Library Services estimates to receive $500 in Overdue/Loss of Use Fees in FY 17-18. 10. Lost/Damaged Jetoacks(Hotsoots) Existing Fee: None Proposed Fee: $10.00 Plus Replacement Cost of Equipment and Materials This fee is to recover in part some of staff's time and costs of materials to prepare a replacement unit for public use. Preparation requires a Library Assistant to unpack and log the serial number of a unit for inventory and tracking purposes. Before making the hotspots available to patrons, units need to be activated and tested for connectivity. A user guide is printed, and the creation and adhering of labels need to be completed. Staff does not anticipate many replacements in FY 17-18 and therefore estimates $200 in cost recovery. 11. Garfield Community Center Existing Fee: None Proposed Fee: Multi -Purpose Room Group 1 Group 2 Group 3 Group 4 Group 5 N/C $75.54 $126.75 $84.77 $151.91 Dance Room Group 1 Group 2 Group 3 Group 4 Group 5 N/C $33.32 $53.33 $40.00 $80.56 This fee is to recover costs associated with the use of spaces by requestors maintained by Park and Recreation. 75A-1-100 Proposals to Modify Existing Fees FY 2017-2018 PLANNING AND BUILDING AGENCY 1. Landscape Plan Review - Single Family or Duplex Existing Fee: $ 652.71 Proposed Fee: $ 335.57 Reclassification of the fee name will specify the proper project category and distinguish this charge from two other Landscape Plan Review fees for multiple family (residential), and non-residential/mixed-use. The fee amount is being decreased to stimulate voluntary re -landscaping projects throughout the City. 2. Landscape Plan Review - Triplex. Townhouse. or Multiole Family Existing Fee: $ 652.71 Proposed Fee: $ 620.68 Reclassification of the fee name will specify the proper project category and distinguish this charge from the othertwo Landscape Plan Review fees for single family/duplex (residential), and non-residential/mixed-use. The fee amount is being decreased to stimulate voluntary re -landscaping projects throughout the City. 3. Landscape Plan Review - Mixed Use or Non-residential Existing Fee: Proposed Fee: $ 1,460.33 Reclassification of the fee name will specify the proper project category and distinguish this charge from the other two residential Landscape Plan Review fees for single family/duplex and triplex/townhouse/multiple family. The fee amount is being decreased to stimulate voluntary re -landscaping projects throughout the City. POLICE DEPARTMENT 4. Driving Under Influence Cost Recovery Existing Fee: Actual Cost Up to $1,000 Proposed Fee: Actual Cost Up to $12,000 (per incident) The proposed action is based on Government Code Section 53150 that allows for the reimbursement of expenses up to $12,000. This increase is in response to obtaining 100% cost recovery when statutes sanction full cost recovery. 75A-1-101 4 POLICE DEPARTMENT - Continued 5. Hit & Run Accident Investigation Existing Fee: Actual Cost Up to $1,000 Proposed Fee: Actual Cost Up to $12,000 (per incident) The proposed action is based on Government Code Section 53150 that allows for the reimbursement of expenses up to $12,000. This increase is in response to obtaining 100% cost recovery when statutes sanction full cost recovery. 6. Police Pursuits Cost Recovery Existing Fee: Actual Cost Up to $1,000 Proposed Fee: Actual Cost Up to $12,000 (per incident) The proposed action is based on Government Code Section 53150 that allows for the reimbursement of expenses up to $12,000. This increase is in response to obtaining 100% cost recovery when statutes sanction full cost recovery. 7. Police Security Services Police Personnel Existing Fee (Hourly) Proposed Fee (Hourly) Police Commander $73.78 $86.51 Police Sergeant $102.49 $108.26 Police Officers $85.58 $90.33 PCO, PSO, other Civilian $52.83 $48.39 Proposed modifications would achieve full cost recovery. Department estimates $10,000 to $30,000 annually depending on special events needs. 75A-1-102 Proposals to Delete Fees FY 2017-2018 POLICE DEPARTMENT 1. Police Evidence Photos to CD/DVD Per Image Fee Existing Fee: $1.00 per image Proposed Fee: $0.00 This fee is being eliminated because staff time to set-up and burn one image to a disk is not much different than burning multiple images to a disk. Therefore with the elimination of this fee all Police's evidence photos to CD/DVD would be subject to the $20 per a disk charge. LIBRARY 2. Library Room Rental per Hour Meeting Room: Existing Fee: $46.08 Proposed Fee: $0.00 Kitchenette: Existing Fee: $17.56 Proposed Fee: $0.00 Due to nominal requests to utilize these areas by the public, the Library has ceased renting them. However, these rooms remain available for Library programs and events, as well as, city activities at no charge. FINANCE & MANAGEMENT SERVICES 3. UUT Max Tax Processing Fee Maximum: Proposed Fee: Review & processing Proposed Fee: $232.39 per refund $0.00 per refund $40.00 per hour $0.00 per hour UUT Max Tax Processing Fee is being deleted due to the repeal of the Max Tax Program in November 2014 through ballot Measure AA. 75A-1-103 s 75A-1-104 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: PUBLIC HEARING — FISCAL YEAR 2017-18 CITY BUDGET (STRATEGIC PLAN NO. 4,2A) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: r1 J [i1WCb ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the use of fund balance from the general fund in the amount of $9.3 million for fiscal year 2017-18. 2. Direct staff to transition from a Type II Jail Facility to a Holding Facility during fiscal year 2017-18. 3. Adopt an ordinance appropriating funds for the fiscal year commencing July 1, 2017, pending adoption of the revisions to the Budget and Financial Policies (EXHIBIT 1). 4. Adopt a Seven -Year Capital Improvement Program (CIP) beginning fiscal year 2017-18 through fiscal Year 2023-24 per Orange County Transportation Authority (OCTA) Measure M2 eligibility requirement. 5. Adopt a resolution to amend and reestablish the City's basic classification and compensation plans (EXHIBIT 2). 6. Direct the City Manager to present a quarterly fiscal review, for the General Fund, during fiscal year 2017-18 and provide for the accounting of unspent funds as it relates to vacant positions. 7. Direct the City Manager to explore operational efficiencies and revenue enhancements to minimize usage of one-time funds. DISCUSSION On May 2, 2017, the City Council was provided with a Fiscal Year 2016-17 3rd Quarter Update and Fiscal Year 2017-18 General Fund Trial Budget presentation. Included in the presentation was a projected budget gap of $14.4 million for fiscal year 2017-18 and $19.5 million for fiscal year 2018- 75A-2-1 Public Hearing — Fiscal Year 2017-18 City Budget June 6, 2017 Page 2 19. Staff was subsequently directed to present consideration of modifying the Budget and Financial Policies as well as Jail operating options at the next Economic Development, Infrastructure, Budget and Technology Committee (Committee). On May 15, the Committee was provided a presentation on the Jail Cost Review and Structure (EXHIBIT 3). Included in the presentation was the projected costs under the current model (Type II) for fiscal year 2017-18. The estimated costs under a holding facility model provided significant costs reductions of approximately $4 million as well as revenue loss of nearly $2.5 million for fiscal year 2017-18. In fiscal year 2018-19, the anticipated savings amounts to $8 million in cost reductions with a revenue loss of approximately $5 million. Additionally, a two-year budget plan was presented to discuss the budget gap along with modification to the Budget and Financial Policies (Policy). The Committee provided feedback on modification of the Policy, recommended a mid -year budget review and requested staff to provide an accounting of unspent funds as it relates to vacant positions. Furthermore on May 16, 2017, the Proposed Fiscal Year 2017-18 Budget was presented at a City Council work study session. The presentation included a two-year budget plan to address a projected budget gap of $14.4 million in fiscal year 2017-18, and $19.5 million in fiscal year 2018- 19. Elements of the budget plan involved modifying the current jail model from a Type II holding facility to a holding facility as well as other revenue strategies. Pending City Council approval of the fiscal policy and direction to transition to a Holding Facility, the Fiscal Year 2017-18 City Budget is presented as a balanced budget. City staff will continue to explore operational efficiencies and revenue enhancements to minimize the usage of one-time monies during the fiscal year. Fiscal Year 2017-2018 City Budget The Fiscal Year 2017-18 City Budget (EXHIBIT 4) fulfills the City's purpose of providing quality service to enhance the safety, livability and prosperity for our community. In alignment with the seven Strategic Plan goals of Community Safety; Youth, Education and Recreation; Economic Development; City Financial Stability; Community Health, Livability, Engagement & Sustainability; Community Facilities & Infrastructure; and Team Santa Ana, the budget includes but is not limited to the following: continued funding of the Strategic Plan, enhanced public safety utilizing community policing, prevention and youth summer programs, and investment in City infrastructure through the Capital Improvement Program. The total annual proposed budget for fiscal year 2017-18 is $510,678,778. Incorporated are all funded appropriations related to the General Fund, Internal Service, Enterprise, Special Revenue, Community Development and Housing, and Capital Improvement Projects. The proposed fiscal year 2017-18 General Fund budget is estimated at $234,200,795 and equates to approximately 45.9% of the total annual proposed budget. The General Fund supports those functions most commonly associated with city government such as police, fire, recreation, library, planning and building, street maintenance and general city administration. 75A-2-2 Public Hearing — June 6, 2017 Page 3 Fiscal Year 2017-18 City Budget In regards to proposed workforce changes in fiscal year 2017-18, there is a net total of five full- time positions, as well as, ten positions to be reallocated. In addition, the proposed resolution amends prior resolutions by adding a number of classification titles to reflect the proposed workforce changes. Capital Improvement Program (CIP) The proposed City's Capital Improvement Program (EXHIBIT 5) for fiscal year 2017-18 totals $44.9 million. The program includes the following initiatives: continued planning and development of the OC Streetcar Project; traffic improvements including the addition of protected bike lanes, continuation of Safe Routes to Schools and the Safe Mobility Santa Ana (SMSA) program; park improvements of playground equipment and installation of security lighting and cameras for park safety; street improvements for ongoing residential street repair and arterial streets, and significant funding in public utility improvements. The Seven -Year CIP of $132.7 million from fiscal year 2017-18 to 2023-24 includes utilizing various funding sources such as OCTA Measure M2 funding for street improvements over the next seven years. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City 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 A (Adopt a budget that is in alignment with the financial forecast and strategic plan). FISCAL IMPACT With approval of the proposed fiscal year 2017-18 budget, $510,678,778 will be appropriated to the City's various funds, departments, programs and enterprise activities. Of those amounts, $234,200,795 will be appropriated to the various general fund operating departments. APPROVED AS TO FUNDS AND ACCOUNTS: 31 AC) Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. Ordinance (Budget and CIP) 2. Resolution (City's Basic Classification and Compensation Plan) 3. Jail Cost Review and Structure Presentation 4. Fiscal Year 2017-18 City Budget 5. Capital Improvement Program 75A-2-3 75A-2-4 Exhibit 1 LS 6/6/17 ORDINANCE NO. NS-XXXX 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. 2017 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 the City Council, pursuant to Section 605 of the City Charter, a proposed budget for expenditures for the fiscal year commencing July 1, 2017. B. In accordance with Section 606 of the City Charter, a public hearing has been held upon the proposed budget of expenditures after notice of such public hearing had been published in the manner prescribed in Section 606 of the City Charter. C. The proposed budget of expenditures duly submitted and considered as herein stated, together with any supplemental revisions and amendments thereto, was approved, adopted, and fixed by the City Council as the budget of the City for fiscal year 2017-2018, commencing July 1, 2017, 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. The adopted budget, including any supplemental revisions and amendments, together with a copy of the 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 object and purposes specified in that certain document entitled " Fiscal Year 2017-2018 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 2017-2018, the several amounts stated as proposed expenditures from such funds, respectively, in those columns of the Budget that are headed "FY 17-18". Each aggregate of expenditures so specified in the Budget for the 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 City Charter, except that as to any office, department, Ordinance No. NS - Page 1 of 4 75A-2-5 or agency of the City for which more than one program is designated in Section 2 (General Fund Operating Budget) of the Budget, the aggregate expenditure authorized for all programs in 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 Section 609 of the City Charter. 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 the Budget. Section 4. No warrant shall be issued or indebtedness incurred for any purpose that 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 City Charter. The City Manager is hereby authorized to make revisions between the items included within any such appropriation if, in his/her opinion, such revisions are necessary and proper. Section 5. In accordance with Governmental Accounting Standards Board Statement 54, the City Manager or his/her designee is hereby authorized, as of the date of this ordinance, to allocate assigned governmental funds' balances to specific programs and activities as deemed necessary and proper. Section 6. The Executive Director of Finance and Management Services is hereby authorized to transfer monies in accordance with the Interfund Transfers listed in the Budget in such amounts and at such times during the fiscal year as he/she 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 7. 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 8. The City Council of the City of Santa Ana hereby adopts the updated Seven -Year Capital Improvement Program, as set forth in the 2017-2018 City Budget. Section 9. Upon and from the effective date of this ordinance, expenditures of monies appropriated hereby are authorized beginning July 1, 2017. Section 10. The Clerk of the Council shall cause the title of this ordinance to be published as required by law. - Section 11. 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 Ordinance No. NS - Page 2 of 4 75A-2-6 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. ADOPTED this day of June, 2017. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: r/UvIpu-� Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Ordinance No. NS - Page 3 of 4 75A-2-7 Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on June _, 2017, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date Ordinance No. NS - Page 4 of 4 Clerk of the Council City of Santa Ana 75A-2-8 Exhibit 2 RESOLUTION NO. 2017 -XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLANS. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. On June 16, 2015, the City Council adopted Resolution No. 2015-026 amending and re-establishing the Basic Classification and Compensation Plan for all Full -Time and Part -Time Classifications of Officers and Employees of the City of Santa Ana. C. It is the City's practice to assign job titles that reflect the duties and responsibilities of the classification and are consistent with other classifications within the City's organizational structure as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates. -Y D. The Personnel Services Department has completed a review of the various departmental requests to make changes to the City's organizational structure, classification titles, and staffing which revealed the need to effect certain changes to the City's basic classification and compensation plans. E. The City Council has amended and reestablished the Basic Classification and Compensation Plan on numerous occasions since adoption. F. It is now desired to amend Council Resolution No. 2015-026, as amended, in order to effect these changes, as shown below: Resolution 2017 -XXX Page 1 of 3 75A-2-9 Section 2: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "B" as follows: A. Adding the following full time classification titles at the monthly six -step salary rate range indicated: 6 -Step Salary Rate Ranae Effective 07/01/16 Monthly Salary Classification Title SSR Minimum -Maximum Litigation Assistant (UC) 610 $4352 - $5559 Risk Management Assistant (UC) 571 $3597 - $4592 Section 3: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "E" as follows: A. Adding the following full time classification title at the monthly five-step salary rate range indicated: 5 -Step Salary Rate Range Effective 07/01/16 Monthly Salary Classification Title SSR Minimum -Maximum Risk Management Supervisor (AM) AM -723 $7560-$9192 Section 4: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "F" as follows: A. Adding the following full time classification titles at the monthly seven -step salary rate range indicated: 7-Steo Salary Rate Ranae Effective 07/01/16 Monthly Salary Classification Title SSR Minimum -Maximum Arts & Culture Specialist 646 $4894 - $6558 Water Services Production Supervisor 670 $5502 - $7373 Section 5: All salary rate range classifications are set forth in the City's "Salary Schedule" as periodically updated. Section 6: That except as amended by this Resolution, all other provisions of Resolutions Nos. 2015-026 shall remain in full force and effect Resolution 2017 -XXX Page 2 of 3 75A-2-10 Section 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 6th day of June, 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: aOJ �� Rob's, ru Laura A. Rossini Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017- to be the original Resolution adopted by the City Council of the City of Santa Ana on June 6, 2017. Date: Resolution 2017 -XXX Page 3 of 3 75A-2-11 Clerk of the Council City of Santa Ana I' 75A-2-12 M r/ H L X + 4 J E 'A'E Q n +J co N W u( s p rm Rya V 4a •E n Om u W 75A-2-13 I i 4 k 4 i 4 p i r 0000 vii en `O ( N 00 0�0 O - 0�0^ O �--1 bF} r -I E�4 r•41 f o O � a 4aC u V 4.5 4a L .. az O w V V 75A-2-15 m iii � O W •V o c PON 0 s 4) I U co: -=Ia in a m a It rA W .rV•, W) ci .ed 0 Mi 0 ■ ■ ■ ■ ■ ■ ■ 75A-2-16 ■ O 0 y � +, (ALM U co: -=Ia in a m a It rA W .rV•, W) ci .ed 0 Mi 0 ■ ■ ■ ■ ■ ■ ■ 75A-2-16 P 0 0 LM a 1%0 o00 o 00 59 Eft li V fj I r A o i y O U► � ,_., a� y ■ ,WOO fin W-0 i rT i 75A-2-17 .FA . Ln 14 .-j m c O 401 it SEEM. m LL lD V� OdL S. •� e;O"ae � A� O CJ ci e� O oj C O �" c � T W W 0 In��1^n �••� 4IN �`ii�// •� tit V •� ry 0 0 1 %�•Q•II O P-4 �o 40o I-1"1 V1 � •rl � � � 0 75A-2-18 401 V m L ^ A •~ un cn Lr O cn y v 0.0 O v � ►� r� O c U 42 z 75A-2-19 �1 ■ 4@J a 0 V H 75A-2-20 0 O V O o o � O G� •• .t," . POO AOJ a� POO( 75A-2-20 0 75A-2-21 w 75A-2-22 w ' EXHIBIT 4 - t- w t!° `-2-23 JUNE 6, 2017 FISCAL YEAR 2017-18 PROPOSED CITY BUDGET TOTAL CITY BUDGET REVENUE SOURCES & APPROPRIATIONS FY 2017-2018 Community Safety Youth, Education, Recreation Economic Development City Financial Stability Community Health. Livability, Engagement & Sustainability Community Facilities & Infrastructure Team Santa Ana 75A-2-24 4) 0) N ti co ti co ti t0 O r LO LL m I- 0 0 a CD co _M 0 ka U d N o d � v a LO C LOm L O LL R 00 d 0:5 c � a� UJ d d O ir ''. N LL C.1 � N Qj 69 R VU) O U) O Q O 'C V Q O !/i C CO N N Cl) W O C = y V A L w 0 75A -2g-25 �+ LO LO _ 4) C> do M N 69 ' co C6 � C ^ N d M ■ ■ m EH rM A ■O ON M d CL■ L d v w0 �^ N v i N /� O L Crn °' Ua a 0' A� li = LL 01 V a� A omo `c � O � ^ N i� Lq y = o c N LL V y N V ^ N O ..R.. LL V TOM CD N DO N 6> V to f0 7 ' N (=, fn C C O +� 7 u W N N L M ll l O _ O O 75A-2-26 FISCAL YEAR 2017-18 PROPOSED CITY BUDGET INTERNAL SERVICE FUND REVENUE SOURCES & APPROPRIATIONS FY 2017-2018 Community Safety Youth, Education, Recreation Economic Development City Financial Stability Community Health, Livability, Engagement & Sustainability Community Facilities & Infrastructure Team Santa Ana 75A-2-27 LL AO iL O L an LL F I m La O ; 7 U LL 75A-2-29 LL L co 1 co W O M 0 M w N W d d Lu 0 00 U � C Q" N O N d N 06 LO N d � L O N •� v3 V1 C ^ O c ` M ' d � co 75A-2-29 N d ^ C o N N m 0? Q 7 O 0 co L r- N w T m O Q � uj W FISCAL YEAR 2017-18 PROPOSED CITY BUDGET GENERAL FUND REVENUE SOURCES & APPROPRIATIONS FY 2017-2018 Community Safety Youth, Education, Recreation Economic Development City Financial Stability Community Health. Livability, Engagement & Sustainability Community Facilities & Infrastructure Team Santa Ana 75A-2-30 Tf. y U. LL 0 CD N V Z00 W co N o w � N cli E, A t U 0 O LL FR - U T O �• 00 o N N Q J cn O U LCI MV H b) F c0 coco d O O. MN O IL 00 O O" v LL41 O O a y N O N M u cin � LL r •. W O O LL a v O R U C o a. R O } M Q1 O IL Tf. y U. LL 0 CD N V Z00 W co N o w � N cli E, A t U 0 O LL FR - J > T O �• 00 o N N Q J cn O LCI MV H b) F c0 coco d O O. MN O IL N F d r y v C fyl O J O N O 01 000 c �N r m GA 75A-2-31 9 rM �ryO. O o a` U' N N O M LO O M N y 7 Mo N O olp M _ 0 J GCI y CO E E atf p v OD o CLLo ^ d N 0 0 � L c) M M N ? m LO 0 06 fir' 69 N M N C Cl)(q r O r 'a I O O CD ol CD CD CD cn _N M V P MN n CNJ C V H3 M) m CO Lyj LO 'O 00 0) O U N � 69 N Q E r 6S fA O_ EH N Cl c > o = 2 q 0) d 0) _0 N 0) E 61 O U N T CO.... 0) 5 2 c LC rn� co ca < N 04CL @to D E. Tn �- o � 0 1 a� a € C E O N ' N 0a) m �z U olp M I 75Art2-32 A o _ C Lq J GCI y CO E E atf p v OD O CLLo O d N � L c) M LL N LO � I 75Art2-32 A o M J GCI y CO m atf p v OD LR Z o c 08 E to00 aCD m Oo �^ 06 fir' 69 64 C R 'a I L FISCAL YEAR 2017-18 AOMW#X PROPOSED CITY BUDGET ` == WORKFORCE CHANGES GENERAL FUND & NON -GENERAL FUND Community Safety Youth, Education, Recreation Economic Development City Financial Stability Community Health, Livability, Engagement & Sustainability Community Facilities & Infrastructure Team Santa Ana 75A-2-33 Proposed Full -Time Workforce Changes - FY 17-18 Additions/Deletions Organizational Changes Police Department (8) Correctional Officer (1,052,674) (1,052,674) 0 Non - Correctional Supervisor (333,260) (333,260) Fiscal General General Department Qty. Position Impact Fund Fund Community Development Agency 1 Arts & Culture Specialist 92,680 1 0 92,680 0 1 92,680 0 92,680 Finance & Management Services 1 Accountant 1 20,374 20,374 0 Assistant Engineer I (Parking Pgm) 1 Senior Accounting Assistant 103,091 103,091 Senior Office Assistant 31,641 2 (1) Accounting Assistant (103,091) z (103,091) 0 0 1 1 20,374 20,374 0 148,633 3 Network Specialist/WAN Systems 384,381 0 384,381 Information Technology 1 Administrator 140,850 0 140,850 1 Web Systems Technician 85,310 0 85,310 (1) Project Management Officer (226,160) 0 (226,160) 1 0 0 0 Parks, Recreation & Community Services 1 Librarian 92,920 0 92,920 2 Recreation Leader 110,970 z 110,970 0 3 203,890 110,970 92,920 Police Department (8) Correctional Officer (1,052,674) (1,052,674) 0 (2) Correctional Supervisor (333,260) (333,260) 0 (1) Sr. Correctional Records Specialist (96,551) (96,551) 0 1 Personnel Technician 81,621 2,3 81,621 0 1 Senior Management Analyst 147,122 3 147,122 0 (9) (1,253,742) (1,253,742) 0 Public Works Agency 1 Management Aide 131,056 0 131,056 1 Assistant Engineer I (Parking Pgm) 171,805 171,805 0 1 Senior Office Assistant 31,641 2 0 31,641 2 Construction Inspector 1 245,974 0 245,974 1 Water Services Supervisor 148,633 0 148,633 3 Water Services Quality Inspector 384,381 0 384,381 (1) Equipment Operator (114,084) 0 (114,084) General Fund Positions (5) Non -General Fund Positions 30 Total 5 ' Strategic Plan Funding ' Includes reduction in part time staffing 3 Funding through operational savings 75A-2-34 62,608 171,805 827,601 1,013,201 Proposed Full -Time Workforce Changes - FY 17-18 Reallocations 75A-2-35 Non - Fiscal General General City Attorney's Office Qty. Position Impact Fund Fund (1) Senior Legal Secretary (110,177) (110,177) 0 1 Litigations Assistant 110,177 110,177 0 Management Aide 0 0 0 1 Management Analyst Non - 0 Fiscal General General Community Development Agency Qty. Position Impact Fund Fund (1) Senior Receptionist (99,314) 0 (99,314) 1 Senior Office Assistant 95,826 0 95,826 (3,488) 0 (3,488) 75A-2-35 Non - Fiscal General General Finance & Management Services Qty. Position Impact Fund Fund (1) Management Aide (87,065) 0 (87,065) 1 Management Analyst 93,939 0 93,939 6,874 0 6,874 Now Fiscal General General Personnel Services Agency Qty. Position Impact Fund Fund (1) Personnel Services Specialist (104,470) 0 (104,470) 1 Risk Management Assistant 104,470 0 104,470 (1) Risk Management Coordinator (133,599) 0 (133,599) 1 Risk Management Supervisor 144,015 0 144,015 10,416 0 10,416 Non - Fiscal General General Planning & Building Agency Qty. Position Impact Fund Fund (1) Associate Planner (170,287) (170,287) 0 1 Senior Planner 178,201 178,201 0 (1) Code Enforcement Supervisor (168,492) (168,492) 0 1 Code Enforcement Principal (AM) 195,770 195,770 0 35,192 35,192 0 Non - Fiscal General General Police Department Qty. Position Impact Fund Fund (1) Police Services Officer (103,197) (103,197) 0 1 Communications Services Officer 103,197 103,197 0 0 0 0 Non - Fiscal General General Public Works Agency Qty. Position Impact Fund Fund (1) Engineering Aide (185,339) 0 (185,339) 1 Assistant Engineer II 185,339 0 185,339 !1) Senior Water Systems Operator (130,624) 0 (130,624) 1 Water Services Production Supervisor 131,226 0 131,226 602 0 602 Total 49,596 35,192 14,404 75A-2-35 m c A N Y M U -t5A-2-36 Vl W W O 5a F W W a a �w H � z I� F z 0 H d N z a m c A N Y M U -t5A-2-36 FISCAL YEAR 2017-18 PROPOSED CITY BUDGET CAPITAL IMPROVEMENT PROGRAM Community Safety Youth, Education, Recreation Economic Development City Financial Stability Community Health, Livability, Engagement & Sustainability Community Facilities & Infrastructure Team Santa Ana 75A-2-37 CITY OF SANTA ANA CAPITAL IMPROVEMENT PROGRAM (CIP) FY 17-18 CIP PROJECTS BY CATEGORY PROJECTS TOTAL I. Street Improvements Planning Pavement Management 200,000 Project Development 100,000 Right -of -Way Management 100,000 Subtotal Planning 400,000 Curb, Gutter, Sidewalk Improvements Omnibus Concrete 200,000 Subtotal Curb, Gutter, Sidewalk Improvements 200,000 Alley Rehabilitation Alley Improvement Program 126,145 Subtotal Alley Rehabilitation 126,145 Neighborhood Street Rehabilitation Residential Street Repair Program 1,033,604 Subtotal Neighborhood Street Rehabilitation 1,033,604 Local Street Rehabilitation Local Street Preventative Maintenance 2,000,000 Subtotal Neighborhood Street Rehabilitation 2,000,000 Arterial Street Rehabilitation Main Street Rehabilitation: Edinger to 1 st 657,000 Sustainable Mobility and Roadway Transformation (SMaRT) 2,090,897 Bristol Street Rehabilitation: 17th to Santa Clam 750,000 Westminster Avenue Rehabilitation: Harbor to Farview 239,000 Subtotal Neighborhood Street Rehabilitation 3,736,897 Street/Bridge Improvements & Widening Bristol Street and Memory Lane Inten:ection Widening 1,556,325 Farview Bridge and Street Improvements 1,627,625 Grand Avenue Widening: Phase l - First to Fourth 40,000 Warner Avenue Improvements: Phase I - Main to Oak 8,728,220 Warner Avenue Improvements: Phase 2 - Oak Street to Grand Avenue 1,081,500 Subtotal Neighborhood Street Rehabilitation 13,033,670 TOTAL STREET IMPROVEMENTS 20,530,316 75A=`2-38 CITY OF SANTA ANA CAPITAL IMPROVEMENT PROGRAM (CIP) FY 17-18 CIP PROJECTS BY CATEGORY PROJECTS TOTAL 11. TRAFFIC IMPROVEMENTS Planning Bike Lane Pmject Development 69,448 OC Street Car 431,500 Trail Subtotal Planning 600,948 Traffic Safety/Mobility Improvements Sepulveda Safe Routes to School Project 35,000 Subtotal Mobility/Safety 6,313,752 TOTAL TRAFFIC IMPROVEMENTS 7,579,750 III. UTILITY/DRAINAGE/LIGHTING IMPROVEMENTS Sewer Wate Subtotal Sewer Improvements 846,752 Subtotal Water Improvements 3,600,000 Santa Ana Delhi Channel Diversion Project 3,795,000 Subtotal Facility Improvements 6,470,300 Street Lighting Improvements Strut Light Re -wiring and TOTAL PUBLIC UTILITY/DRAINAGE IMPROVEMENTS 11,117,052 75AV2-39 CITY OF SANTA ANA CAPITAL IMPROVEMENT PROGRAM (CIP) FY 17-18 CIP PROJECTS BY CATEGORY PROJECTS IV. City Facility Improvements Recreation Improvements TOTAL Park/Zoo Facilities Civic Center Improvements Subtotal Safety/Mobility Improvements 1,250,000 TOTAL BUILDING FACILITIES IMPROVEMENTS 5,740,614 GRAND TOTAL 44,967,732 75A=2-40 L Alley Rehabilitation Arterial Street Rehabihtalion Curb, Gutter, Sidewalk Impmvem Local Street RehabiEtation Neigbborhood Strep Rehabilitabo Plmming StreeUBricip MprovemenLa & Widening Total Planning Traffic Irrmrovemems Traffic Safety / Mability Inprove SEVEN-YEAR CAPITAL IMPROVEMENT PROGRAM FY 17-18 THROUGH FY 23-24 FY 17/18 FY IN19 FY 19/20 FY 20/21 FY 21/22 FV 2L23 FY 23/24 TOTAL 126,145 150,000 150,000 150,000 150,000 150,000 150,000 1,026,145 3,736,897 6,352,403 6,352,403 6352,403 052,403 6,352,403 6,352,403 41951315 200,000 250,000 250,000 250,000 250,000 250,000 250,000 1,700,000 2,000,000 2,000,000 2,000,000 2,000.000 2,000,000 2,000.000 2,000,000 14,000,000 1,033,604 1,000,000 1,000,000 1,000,000 1,000,000 1,000,000 1,000,000 7,033,604 400.000 400.000 400.000 400,000 400,000 400.000 400.000 2,800.000 13,033,670 0 0 0 0 0 0 13,033.670 20,530316 10,152,403 10,152,403 10,152,403 10,152,403 10,152,403 10,152,403 81,M4,734 600,948 748,500 680,000 180,000 180,000 190,00D 180,000 2,749,448 665,050 100,000 100,000 100,000 100,000 100,000 100,000 165,050 6,313,752 7,182,448 1,063,000 0 0 0 0 14,559200 Total 7,579,750 8,030,948 1,843,000 280,000 280,000 280,000 280,000 1%,373,698 111 UTILITYMRAINAGEILIGHTING ISIPROVEMENTS Planning 150,000 0 0 0 0 0 0 150,000 Sewer lmprovemeota 846,752 2,500,000 3,000,000 0 0 0 0 634,752 Storm@aiNWater Quality 4,045,000 100,000 0 0 0 0 0 5,245,000 Improvement Street Lighting IaVrovemeots 200,000 200,000 200,000 200,000 200,000 200,000 200,000 1,400,000 Water haprovements 3,600,000 4,000,000 0 0 0 0 0 7,600,000 Water/Sewer Facility LrWmvement 2,275,300 1,000,000 3,000,000 0 0 0 0 6~75300 Total 11,117,051 8,900,000 6,200,000 200,000 200,000 20,000 200,000 27A17A52 w. rI ACILITY INIPROVEMENTS Park Facility Improvements 5,740,614 0 0 0 0 0 0 5,740,614 Toal 5,740,614 0 0 0 0 0 0 5,740,614 GRAND TOTAL ",967,732 27,483351 18,195,403 10,632,403 10,632,403 10,632,403 10612403 132,776,098 19 75A-2-41 FISCAL YEAR 2017-18 PROPOSED CITY BUDGET PROPOSED CHANGES TO THE MISCELLANEOUS FEES Community Safety Youth, Education, Recreation Economic Development City Financial Stability Community Health, Livability, Engagement & Sustainability Community Facilities & Infrastructure Team Santa Ana 75A-2-42 Proposed New Miscellaneous Fees FY 2017-2018 PLANNING AND BUILDING AGENCY 1. Conceptual Review "First Look" Fee Existing Fee: None Proposed Fee: $486.90 The "First Look" fee covers staff time to perform conceptual reviews of proposed development projects (pre -submittals). A conceptual review involves two planners and a manager to review documents, discuss, and render a decision on a project. Projected annual revenues are $4,869. 2. Site Plan Review (Public Hearing) Existing Fee: None Proposed Fee: $4,059.96 The Site Plan Review fee is to recover costs associated with taking a site plan to the Planning Commission for a public hearing. Costs such as preparation time by a Senior Planner and Planning Commision Secretary, as well as, incidental supplies/duplication costs necessary to bring a site plan before the Commission are fully covered. Department is anticipating to receive $16,240 annually. PUBLIC WORKS AGENCY 3. Backflow Device Testing Administrative Fee Existing Fee: None Proposed Fee: $87.00 This fee is to recover in full for an hour of staff's time to acquire a backflow, test for a customer not in compliance with Santa Ana Municipal Code (SAMC) and State of California backflow preventer device testing requirements. Due to revisions in SAMC, this fee will now be as set in the Miscellaneous Fees Schedule. Department anticipates $26,000 a year. 4. Backflow Preventer 3rd and Final Notice Fee Existing Fee: None Proposed Fee: $105.20 The Backflow Preventer 3rd and Final Notice Fee is to cover the full costs for staff to generate repeat notices for customers not in compliance with Santa Ana Municipal Code (SAMC) and State backflow preventer device testing requirements. Due to revisions in SAMC, this fee will now be as set in the Miscellaneous Fees Schedule. $52,600 is projected annually by the department in revenue. 75A1-2-43 PUBLIC WORKS AGENCY - Continued 5. Fire Flow Test Application Fee Existing Fee: None Proposed Fee: $24.46 This fee is to recover costs for an Assistant Engineer II to gather pertinent data for performing a witnessed fire flow test. These tests are required of certain development projects by the Orange County Fire Authority. Per revisions in the Santa Ana Municipal Code (SAMC), this fee will now be as set in the Schedule of Miscellaneous Fees. Department anticipates $978 in fees annually. 6. Fire Flow Test Witness Fee Existing Fee: None Proposed Fee: $114.75 This fee covers in full staff time in witnessing the fire flow test performed by a 3rd party in the field. Orange County Fire Authority requires these tests of certain development projects. Due to revisions in the Santa Ana Municipal Code (SAMC), this fee will now be as set in the Schedule of Miscellaneous Fees. $4,590 in fees is anticipated for FY 17-18. 7. Water Service Anolication Fee Existing Fee: None Proposed Fee: $24.46 This application fee recovers staff time gathering and processing pertinent data for the installation of a water meter as requested by customers. Per revisions in the Santa Ana Municipal Code (SAMC), this fee will now be as set in the Schedule of Miscellaneous Fees. Water Enterprise anticipates $1,468 in fees for FY 17-18. 8. Construction Meter Daily Rental CharEe Existing Fee: None Proposed Fee: $2.00 per day This charge is based on the cost of the equipment to be located at a construction site. This fee has been charged and collected per Santa Ana Municipal Code (SAMC) in the past, however due to revisions in the code, this charge will now be as set in the Miscellaneous Fees Schedule. 22 75A-2-44 PARKS, RECREATION, COMMUNITY SERVICES AGENCY 9. Jetoacks (Hotsoots) - Overdue/Loss of Use Fee Existing Fee: Proposed Fee: None $2.00 per day This fee is to deter borrowers from holding on to materials past the due date. Library Services estimates to receive $500 in Overdue/Loss of Use Fees in FY 17-18. 10. Lost/Damaged Jetoacks (Hotsoots) Existing Fee: None Proposed Fee: $10.00 Plus Replacement Cost of Equipment and Materials This fee is to recover in part some of staff's time and costs of materials to prepare a replacement unit for public use. Preparation requires a Library Assistant to unpack and logthe serial number of a unit for inventory and tracking purposes. Before making the hotspots available to patrons, units need to be activated and tested for connectivity. A user guide is printed, and the creation and adhering of labels need to be completed. Staff does not anticipate many replacements in FY 17-18 and therefore estimates $200 in cost recovery. 11. Garfield Community Center Existing Fee: None Proposed Fee: Multi -Purpose Room Group 1 Group 2 Group 8 Group 4 Group 5 N/C $75.54 $126.75 $84.77 $151.91 Dance Room Group 1 Group 2 Group 3 Group 4 Group 5 N/C $33.32 $53.33 $40.00 $80.56 This fee is to recover costs associated with the use of spaces by requestors maintained by Park and Recreation. 2; 75A-2-45 Propgsals to Modify Existing Fees FY 2017-2018 PLANNING AND BUILDING AGENCY 1. Landscape Plan Review -Single Family or Duplex Existing Fee: $ 652.71 Proposed Fee: $ 335.57 Reclassification of the fee name will specify the proper project category and distinguish this charge from two other Landscape Plan Review fees for multiple family (residential), and non-residential/mixed-use. The fee amount is being decreased to stimulate voluntary re -landscaping projects throughout the City. 2. Landscape Plan Review - Triplex. Townhouse. or Multiple Family Existing Fee: $ 652.71 Proposed Fee: $ 620.68 Reclassification of the fee name will specify the proper project category and distinguish this charge from the other two Landscape Plan Review fees for single family/duplex (residential), and non-residential/mixed-use. The fee amount is being decreased to stimulate voluntary re -landscaping projects throughout the City. 3. Landscape Plan Review - Mixed Use or Non-residential Existing Fee: Proposed Fee: $ 1,460.33 Reclassification of the fee name will specify the proper project category and distinguish this charge from the other two residential Landscape Plan Review fees for single family/duplex and triplex/townhouse/multiple family. The fee amount is being decreased to stimulate voluntary re -landscaping projects throughout the City. POLICE DEPARTMENT 4. Driving Under Influence Cost Recovery Existing Fee: Actual Cost Up to $1,000 Proposed Fee: Actual Cost Up to $12,000 (per incident) The proposed action is based on Government Code Section 53150 that allows for the reimbursement of expenses up to $12,000. This increase is in response to obtaining 100% cost recovery when statutes sanction full cost recovery. 14 75A-2-46 POLICE DEPARTMENT - Continued 5. Hit & Run Accident Investigation Existing Fee: Actual Cost Up to $1,000 Proposed Fee: Actual Cost Up to $12,000 (per incident) The proposed action is based on Government Code Section 53150 that allows for the reimbursement of expenses up to $12,000. This increase is in response to obtaining 100% cost recovery when statutes sanction full cost recovery. 6. Police Pursuits Cost Recovery Existing Fee: Actual Cost Up to $1,000 Proposed Fee: Actual Cost Up to $12,000 (per incident) The proposed action is based on Government Code Section 53150 that allows for the reimbursement of expenses up to $12,000. This increase is in response to obtaining 100% cost recovery when statutes sanction full cost recovery. 7. Police Security Services Ponos Personnel FxlsUng Fee (Hourly) Proposed Fee (Hourly) Police Commander 73.78 $86.51 Police Sergeant $102.49 $108.26 Police Officers $85.58 $90.33 PCO, PSO, other Civilian $52.83 $48.39 Proposed modifications would achieve full cost recovery. Department estimates $10,000 to $30,000 annually depending on special events needs. 75A-2-47 Proposals to Delete Fees FY 2017-2018 POLICE DEPARTMENT 1. Police Evidence Photos to CD/DVD Per Image Fee Existing Fee: $1.00 per image Proposed Fee: $0.00 This fee is being eliminated because staff time to set-up and burn one image to a disk is not much different than burning multiple images to a disk. Therefore with the elimination of this fee all Police's evidence photos to CD/DVD would be subject to the $20 per a disk charge. LIBRARY 2. Library Room Rental per Hour Meeting Room: Existing Fee: $46.08 Proposed Fee: $0.00 Kitchenette: Existing Fee: $17.56 Proposed Fee: $0.00 Due to nominal requests to utilize these areas bythe public, the Library has ceased rentingthem. However, these rooms remain available for Library programs and events, as well as, city activities at no charge. 3. UUT Max Tax Processing Fee Maximum: $232.39 per refund Proposed Fee: $0.00 per refund Review & processing: $40.00 per hour Proposed Fee: $0.00 per hour UUT Max Tax Processing Fee is being deleted due to the repeal of the Max Tax Program in November 2014 through ballot Measure AA. 'n 75A-2-48 Community Safety Youth, Education, Recreation Economic Development City Financial Stability Community Health, Livability, Engagement & Sustainability Community Facilities & Infrastructure Team Santa Ana 75A-2-49 75A-2-50 CITY OF SANTA ANA Maple Bike Trail Safety Enhancement Slurry Seal Resurfacing 51" Street near Newhope E33 EXHIBIT 5 Memory lane Resurfacing 75A-2-51 New Memory lane Park = i ccGoW- cc 0 H W InfraF&wturelm-prove ats City 1� w v 2 a >Ya d m N C N C o(D Q) )aa �a `m 2 c= = E m E m"m= t a) >�<o c nm ma � 1 o� npr a) c ^No 0 a) C0 U) 0)a) N d 1 d O C� a)U o N Q mfn NUM m m a) G7 q. .0 M 0 c E (� 7 ° cp��mmcmmcmo �,N V. > a) Ow -y Om Gm>a)m«omflm �Q o c Nha)�- U na mE° CD �, o o N C E 0 a) 3 C d �,,, o m E c= m ma d J CD<CN N a) •R N m U m =O Z N 'NO s w = N LL C "O U �L70 tm 'C rm+ ��OO= yc�O ���OO N L 0 .-. 0 00 Y V N ,F o O N f6 � n Q C m c C nm O nC O C n`a �a nM 07 U a a) O O' J 0 7- w, O O m 41 N Z O 2 `-• Y a) ) E tE C) z m N U C c 'C N m t ip Q w C N C o H o fl.� a>i C V- o m> of c ~ m oQ.cm �� 1 ac) nQ E•y W p mr Qaa)) aN.0 m m W c� d E N a) E �+ 9 C a) U > > o m m �'m a mop rnm�af- W d O� o U Ll Z c o= CL O° �, E r ui E _ W m..F- .J E c m o Q noa N •y Z N ° m > �N p > E� m�- m3a a) CD Q m m 0 .2:Z O °U Q WUNEpo mm g moo UU) OLa a�w a) O =5 w atm Cts = N o Z m C 0 n. 3~ �� m m X �� m w,X ° O o= m >,� vim C E Z m:= E mn a) N 10 0 mom- c nU O'u� =2) cm �.�° � ai o mw c m N W ° Q o)E -No U �Ya m _ N E Egm COw' ZQ c'o ` . y Q. m— o E o> E >, " m wU U.1 cL o v U2 v cL] nU E� UUI`H `o_ N a a) m s '-' U ()I m a) C a >, t a) 70-0 a) j ^.y C w a1 .-'m0 f`6 C m 7 +' m m m o d a a_ c H M O� 3� Vas ° a c o o o U 7 (D , _j - Qo c m (a CD (n-00�� �w c na) nm o m m a) N a) �- o m c �.s c .,_. 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O. sz? pi Uj JI 5' w: ❑1 31 LL. al _ dl m� `o c at 'cl �I . ) UI U; ); U; U. ) U � 4 6 a. a c m a s m b O h N N O b Fry'" O a a • a n N� yi N� a E OL a: o-: w• T 5: a N C: u): O' Ni 5A-2-158 u '9: @: o OE.: C W: `a.12 U 25. s d, mom: �, a; @, 0. m 3• w; m; '� Y: C N: o b O h N N U co O b Fry'" O r d 0 N� yi N� a E OL a: o-: w• T 5: a C: u): O' Ni 5A-2-158 U co 0 0 75A-2=1 59 rn CORRESPONDENCE 75A-2-161 75A-2-162 SANTA ANA' CHAMBER OF COMMERCE May 22, 2017 Mayor, Mayor Pro Tem, City Council Members and City Manager 20 Civic Center Plaza Santa Ana, CA 92701 RE: City of Santa Ana 2017-2018 General Fund Trial Budget Dear Esteemed City Leaders: The Executive Committee members of the Santa Ana Chamber of Commerce Economic Development Council would like to thank you for partnering with us in providing $500k to support a comprehensive public relations outreach, Destination Santa Ana website development and ongoing Chamber business acquisition and retention events, all designed to increase tourism and thereby fuel economic development. As you know, the Economic Development Council, co-chaired by Marc Morley from the City's Economic Development Division and Michael Weisman, CEO of Amusement Park, is comprised of a diverse cross-section of city stakeholders representing every major sector including, commercial and retail business, education, arts, culture, development, technology, marketing communications, education, finance and healthcare. The collective vision of the Council is to propel economic development through the creation of unified communications campaigns, citywide events, and business retention programs all to position Santa Ana as the face of the "new urbanism" movement in Southern California. You will be receiving ongoing updates as to the progress of all of the above mentioned initiatives. It is in that spirit of partnership that we now ask for you to consider additional funding to further empower a comprehensive, sustainable marketing communications effort. It has been brought to our attention that another $500k (originally set aside in the current budget) remains available for complimentary efforts. We have authored a plan which enables us to move from the development phase of building a strategic PR plan and website infrastructure, to an activation stage of reaching the region with outbound marketing messaging. We are prepared to share that plan at your earliest convenience. We also realize that the city engaged with an external marketing firm for purposes of rebranding and that a report is due soon with recommendations for future communications. We propose that the city engages with the Chamber EDC to manage not only our current PR, website and event activities but also the rebranding recommendations coming from 1631 W. Sunflower Ave #C-35, Santa Ana, CA 92704 (714) 541-5353 75A-2-163 the consultant. Based on the branding feedback, we can create a messaging plan to activate the branding effort. It's absolutely in the best interest of the city and all stakeholders to insure that the work completed thus far is sustained indefinitely. Most importantly, the current city budget has no line item for economic development. For the developer and business communities who are presently evaluating Santa Ana for investment, no budget for economic development creates "messaging implications" that could make them pause and question the city and its priorities. During Mr. Cavazo's tenure, we approached the city with a recommendation to establish an ongoing Economic Development/Marketing & PR Fund to support a citywide marketing/toudsm effort as many other cities utilize to support their own campaigns. At this point in time it appears as though Santa Ana Hotel & Visitor's taxes, $9,600,000 currently, are absorbed into the general fund but could provide a substantial funding mechanism for a tourism/branding effort. At the time, we proposed allocating 5% of the existing Hotel & Visitor's tax and 50% of the Hotel & Visitor's Tax from any new hotels (25% to be placed into a Tourism Fund and 25% to go to the City to enhance these efforts as well). We want to ensure that there is a line item included in the 2017-2018 budget for economic development/marketing/tourism and PR. Without this included in the budget there will be no funding to sustain or build upon the infrastructure created this year or to implement a sustainable external marketing campaign including the new branding of Santa Ana. We will make ourselves available to meet to discuss securing a permanent funding mechanism to support future economic development because the effort will ultimately help grow tax generation, which will help the city, its business and residential communities. We truly see the investment in an economic development infrastructure as an investment in our collective future. We look forward to continuing a sustainable public/private, symbiotic relationship between the city and the chamber EDC. Sincerely, David Elliott President, Santa Ana Chamber of Commerce Michael Weisman Co -Chair, Santa Ana Chamber of Commerce, Economic Development Council CEO, Amusement Park 1631 W. Sunflower Ave #C-35, Santa Ana, CA 92704 (714) 541-5353 75A-2-164 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: PUBLIC HEARING — ORDINANCE AMENDMENT NO. 2017-01 TO AMEND CERTAIN SECTIONS OF CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE (MEDICAL MARIJUANA COLLECTIVES/ COOPERATIVES) — CITY OF SANTA ANA, APPLICANT (STRATEGIC PLAN NOS. 3,2; 3, 5 CI ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt an ordinance approving Ordinance Amendment No. 2017-01. BACKGROUND On November 4, 2014, Santa Ana voters approved Santa Ana's Medical Marijuana Regulatory Program ordinance ("Measure BB") which was codified in sections of chapters 18 and 21 of the Santa Ana Municipal Code (SAMC). Following the adoption of Measure BB, the City established an implementation plan, enforcement program, administrative policies, and best practices. Since then, 15 of the 20 permitted medical marijuana collectives/cooperatives have opened retail dispensaries where medical marijuana is sold. In May 2016, following initial implementation, the City held a roundtable discussion that invited stakeholders, dispensary owners, and members of the medical marijuana industry to meet with City staff regarding the implementation of Measure BB. A second roundtable was held in February 2017. Participants of the roundtable discussions voiced opinions on various aspects of the regulatory program and provided recommendations for code amendments to treat the 20 permitted collectives/cooperatives as any other similar use, such as a retail drug store. Staff also reviewed Measure BB to identify portions of the ordinance that, if amended, would streamline implementation, eliminate unenforceable provisions, and establish administrative procedures for revocation and transferability while ensuring that any potential impacts would be mitigated. Staff then prepared options for ordinance amendments to recognize these uses are no different than uses that sell prescription drugs. The ordinance revisions were presented to the Public Safety, Code Enforcement & Neighborhood Empowerment Council Committee on May 9, 2017, and their comments were included in the proposed zoning ordinance amendments. The proposed amendments are described in the Description section on the following page. 75C-1 Ordinance Amendment No. 2017-01 — Amending Certain Sections of Chapter 18 (Medical Marijuana Collectives/Cooperatives) of the Santa Ana Municipal Code June 6, 2017 Page 2 DESCRIPTION Table 1 — Proposed Amendments to Measure BB Item Current Ordinance Proposed Amendment Impact Signage Allows one (1) non- Allow installation of wall Applies same rules that illuminated wall sign up to 10 signs in compliance with the apply to any other square feet in size. standard sign code commercial establishment contained within Article XI of Cha ter 41 Zonin Hours of Operation Limited to 10:00 a.m. to 5:00 Allow extended hours of Applies same rules that p.m. (Monday to Saturday) operation: 10:00 a.m. to apply to any other and 11:00 a.m. to 7:00 p.m. 12:00 a.m. (midnight) daily commercial establishment Sunda Overnight Cash Limit $200 overnight limit Eliminate overnight cash limit Removes an unenforceable altogether standard and applies same treatment as any other commercial establishment Testing Laboratories/ Silent. Testing/R&D is Allow in industrial (M-1 and Provides opportunities for Research and allowed for other uses in M-2) and one commercial (C- quality control of medical Development ("R&D)" industrial (M-1 and M-2) and 2) district marijuana products, expands one commercial (C-2) economic development districts opportunities that employ highly -skilled workers, and treats medical marijuana similar to any other drug (such as Tylenol or Lipitor) that requires product testing Delivery Prohibited Allow delivery to qualified Removes an unenforceable patient or caregiver, or standard and applies same testing/research and treatment as any other development fa ili commercial establishment Financial Audits Full audit by independent Allow full audit or financial Allows financial information CPA required by February review, and move annual to be documented in a 15 annually deadline to June 30 variety of means, and moves annual deadline to a date more consistent with generally -accepted accounting principles Revocation Contains "violation and Establishes revocation, Establishes revocation Procedures, enforcement' section without inspection, and transferability procedures when a licensed Inspections, and specific procedure. Silent on procedures facility is found to be in Permit Transferability transferability violation of any applicable ordinance, and establishes procedures if facilities undergo changes in ownership and permits are proposed for transfer Definitions for Silent; the current ordinance Define "Delivery" and Provides clarity in matters of "Delivery" and "Testing does not define these terms. "Testing laboratory" interpretation and Laboratory" implementation 75C-2 Ordinance Amendment No. 2017-01 —Amending Certain Sections of Chapter 18 (Medical Marijuana Collectives/Cooperatives) of the Santa Ana Municipal Code June 6, 2017 Page 3 The proposed amendments will clarify administrative procedures, remove certain unenforceable provisions such as overnight cash reserve limits, and treat the collectives/cooperatives similar to other establishments where prescription drugs are sold. Moreover, staff has reviewed the proposed amendments to ensure consistency with other provisions of the Santa Ana Municipal Code, including Chapter 41 (Zoning). Based on the information and analysis in this report, staff recommends adopting Ordinance Amendment No. 2017-01. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Objective #3 (promote a solutions -based customer focus in all efforts to facilitate development and investment in the community), and Objective #5 (leverage private investment that results in tax base expansion and job creation citywide). FISCAL IMPACT There is no fiscal impact associated with this action. Has ani, ACP Executive Director Planning & Building Agency AP:rb aptreports\Staff Reports for CC \ OA2017-01 cc 060617 Exhibit: 1. Ordinance 75C-3 75C-4 LS 6.6.17 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CERTAIN SECTIONS OF CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE PERTAINING TO MEDICAL MARIJUANA COLLECTIVES (SECTION 18-611, SECTION 18-613 SECTION 18-615, SECTION 18-617.5, SECTION 18-618, SECTION 18-620, SECTION 18-621, AND SECTION 18-622 OF ARTICLE XIII OF CHAPTER 18) THE CITY COUNCIL OF THE CITY OF SANTA ANA HEREBY ORDAINS AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 4, 2014, Santa Ana voters approved Santa Ana's Medical Marijuana Regulatory Program ordinance ("Measure BB") allowing up to twenty (20) medical marijuana retail cannabis collectives/cooperatives ("dispensaries"). B. Following the adoption of Measure BB, the provisions of the measure were codified in Chapters 18 and 21 of the Santa Ana Municipal Code. The City also established an implementation plan, enforcement program, administrative policies, and best practices. C. In May 2016, following initial implementation of the ordinance, the City held a roundtable discussion that invited stakeholders, dispensary owners, and members of the medical marijuana industry to meet with City staff regarding the implementation of Measure BB. A second roundtable was held in February 2017. Participants of the roundtable discussions voiced opinions on various aspects of the regulatory program and provided their recommendations for future policy level consideration. D. Following these roundtable discussions, staff prepared options to streamline Measure BB and create more business -friendly conditions for the existing collectives/cooperatives. E. The City of Santa Ana proposes to amend Chapter 18 to allow the following eight (8) modifications to the existing medical marijuana ordinance/Measure BB: 1. Increased signage opportunities, 2. Increased hours of operation, 3. Eliminate cash reserve limits, 4. Allow testing/research and development facilities, 5. Allow delivery services to residences, 6. Amend financial audit requirements, 7. Adopt by ordinance certain administrative procedures, and 8. Add definitions to the ordinance, as well as general updating of the ordinance. F. All provisions of the Santa Ana Municipal Code which are repeated herein are repeated solely in order to comply with the provisions of section 418 of the Charter Ordinance No. NS-XXXX 75C-5 Page 1 of the City of Santa Ana. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action or decision of the City Council, but rather such provisions are repeated for tracking purposes only in conformance with the Charter. Section 2. Pursuant to the California Environmental Quality Act ("CEQA") and the state CEQA Guidelines, the adoption of this Ordinance is exempt from CEQA review pursuant to California Code of Regulations section 15061(b)(3), which is applicable if it can be seen with certainty that there is no possibility that the project may have a significant effect on the environment. As a result, a Notice of Exemption will be filed upon the adoption of this ordinance. Section 3. Section 18-611, subdivisions (r), (s) and (t) are hereby added to Article XIII of Chapter 18 of the Santa Ana Municipal Code to read in full as follows: Sec. 18-611. - Definitions. (Not in alphabetical order) (a) "Cultivation" and/or "Cultivate" shall mean the planting, growing, harvesting, drying, processing, or storage of one (1) or more marijuana plants or any part thereof. (b) "Medical marijuana collective" or "cooperative" or "collective" means any facility or location where medical marijuana is made available and/or distributed by or to one (1) or more of the following: a primary caregiver, a qualified patient or a person with an identification card in strict accordance with California Health and Safety Code Section 11362.5 et seq., as sometimes amended. A "medical marijuana collective" shall not include the following uses, as long as the location of such uses are otherwise regulated by this Code or applicable law: a clinic licensed pursuant to Chapter 1 of Division 2 of the Health and Safety Code, a health care facility licensed pursuant to Chapter 2 of Division 2 of the Health and Safety Code, a residential care facility for persons with chronic life-threatening illness licensed pursuant to Chapter 3.01 of Division 2 of the Health and Safety Code, a residential care facility for the elderly licensed pursuant to Chapter 3.2 of Division 2 of the Health and Safety Code, a residential hospice or a home health agency licensed pursuant to Chapter 8 of Division 2 of the Health and Safety Code, as long as such use complies strictly with applicable law including, but not limited to, Health and Safety Code Section 11362.5 et seq. €OF PUFPeses of (c) "Identification card" shall have the same definition as that contained in Health and Safety Code § 11362.7 et seq., as sometimes amended. (d) "Manager" means any person responsible for the establishment, organization, supervision, or oversight of the operation of a Collective, including but not limited to members who perform the functions of president, vice-president, director, operating officer, financial officer, secretary, or treasurer. Ability to control one (1) or more of the following functions shall be prima facie evidence that such person is a manager: (1) To hire, select, or separate employees or staff, including volunteers; (2) To acquire facilities, furniture, equipment or supplies other than occasional replenishment of stock; Ordinance No. NS-XXXX 75C-6 Page 2 (3) To disburse funds of the business other than occasional expenditures for replenishment of stock; or (4) To make, or participate in making, policy decisions relative to the operations of the business. (e) "Marijuana" shall have the same definition as that contained in Health and Safety Code § 11018 as sometimes amended. (f) "Medical marijuana" shall have the same definition as that contained in Health and Safety Code § 11362.5 et seq., as sometimes amended. (g) "Primary caregiver" shall have the same definition as that contained in Health and Safety Code § 11362.5 and 11362.7, as sometimes amended. (h) "Qualified patient" shall have the same definition as that contained in Health and Safety Code § 11362.5 as sometimes amended. (i) "Private Residence" shall have the same definition as that contained in Health and Safety Code section 11362.2(5). (j) "Premises" means a single, legal parcel of property. Where contiguous legal parcels under common ownership or control, such contiguous legal parcels shall constitute a single "premises" for purposes of this chapter. (k) "Parcel" means property assigned a separate parcel number by the Orange County assessor. (1) "Marijuana Products" shall have the same definition as that contained in Health and Safety Code section 11018.1. (m) "Marijuana Accessories" shall have the same definition as that contained in Health and Safety Code section 11018.2. (n) "Personal Cultivation" shall mean the planting, cultivating, harvesting, drying, or processing of marijuana plants for personal use within a private residence or accessory structure to a private residence. (o) "Commercial Cultivation" shall mean the planting, cultivating, harvesting, drying, or processing of marijuana plants in any structure other than a private residence. (p) "Outdoor Cultivation" shall mean the planting, cultivating, harvesting, drying, or processing of marijuana plants in any location within the City of Santa Ana that is not within a fully enclosed and secure structure. (q) "Fully enclosed and secure structure" means a space within a building, greenhouse or other structure which has a complete roof enclosure supported by connecting walls extending from the ground to the roof, which is secure against unauthorized entry, provides complete visual screening, and which is accessible only through one or more lockable doors. (r) "Delivery" means the commercial transfer of medical cannabis or medical cannabis products from a dispensary, up to an amount determined to be authorized by the State of California, or any of its departments or divisions, to qualified patients and their caregivers, or a testing laboratory. "Delivery" also includes the use by a dispensary of any technology platform owned, controlled, and/or licensed by the dispensary, or independently licensed by the State of California under the State law (as amended from time to time), that enables anyone to arrange Ordinance No. NS-XXXX 75C-7 Page 3 for or facilitate the commercial transfer by a licensed dispensary of medical cannabis or medical cannabis products. For the purposes of this article, "delivery" does not include distribution or purchase of cannabis from a licensed cultivator, and cannabis products from a licensed manufacturer, for sale to a licensed dispensary or a wholesale establishment. (s) "Dispensary' means a premises where medical cannabis or medical cannabis products, or devices for the use of medical cannabis or medical cannabis products are offered, either individually or in any combination, for retail sale, including an establishment that delivers, pursuant to Business and Professions Code 6 19340, medical cannabis and medical cannabis products as part of a retail sale. (t) "Testing laboratory' means a facility, entity, or site in the City of Santa Ana that offers or performs tests of medical cannabis or medical cannabis products and that is both of the following: laboratory testing pursuant to State law. "Testing laboratory" does not include or allow cultivation as it relates to testing and research. (u) "Responsible person" means any of the following: (1) A person who causes a Code violation to occur. (2) A person who maintains or allows a Code violation to continue, by his or her action or failure to act. (3) A person whose agent, employee, or independent contractor causes a Code violation by its action or failure to act. (4) A person who is the owner of, and/or a person who is a lessee or sub lessee with the current right of possession of, real property where a property -related Code violation occurs. (5) A person who is the on-site manager of a business who normally works daily at the site when the business is open and is responsible for the activities of such premises. Section 4. Section 18-613 of Article XIII of Chapter 18 of the Santa Ana Municipal Code is hereby amended to read in full as follows: Sec. 18-613. - Operating Standards. Ordinance No. NS-XXXX 75C-8 Page 4 (a) At all times the collective is open, a collective shall provide at least one security guard who is licensed, possesses a valid Department of Consumer Affairs "security guard card", and has a valid Santa Ana Business License. (b) The security guard and collective personnel shall monitor the site and the immediate vicinity of the site to assure that patrons immediately leave the site and not consume medical marijuana in the vicinity of the collective or on the property or in the parking lot. (c) Exterior signage shall comply with Article XI of Chapter 41 of the Santa Ana Municipal Code hA lmrnmtpd to one and may not be externally or internally illuminated. Interior signage or advertising may not be visible from the exterior. Collectives and dispensaries must comply with the advertising and marketing provisions of Business and Professions Code 4§_2L6150-26155. (d) No recommendations from a doctor for medical marijuana shall be issued on-site. (e) There shall be no on-site sales of alcohol or tobacco products, and no on-site consumption of food, alcohol, tobacco or marijuana by patrons. (f) Hours of operation shall be limited to: Meaday gatacday 10:00 a.m. to 12 a.m. (midnight) (g) The property provides a sufficient odor absorbing ventilation and exhaust system so that odor generated inside the property is not detected outside the property, anywhere on adjacent property or public rights-of-way, or within any other unit located within the same building as the collective. (h) A collective shall only dispense medical marijuana to qualified patients and their caregivers as defined by California Health and Safety Code § 11362.5 (Proposition 215). This shall include possession of an original valid doctor's recommendation, not more than one (1) year old, for medical marijuana use by the patient. (i) A collective shall notify patrons of the following both verbally and through posting of a sign in a conspicuous location: (1) Use of medical marijuana shall be limited to the patient identified on the doctor's recommendation. Secondary sale, barter or distribution of medical marijuana is a crime and can lead to arrest. (2) That loitering on and around the collective site is prohibited by California Penal Code § 647(e) and that patrons must immediately leave the site and not consume medical marijuana in the vicinity of the collective or on the property or in the parking lot. (3) Forgery of medical documents is a felony crime. (4) A warning that patrons may be subject to prosecution under federal marijuana laws. (5) That the use of medical marijuana may impair a person's ability to drive a motor vehicle or operate machinery. 0) A collective shall not provide marijuana to any individual in an amount not consistent with personal medical use. Ordinance No. NS-XXXX 75C-9 Page 5 (k) GGI1eGted or; that bUSiRess da Reserved. (1) No one under twenty-one (21) years of age shall be permitted to enter establishment, unless such person is a qualified patient and is accompanied by his or her primary caregiver, licensed attending physician, parent(s) or documented legal guardian. (m) A collective shall provide the name and phone number of an on-site staff person to the police department and the Code Enforcement Division of the Planning and Building Agency for notification if there are operational problems with the establishment. (n) Each collective operator(s) and employees shall complete a criminal background check. Employees, managers or volunteers may not have been convicted of, or plead guilty/no- contest to a felony or misdemeanor drug charge within the past four (4) years. (o) Marijuana shall not be grown or cultivated at collective sites, except that cuttings of the marijuana plant may be kept or maintained on-site for distribution to qualified patients and primary caregivers as follows: (1) The cuttings shall not be utilized by a collective as a source for the provision of marijuana for consumption on-site, however, upon provision to a qualified patient or primary caregiver, that person may use the cuttings to cultivate marijuana plants off-site for their own use and they may also return marijuana from the resulting mature plant for distribution by the collective. (2) For the purposes of this paragraph, the term "cutting" shall mean a rootless piece cut from a marijuana plant, which is no more than six (6) inches in length, and which can be used to grow another plant in a different location. (p) A collective shall comply with applicable provisions of the California Health and Safety Code §§ 11362.5 through 11362.83, inclusive. (q) If food is distributed, the collective shall comply which with all relevant state laws and city ordinances pertaining to the preparation, distribution and sale of food. (r) The location, interior and exterior, shall be monitored at all times by web -based closed-circuit television for security purposes. The camera and recording system must be of adequate quality, color rendition and resolution to allow the ready identification of any individual committing a crime anywhere on or adjacent to the location. The recordings shall be maintained for a period of not less than ninety (90) days. The police department may request the recordings in connection with an investigation. If the recordings are not voluntarily provided, the police department may seek a warrant or court order for the recordings. (s) The location shall have a centrally -monitored fire and burglar alarm system and the building or the portion of the building where the collective is located shall contain a fire -proof safe. (t) No manufacture of concentrated cannabis in violation of California Health and Safety Code section 11379.6 is allowed. (u) No collective shall operate for profit. Cash and in-kind contributions, reimbursements, and reasonable compensation provided by members towards the collective's actual expenses of the growth, cultivation, and provision of medical marijuana shall be allowed provided that Ordinance No. NS-XXXX Page 6 75C-10 they are in strict compliance with State Law. All such cash and in-kind amounts and items shall be fully documented. (v) If the collective operator is not the owner of the property where the collective is to operate, the operator shall provide evidence that the property owner(s) consent to the operation of a collective on the property. (x) Occupancy shall not exceed that required under the Uniform Building Code and Uniform Fire Code, and the maximum occupancy load shall be posted at the main entrance. Section 5: Section 18-615 of Article XIII of Chapter 18 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 18-615. - Zones permitted. (a) Collectives. No collective shall operate within a residential (R-1, R-2, R-3, R-4, RE, CR) zone, Professional (P) zone, Arterial Commercial (C-5) zone, Planned Shopping Center (C-4) zone, Specific Development (SD), Specific Plan (SP) or Agricultural (A-1) zone. A Collective may only operate in an Industrial zone (M-1, M-2) in accordance with this article. permitted under Chapter 41 of the Santa Ana Municipal Code, including where specified in any specific development, specific plan, or other special development areas. Section 6: Section 18-617.5 of Article XIII of Chapter 18 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 18.617.5. - Audits. Annual audits. No later than €ebFuary-15 June 30 of every year, each collective shall file with the city one (I ) sepy-ef an audit or financial review of its operations of the previous calendar year. The form and contents of the document shall be specified by the Executive Section 7: Section 18-618 of Article XIII of Chapter 18 of the Santa Ana Municipal Code is hereby amended to read in full as follows: Sec. 18-618. - Inspection and enforcement responsibilities. The GOMMURity pFeseFVatIGR division Code Enforcement Division of the Planning and Building Agency may enter and inspect the location of any collective between the hours of 10:00 a.m. and 8:90 p.m. 12:00 a.m. (midnight), or at any reasonable time, to ensure compliance with this article. In addition, a designated unit within the police department may enter and inspect the Ordinance No. NS-XXXX 75C-11 Page 7 location of any collective and the recordings and records maintained as required by this article, except that the inspection and copying of private medical records shall be made available to the police department only pursuant to a properly executed search warrant, subpoena, or court order. It is unlawful for any owner, responsible person, landlord, lessee, member (including but not limited to a member engaged in the management), or any other person having any responsibility over the operation of the collective to refuse to allow, impede, obstruct or interfere with an inspection, review or copying of records and closed-circuit monitoring authorized and required under this article, including but not limited to, the concealment, destruction, and falsification of any recordings, records, or monitoring. Section 8: Section 18-620 of Article XIII of Chapter 18 of the Santa Ana Municipal Code is hereby amended to read in full as follows: Sec. 18-620. - Compliance with this article and state law. (a) It is unlawful for any person to: (i) Cause, permit or engage in the cultivation, possession, distribution or giving away of marijuana, or (ii) Own establish, operate, use or permit the establishment or operation of a medical marijuana collective or cooperative, or to participate as an employee, contractor, agent, responsible person or volunteer of a collective or cooperative, except as provided in this article, and pursuant to any and all other applicable local and state laws. vehicle, or other mode of transportation. (b) It is unlawful for any person to cause, permit or engage in any activity related to medical marijuana except as provided in Health and Safety Code Sections 11362.5 et seq., and pursuant to any and all other applicable local and state laws. (c) It is unlawful for any person to knowingly make any false, misleading or inaccurate statements or representations in any forms, records, filings or documentation required to be maintained, filed or provided to the city under this article, or to any other local, state or federal government agency having jurisdiction over any of the activities of collectives. (d) It shall be the sole responsibility of the members engaged in the management of the collective to ensure that the collective is at all times operating in a manner compliant with all applicable state laws and this article. Nothing in this article shall be construed as authorizing any actions which violate state law with regard to the cultivation, transportation, provision, and sale of medical marijuana. (e) Cultivation of Marijuana. (1) Personal Cultivation. Individuals 21 years of age or older may plant, cultivate, harvest, dry, or process up to (6) living marijuana plants for Ordinance No. NS-XXXX 75C-12 Page personal use in a private residence or accessory structure to a single private residence in the City of Santa Ana and must comply with the following requirements: (i) The marijuana cultivation area shall be located indoors within a private residence or accessory structure on a single parcel of property; (ii) No more than six (6) living marijuana plants is permitted for indoor personal cultivation; (iii) Marijuana in excess of 28.5 grams produced by plants kept for indoor personal cultivation must be kept in a locked space on the grounds of the private residence not visible from the public right -of way. (iv) There shall be no exterior visibility or evidence of marijuana cultivation outside the private residence from the public right-of- way, including but not limited to any marijuana plants, equipment used in the growing and cultivation operation, or any light emanating from the cultivation; or (v) The cultivation may not violate any California Building, Electrical or Fire Codes or any other health and safety standards. (2) Commercial Cultivation. Commercial cultivation of marijuana or medical marijuana is prohibited anywhere in the City. No person, including a qualified patient or primary caregiver, shall engage, permit, or participate in the commercial cultivation of marijuana in the City. (3) Outdoor Cultivation. Outdoor cultivation of marijuana or medical marijuana is prohibited anywhere in the City. No person, including a qualified patient or primary caregiver, shall engage, permit, or participate in the outdoor cultivation of marijuana in the City. (4) Nuisance. (i) It is hereby declared to be unlawful, a public nuisance, and a violation of this Chapter for any person owning, leasing, occupying, or having charge or possession of any parcel within the City to cause or allow such parcel to be used for the cultivation of marijuana, unless the person is authorized by state law to grow marijuana within a private residence, and such authorized person is complying with all requirements of this Chapter. (5) Public Nuisance Prohibited. (i) It is hereby declared to be unlawful and a public nuisance for any person owning, leasing, occupying, or having charge or possession of any parcel within the City to create a public nuisance in the course of cultivating marijuana plants or any part thereof in any location, indoor or outdoor. A public nuisance may be deemed to exist, if such activity produces: Ordinance No. NS-XXXX 75C 3 Page 9 (1) Odors which are disturbing to people of reasonable sensitivity residing or present on adjacent or nearby property or areas open to the public; (2) Repeated responses to the parcel by law enforcement personnel; (3) A repeated disruption to the free passage of persons or vehicles in the neighborhood, excessive noise which is disturbing to people of normal sensitivity on adjacent or nearby property or areas open to the public; (4) Any other impacts on the neighborhood which are disruptive of normal activity in the area including, but not limited to, grow lighting visible outside the dwelling, excessive vehicular traffic or parking occurring at or near the dwelling, and excessive noise emanating from the dwelling. (5) Outdoor and Commercial growing and cultivation of marijuana. dispensary may deliver medical marijuana only to a residence of a qualified patient or caregiver. Medical marijuana delivery services by dispensaries possessing regulatory or county that does not expressly prohibit it by ordinance. Delivery services by dispensaries not in possession of regulatory safety permits is expressly prohibited. Section 9: Section 18-621 of Article XIII of Chapter 18 of the Santa Ana Municipal Code is hereby amended to read in full as follows: Sec. 18-621. - Violation and enforcement. A. Violation/enforcement. Each and every violation of this article shall constitute a separate violation and shall be subject to all remedies and enforcement measures authorized by this Code. Additionally, as a nuisance per se, any violation of this article shall be subject to injunctive relief, revocation of the collective's registration, revocation of the certificate of occupancy for the location, disgorgement and payment to the city of any and all monies unlawfully obtained, costs of abatement, costs of investigation, attorney fees, and any other relief or remedy available at law or equity. The city may also pursue any and all remedies and actions available and applicable under local and state laws for any violations committed by the collective and persons related or associated with the collective. Ordinance No. NS-XXXX 75C-14 Page 10 B. Suspension or revocation. When the Chief of Police finds that any person holding a regulatory safety permit under the provisions of Chapter 18 has violated the provisions of this chapter or is found revocation shall become effective until the regulatory safety permit holder has been effective only upon decision of the city council. Otherwise, the revocation shall become effective after the timely appeal period has passed. Section 10: Section 18-622 of Article XIII of Chapter 18 of the Santa Ana Municipal Code is hereby added to read in full as follows: Sec. 18-622. — Transfer of Ownership. A. Upon the transfer of any interest in a collective/cooperative, the regulatory safety permit shall be null and void. Any person, firm or entity desiring to own or operate the collective/cooperative shall make a new application. Prior to or concurrent with the with before the doing of any act or thing for which it is required. A fee as established by resolution of the city council shall be payable for each such application involving transfer of safety permit for premises previously used as such establishment. B. Any such transfer of any interest in an existing collective/cooperative or any application for an extension or expansion of the building or other place of business of the collective/cooperative shall require inspection and compliance with section 18-618 of this chapter. C. The owner or operator of a collective/cooperative shall be responsible for notifying the city of any intention to rename change management, or convey the business to another Person/entity. Notification to the City must be made a minimum of sixty (60) days prior to such transfer. Section 11: Section 18-622-649 of Article XIII of Chapter 18 of the Santa Ana Municipal Code is hereby amended to read in full as follows: Secs. 18.6223-18-649. - Reserved. Ordinance No. NS-XXXX 75C-15 Page 11 Section 12. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of APPROVED AS TO FORM Sonia R. Carvalho, City Attorney By: ✓1�,� Lisa Storck Assistant City Attorney AYES Miguel A. Pulido Mayor Councilmembers: NOES: Councilmembers: ABSTAIN: NOT PRESENT: Councilmembers: Councilmembers: 2017. CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75C-16 Ordinance No. NS-XXXX Page 12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: PUBLIC HEARING — RESOLUTION DETERMINING PUBLIC INTEREST AND NECESSITY FOR THE ACQUISITION OF REAL PROPERTY AT 1922 (ALSO KNOWN AS 2006) AND 2002 WEST 5TH STREET (PROJECT NO. 17-6766) (NONGENERAL FUND) (STRATEGIC PLAN NOS. 3,2C AND 4B; 6, 1G) / CQMANAGER `� RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1:i Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution determining the public interest and necessity for the acquisition of the entire real property located at 1922 (also known as 2006) and 2002 West 5th Street (APNs 007-100-04, 007-100-05). DISCUSSION On March 15, 2016, a Design Cooperative Agreement (Agreement) with the Orange County Transportation Authority (OCTA) was approved by the City Council for the design of the OC Streetcar Project (Project). The Agreement outlined the general roles and responsibilities of the City of Santa Ana and OCTA for the design phase of the Project. The Agreement was subsequently executed by OCTA on May 9, 2016. On April 4, 2017, an amendment to the Agreement was approved by City Council and OCTA. The amendment included a revised scope outlining additional City staff and consultant legal services to support OCTA's right-of-way team in the acquisition of the properties required for the OC Streetcar Maintenance and Storage Facility. The City agreed to be the lead agency for all eminent domain proceedings and activities, also known as condemnation, pertaining to Assessor Parcel Numbers 007-100-04, 007-100-05, and 007-110-17, and their respective owners and occupants, including hearing and adopting Resolutions of Necessity, filing Complaints in Eminent Domain, and obtaining Orders of Prejudgment Possession. City staff and consultant time for this work will be reimbursed by OCTA per the revised work plan incorporated in the amendment to the Agreement. Also per the Agreement, OCTA will hold 75D-1 Public Hearing — Resolution Determining Public Interest and Necessity of Property at 1922 (aka 2006) and 2002 West 5th Street June 6, 2017 Page 2 harmless and defend the City in any litigation matters arising out of these condemnation proceedings. To accommodate the construction of the OC Streetcar Maintenance and Storage Facility, the acquisition of parcels 007-100-04 and 007-100-05 at 1922 (also known as 2006) and 2002 West 5th Street is required (Exhibit 1). Prior to City involvement, OCTA had made a diligent effort to negotiate with the property owners and their representatives for the past 6 months. A good faith offer was made on October 18, 2016, in the amount of $2,239,000 (Exhibit 2). An additional good faith offer of $423,850 for Improvements Pertaining to Realty (IPR) was made on November, 2016 (Exhibit 3). These good faith offers are based on appraisals prepared by California State licensed appraisers following precise legal guidelines. The City and OCTA have made, and will continue to make, every effort to reach a settlement with the property owner. However, to maintain the OC Streetcar project schedule, staff is requesting adoption of a Resolution of Necessity (Exhibit 4) which will allow negotiations to continue while condemnation proceedings are initiated. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet the following Strategic Plan Goals: 1. 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). 2. 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). 3. 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; e.g., transit vision, street car, fixed guideway project, SARTC master plan, Bristol Street widening, neighborhood streets, traffic improvements, park facilities, sport fields, soccer fields, senior centers, bike master plan, etc.). 75D-2 Public Hearing — Resolution Determining Public Interest and Necessity of Property at 1922 (aka 2006) and 2002 West 5th Street June 6, 2017 Page 3 ENVIRONMENTAL IMPACT On January 20, 2015, by Resolution No. 2015-004 and following a duly noticed public hearing, the City Council certified the Revised Environmental Assessment/Final Environmental Impact Report for the Santa Ana -Garden Grove Fixed Guideway Project, otherwise known as the "OC Streetcar" project. FISCAL IMPACT There is no fiscal impact to the City associated with this action. OCTA will deposit the necessary funds to acquire the specified properties directly into the State Condemnation account. �red Mousavipour Executive Director Public Works Agency FM/EWG/JG/ML Exhibits: 1. Location Map 2. Offer Letter — Real Estate 3. Offer Letter - IPR 4. Resolution of Necessity 75D-3 75D-4 (NTS) i 0 0 0 16 12 16 :o H 12 $0 12 72 LEGEND: -SUBJECT PROPERTIES SANTA ANA PWA COUNCIL pYC 2102 c ENGLISH ST 2026 u u 2022 1900 2020 7911 1 APN '007.100-04t TOWNSEND S' 1922^ u u v W 1927 - (APN 007-100-05) ca 2002, rZ 4 8 P �j DAISY AVE - M N N 1977 um 1900 1911 1901 1900 w FAIRLAWN AVE 1604 RAITT ST y Y 7717 fin EXHIBIT 1 RESOLUTION DETERMINING PUBLIC INTEREST AND NECESSITY FOR THE ACQUISITION OF REAL PROPERTY AT 1922 (ALSO KNOWN AS 2006) AND 2002 W 5TH STREET (PROJECT NO. 17-6766 NONGENERAL FUND) [Strategic Plan No. 6, 1G: and 3, 201 7501-5 PAGE IOFI 75D-6 S x O PARAG ` PARTNERS 'SUD To: Joe Gallardo From: Phillip Boning, Paragon Pian: OCTA Project: 00 Streetcar Prone: 714-SM5546 Rate: October 17, 2016 Re: Valdivia Family Trust CC: OCTA No: OCS — 002 & 003 APN: 007.100-04 & 05 0 lJrger�t X FcrAppmval ❑ As RequasBd ❑Please Re* I7 For your Information Comments: Please rind enclosed copies of the following for the aforementioned acquisition of a Full Fee over the real property owned by the Valdivia Family Trust for the properly located at 1922 (also known as 2005) and 2002 W. Fifth Street, Santa Ana, CA 92703. 1. Written Offer Letter 2. Recommendation for Just Compensation S. Approval of Just Compensation 4. Appraisal Completed by Integra Realty Resources — Los Angeles 6. Appraisal Report of Improvements Pertaining to the Realty and Movable Furniture and Equipment by Hodges Lacey & Associates LLC. 6. Review Appraisal Completed by R.F. Lauratn and Associates, Inc. Reviewed by: (firm) I Reviewed by: (name) Reviewed by: (initial) Review Date WSS i Attorney (Liz or Alyson) ,(n / "t U;A OCTA Tina Krause OCTA Jae Gallardo See Just Compensation Approval Form See Just Compensation Approval Form 1197827.1 Exhibit 2 75D-7 Orange County Transportation Authority Capital Programs Division Just Compensation Approval Based upon (1) the fee Appraisal dated August 29, 2016 prepared by Integra Realty Resources —Los Angeles; (2) Review Appraisal dated September 7, 2016 prepared by R.P. Laurain & Associates and (3) OCTA staff recommendation, the amount of just compensation for the purchase of OCTA Parcel No. OCS-002 & 003 1 Assessor Parcel No. 007-100-04 & 05, excluding Improvements Pertaining to Realty is set at $2,239,000.00 (Two Million Two Hundred Thirty -Nine Thousand Dollars and Zero Cents). This amount is based on the fee value of the Property in the amount of Two Million Nine Hundred Twenty -Three Thousand Six Hundred Seventy -Four Dollars and Zero Cents ($2,923,674.00) less environmental mitigation costs of Six Hundred Eighty -Four Thousand Two Hundred Sixty -Eight Dollars and Zero Cents ($684,268.00) for a rounded fair market value of Two Million Two Hundred Thirty -Nine Thousand Dollars and Zero Cents ($2,239,000:00). Orange County Transportation Authority Date: 14 — /e� By: '? X40- ----- ---- Joe Gallas Manag e'at Property 1197833.1 75D-8 �t ; R • A: i� , •` r e � Project APN(s) OCTA No. Interest(s) Appraised Date of Value Appraised Value Recommendation of Just Compensation OC Streetcar Project APN:007-iD0-04 & DS OCS-002 & 003 Fee August 29, 2016 $2,239,000 In accordance with the acquisition of the subject property, the following actions have been undertaken in conformity witii 49 CFR Part 24 `Uniform Relocation Assistance and Real Property Acqulsitlon for Federal and Federally -Assisted Programs" and the Caltrans Right of Way Procedures Manual; 1. A fee appraisal to ascertain Fair Market Value was prepared by Integra Realty Resources — Los Angeles. 2. A formal review of the fee appraisal was prepared by R.P. Laurain & Associates to certify the appraisal of Fair Market Value. 3. A Limited Phase II Environmental Site Assessment and a Supplemental Phase II Environmental Investigation were prepared by Eco & Associates, Inc. 4. A Cost Estimate for Remediation of Hydrocarbon Impacted Soil was prepared by Eco & Associates, Inc. 49 CFR Part 24, Subpart B Section 24.102(d) states that before the initiation of negotiations, the Agency shall establish an amount which it believes is Just Compensation for the real property. The amount shall not be less than the approved appraisal of the Fair Market Value of the property. An Agency. official must establish the amount believed to be just compensatlon. Promptly thereafter, the Agency shall make a written offer to the owner to acquire the property for the full amount believed to be Just Compensation. Fair Market Value as per California Code of Civil Procedure 1263.320 is defined as the highest price on the date of valuation that would be agreed to by a salter, being willing to sell but under no particular or urgent necessity for so doing, nor obliged to sell, and a buyer, being ready, willing, and able to buy but under no particular necessity for so doing, each dealing with the other with full knowledge of all the uses and purposes for which the property is reasonably adaptable and available. We hereby recommend that the value of $2,239,000, based upon the fee appraisal prepared by Integra Realty Resources — Los Angeles, to be determined to be the probable amount of Just Compensation by the Orange County Transportation Authority. Please see the attached table for further explanation: Recommended For Date: ✓ �% By P Blip L. onina Project Manager Paragon Partners Ltd II97r3L1 Concurrence By, Date: 0 Senior Real Property Agent Orange County Transportation Authority 5762 Bolsa Avenue, Suite 2011 Huniington Beach, California 92649 7501-9 .ra 4E g PARAGON' a PARTNERS �, ��1naLM Larger Parcel Value Prior to Consideration of Mitt ation Costs $2.923.674 Less Mitigation Costs for Environmental Remediation $684,268 Resulting Larger Parcel Value $2,239,406 Rounded to: 1 $2,239,000 1147881.1 75D-10 Py RL, e m; RECEIPT OF OFFER PACKAGE OC Streetcar Project 1922 (also known as 2006) & 2002 W. Fifth Street Santa Ana, CA 92703 OCTA No. OCS-002 & 003 APN: 007-100-04 & 05 1. Property Owner: Valdivia Family Trust 2, Prcperty Address; 1922 (also known as 2006) & 2002 W. Fifth Street, Santa Arta, CA 82703 This is to acknowledge receipt of the offer package containing the following items: • Written Offer Letter Dated October 19, 2416 P Appraisal Summary Statement by Integra Realty Resources - Lbs Angeles • Summary Statement Relating to Purchase of Real Property or an Interest Therein r Right of Way Contract • Grant Deed • 'Plat Map and Legal Description for the Interest to be acquired • Litigation Guarantee • Title VI Brochure e Acquisition Brochure • W9 By: Rudy Valdivia, Trustee And/or Federico Valdivia, Successor Trustee 1197394.1 75D-11 Date October 19, 2016 SENT VIA REGULAR US, MAIL and PERSONAL DELIVERY Valdivia Family Trust Rudy Valdivia (Trustee) PO Box 3067 Tustin, CA 92781-3067 Valdivia Family Trust Federico Valdivia (Trustee) PO Box 202 Santa Ana, CA 92702-0202 RE: Offer to Acquire Property Rights OC Streetcar Project 1922 (also known as 2006) and 2002 W. Fifth Street, Santa Ana, CA 92703 OCTA ID#: OCS-002 & 003 Orange County Assessor's Parcel Number(s): 007-100-04 & 05 FTA Project Number: TBD Dear Mr. Valdivia, Trustee: The Orange County Transportation Authority ("OCTA") and the City of Santa Ana are Involved in a joint project that proposes to construct a modern streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove (the "Project"). OCTA is interested in negotiating the purchase of a fee interest in the real property you own located at 1922 (also known as 2006) and 2002 W, Fifth Street in the City of Santa Ana and identified by the Orange County Assessor as Assessor Parcel Numbers 007-100-04 and d07-100-05 (the "Property".) Paragon Partners Ltd. ("Paragon") has been contracted by OCTA to contact each property owner in order to acquire the necessary rights for the Project. A review of public records indicates that you are the owner of record of the Property. OCTA is considering acquiring the Property for this Project. The purpose of this letter is to extend OCTA's offer to acquire the Property. It is the desire of OCTA to acquire private property through voluntary purchase, if possible. While OCTA has the power of eminent domain, condemnation has not been authorized with respect to your property as of this date and no decision has yet been made to use the power of eminent domain to acquire the interests in your property. 5762 Bolsa Avenue, Suite aoi 1 Huntington Beach, California 92649 LI479d41 75D-12 V m U t 1� Page Two October 19, 2016 The property interests OCTA seeks 'to acquire consists of the Property in fee simple absolute (the "Property Interests"). These Property Interests are more particularly described and depicted in the enclosed legal description and plat map. Just Compensation: Beth Finestone, a licensed real estate appraiser with Integra Realty Resources — Los Angeles has inspected and appraised the Property Interests for the purpose of determining their fair market value. Based on this appraisal, OCTA has determined that the just compensation for the Property Interests is TWO MILLION TWO HUNDRED THIRTY-NINE THOUSAND DOLLARS AND ZERO CENTS ($2,239,000:00). Enclosed with this letter is a copy of the appraisal summary statement, which is the basis for the amount established as just compensation for the purchase of the Property Interests. This amount of just compensation is based on the overall value of the Property Interests in the sum of Two Million Nine Hundred Twenty -Three Thousand Six Hundred Seventy Four Dollars and Zero Cents ($2;923,674,00) less environmental mitigation costs of Six Hundred Eighty -Four Thousand Two Hundred Sixty -Eight Dollars and Zero Cents ($684,268.00) for a rounded fair market value of Two Million Two Hundred Thirty -Nine Thousand Dollars and Zero Cents ($2,239,000.00). In addition, Michael A. Lacey, ASA, an appraiser with Hodges Lacey & Associates, LLC, has inspected and appraised the Improvements Pertaining to the Realty belonging to either the Valdivia Family Trust or SA Recycling LLC and determined the fair market value in place of the improvements to be FOUR HUNDRED TWENTY-THREE THOUSAND EIGHT HUNDRED AND FIFTY DOLLARS AND ZERO CENTS ($423,850.00). OCTA intends to make an offer for the purchase of improvements pertaining to realty to the appropriate party once the ownership of the improvements is ascertained and the appropriate offset statement is signed relative to said ownership. Offer to Purchase: Based on the determined just compensation, OCTA hereby offers to purchase the Property Interests, excluding Improvements Pertaining to the Realty, upon the terms set forth in the enclosed"Right of Way Contract, free of all liens and other encumbrances, except as may be agreed to by OCTA, for TWO MILLION TWO HUNDRED THIRTY- NINE THOUSAND DOLLARS AND ZERO CENTS ($2,239,000). This offer is also 1197840.1 75D-13 Page Four October 19, 2016 cc: Joe Gallardo, Manager, Real Property (OCTA) Enclosures: Acknowledgment of Receipt of Offer Package Appraisal Summary Statement prepared by Los Angeles Right of Way Contract Grant heed Legal description and plat for the fee interest Title VI Brochure Acquisition Brochure 1797640.1 75D-14 Integra Realty Resources -- Page Three October 19, 2016 based on the assumption that the Property Interests are free of contamination and requires no remediation other than the contamination and remediation described in a draft Limited Phase II Environmental Site Assessment prepared by Eco & Associates, Inc., dated August 16, 2016, and the Cost Estimate for Remediation of Hydrocarbon Impacted Soil at SA Recycling Facility, 2002 W. Fifth Street, Santa Ana, dated August 29, 2016 (collectively, the "Environmental Report"), which will be available to Grantor for review. If contamination is found, other than the contamination found in the Environmental Report, this offer will be subject to amendment. This offer does not reflect or include any relocation benefits related to possible relocation of personal property to which you may be entitled. Owner's Appraisal: You have the right to obtain your own independent appraisal as part of the acquisition process. Pursuant to California Code of Civil Procedure section 1263.025,, you are entitled to receive the reasonable cost, up to five thousand dollars ($5,000), for an independent appraisal you obtain. The appraisal you obtain must be conducted by an appraiser licensed by the California Bureau of Real Estate Appraisers (formerly the California Office of Real Estate Appraisers) and your request for reimbursement must be submitted in writing to OCTA with a copy of the appraisal and the appraiser's invoice. Although you have the right to obtain your own appraisal and are entitled to receive up to $5,000 for your appraisal as described above, please note that OCTA is riot obligated to accept your appraiser's value of the'Property Interests. OCTA, however, will review your appraisal and if appropriate, confer with OCTA's independent appraiser regarding the merits of your appraisal. It is OCTA's hope that this offer is agreeable to you. If you wish to accept this offer, please execute the enclosed Right of Way Contract, execute and notarize the enclosed deed(s) and call Phillip Bonina of Paragon at (714) 379-3376 so that delivery of the documents can be arranged. If you have any questions, wish to discuss this matter further or would like to meet in person at your convenience, please feel free to call me at tRBonina ed above. Sin hi Paragon Partners Ltd. 1197340.1 75D-15 Appraisal Summary Statement OC Streetcar Project — SA Recycling Center 1922 & 2002 West 5th Street Santa Ana, Orange County, California 92703 Summary of Salient Facts and Conclusions Property Name OC Streetcar Project- SA Recycl i ng Center Address 1922 & 2002 West5th Street Renta hl a Area Santa Ana, Orange County, California 92703 PropertyType Industrial - Recycling and Metal Processing Facility Owner of Record Valdivia Family Trust/Rudy Valdivia (Trustee) Tax ID 007-100-04 and 007-100-05 Land Area 1.90 acres; 82,565 SF Gross Bui I dl ng Area 10,454 5F Renta hl a Area 10,454 SF Percent Leased 100% Year Built; Yea r Renovated 1942;1948,1958,2008 Zoning Designation M-1, Ughtlndustrial Highestand Best Use -As if Vacant Industrial use Highestand Best Use -As Improved Continued industrial use Exposure Time; Marketing Period 6-12 months; 6-12 months Effective Date of the Appraisal August 29, 2016 Date of the Report September 6, 2016 Property I nterest Ap prat sed Fee Simpl e The values reported above are subject to the definitions, assumptions, and limiting conditions set forth In the accompanying report ofwhich this summaryis a part. No partyother than Orange CountyTra nsportation Authority may use or rely an the information, opinions, a nd conclusions contained in the report. Itis assumed thatthe users of the report have read the entire report, Including all ofthe definitions, assumptions, and Ilmiting conditions contained therein. Value Conclusion Appraisal Premise Interest Appraised Date of Value Value Conclusion Fair Market Value larger Parcel Fee Simple Interest August 29, 2016 $2,239,000 75D-16 Extraordinary Assumptions and Hypothetical Conditions The value conclusions are subject to the following extraordinary assumptions that may affect the assignment results. An extraordinary assumption is uncertain information accepted as fact. If the assumption is found to be false as of the effective date of the appraisal, we reserve the right to modify our value conclusions. 1. Our date of value corresponds with the date of completion of our analysis. Our appraisal assumes that the condition of the subject property is the same on our date of value as on our date of inspection. 2. We have reviewed a Limited Phase II Environmental Site Assessment report prepared by Eco & Associates, Inc., dated Aug 16, 2016. This report indicates the presence of soil with elevated diesel and/or lead concentrations which are considered a potential threat to human health. Prior to development, it is reccommended that the impacted soils within the site be excavated and transported offsite to an appropriate disposal facility in a manner conducted in accordance with a formal remedial action plan and a health and safety plan. A subsequent cost estimate was prepared by Eco & Associates, Inc. and presented In a letter based on the findings of the Phase II report. This letter is included in the addenda of our report and the estimated mitigation costs are incorporated into the value conclusion in this analysis. We assume that the findings in these documents are complete and accurate and that such mitigation would be required prior to any sale of the site consistent with the concluded highest and best use. 3. The legal description of the subject, per litigation guarantee documents dated February 22, 2016, indicates a larger parcel area that is not consistent and smaller than the indicated area of the subject on the County Assessor's map. The Assessor's map indication is the same as that of the survey map linked within the litigation guarantees and the area indicated by measurements from aerial imagery and the site inspection. In this analysis, we therefore rely on the indicated area in the County Assessor's map as it is supported by multiple other sources and appears to be the most credible indication of area. The litigation guarantee also indicates a rail spur easement on the subject in a survey map dated 1959. This spur easement appears to be vacated and the current tenant has full use of the two APNs indicated on the County Assessor's map that are defined as the larger parcel, 007-100-04 and 05. As such, we assume the spur is vacated and the area of the larger parcel is equal to the 82,565 square foot area indicated on the County Assessor's map. 4. Section 1263.330 of the California Code of Civil Procedure requires the appraiser to not consider any effect on the value of the property from the project, the eminent domain proceeding, or any preliminary actions of the acquiring agency. The appraisers investigated the real estate market for any influence these issues may have had in the market data selected and analyzed and could not find any. Therefore we have prepared the appraisal analysis of the subject property under the extraordinary assumption that these activities have no effect on the value condusions stated in this appraisal report. The value conclusions are based on the following hypothetical conditions that may affect the assignment results. A hypothetical condition is a condition contrary to known fact on the effective date of the appraisal but is supposed for the purpose of analysis. 1. None. 75D-17 Basic Data and Opinions 1. Interest Valued a. Larger Parcel -Fee Simple —Full Acquisition 2. Date of Value: August 29, 2016 3. Date of Report: September 6, 2016 4. Opinion of Highest and Best Use As Vacant: Industrial use As Improved: Continued industrial use 5. Zoning of Subject Parcel: M-1, Light Industrial 6. Larger Parcel Land Area: 1.90 acres (82,565 SF) 7. Property Name: OC Street Car Project — SA Recycling Center 8. Assessor's Parcel Number (APN): 007-100-04 and 007-100-05 9. Property Owner: Valdivia Family Trust / Rudy Valdivia (Trustee) 10. Property Address: 1922 & 2002 West 511 Street Santa Ana, CA 92703 11. Structural Improvements: The site is improved with a recycling facility. 12. Studies Cost Approach: Not Applicable, Not Utilized Sales Comparison Approach: Applicable, Utilized Income Approach: Applicable, Utilized 13. Attachments Comparable Land Sales and Conclusions: Attachment 1 Comparable Improved Sales and Conclusions: Attachment 2 Comparable Leases and Conclusions: Attachment 3 7501-18 We have prepared this appraisal summary statement, presented on the preceding pages, and it fairly and correctly states our opinions and knowledge as to the matters therein stated. September 7, 2016 Beth B. Finestone, MAI, AI-GRS, FRICS, CRE September 7, 2016 Adam M. Bogorad, MAI September 7, 2016 Jared M. DeCamp 75D-19 Certification We certify that, to the best of our knowledge and belief: 1. The statements of fact contained in this report are true and correct. 2. The reported analyses, opinions, and conclusions are limited only by the reported assumptions and limiting conditions, and are our personal, impartial, and unbiased professional analyses, opinions, and conclusions. 3. We have no present or prospective interest in the property that is the subject of this report and no personal interest with respect to the parties involved. 4. We have not performed any services, as an appraiser or in any other capacity, regarding the property that is the subject of this report within the three-year period immediately preceding acceptance of this assignment. S. We have no bias with respect to the property that is the subject of this report or to the parties involved with this. assignment. 6. Our engagement in this assignment was not contingent upon developing or reporting predetermined results. 7. Our compensation for completing this assignment is not contingent upon the development or reporting of a predetermined value or direction in value that favors the cause of the client, the amount of the value opinion, the attainment of a stipulated result, or the occurrence of a subsequent event directly related to the intended use of this appraisal. S. Our analyses, opinions, and conclusions were developed, and this report has been prepared, in conformity with the Uniform Standards of Professional Appraisal Practice as well as applicable state appraisal regulations. 9. The reported analyses, opinions, and conclusions were developed, and this report has been prepared, in conformity with the Code of Professional Ethics and Standards of Professional Appraisal Practice of the Appraisal Institute. 10. The use of this report is subject to the requirements of the Appraisal Institute relating to review by its duly authorized representatives. 11. Beth B. Finestone, MAI, AI-GRS, FRICS, CRE, has made a personal inspection of the property that is the subject of this report from the public right of way. Adam M. Bogorad, MAI, has personally inspected the subject on site. Jared M. DeCamp has personally inspected the subject from the public right of way. 12. Significant real property appraisal assistance, primarily related to researching comparable sales, was provided by Austin Glicher who has not signed this certification. 13. We have experience in appraising properties similarto the subject and are in compliance with the Competency Rule of USPAP. 14. As of the date of this report, Beth B. Finestone, MAI, AI-GRS, FRICS, CRE, and Adam M. Bogorad, MAI, have completed the continuing education program for Designated Members of the Appraisal Institute. 75D-20 15. As of the date of this report, Jared M. DeCamp has completed the Standards and Ethics Education Requirements for Candidates/Practicing Affiliates of the Appraisal Institute. Beth B. Finestone, MAI, AI-GRS, FRICS, CRE Certified General Real Estate Appraiser California Certificate # AGO04030 P a� Jared M. DeCamp Certified General Real Estate Appraiser California Certificate # 3003720 Adam M. Bogorad, MAI Certified General Real Estate Appraiser California Certificate # AG038741 75D-21 Attachment i Summary of Comparable land Sales 75D-22 Sale Date; Effective Sale SF; $/SF No Name/Address Status Price Acres Zoning Land 1 122 South Orange Avenue Aug -15 $500,000 15,000 Commercial $33.33 122 S. Orange Ave. Closed 0.34 Santa Ana Orange County CA Tax ID: 398-514-05 2 615 South Santa Fe Street Jun -15 $510,000 16,988 Heavylndustrial $30.02 615 S. Santa Fe St. Closed 0.39 Santa Ana Orange County CA Tax ID: 011-312-04 3 208 East Walnut Street Nov -14 $360,000 • 11,250 General $32.00 208 E. Walnut St. Closed 0.26 Commercial Santa Ana Orange County CA Tax ID: 404-092-01 4 2100 South Yale Street Sep -14 $2,200,000 60,625 Lightlndustrlal $36.29 2100 S. Yale St. Closed 1.39 Santa Ana Orange County CA Tax ID: 409-161-12,-13 5 260 East Alton Avenue Aug -13 $1,150,000 41,818 Light Industrial $27.50 260 E. Alton Ave. Closed 0.96 Santa Ana Orange County CA Tax ID:411-161-21. -22- 23 6 902-906 East Walnut Street Jul -13 $440,000 14,000 Lightlndustrial $31.43 902-906 E. Walnut St. Closed 0.32 Santa Ana Orange County CA Tax ID: 011-133-01, -02 Subject -APN 007-100-04 41,078 Light Industrial OC Streetcar Project - SA 0.94 Recycling Center (APN 007-100-04) Santa Ana, CA 75D-22 Attachment 1 ConVd Land Value Conclusion LandSaleArray Item No. Overall Comparability Market Conditions Adjusted Price Per Square Foot 4 Significantly Superior $38.47 1 Superior $34.33 6 Superior $34.26 3 Superior $33.60 Subject Property 2 Slightly Inferior $31.22 5 Slightly Inferior $29.98 Land Value Conclusion Indicated Value per Square Foot $33.00 SubjectSquare Feet 41,078 Indicated Value $1,355,574 75D-23 Attachment 2 Summary of Comparable Improved Sales Apr -16 1963 0.38 14 $1,210,000 7;700 $157.14 Sale Yr. Built; Acres; Clear Height; — Santa Ana Date; #Stories; FAR; %Offlm; Effective Sale $/Rentable No Name/Address Status %Oa. Parking Ratio Prop Rights Price Rentable SF SF 1 1624 East Wilshlre Avenue Jun -16 1973 0.35 14 $830,000 6,000 $138.33 1624 E. Wilshire Ave. Closed 1 0.39 13% 0.52 — Santa Ana 100% 2.00/1,000 Leased Fee Fee Simple Orange County Orange County CA 2 501 South Santa Fe May -16 1969 0.44 16 $1,500,000 9,528 $157.43 501 S. Santa Fe St. Closed 1 0.50 21% Santa Ana Owner User 1.9911,000 Fee Simple Orange County 3 1636 South Minnie Street Apr -16 1963 0.38 14 $1,210,000 7;700 $157.14 1636-1656 S. Minnie St. Closed 1 0.50 — Santa Ana 100% (Partial 2.08/1,000 Fee Simple ' Orange County Owner User) CA 4 1910 West Chestnut Mar -16 1957 0.45 12 $1,250,000 10,275 $121.65 1930 W. Chestnut Ave. Closed 1 0.52 — Santa Ana Owner User 0.78/1,000 Fee Simple Orange County 5 2040 South Yale Street Sep -15 1970 1.29 18 $3,100,000 20,600 $150.49 20405. Yale St. Closed 1 0.38 11% Santa Ana 75% 1.99/1,000 Leased Fee Orange County CA 6 2625 South Rousselle Feb -15 1979 0.61 18 $2,000,000 14,448 $138.43 26255. Rousselle St. Closed 1 0.54 14% Santa Ana Vacant 2.77/1,000 Fee Simple Orange County Subject 1942 0.94 9.5-12.5 10,454 OC Street Car Project -SA 1 0.26 22% Santa Ana, CA 100% 1.05/1,000 Fee Simple 75D-24 Attachment 2 Cont'd ImprovedSalesArray Item Overall Comparison Market Conditions Adjusted Price per Square Foot 2 Superior $159.01 3 Superior $160.29 5 Superior $158.01 Subject Property 6 Slightly Inferior 4 Slightly Inferior 1 Inferior Value Indication by Sales Comparison Indicated Value per SF $150.00 Subject Square Feet 10,454 Indicated Value $1,568,100 75D-25 $149.50 $148.91 $139.72 Attachment 3 Summary of Comparable Rentals- Industrial Clear Height; Lease Term Rent/ SF No Property Information SF %Office Start (Mos.) Month Escalations Lease Type 1 3120 West Warner Avenue 10,400 14 it Jun -16 60 $0.87 $0.03 Annual Industrial Gross 3120 W. Warner Ave. 18% Santa Ana Orange County CA 2 2730 South Susan Street 12,000 14 it May -16 60 $0.92 3%Annual Industrial Gross 2730 S. Susan St. 19% Santa Ana Orange County CA 3 1431 E Saint Andrew Place 7,000 15 It Apr -16 60 $0.89 $0.03 Annual Industrial Gross 1431 E. Saint Andrew Pl. 33% Santa Ana Orange County CA 4 2841 South Croddy Way 7,910 18 ft Feb -16 60 $0.89 Unknown Industrial Gross 28415. Croddy Way 9% Santa Ana Orange County CA 5 1502 South Santa Fe Street 9,600 12 ft Jan -16 60 $0.87 3%Annual Industrial Gross 1502 5. Santa Fe St. 17% Santa Ana Orange County CA 6 200 West Central Avenue 19,200 15 it Nov -15 60 $0.80 4%Annual Industrial Gross 200 W. Central Ave. 13% Santa Ana Orange County 75D-26 Attachment 3 Cont d Comparable Rent Array $17,645 Insurance Item Overall Comparison Market Condition Adjusted$/SF/Month 2 Superior $0.94 4 Superior $0.92 3 Superior $0.91 5 Superior $0.90 1 Superior $0.88 Subject Property Inferior Concluded Market Lease Terms $0.83 Market Rent Lease Term Space Type SF Rent Measure Escalations Lease Type (Mos.) Industrial 10,454 $0.87 $/SF/Mo. 3% per year Gross 60 Operating History and Projections W. Income Base Rent $109,140 Vacancy & Collection Loss @ 5.0% -5,457 Effective Gross Income $103,683 Expenses Real Estate Taxes $17,645 Insurance 2,614 Structural Repairs/Maintenance 1,045 Management 5,184 Total Expenses $26,488 Net Operating Income $77,195 Operating Expense Ratio 25.5% `IRR projected income Is the total potential income attributable to the property before deduction ofvaca ncy and collection loss. 75D-27 Attachment 3 Cont'd Direct Capitalization Analysis SF Annual $/SF Bldg. Income Base Rent Potential Gross Rent 10,454 Vacancy & Collection Loss 5.00% $109,140 -$5,457 $10.44 -$0.52 Effective Gross Income Expenses Real Estate Taxes Insurance Structural Repairs/Maintenance Management 5.00% $103,683 $17,645 $2,614 $1,045 $5,184 $9.92 $1.69 $0.25 $0.10 $0.50 Total Expenses $26,488 $2.53 Net Operating Income Capitalization Rate $77,195 5.25% $7.38 Indicated Value $1,470,383 $140.65 Summary of Value Indications Cost Approach Sales Comparison Approach Income Capitalization Approach Not Used $1,568,100 $1,470,383 Reconciled $1,568,100 Overall Larger Parcel Valuation (Priorto Environmental Mitigation) Parcel APN Description Indicated Value 007-100-05 Improved Parcel 007-100-04 Excess Land $1,568,100 $1,355,574 Overall Larger Parcel $2.923.674 Larger Parcel Value Larger Parcel Value Prior to Consideration of Mitigation Costs Mitigation Costs for Environmental Remediation $2,923,674 -$684,268 Indicated Larger Parcel Value Indicated Larger Parcel Value $2,239,406 $2,239,000 Value Conclusion Appraisal Premise Interest Appraised Date of Value Value Conclusion Fair Market Value Larger Parcel Fee Simple Interest August 29, 2016 $2,239,000 75D-28 ORANGE COUNTY TRANSPORTATION AUTHORITY SUMMARY STATEMENT RELATING TO THE PURCHASE OF REAL PROPERTY OR AN INTEREST THEREIN The Orange County Transportation Authority (OCTA) is proposing to purchase real property or interests therein in connection with the construction of the OC Streetcar Project (Project) and related improvements and appurtenances. Your property located at 1922 (also known as 2006) and 2002 W. Fifth Street in the City of Santa Ana, is within the Project area and identified by your County Assessor as Parcel No. 007-100-04 & 05. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 and the California Relocation Assistance and Real Property Acquisition Guidelines require that you, as an owner from whom a public agency proposes to purchase real property or an interest therein or as a tenant owning improvements on the property must be provided with at a minimum, a summary of the appraisal of the real property or interest therein, as well as the following information: 1. You are entitled to receive full payment of the probable amount of just compensation prior to vacating the real property being acquired unless you have heretofore waived such entitlement. In the event of any voluntary purchase or sale of the property or interests, you would not be required to pay recording fees, transfer taxes, or the pro rata portion of real property taxes allocable to any period following the passage of title or possession. 2. The OCTA will offer to purchase any remnant(s), if any, considered by the OCTA to be an uneconomic unit(s) which is/are owned by you or, if applicable, occupied by you as a tenant and which is/are contiguous to the land being conveyed. 3. All buildings, structures and other improvements affixed to the land described in the referenced document(s) covering this transaction, and which are owned by you as the owner or, if applicable, owned by you as a tenant, are being conveyed unless other disposition of these improvements has been made. The real property interest proposed to be acquired is: Fee Simple — Full Acquisition. The property being purchased is comprised of 82,565 square feet and is described and depicted in the attached legal and plat. 4. The market value of the property proposed to be acquired is based upon a market value appraisal which is summarized on the attached Valuation Summary Statement, and such amount: A. Represents the full amount of the appraisal of just compensation for the property proposed to be purchased; B. Is not less than the approved appraisal of the fair -market value of the property as improved; C. Disregards any decrease or increase in the fair market value of the real property proposed to be acquired prior to the date of valuation which might be caused by the Project itself or by the likelihood that the property would be acquired for or in connection with the Project, other than that due to physical deterioration within the reasonable control of the owner or occupant; and D. Does not reflect any consideration of or allowance for any relocation assistance and payments or other benefits which the owner is entitled to receive under an agreement with the OCTA. 5. Pursuant to Code of Civil Procedure Section 1263.025 should you elect to obtain an independent appraisal, the OCTA will pay for the actual reasonable costs up to Five Thousand ($5,000) Dollars subject to the following conditions: A. You, not the OCTA, must order the appraisal. Should you enter into a contract with the selected appraiser, the OCTA will not be a party to the contract; B. The selected appraiser is licensed with the California Bureau of Real Estate Appraisers (BREA); 11978421 75D-29 ORANGE COUNTY TRANSPORTATION AUTHORITY SUMMARY STATEMENT RELATING TO THE PURCHASE OF REAL PROPERTY OR AN INTEREST THEREIN C. Appraisal cost reimbursement must be made in writing, and submitted to the Orange County Transportation Authority c/o Paragon Partners Ltd. at 5762 Bolsa Avenue, Huntington Beach, CA 92649 Attn: Phillip Bonina, within ninety (90) days of the earliest of the following dates: (1) the date the selected appraiser requests payment from you for the appraisal; or, (2) the date upon which you, or someone on your behalf, remitted full payment to the selected appraiser for the appraisal. Copies of the contract (if a contract was made), appraisal report, and the invoice for the completed work by the appraiser must be provided to the OCTA concurrent with the submission of the written request. The costs must be reasonable and justifiable. 6. If you are the owner of a business conducted on a property proposed to be acquired, or conducted on the remaining property which will be affected by the purchase of the required property, you may be entitled to compensation for the loss of goodwill. Entitlement is contingent upon the owner and/or lessee's ability to prove such loss in accordance with the provisions of Sections 1263.510 and 1263.520 of the Code of Civil Procedure. 7. If you ultimately elect to reject the OCTA's offer for your property, you are entitled to have the amount of compensation determined by a court of law in accordance with the laws of the State of California. 8. You are entitled to receive all benefits that are available through donation to the OCTA of all or part of your interest in the real property sought to be acquired by the OCTA as set out in Streets and Highways Code Sections 104.2 and 104.12. 1197842.1 75D-30 ORANGE COUNTY TRANSPORTATION AUTHORITY RIGHT OF WAY CONTRACT OC STREETCAR PROJECT 1922 (also known as 2006) & 2002 W. Fifth Street, Santa Ana, CA 92703 Property Address CONFIDENTIAL This document contains personal information, and pursuant to Civil Code section 1798.21, it shall be kept confidential in order to protect against unauthorized disclosure. OCS-002 & -003 Parcel No(s) 007-100-04 & -05 APN(s) 08026700 -920 -CMM & 08026701 -920 -CMM Escrow No. Title Order No. RIGHT-OF-WAY CONTRACT Valdivia Family Trust/Rudy Valdivia (Trustee) ("Grantor"), owns the real property located at 1922 (also known as 2006) & 2002 W. Fifth Street, Santa Ana, CA 92703 in the County of Orange, Assessor Parcel Numbers 007-100-04 and 007-100-05 (collectively, the "Property"). The Property is needed for construction of the OC Streetcar Project, a modern streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove (the "Project"). Document No. OCS-002/OCS-003 in the form of a Grant Deed attached hereto as Exhibit "1" covering the property interests as described and depicted in Exhibits "A" and "B" attached to said Grant Deed (collectively, the "Property Interests") has been executed and delivered to, Phillip Bonina, Right -of -Way Agent for Paragon Partners Ltd., agent for the Orange County Transportation Authority ("OCTA"). In consideration of which, and the other considerations hereinafter set forth, it is mutually agreed as follows: (A) The parties have herein set forth the whole of their agreement ("Agreement"). The performance of this Agreement constitutes the entire consideration and shall relieve OCTA of all further obligations or claims on this account, or on account of the location, grade or construction of the proposed public improvement. (B) OCTA requires the Property Interests for the Project, a public use for which OCTA has the authority to exercise the power of eminent domain. (C) Both Grantor and OCTA recognize the expense, time, effort, and risk to both parties in determining the compensation for the Property Interests by eminent domain litigation. The compensation set forth herein for the Property Interests is in compromise and settlement, in lieu of such litigation. (D) It is agreed that OCTA shall open an escrow in accordance with this Agreement at Commonwealth Land Title Insurance Company (Escrow Agent). This Agreement constitutes the joint escrow instructions of OCTA and Grantor, and Escrow Agent to whom these instructions are delivered is hereby empowered to act under this Agreement. The parties hereto agree to perform all acts reasonably necessary to close this escrow within sixty (60) days following the opening of escrow. 2. (A) OCTA shall pay the undersigned Grantor the sum of Two Million Two Hundred Thirty - Nine Thousand Dollars and Zero Cents ($2,239,000.00) for the Property Interests when title to said Property Interests vests in OCTA free and clear of all liens, deeds of trusts, ORANGE COUNTY TRANSPORTATION AUTHORITY CONFIDENTIAL RIGHT OF WAY CONTRACT information, document contains personal information, and pursuant to Civil Code section 1798.21, it shall be kept confidential in order to protect against unauthorized disclosure. encumbrances, assessments, easements and leases (recorded and/or unrecorded), and taxes. This amount is based on the overall value of the Property Interests in the sum of Two Million Nine Hundred Twenty -Three Thousand Six Hundred Seventy Four Dollars and Zero Cents ($2,923,674.00) less environmental mitigation costs of Six Hundred Eighty -Four Thousand Two Hundred Sixty -Eight Dollars and Zero Cents ($684,268.00) for a rounded fair market value of Two Million Two Hundred Thirty -Nine Thousand Dollars and Zero Cents ($2,239,000.00). (B) OCTA will pay all usual escrow and recording fees incurred in this transaction, and if title insurance is desired by OCTA, the premium charged therefore. Due to OCTA's status as a public entity, no recording fees will be payable (pursuant to Government Code Section 27383) and no documentary transfer tax will be payable (pursuant to Revenue & Taxation Code Section 11922). (C) OCTA shall have the authority to deduct and pay from the amount shown on Clause 2(A) above, any amount necessary to satisfy any bond demands and delinquent taxes due in any year except the year in which this escrow closes, together with penalties and interest thereon, and/or delinquent and unpaid non -delinquent assessments which have become a lien against the Property at the close of escrow. (D) It is agreed and confirmed by the parties hereto that notwithstanding other provisions in this contract, the right of possession and use of the subject property by OCTA, including the right to remove and dispose of improvements, shall commence on the close of escrow controlling this transaction, and that the amount shown in Clause 2 (A) herein includes, but is not limited to, full payment for such possession and use, including damages, if any, from said date. (E) Grantor agrees that the payment described in Clause 2 (A) above shall constitute full and fair compensation for any and all claims that Grantor, and its successors and assigns, may have against OCTA for the acquisition of the Property Interests. (F) It is understood and agreed by and between the parties hereto that payment in Clause 2 (A) above includes, but is not limited to, payment for a fee acquisition of 82,565 SF of land area and all appurtenances on-site, which are being acquired by OCTA in this transaction. (G) It is understood and agreed that payment in Clause 2 (A) above excludes payment for certain Improvements Pertaining to the Realty, which are considered owned by the Grantor and/or the Grantor's lessee, SA Recycling LLC, a Delaware limited liability company ("SA Recycling'), and other unnamed lessees as may later be identified. See attached list of Improvements Pertaining to the Realty, attached hereto and made a part hereof. OCTA proposes to acquire the Improvements Pertaining to Realty for the sum of Four Hundred Twenty -Three Eight Hundred Fifty Dollars and Zero Cents ($423,850.00) upon the execution of an offset statement by Grantor and/or SA Recycling depending on the determination of the true owner of said improvements. (H) Grantor shall retain possession of the property conveyed up to and including the date of recording of the deed conveying title to OCTA upon compliance by the Grantor with the conditions of this contract. All rents and all security money collected by Grantor applicable to any period thereafter shall be paid to OCTA. Either party hereto collecting ORANGE COUNTY TRANSPORTATION AUTHORITY CONFIDENTIAL This document contains personal RIGHT OF WAY CONTRACT information, and pursuant to Civil Code section 1798.21, it shall be kept confidential in order to protect against unauthorized disclosure. rents or security money to which the other party is entitled shall forthwith pay such amount to the other as is necessary to comply with the provisions of this clause. (1) Should the property be materially destroyed by fire, earthquake, or other calamity without the fault of either party, this contract may be rescinded by OCTA; in such an event, OCTA may reappraise the property and make an offer thereon. (J) There shall be no proration of real property taxes through Escrow. Escrow Agent is authorized and instructed to comply with the following tax adjustment procedures. (i) Pay and charge Grantor for any unpaid delinquent taxes and/or penalties and interest thereon, and for any delinquent or non -delinquent assessments or bonds against the Property. (ii) If Escrow closes between July 1 and November 1, and the current tax information is not available, Escrow Agent is instructed to withhold from Grantor's proceeds an amount equal to one hundred twenty percent (120%) of the amount payable on the prior fiscal year's second half tax bill. At such time as current tax information is available, Escrow Agent shall pay the first installment of real property taxes and assessments to the County Tax Collector and in the event the amount withheld is not sufficient, Grantor agrees to immediately pay the difference to Escrow Agent. (iii) If Close of Escrow occurs at a time when current tax information is available, Escrow Agent shall withhold from Grantor's proceeds and pay to the County Tax Collector the full amount of the current installment of real property taxes and assessments. 3. FULL AND COMPLETE SETTLEMENT. Grantor hereby acknowledges that he is the sole and lawful owner of the Property and the compensation paid to Grantor through this Agreement constitutes the full and complete settlement of any and all claims against OCTA and the City of Santa Ana and their respective predecessors, successors and assigns, employees, agents, officers, servants, representatives, contractors, attorneys, partner agencies and assigns (hereinafter, individually and collectively, "Releasees") by reason of the Project and/or acquisition of the Property Interests, including, but not limited to, any and all rights or claims that Grantor had, currently has or may in the future have under Article 1, Section 19 of the California Constitution, the Eminent Domain Law, or any other law or regulation, except as provided herein. Grantor, on behalf of himself and his successors and assigns, further knowingly and voluntarily waives and expressly releases and discharges Releasees from liability in regard to any claims for the following: pre -condemnation damages, inverse condemnation, lost business goodwill, lost profits, lost rents, severance damages, mitigation damages, compensation for the construction and use of the Project in the manner proposed, damage to or loss of improvements pertaining to the realty, machinery, fixtures, inventory, equipment and/or personal property, interest, any right to repurchase, leaseback, or receive any financial gain from, the sale of any portion of the Property, any right to challenge the adoption of a resolution of necessity, any right to receive any notices pursuant to Code of Civil Procedure section 1245.235, any right to enforce any obligation pursuant to the Eminent Domain Law, any other rights conferred upon Grantor pursuant to the Eminent Domain Law, and claims for litigation expenses, attorney's fees, statutory interest and/or costs. 750-33 ORANGE COUNTY TRANSPORTATION AUTHORITY CONFIDENTIAL This document contains personal RIGHT OF WAS' CONTRACT information, arta pursuant to Civil Code section 1798.21, it shall be kept confidential in order to protect against unauthorized disclosure. 4. The parties intend that this Agreement will result in a full, complete and final resolution and settlement of any and all claims, causes of action or disputes which exist, or may exist, between them as to the acquisition, possession and/or use of the Property Interests, except as expressly provided herein. It is therefore understood that the waiver, under this Agreement, of any rights, damages, compensation or benefits to which Grantor is, or may be, entitled is intended to be full and complete. Accordingly, except as provided herein, upon and subject to the Close of Escrow: (A) Pursuant to the releases set forth in this Agreement, Grantor specifically waives the provision of section 1542 of the Civil Code of the State of California which provides: "A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor." (B) Grantor represents and warrants that he understands the effect of this waiver of section 1542 and has had the opportunity to discuss the effect of this waiver with counsel of his choice. Any monies payable under this Agreement up to and including the total amount of unpaid principal and interest on note(s) secured by mortgage(s) or deed(s) of trust, if any, and all other amounts due and payable in accordance with the terms and conditions of said deed(s) of trust or mortgage(s), shall upon demand(s) be made payable to the mortgagee(s) or beneficiary(ies) entitled thereunder; said mortgagee(s) or beneficiary(ies) are to furnish Grantor with good and sufficient receipt showing said monies credited against the indebtedness secured by said mortgage(s) or deed(s) of trust. 6. Grantor represents and warrants that he is the fee simple owner of the Property and that he has the right to convey the Property Interests. Grantor will defend and indemnify OCTA, its successors and/or assigns against any and all claims, demands, causes of action filed against OCTA, its successors and/or assigns by someone claiming a legal interest in or right to the Property, or any portion thereof. Grantor represents and warrants that he will defend and indemnify OCTA, its successor and/or assigns in the amount of any due and unpaid real property taxes, assessments, liens and any penalties and delinquencies on the Property. Grantor represents and warrants that he has made no assignment of any interest in the Property. 7. Grantor represents and warrants that there are no oral or written leases on all or any portion of the Property exceeding a period of one month (with the exception of the leases entered by and between Grantor and SA Recycling), and Grantor agrees to defend and indemnify and hold OCTA harmless and reimburse OCTA for any and all of its losses and expenses occasioned by reason of any lease of said Property held by any tenant of Grantor for a period exceeding one month (with the exception of leases held by SA Recycling). Grantor acknowledges that a general release or quitclaim deed will be required from any lessee that has a lease term exceeding one month (other than SA Recycling). Said general release or quitclaim deeds are to be provided to Commonwealth Land Title Insurance Company, other selected escrow company, or OCTA by Grantor, prior to the close of escrow. The provisions of this paragraph shall apply to current leases on Grantor's property (excluding leases with SA Recycling) as well as future leases, if any, that are entered into after the execution of this Agreement. ORANGE COUNTY TRANSPORTATION AUTHORITY RIGHT OF WAY CONTRACT CONFIDENTIAL This document contains personal information, and pursuant to Civil Code section 1798.21, it shall be kept confidential in order to protect against unauthorized disclosure. 8. It is understood and agreed by and between the parties hereto that included in the amount payable under Clause 2(A) above is payment in full to compensate Grantor for the purchase of the Property in fee including the following improvements: All Structures identified within the appraisal report completed by Integra Realty Resources — Los Angeles dated August 29, 2016 (excluding all Improvements Pertaining to Realty as identified in the Appraisal Report of Improvements Pertaining to the Realty by Hodges Lacey & Associates, LLC dated March 9, 2016). Grantor agrees that he is not entitled to compensation for any other improvements located within the areas of the Property Interests being purchased pursuant to this Agreement. Grantor may elect to remove or relocate some or all of the improvements on the Property prior to close of escrow; provided, however, that any improvements that have not been removed from the Property by close of escrow (but for which just compensation has been paid or deposited by OCTA) may be removed by OCTA, its agents, representatives, contractors, and/or assigns, and disposed of in such manner as OCTA deems appropriate, without further notice or responsibility to Grantor whatsoever. 9. It is agreed between the parties hereto that OCTA is not assuming responsibility for payment or subsequent cancellation of unpaid assessments on the Property acquired under this transaction. Said assessments include but are not limited to Schedule B, Part I, Items A - C of order number 08026700 -920 -CMM and Schedule B, Part 1, Items A — E of order number 08026701 -920 -CMM of the Litigation Guarantees prepared by Commonwealth Land Title Insurance Company. Grantor acknowledges he has received and reviewed the Litigation Guarantees. The assessments remain the obligation of Grantor. Payment for the Property Interests acquired under this transaction is made upon the basis that the Grantor retains his obligation to the levying body respecting said assessments. 10. Any notice either party may or is required to give the other shall be in writing, and shall be either personally delivered or sent by registered or certified mail, return receipt requested. If by mail, service shall be deemed to have been received by such party at the time the notice is delivered to the following addresses: To Grantor: Rudy Valdivia or c/o Federico Valdivia P.O. Box 3067 P.O. Box 202 Tustin, CA 92781 Santa Ana, Ca 92702-0202 To OCTA: 550 South Main Street Orange, CA 92863-1584 Attn: Real Property Department 11. It is understood and agreed by and between the parties hereto that this Agreement inures to the benefit of, and is binding on, the parties, their respective heirs, personal representatives, successors, and/or assignees. OCTA may freely assign any or all of its interests or rights under this Agreement. 12. Grantor represents and warrants that during the period of Grantor's ownership of the Property, there have been no disposals, releases or threatened releases of hazardous substances or hazardous wastes on, from, or under the Property, other than the contamination described in a 75D-35 ORANGE COUNTY TRANSPORTATION AUTHORITY CONFIDENTIAL This document contains personal RIGHT OF WAS' CONTRACT information, and pursuant to Civil Code section 1798.2 1, it shall be kept confidential in order to protect against unauthorized disclosure. Limited Phase II Environmental Site Assessment Report prepared by Eco & Associates, Inc., dated August 16, 2016 (the "Environmental Report"), which report has been reviewed and approved by Grantor. Grantor further represents and warrants that Grantor has no knowledge of any disposal, release, or threatened release of hazardous substances or hazardous wastes on, from, or under the Property which may have occurred prior to Grantor taking title to the Property, other than that described in the Environmental Report. If contamination is found, other than the contamination identified in the Environmental Report, this offer will be subject to amendment. 13. The acquisition price of the Property Interests being acquired in this transaction reflects the full and complete settlement of the Property Interests without the presence of contamination other than the contamination described in the Environmental Report, which costs to remediate are estimated at $684,268. If the Property Interests being acquired is found to be contaminated by the presence of hazardous waste which requires mitigation under Federal or State law in an amount exceeding $684,268, OCTA may elect to recover the additional clean-up costs from those who caused or contributed to the contamination including, but not limited to, Grantor. 14. This Agreement constitutes the entire agreement between the parties hereto with respect to the subject matter of this Agreement and may not be modified except by an instrument in writing signed by the party to be bound thereby. 15. If any term or provision of this Agreement shall be held to be invalid or unenforceable, the remainder of the Agreement shall remain in full force and effect. 16. Each individual executing this Agreement on behalf of an entity represents and warrants that he or she has been authorized to do so by the entity on whose behalf he or she executes this Agreement and that said entity will thereby be obligated to perform the terms of this Agreement. 17. This Agreement may be executed in counterparts, including by facsimile and/or electronic transmission (i.e., email), each of which so executed counterpart shall, irrespective of the date of its execution and delivery, be deemed an original, and all such counterparts together shall constitute one and the same instrument. 18. This Agreement may be subject to approval by OCTA's governing Board of Directors. REMAINDER OF PAGE INTENTIONALLY LEFT BLANK SIGNATURE PAGE FOLLOWS ORANGE COUNTY TRANSPORTATION AUTHORITY RIGHT OF WAS' CONTRACT CONFIDENTIAL This document contains personal information, and pursuant to Civil Code section 1798.21, it shall be kept confidential in order to protect against unauthorized disclosure. In Witness Whereof, the parties have executed this Agreement on the day and year set forth below. GRANTOR Valdivia Family Trust/Rudy Valdivia (Trustee) By: Rudy Valdivia DATE ORANGE COUNTY TRANSPORTATION AUTHORITY 0 Jim Beil DATE Executive Director, Capital Programs APPROVED AS TO FORM: By: James Donich DATE General Counsel Orange County Transportation Authority 75D-37 ORANGE COUNTY TRANSPORTATION AUTHORITY CONFIDENTIAL RIGHT OF WAY CONTRACT This document contains personal information, and pursuant to Civil Code section 1798.2 1, it shall be kept confidential in order to protect against unauthorized disclosure. ATTACHMENTS TO RIGHT OF WAY CONTRACT APN 007-100-04 and 007-100-OSIOCS-0021003 Document No. OCS-002 & 0031 Grant Deed (Exhibit "1") Improvements Pertaining to the Realty (Exhibit "2") (SEE THE FOLLOWING PAGES) 75D -3R EXHIBIT 1 75D-39 NO FEE DOCUMENT Government Code 46103 & 627383 RECORDING REQUESTED BY AND WHEN RECORDED MAIL TO: ORANGE COUNTY TRANSPORTATION AUTHORITY Attn: Real Property Department 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 OIC to Accept: Date: The Above Space For Recorder's Use Only Address: 1922 (also known as 2006) & 2002 W. Fifth St., Santa Ana, CA 92703 APNs: 007-100-04 & 05 Project Parcel Nos.: OCS-002 & 003 Title Order Nos: 08026700 -920 -CMM & 08026701 -920 -CMM Escrow No. THIS TRANSACTION IS EXEMPT FROM CALIFORNIA DOCUMENTARY TRANSFER TAX PURSUANT TO SECTION 11922 OF THE CALIFORNIA REVENUE AND TAXATION CODE. THIS DOCUMENT IS EXEMPT FROM RECORDING FEES PURSUANT TO SECTIONS 6103 and 27383 OF THE CALIFORNIA GOVERNMENT CODE. GRANT DEED FOR VALUABLE CONSIDERATION, receipt and sufficiency of which is hereby acknowledged, VALDIVIA FAMILY TRUST/RUDY VALDIVIA (TRUSTEE) ("Grantor"), hereby grants to the ORANGE COUNTY TRANSPORTATION AUTHORITY, A Public Entity ("Grantee"), all that real property situated in the City of Santa Ana, County of Orange, State of California, described as follows: See Exhibit "A", legal description, and Exhibit `B", plat to accompany legal description, attached hereto and made a part hereof. Executed this day of 1201_ VALDIVIA FAMILY TRUST/RUDY VALDIVIA (TRUSTEE) in Rudy Valdivia, Trustee 1197$54.1 75D-40 ACKNOWLEDGEMENT 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 , 2016, before me, , Notary Public, personally appeared, who proved to me on the basis of satisfactory evidence to be the person(s) whose name is subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity, and that by his/her/their signature on the instrument the person, or the entity upon behalf of which the person acted, executed the instrument. I certify UNDER PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature (seal) 75D-41 1197854.1 CERTIFICATE OF ACCEPTANCE This is to certify that the interest in real property conveyed by the Grant Deed dated 201_, from the VALDIVIA FAMILY TRUST/RUDY VALDIVIA (TRUSTEE) to the ORANGE COUNTY TRANSPORTATION AUTHORITY, A Public Entity ("OCTA"), by the within instrument, the provisions of which are incorporated by this reference as though fully set forth in this Certification, is hereby accepted by the undersigned officer(s) on behalf of OCTA pursuant to authority conferred by the Board of Directors Resolution No. 2010-010 adopted on March 8, 2010, and the Grantee consents to recordation thereof by its duly authorized officer. Dated: By: James Beil, Executive Director Capital Programs 1197854.1 75D-42 EXHIBITS "A" ANIS "B" LEGAL (DESCRIPTIONS AND PLAT MAPS APN: 007-100-04 & 05/OCS-002 & 003 [SEE THE FOLLOWING PAGES] 1197854.1 75D-43 EXHIBIT A LEGAL DESCRIPTIONS All that certain real property situated In the County of Orange, State of California, described as follows: The West 175.00 feet on that portion of the land allotted to Julian Chavez in Decree of Partition of the Rancho Santiago De Santa Ana, recorded In Book B of Judgments of the 37reJudicial Court of California, described as follows: Beginning at a point on the centerline of Fifth Street, said point being the Northeast corner of the land forrrierly owned by William A. Hinds, said pint being North 890 30` 00" East 2355.21 feet and North 1243,44 feet from the common corner of Sections 10, il, 14 and 15, Township 5 South, Range 10 West; Thence South 253.00 feet to the North line of the right of way of the Pacific Electric Railway; Thence West 350.00 feet along said North line; Thence North 250:00'feet to said centerline of Fifth Street; Thence East 350.00 feet to the point of beginning. Excepting the North 30.00 feet thereof, 41,078 square feet APN1007-100-04 All that certain real property situated in the county of Orange, State of .California, described as fol lows: That portion of the land allotted to Julian Chavez in Decree of Partition of the Rancho Santiago De Santa Ana, rendered In Case No. 1192, and entered September, 12, 1868 in Book B, page 410 of Judgments of the 17k^ Judicial District Court, of California, described as'follows: Beginning at a point on the center line of Fifth Street, said point being the Northeast corner of the land formerly owned by William A. Hinds, said point being North 89° 3d' 00" East 2355:21 feet and North 1243.44 feet from the common corner of Sections 10, 11, 14 and 15, Township 5 South, Range 10 West; Thence South 253.00 feet to the North line of the right of way of the Pacific Electric Railway; Thence West 350.00 feet along said North lige; Thence North 250.00 feet to said center line of Fifth Street; Thence East 350.00 feet to the point of beginning. Except the West 175.00 feet thereof. Also except the North 30.00 feet thereof. 41,487 square feet AP -N: 007-100-05 75D-44 s m Q.. sora (rn EXHIBIT B 12 4 T STREET w G J1 t lJ- nl Is • O 11J LJ r „ �roo�18 1 6 DAISY STREET 3 99 Legend - Subject Parcels U1 4(Eg v a a e n , $ R41TT x � raa rrs�y a � SnMTT �y 35C 111 405-05 40,51-53 75D-45 � fOMLS�I� 57. AVt .r rAP1AY1a Are O ti io 75D-46 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA IMPROVEMENTS PERTAINING TO TILE REALTY EFFECTIVE DATE OF VALUE - MARCH 9, 2016 Item Replacement Fair Market Salvage No. Qty, Description Cost New Value in Place Value 1 Sign, 12'x 4.5', painted plywood, painted words, "SA Recycling", $2,500 $2,000 $0 plus 9 words, multi -colored, metal frame, exterior fence -mounted 2 1 Sign, 8'x 4', 2 sided, painted plywood, painted letters, "SA $3,000 $2,350 $0 recycling", plus I l words, painted softwood frame and 2 uprights, 10.5' high, painted concrete pad, 10'x 1.5'x 4', with inset planter 3 1 Group of exterior railing, exterior of office/warehouse building, $20,000 $16,500 $0 painted welded tubular metal, consisting of: 210 Linear feet of guardrails, 2 to 4 cross members 8 Linear feet of hand rails, at stairs 42 Linear feet of hand rails, at ramp on north side of building 4 1 Alarm system, (not including, 8 snap shot cameras, wireless, in yard, and receiver panel, exterior office wall -mounted, by Videoland, leased from Bay Alarm), consisting of: 1 Control panel 3 Code pads 5 Door contact sensors 7 Motion sensors 5 Warehouse door sensors 1 Line cut battery back up system 2 Panic buttons 5 18 Bollards, painted tubular metal, concrete filled, consisting of 4 Thigh, 8" x 8", square tube 2 42" high, 6" diameter 2 48" high, 4" diameter 4 36" high, 6" diameter 1 48" high, 6" diameter 5 50" high, 6" diameter 6 22 High intensity discharge (HID) work lights, including, local electrical, consisting of 6 Wall washers 16 Pole and bracket -mounted, painted metal, including, 1 small metal mounting pole, 1 mounting pole on radiation detection unit at truck scale, 20' high (estimate), 4 building roof -mounted metal brackets $5,100 $7,400 $36,000 7 1 Group of yard waste water drainage improvements, consisting of: $21,500 1 Catch basin, Y x YY (estimate), concrete, with, metal grate enclosure, 6'x 1.5'x 4', 1 sump pump, control panel and 30 amp safety switch, local electrical 75D147 $4,350 $5,900 $28,500 $17,000 $0 $0 $0 $0 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA IMPROVEMENTS PERTAINING TO THE REALTY EFFECTIVE DATE OF VALUE - MARCH 9, 2016 Item Replacement Fair Market Salvage No. Qty, Description Cost New Value in Place Value 410 Linear feet (estimate) of drain pipe to filtration vessels, 3" diameter, plastic, 2 ball valves 15 Linear feet of street discharge drain pipe, 2" diameter, plastic, with coupling, l in-line flow meter, GF, digital, local electrical 22 Surveillance cameras, including, 3 rotating zoom/pan, 13 $30,000 $22,000 $600 stationary, 12 with weather housings, 1 yard mounting pole, 20' high (estimate), 4" x 4", painted metal, 6 at warehouse scrap weigh stations, 4 ID snapshot, by Axis, 2 by IQ Eye, cabling, power packs 265 Linear feet of concrete barrier blocks, blocks are 5'x 2.5'x 2.5', $43,000 $34,000 $1,500 including, 175 linear feet of 4 blocks high, 40 linear feet of 3 blocks high, 50 linear feet of 2 blocks high, approximately 190 total blocks 10 160 Linear feet of interior yard fencing, 10' high, painted 1/2" thick $115,000 $85,000 $0 steel plate sheeting, heavy duty steel frame with 14 I beam uprights, 8" x 7", 3 cross members, 4" x 4", 160 linear feet of top - mounted chain link fence, 3 cross members, 1 slide gate, 26' long, metal frame, painted corrugated metal covering 11 2 Radiation detection panels, at truck scale, Ludlum Measurements, $45,000 $35,500 $3,000 Incorporated, Model: 4525-4400, Serial: GM -5153, each with I beam frames, local electrical and cabling 12 1 Truck scale, in -ground, 70'x 10' platform, with diamond plate $94,000 $77,000 $5,000 top, 60 ton capacity, including, 1 camera, cabling, power pack, I exterior direct read out (DRO), Matko Electronic Displays, l interior DRO, by GDE, Model: 560 13 1 Truck scale, Above -ground, Southwestern Scale, Sidewinder, $76,000 $62,500 $4,000 Model: 4035 LPS, Serial: 082397, 40 ton capacity, with steel framed side walls, drive -on and drive -off concrete pads, I camera, cabling, power pack, 1 exterior DRO, Marko Electronic Displays, I interior DRO, by GDE, Model: 560 14 1 Fire suppression water boost system, including, 25 linear feet of $6,500 $5,350 $300 1.5" diameter copper pipe connection, with ball valve, 1 control panel, GE, 300 Line Control, metal wall mounting bracket, 1 pump motor, Goulds Water Technology, Model: 36565, ground - mounted metal stand, I fire hose with wall -mounted hanger, 7' long, metal 75D!48 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA IMPROVEMENTS PERTAINING TO THE REALTY EFFECTIVE DATE OF VALUE - MARCH 9, 2016 Item Replacement Fair Market Salvage No. Qty, Description Cost New Value in Place Value 15 1 Emergency eye wash station, pedestal base, with shower, local $1,700 plumbing 16 1 Lot of supplemental electrical power distribution, for specific $10,500 business equipment, including, wire, conduit and circuit breakers, consisting of: I 120 volt duplex receptacle, at diesel station in yard 1 120 volt duplex receptacle, at "Storminator" station, with 2 on/off switches, and hardwiring to storage container 1 120 volt quadraplex receptacle, in warehouse 2 120 volt hardwirings for pallet scales, in warehouse 1 120 volt quadraplex receptacle, for pallet scale, in warehouse 2 120 volt duplexes, and electrical reels, in warehouse 17 1 Lot of minor miscellaneous yard improvements, including, 8 whip $4,700 banner hangers, minor signage, 4 traffic mirrors, 2' diameters, 2 public address speakers, wiring, 2 electrical outlet hose reels is 52 Linear feet of wall guard rail, in warehouse, Thigh, 1I bollards, 3 $6,700 cross members; painted metal 19 1 Time recorder, Schlage, Model: Hand Punch 4000, including, metal control box, with, uninterrupted power source, APC, Model: ES550, electrical outlet strip, local electrical 20 1 Lot of intemet/network cabling for approximately 12 stations, including, receptacles TOTAL IMPROVEMENTS PERTAINING TO THE REALTY 75D'49 $1,350 $100 59,050 $0 $3,600 $50 $4,900 $0 $4,600 $3,650 $4,200 $3,350 $200 $0 $537,400 $423,850 $14,750 rCommonwealth Land Title Insurance Company GUARANTEE NO.. CA-SEXEC-IMP-81021-1-15-08026700 .17M -RATIO J WARR .NTE_ SUBJECT TO THE LIMITATIONS CONTAINED HEREIN, THE EXCLUSIONS FROM COVERAGE, THE LIMITS OF LIABILITY AND OTHER PROVISIONS OF THE CONDITIONS AND STIPULATIONS HERETO ANNEXED AND MADE A PART OF THIS GUARANTEE COMMONWEALTH LAND TITLE INSURANCE COMPANY a corporation, herein called the Company GUARANTEES the Assured named in Schedule A against loss not exceeding the liability amount stated in Schedule A which the Assured shall sustain by reason of any incorrectness in the assurance which the Company hereby gives that, according to the public records, as of Date of Guarantee shown in Schedule A: 1. The title to the herein described estate or interest is vested in the vestee named In Schedule A. 2. Except for the matters shown in Schedule B, there are no defects, liens, encumbrances or other matters affecting title to the estate or interest in the land shown in Schedule A, which matters are not necessarily shown in the order of their priority. 3. (a) The current interest holders claiming some right, title or interest by reason of the matters shown in Part II of Schedule B are shown therein. The vestee named in Schedule A and parties claiming to have some right, title or interest by reason of the matters shown in Part II of Schedule B may be necessary parties defendant in- an action, the nature of which is referred to in Schedule A. (b) The current interest holders claiming some right, title or Interest by reason of the matters shown in Part I of Schedule B may also be necessary parties defendant in an action, the nature of which is referred to in Schedule A. However, no assurance is given hereby as to those current Interest holders. 4. The return address for mailing after recording, if any, as shown on each and every document referred to in Part II of Schedule B by specific recording information, and as shown on the document(s) vesting title as shown in Schedule A are as shown in Schedule C. THIS LITIGATION GUARANTEE IS FURNISHED SOLELY FOR THE PURPOSE OF FACILITATING THE.FILING OF THE ACTION REFERRED TO IN SCHEDULE A. IT SHALL NOT BE USED OR RELIED UPON FOR ANY OTHER PURPOSE. IN WITNESS WHEREOF, COMMONWEALTH LAND TITLE INSURANCE COMPANY has caused this Guarantee to be signed and sealed as of the date of policy shown in Schedule A, the Guarantee to become valid when countersigned by an authorized signatory. Countersigned: By: Authorized Officer or Agent By Form No: 81021 CLTA Guarantee Form No. 1 (Rev, 12-15-95) 75D-50 "€SEAL€ Mot 1J5=.c q.eJ., S.r.wy Form No: 81021 CLTA Guarantee Form No. 1 (Rev, 12-15-95) 75D-50 Order No.: 08026700 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026700 LITIGATION GUARANTEE (V2) SCHEDULE A Order No.: 08026700 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026700 Liability: $500.00 Fee: $50,000.00 1. Name of Assured: Orange County Transportation Authority 2. Date of Guarantee: August 25, 2016 at 7:30 a.m. 3. This Litigation Guarantee is furnished solely for the purpose of facilitating the filing of an action to Eminent Domain 4. The estate or Interest in the land which is covered by this guarantee is: A FEE S. Title to the estate or interest in the land is vested in: Valdivia Family Trust/Rudy Valdivia (Trustee) 6. The land referred to in this guarantee is described as follows: See Exhibit A attached hereto and made a part hereof. 81021 Litigation Guarantee CLTA Guarantee Form No.1 (12/16/92) 75D-51 Page 1 Order No.: 08026700 -920 -CMM Guarantee No.: CA-S'EXEC-EMP-81021-1-15-08026700 EXHIBIT A LEGAL DESCRIPTION All that certain real property situated in the County of Orange, State of California, described as follows: The West 175.00 feet on that portion of the land allotted to Julian Chavez in Decree of Partition of the Rancho Santiago De Santa Ana, recorded in Book a of Judgments of the 17u' Judicial Court of California, described as follows: Beginning at a point on the centerline of Fifth Street, said point being the Northeast corner of the land formerly owned by William A. Hinds, said pint being North 890 30' 00" East 2355.21 feet and North 1243.44 feet from the common corner of Sections 10, 11, 14 and 15, Township 5 South, Range 10 West; Thence South 253.00 feet to the North line of the right of way of the Pacific Electric Railway; Thence West 350.00 feet along said North line; Thence North 250.00 feet to said centerline of Fifth Street; Thence East 350.00 feet to the point of beginning. Excepting the North 30.00 feet thereof. APN: 007-100-04 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 75D-52 Page 2 Order No.: 08026700 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026700 SCHEDULE B Defects, liens, encumbrances or other matters affecting title: PART I A. Property taxes, which are a lien not yet due and payable, including any assessments collected with taxes to be levied for the fiscal year 2016-2017. B. Property taxes, including any personal property taxes and any assessments collected with taxes, are as follows: Tax Identification No.: 007-100-04 Fiscal Year: 2015-2016 1st Installment: $3,043.75, paid 2nd Installment: $3,043.75, paid Homeowners Exemption: $0.00 Code Area: 11101 C. The lien of supplemental or escaped assessments of property taxes, if any, made pursuant to the provisions of Chapter 3.5 (commencing with Section 75) or Part 2, Chapter 3, Articles 3 and 4, respectively, of the Revenue and Taxation Code of the State of California as a result of the transfer of title to the vestee named in Schedule A or as a result of changes in ownership or new construction occurring prior to Date of Policy. 1. Water rights, claims or title to water, whether or not disclosed by the public records. 2. Discrepancies, conflicts in boundary lines, shortage in area, encroachments, or any other matters shown on Map: Record of Survey which discloses a 20 foot easement for spur line easement Recording No: in Book 45, Page 36 of Records of Survey 3. The Land described herein is Included within a project area of the Redevelopment Agency shown below, and that proceedings for the redevelopment of said project have been instituted under the Redevelopment Law (such redevelopment to proceed only after the adoption of the Redevelopment Plan) as disclosed by a document. Redevelopment Agency: Merged Project Area by the Amendments to the existing Redevelopment Plans ("Amendments") for the Central City, Inter -City Commuter Station, North Harbor, South Harbor, South Main, and Bristol Corridor Redevelopment Projects Recording Date: October 20, 2004 Recording No: as Instrument No. 2004000948360 of Official Records 81021 Litigation Guarantee CLTA Guarantee Form No.1 (12/16/92) 75D-53 Page 3 Order No.: 08026700 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026700 SCHEDULE B PART II 1. A deed of trust to secure an indebtedness in the amount shown below, Amount: $600,000.00 Dated: March 9, 1988 Trustor/Grantor Clifford M. Lewis and Primrose Lewis, husband and wife, as joint tenants as to an undivided 1/3 interest and D.R. Valdivia, a single man, as to an undivided 2/3 interest Trustee: New World Escrow, Inc. Beneficiary: William G. Beckman and Barbara D. Beckman, husband and wife and Marie Beckman, a widow, all as joint tenants Recording Date: March 25, 1988 Recording No: 88-137302 of Official Records A substitution of trustee under said deed of trust which names, as the substituted trustee, the following Trustee: First American Title Insurance Company, a California corporation Recording Date: October 27, 1989 Recording No: 89-578844 of Official Records This Company will require that the original note, the original deed of trust and a properly executed request for full reconveyance together with appropriate documentation (i.e., copy of trust, partnership agreement or corporate resolution) be in this office prior to the close of this transaction if the above-mentioned item is to be paid through this transaction or deleted from a policy of title insurance. Any demands submitted to us for payoff must be signed by all beneficiaries as shown on said deed of trust, and/or any assignments thereto. In the event said demand is submitted by an agent of the beneficiary(s), we will require the written approval of the demand by the beneficiary(s). Servicing agreements do not constitute approval for the purposes of this requirement. If no amounts remain due under the obligation a zero balance demand will be required along with the reconveyance documents. In addition, we require the written approval of said demand by the trustor(s) on said deed of trust or the current owners if applicable. 2. A lien for unsecured property taxes filed by the tax collector of the county shown, for the amount set forth, and any other amounts due. County: Fiscal Year: Taxpayer: County Identification Number: Amount: Recording Date: Recording No: Orange 2007-2008 Rudy Valdivia 07-375-101-05.0100 $2,270.80 June 13, 2007 2007-00378793 of Official Records 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 75D-54 Page 4 Order No.: 08026700 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026700 SCHEDULE S - Part II (Continued) 3. A lien for unsecured property taxes filed by the tax collector of the county shown, for the amount set forth, and any other amounts due. County: Orange Fiscal Year: 2007-2008 Taxpayer: Rudy Valdivia County Identification Number: 07-375-101-05.0200 Amount: $4,051.71 Recording Date: June 13, 2007 Recording No: 2007-00378794 of Official Records 4. A lien for unsecured property taxes filed by the tax collector of the county shown, for the amount set forth, and any other amounts due. County: Orange Fiscal Year: 2015-2016 Taxpayer: Valdivia, Federico TR Valdivia Family Trust County Identification Number: 426-121-41.0100 ® Amount: $456.65 Recording Date: July 13, 2015 Recording No: 2015-000364798 of Official Records S. A Igen for unsecured property taxes filed by the tax collector of the county shown, for the amount set forth, and any other amounts due. County: Orange Fiscal Year: 2015-2016 Taxpayer: Valdivia, Federico TR Valdivia Family Trust County Identification Number: 426-121-41.0200 Amount: $1,334.35 Recording Date: July 13, 2015 Recording No: 2015-00364799 of Official Records 6. The effect of documents, proceedings, liens, decrees or other matters in the name of Rudy Valdivia, which do not specifically describe said land, but which, If any do exist, may affect the title, or may impose liens, or encumbrances thereon. 7. Any invalidity or defect in the title of the vestees in the event that the trust referred to herein is invalid or fails to grant sufficient powers to the trustee(s) or in the event there is a lack of compliance with the terms and provisions of the trust Instrument. If title is to be insured in the trustee(s) of a trust, (or If their act is to be insured), this Company will require a Trust Certification pursuant to California Probate Code Section 18100.5. The Company reserves the right to add additional items or make further requirements after review of the requested documentation. END OF PART II 81021 Litigation Guarantee Page 5 CLTA Guarantee Form No. 1 (12/16/92) 75D-55 Order No.: 08026700 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81023.-1-15-08026700 SCHEDULE C ADDRESSES Valdivia, Rudy TR 1922 West 5th Street Santa Ana, CA (Record Owner) Rudy Valdivia P.O. Box 3067 Tustin, CA 92781 (Record Owner) William G. Beckman and Barbara D. Beckman, husband and wife; and Marie Beckman, a widow, all as joint tenants 10491 Wulff Drive Villa Park, CA 92703 (Beneficiary of Item No. 1, Part II) Orange County Treasurer -Tax Collector P.O. Box 1438 Santa Ana, CA 92702 (Lien Holder of Item No(s). 2, 3, 4 and 5 of Part II) Any and all parties known to the plaintiff to have or claim any interest in said land, or whose interest could be ascertained by an inspection of said land or by making inquiry of persons in possession thereof, should also be named as parties defendant. 81021 Litigation Guarantee CLTA Guarantee Form No. 1(12/16/92) 75D-56 Page 6 Order No.: 08026700 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026700 GUARANTEE CONDITIONS AND STIPULATIONS 1. DEFINITION OF TERMS The following terms when used in this Guarantee mean: (a) "land": the land described, specifically or by reference, in this Guarantee and improvements affixed thereto which by law constitute real property; (b) "public records": those records which impart constructive notice of matters relating to said land; (c) "date": the effective date; (d) "the Assured": the party or parties named as the Assured in this Guarantee, or in a supplemental writing executed by the Company; (e) "mortgage": mortgage, deed of trust, trust deed, or other security instrument. 2. EXCLUSIONS FROM COVERAGE OF THIS GUARANTEE The Company assumes no liability for loss or damage by reason of the following: (a) Taxes or assessments which are not shown as existing liens by the records of any taxing authority that levies taxes or assessments on real property or by the public reco[ds. (b) Unpatented mining claims; reservations or exceptions in patents or in Acts authorizing the Issuance thereof; water rights, claims or title to water. (c) Title to any property beyond the lines of the land expressly described in the description set forth in this Guarantee, or title to streets, roads, avenues, lanes, ways or waterways on which such land abuts, or the right to maintain therein vaults, tunnels, ramps or any other structure or improvement; or any rights or easements therein unless such property, rights or easements are expressly and specifically set forth in said description. (d) Defects, liens, encumbrances, adverse claims against the title as guaranteed or other matters (1) created, suffered, assumed or agreed to by one or more of the Assured; or (2) resulting in no loss to the Assured. 3. PROSECUTION OF ACTIONS (a) The Company shall have the right at its own cost to institute and prosecute any action or proceeding or'do any other act which In its opinion may be necessary or desirable to establish or confirm the matters herein guaranteed; and the Company may take any appropriate action under the terms of this Guarantee whether or not it shall be liable thereunder and shall not thereby concede liability or waive any provision thereof. (b) In all cases where the Company does so institute and prosecute any action or proceeding, the Assured shall permit the Company to use, at its option, the name of the Assured for such purpose. Whenever requested by the Company, the Assured shall give the Company all reasonable aid in prosecuting such action or proceeding, and the Company shall relmburse the Assured for any expense so Incurred. 4. NOTICE OF LOSS —LIMITATION OF ACTION A statement in writing of any loss or damage for which It is claimed the Company is liable under this Guarantee shall be furnished to the Company within sixty days after such loss or damage shall have been determined, and no right of action shall accrue to the Assured under this Guarantee until thirty days after such statement shall have been furnished, and no recovery shall be had by the Assured under this Guarantee unless action shall be commenced thereon within two years after expiration of said thirty day period. Failure to furnish such statement of loss or damage or to commence such action within the time hereinbefore specified, shall be a conclusive bar against 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) maintenance by the Assured of any action under this Guarantee. S. OPTION TO PAY, SETTLE OR COMPROMISE CLAIMS The Company shall have the option to pay or settle or compromise for or in the name of the Assured any claim which could result in loss to the Assured within the coverage of this Guarantee, or to pay the full amount of this Guarantee or, if this Guarantee is issued for the benefit of a holder of a mortgage, the Company shall have the option to purchase the indebtedness secured by said mortgage. Such purchase, payment or tender of payment of the full amount of the Guarantee shall terminate all liability of the Company hereunder. In the event after notice of claim has been given to the Company by the Assured the Company offers to purchase said indebtedness, the owner of such indebtedness shall transfer and assign said indebtedness and the mortgage securing the same to the Company upon payment of the purchase price. 6. LIMITATION OF LIABILITY-- PAYMENT OF LOSS (a) The liability of the Company under this Guarantee shall be limited to the amount of actual loss sustained by the Assured because of reliance upon the assurances herein set forth, but In no event shall such liability exceed the amount of the liability stated on the face page hereof. (b) The Company will pay all costs Imposed upon the Assured in litigation carried on by the Company for the Assured, and all costs and attorneys' fees in litigation carried on by the Assured with the written authorization of the Company. (c) No claim for damages shall arise or be maintainable under this Guarantee (1) if the Company after having received notice of an alleged defect, lien or encumbrance not shown as an Exception or excluded herein removes such defect, lien or encumbrance within a reasonable time after receipt of such notice, or (2) for liability voluntarily assumed by the Assured in settling any claim or suit without written consent of the Company. (d) All payments under this Guarantee, except for Attorneys' fees as provided for in paragraph 6 (b) hereof, shall reduce the amount of the liability hereunder pro tanto, and no payment shall be made without producing this Guarantee for endorsement of such payment unless the Guarantee be lost or destroyed, in which case proof of such loss or destruction shall be furnished to the satisfaction of the Company. (e) When liability has been definitely fixed In accordance with the conditions of this Guarantee, the loss or damage shall be payable within thirty days thereafter. 7. SUBROGATION UPON PAYMENT OR SETTLEMENT Whenever the Company shall have settled a claim under this Guarantee, all right of subrogation shall vest in the Company unaffected by any act of the Assured, and it shall be subrogated to and be entitled to all rights and remedies which the Assured would have had against any person or property in respect to such claim had this Guarantee not been issued. If the payment does not cover the loss of the Assured, the Company shall be subrogated to such rights and remedies in the proportion which said payment bears to the amount of said loss. The Assured if requested by the Company, shall transfer to the Company all rights and remedies against any person or property necessary in order to perfect such right of subrogation, and shall permit the Company to use the name of the Assured in any transaction or litigation involving such rights or remedies. 75D-57 Page 7 Order No.: 08026700 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026700 SCHEDULE C (Continued) S. GUARANTEE ENTIRE CONTRACT Any action or actions or rights of action that the Assured may have or may bring against the Company arising out of the subject matter hereof must be based on the provisions of this Guarantee. No provision or condition of this Guarantee can be waived or changed except by a writing endorsed or attached hereto signed by the President, a Vice President, the Secretary, an Assistant Secretary or other validating officer of the Company. 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 9. NOTICES, WHERE SENT All notices required to be given the Company and any statement in writing required to be furnished the Company shall be addressed to it. Commonwealth Land Title Insurance Company P.O. Box 45023 Jacksonville, FL 32232-5023. 10. THE FEE SPECIFIED ON THE FACE OF THIS GUARANTEE IS THE TOTAL FEE FOR TITLE SEARCH AND EXAMINATION AND FOR THIS GUARANTEE. 75D-58 Page 8 75D-59 4-sm L $ob o tee //'��GOD e� 3 O O �-,�,: J i5xsixaxl Il LI 75D-59 Commonwealth Land Title Insurance Company GUARANTEE NO., CA-SFXFC-IMP-81021- ,-I.S-®8826'7®fl � I ' RON ! J . 1 ISI EE SUBJECT TO THE LIMITATIONS CONTAINED HEREIN, THE EXCLUSIONS FROM COVERAGE, THE LIMITS OF LIABILITY AND OTHER PROVISIONS OF THE CONDITIONS AND STIPULATIONS HERETO ANNEXED AND MADE A PART OF THIS GUARANTEE COMMONWEALTH LAND TITLE INSURANCE COMPANY a corporation, herein called the Company GUARANTEES the Assured named in Schedule A against loss not exceeding the liability amount stated in Schedule A which the Assured shall sustain by reason of any incorrectness in the assurance which the Company hereby gives that, according to the public records, as of Date of Guarantee shown in Schedule A: 1. The title to the herein described estate or interest is vested In the vestee named in Schedule A. 2. Except for the matters shown in Schedule B, there are no defects, liens, encumbrances or other matters affecting title to the estate or interest in the land shown in Schedule A, which matters are not necessarily shown in the order of their priority. (a) The current Interest holders claiming some right, title or Interest by reason of the matters shown in Part II of Schedule B are shown therein. The vestee named in Schedule A and parties claiming to have some right, title or interest by reason of the matters shown in Part II of Schedule B may be necessary parties defendant in an action, the nature of which is referred to in Schedule A. (b) The current Interest holders claiming some right, title or interest by reason of the matters shown in Part I of Schedule B may also be necessary parties defendant in an action, the nature of which is referred to in Schedule A. However, no assurance Is given hereby as to those current interest holders. 4. The return address for mailing after recording, if any, as shown on each and every document referred to in Part II of Schedule B by specific recording information, and as shown on the document(s) vestina title as shown in Schedule A are as shown in Schedule C. THIS LITIGATION GUARANTEE IS FURNISHED SOLELY FOR THE PURPOSE OF FACILITATING THE FILING OF THE ACTION REFERRED TO IN SCHEDULE A. IT SHALL NOT BE USED OR RELIED UPON FOR ANY OTHER PURPOSE. IN WITNESS WHEREOF, COMMONWEALTH LAND TITLE INSURANCE COMPANY has caused this Guarantee to be signed and sealed as of the date of policy shown in Schedule A, the Guarantee to become valid when countersigned by an authorized signatory. Countersigned: By: Authorized Officer or Agent Form No: 81021 9y. 75D-60 CLTA Guarantee Form No. 1 (Rev. 12-15-95) l`wq'% ' --+RandyO OEAL!g�; A'President aia I,Gcii:el G{a:eUe, SxrHa�� 75D-60 CLTA Guarantee Form No. 1 (Rev. 12-15-95) Order No.: 08026701 -920 -CMM Guarantee No.: CA-SFXFC-IPSP-81021-1-15-08026701 LITIGATION GUARANTEE (V2) SCHEDULE A Order No.: 08026701 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026701 Liability: $50,000.00 Fee: $500.00 1. Name of Assured: Orange County Transportation Authority 2, Date of Guarantee: August 25, 2016 at 7:30 a.m. 3. This Litigation Guarantee is furnished solely for the purpose of facilitating the filing of an action to Eminent Domain 4. The estate or interest in the land which is covered by this guarantee is: A FEE S. Title to the estate or interest in the land is vested in: Valdivia Family Trust/Rudy Valdivia (Trustee) 6. The land referred to in this guarantee is described as follows: See Exhibit A attached hereto and made a part hereof. 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 75D-61 Page 1 Order No.: 08026708 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026708 EXHIBIT A LEGAL DESCRIPTION All that certain real property situated in the County of Orange, State of California, described as follows: That portion of the land allotted to Julian Chavez in Decree of Partition of the Rancho Santiago De Santa Ana, rendered in Case No. 1192, and entered September 12, 1868 in Book B. Page 410 of Judgments of the 17th Judicial District Court of California, described as follows: Beginning at a point on the center line of Fifth Street, said point being the Northeast corner of the land formerly owned by William A. Hinds, said point being North 890 30' 00" East 2355.21 feet and North 1243.44 feet from the common corner of Sections 10, 11, 14 and 15, Township 5 South, Range 10 West, Thence South 253.00 feet to the North line of the right of way of the Pacific Electric Railway; Thence West 350.00 feet along said North line; Thence North 250.00 feet to said center line of Fifth Street; Thence East 350.00 feet to the point of beginning. Except the West 175.00 feet thereof. Also except the North 30.00 feet thereof. APN: 007-100-05 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 75D-62 Page 2 Order No.: 08026701 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81029.-1-15-08026701 P3.7�`T�1Tf Defects, liens, encumbrances or other matters affecting title: A. Property taxes, which are a lien not yet due and payable, including any assessments collected with taxes to be levied for the fiscal year 2016-2017. B. Property taxes, including any personal property taxes and any assessments collected with taxes, are as follows: Tax Identification No.: 007-100-05 Fiscal Year: 2015-2016 1st Installment: $3,763.64, PAID 2nd Installment: $3,763.64, PAID Homeowners Exemption: $0.00 Code Area: 11101 C. Supplemental taxes, including any personal property taxes and any assessments collected with taxes, assessed pursuant to the provisions of Chapter 3.5 (commencing with Section 75) of the Revenue and Taxation Code of the State of California, are as follows: Tax Identification No.: 007-100-05 Fiscal Year: 2016-2017 - 1st Installment: $139.72, unpaid Penalty: $13.97 Delinquent: December 12, 2016 2nd Installment: $139.72, unpaid Penalty: $36.97 Delinquent: April 10, 2017 Code Area: 11-101 Supplemental Bill No.: 0100 . . D. Supplemental taxes, including any personal property taxes and any assessments collected with taxes, assessed pursuant to the provisions of Chapter 3.5 (commencing with Section 75) of the Revenue and Taxation Code of the State of California, are as follows: Tax Identification No.: Fiscal Year: 1st Installment: Penalty: Delinquent: 2nd Installment: Penalty: Delinquent: Code Area: Supplemental Bill No.: 007-100-05 2016-2017 $413.07, unpaid $41.30 December 12, 2016 $413.06, unpaid $64.30 April 10, 2017 11-101 0200 E. The lien of supplemental or escaped assessments of property taxes, if any, made pursuant to the provisions of Chapter 3.5 (commencing with Section 75) or Part 2, Chapter 3, Articles 3 and 4, respectively, of the Revenue and Taxation Code of the State of California as a result of the transfer of title to the vestee named in Schedule A or as a result of changes in ownership or new construction occurring prior to Date of Policy. 1. Water rights, claims or title to water, whether or not disclosed by the public records. 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 75D-63 Page 3 Order No.: 08026701 -920 -CMM Guarantee No.: CA-SFRFC-XMP-81021-1-15-08026701 SCHEDULE B m Part I (Continued) 2. Discrepancies, conflicts in boundary lines, shortage in area, encroachments, or any other matters shown on Map: Record of Survey Map Recording No: in Book 45, Page 36 of Record of Survey Maps 3. The Land described herein is included within a project area of the Redevelopment Agency shown below, and that proceedings for the redevelopment of said project have been Instituted under the Redevelopment Law (such redevelopment to proceed only after the adoption of the Redevelopment Plan) as disclosed by a document. Redevelopment Agency: Merged Project Area by the Amendments to the existing Redevelopment Plans ("Amendments") for the Central City, Inter -City Commuter Station, North Harbor, South Harbor, South Main, and Bristol Corridor Redevelopment Projects Recording Date: October 20, 2004 Recording No: as Instrument No. 2004000948360 of Official Records 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) END OF PART I 75D-64 Page 4 Order No.: 08026701 -920 -CLAIM Guarantee No.: CA-SFXFC-%MP-81029.-1-15-080267071 SCHEDULE B PART RI 1. A deed of trust to secure an indebtedness in the amount shown below, Amount: $600,000.00 Dated: March 9, 1988 Trustor/Grantor Clifford M. Lewis and Primrose Lewis, husband and wife, as joint tenants as to an undivided 1/3 interest and D.R. Valdivia, a single man, as to an undivided 2/3 interest Trustee: New World Escrow, Inc. Beneficiary: William G. Beckman and Barbara D. Beckman, husband and wife and Marie Beckman, a widow, all as joint tenants Recording Date: March 25, 1988 Recording No: 88-137302 of Official Records A substitution of trustee under said deed of trust which names, as the substituted trustee, the following Trustee: First American Title Insurance Company, a California corporation Recording Date: October 27, 1989 Recording No: 89-578844 of Official Records This Company will require that the original note, the original deed of trust and a properly executed request for full reconveyance together with appropriate documentation (i.e., copy of trust, partnership agreement or corporate resolution) be in this office prior to the close of this transaction if the above-mentioned item is to be paid through this transaction or deleted from a policy of title insurance. Any demands submitted to us for payoff must be signed by all beneficiaries as shown on said deed of trust, and/or any assignments thereto. In the event said demand is submitted by an agent of the benefciary(s), we will require the written approval of the demand by the beneficiary(s). Servicing agreements do not constitute approval for the purposes of this requirement. If no amounts remain due under the obligation a zero balance demand will be required along with the reconveyance documents. In addition, we require the written approval of said demand by the trustor(s) on said deed of trust or the current owners if applicable. 2. A lien for unsecured property taxes filed by the tax collector of the county shown, for the amount set forth, and any other amounts due. County: Fiscal Year: Taxpayer: County Identification Number: Amount: Recording Date: Recording No: Orange 2007-2008 Rudy Valdivia 07-375-101-05.0100 $2,270.80 June 13, 2007 2007-00378793 of Official Records 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 75D-65 Page 5 Order No.: 08026701 -320 -CMM Guarantee No.: CA-SFXFC-IMP-8iO2i-1-i5-08026701 SCHEDULE B ® Part 11 (Continued) 3. A lien for unsecured property taxes filed by the tax collector of the county shown, for the amount set forth, and any other amounts due. County: Orange Fiscal Year: 2007-2008 Taxpayer: Rudy Valdivia County Identification Number: 07-375-101-05.0200 Amount: $4,051.71 Recording Date: June 13, 2007 Recording No: 2007-00378794 of Official Records 4. A lien for unsecured property taxes filed by the tax collector of the county shown, for the amount set forth, and any other amounts due. County: Orange Fiscal Year: 2015-2016 Taxpayer: Valdivia, Federico TR Valdivia Family Trust County Identification Number: 426-121-41.0100 Amount: $456.65 Recording Date: July 13, 2015 _ Recording No: 2015-000364798 of Official Records 5. A lien for unsecured property taxes filed by the tax collector of the county shown, for the amount set forth, and any other amounts due. County: Orange Fiscal Year: 2015-2016 Taxpayer: Valdivia, Federico TR Valdivia Family Trust County Identification Number: 426-121-41.0200 Amount: $1,334.35 Recording Date: July 13, 2015 Recording No: 2015-00364799 of Official Records 6. The effect of documents, proceedings, liens, decrees or other matters In the name of Rudy Valdivia, which do not specifically describe said land, but which, if any do exist, may affect the title, or may Impose liens, or encumbrances thereon. 7. Any invalidity or defect in the title of the vestees in the event that the trust referred to herein is invalid or fails to grant sufficient powers to the trustee(s) or in the event there Is a lack of compliance with the terms and provisions of the trust instrument. If title is to be Insured in the trustee(s) of a trust, (or if their act is to be insured), this Company will require a Trust Certification pursuant to California Probate Code Section 18100.5. The Company reserves the right to add additional items or make further requirements after review of the requested documentation. END OF PART XI 81021 Litigation Guarantee Page 6 CLTA Guarantee Form No. 1 (12/16/92) 75D-66 Order No.: 08026701 -920 -CMM Guarantee No.: CA-SFXFC-IMF°-81027E-1-16-08026701 SCHEDULE C ADDRESSES Valdivia, Rudy TR 2002 W 5th Street Santa Ana, CA (Record Owner) Rudy Valdivia P.O. Box 3067 Tustin, CA 92781 (Record Owner) William G. Beckman and Barbara D. Beckman, husband and wife; and Marie Beckman, a widow, all as joint tenants 10491 Wulff Drive Villa Park, CA 92703 (Beneficiary of Item No. 1, Part II) Orange County Treasurer -Tax Collector "- P.O. Box 1438 Santa Ana, CA 92702 (Lien Holder of Item No(s). 2, 3, 4 and 5 of Part II) Any and all parties known to the plaintiff to have or claim any interest in said land, or whose interest could be ascertained by an inspection of said land or by making Inquiry of persons in possession thereof, should also be named as parties defendant. 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 75D-67 Page 7 Order No.: 08026701 -920 -CMM Guarantee No.: CA-SFXFC-EMP-81021-1-15-080267071 GUARANTEE CONDITIONS AND STIPULATIONS 1. DEFINITION OF TERMS The following terms when used in this Guarantee mean: (a) "land": the land described, specifically or by reference, in this Guarantee and improvements affixed thereto which by law constitute real property; (b) "public records": those records which Impart constructive notice of matters relating to said land; (c) "date": the effective date; (d) "the Assured": the party or parties named as the Assured in this Guarantee, or in a supplemental writing executed by the Company; (e) "mortgage": mortgage, deed of trust, trust deed, or other security instrument. 2. EXCLUSIONS FROM COVERAGE OF THIS GUARANTEE The Company assumes no liability for loss or damage by reason of the following: (a) Taxes or assessments which are not shown as existing liens by the records of any taxing authority that levies taxes or assessments on real property or by the public records. (b) Unpatented mining claims; reservations or exceptions in patents or in Acts authorizing the issuance thereof; water rights, claims or title to water. (c) Title to any property beyond the lines of the land expressly described in the description set forth in this Guarantee, or title to streets, roads, avenues, lanes, ways or waterways on which such land abuts, or the right to maintain therein vaults, tunnels, ramps or any other structure or improvement; or any rights or easements therein unless such property, rights or easements are expressly and specifically set forth in said description. (d) Defects, liens, encumbrances, adverse claims against the title as guaranteed or other matters (1) created, suffered, assumed or agreed to by one or more of the Assured; or (2) resulting In no loss to the Assured. 3. PROSECUTION OF ACTIONS (a) The Company shall have the right at Its own cost to institute and prosecute any action or proceeding or do any other act which in its opinion may be necessary or desirable to establish or confirm the matters herein guaranteed; and the Company may take any appropriate action under the terms of this Guarantee whether or not it shall be liable thereunder and shall not thereby concede liability or waive any provision thereof. (b) In all cases where the Company does so institute and prosecute any action or proceeding, the Assured shall permit the Company to use, at its option, the name of the Assured for such purpose. Whenever requested by the Company, the Assured shall give the Company all reasonable aid in prosecuting such action or proceeding, and the Company shall reimburse the Assured for any expense so Incurred. 4. NOTICE OF LOSS --LIMITATION OF ACTION A statement in writing of any loss or damage for which it Is claimed the Company is liable under this Guarantee shall be furnished to the Company within sixty days after such loss or damage shall have been determined, and no right of action shall accrue to the Assured under this Guarantee until thirty days after such statement shall have been furnished, and no recovery shall be had by the Assured under this Guarantee unless action shall be commenced thereon within two years after expiration of said thirty day period. Failure to furnish such statement of loss or damage or to commence such action within the time hereinbefore specified, shall be a conclusive bar against 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) maintenance by the Assured of any action under this Guarantee. S. OPTION TO PAY, SETTLE OR COMPROMISE CLAIMS The Company shall have the option to pay or settle or compromise for or in the name of the Assured any claim which could result In loss to the Assured within the coverage of this Guarantee, or to pay the full amount of this Guarantee or, If this Guarantee is issued for the benefit of a holder of a mortgage, the Company shall have the option to purchase the indebtedness secured by said mortgage. Such purchase, payment or tender of payment of the full amount of the Guarantee shall terminate all liability of the Company hereunder. In the event after notice of claim has been given to the Company by the Assured the Company offers to purchase said indebtedness, the owner of such Indebtedness shall transfer and assign said indebtedness and the mortgage securing the same to the Company upon payment of the purchase price. 6. LIMITATION OF LIABILITY— PAYMENT OF LOSS (a) The liability of the Company under this Guarantee shall be limited to the amount of actual loss sustained by the Assured because of reliance upon the assurances herein set forth, but in no event shall such liability exceed the amount of the liability stated on the face page hereof. (b) The Company will pay all costs imposed upon the Assured in litigation carried on by the Company for the Assured, and all costs and attorneys' fees in litigation carried on by the Assured with the written authorization of the Company. (c) No claim for damages shall arise or be maintainable under this Guarantee (1) If the Company after having received notice of an alleged defect, lien or encumbrance not shown as an Exception or excluded herein removes such defect, lien or encumbrance within a reasonable time after receipt of such notice, or (2) for liability voluntarily assumed by the Assured in settling any claim or suit without written consent of the Company. (d) All payments under this Guarantee, except for Attorneys' fees as provided for in paragraph 6 (b) hereof, shall reduce the amount of the liability hereunder pro tanto, and no payment shall be made without producing this Guarantee for endorsement of such payment unless the Guarantee be lost or destroyed, in which case proof of such loss or destruction shall be furnished to the satisfaction of the Company. (e) When liability has been definitely fixed in accordance with the conditions of this Guarantee, the loss or damage shall be payable within thirty days thereafter. 7. SUBROGATION UPON PAYMENT OR SETTLEMENT Whenever the Company shall have settled a claim under this Guarantee, all right of subrogation shall vest in the Company unaffected by any act of the Assured, and it shall be subrogated to and be entitled to all rights and remedies which the Assured would have had against any person or property in respect to such claim had this Guarantee not been issued. If the payment does not cover the loss of the Assured, the Company shall be subrogated to such rights and remedies in the proportion which said payment bears to the amount of said loss. The Assured if requested by the Company, shall transfer to the Company all rights and remedies against any person or property necessary in order to perfect such right of subrogation, and shall permit the Company to use the name of the Assured in any transaction or litigation Involving such rights or remedies. 75D-68 Page 8 Order No.: 08026701 -920 -CMM Guarantee No.: CA-SFXFC-EPSP-81021-1-15-08026701 SCHEDULE C (Continued) 8. GUARANTEE ENTIRE CONTRACT Any action or actions or rights of action that the Assured may have or may bring against the Company arising out of the subject matter hereof must be based on the provisions of this Guarantee. No provision or condition of this Guarantee can be waived or changed except by a writing endorsed or attached hereto signed by the President, a Vice President, the Secretary, an Assistant Secretary or other validating officer of the Company. 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 9. NOTICES, WHERE SENT All notices required to be given the Company and any statement in writing required to be furnished the Company shall be addressed to it. Commonwealth Land Title Insurance Company P.O. Box 45023 Jacksonville, FL 32232-5023. 10. THE FEE SPECIFIED ON THE FACE OF THIS GUARANTEE IS THE TOTAL FEE FOR TITLE SEARCH AND EXAMINATION AND FOR THIS GUARANTEE. 75D-69 Page 9 75D-70 = 9>® . a ze, - e 22g e: 2: . e e2e�; ƒ 75D-70 ORANGE COUNTY TRANSPORTATION AUTHORITY CAPITAL PROGRAMS REAL PROPERTY DEPARTMENT SEPTEMBER 2015 This is an informational pamphlet only. It is not intended to give a complete statement of all State or federal laws and regulations pertaining to the purchase of your propertyfor a public use, the Relocation Assistance Program, technical legal definitions, or any form of legal advice. ADA Notice For individuals with disabilities, this document is available in alternate formats. For information contact: Real Property Department (714)560-1715 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 1185093.1 75D-71 TITTLE V1 PACKAGE The project proposed by the Orange County Transportation Authority may be receiving federal financial assistance. Pursuant to Title VI of the Civil Rights Act of 1964, no person in the United States shall, 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. Other statutes provide protection against discrimination on the basis of sex, age or disability. The enclosed Title VI Package is being provided for your information to further explain your rights. The Package includes. the following documents: Title VI Booklet Title VI of the 1964 Civil Rights Act and Related Statutes m The U.S. Department of Commerce of the Census, Language Identification Flashcard o If you read or speak a language different "than Anglish, please write your none and address on the top of the page and check the appropriate box on the Language Identification Flashcard and return to:. Orange County Transportation Authority Real Property Department 550 South Main Street P.O: Box 14184 Orange, CA 92863-1584 Attn: Real Property Manager 0 Title VI Survey Form with Self -Addressed Stamped Envelope o It is requested that the Right of Way Title VI Survey Form be completed and returned in the self-addressed stamped envelope. Title VI Discrimination Complaint Form Q If you believe you have been subjected. to discrimination, please ftil out the Title VI Discrimination Complaint Form and return to. Deputy Chief Executive Officer Human Resources & Organizational Development Orange County Transportation Authority 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 714:636-7433 75D-72 w �. o r y '00, N 0 •4 O N H T w N N •til. �Eli 7 N '� v O L V 1.0 10 •N nip � VJ eo M m 'go�> • O o O k kHu tC �p C' L U G 41 q E P. fi� _p C p ❑ � x M F 75D-73 C N O m o too w m 9 13 U"m 5 a vpp q O °' ;; • m m ?❑ N 0 N m 04 .0 ❑ R U: 0i m U h '❑ O N Ua . ni R •ie dU o v p L oEl - G O N' C. R `, •N vN N. N a x m 060o 0 �Y 5 Av F :y%?. 3 0`, w c. -c4 . o m v u v R a v:m, A. O v O •m- �. m •�, ami m U v `: c O o E% Pi U �'., a, a W b" E" .� U -.s '> C w om LauOg2 . . . . . e `o.P:3W0 dl O •d N N N m g 49 a— 'c .5 .5 w� .,� •5. ,e c w u ,� o ;? x c E m n o ma a CC 9 d3 E gqi4auu''P^o wav>`cdi. ',«aa,,ao w9d', >u' Cme G>(❑J. vWaaa. .m�d`d °"' ,am 'Oe .V3 'vd0`� OT o aoi .�S m>U> c v avO. om A� m o El ,a. 6 m `C ril 4:1M FOo wvoec vaLoid„a v v m 5 d p d •a bC N .. �O•• m .,O O •�. ;9a N'v_� ' . O`d N .Q O. w 0 wG3 '�a fm O > O 0F -9 m.5 id rL47 4) o v. E di . o Gd.v..58 0 _ai cg a� 'y'obi FCG y .y aogo aO uvp o `j -1 >mo co3.Ad% •Ei m'❑�., v 5e`3 6>co ao� 4yu oao; g.o a�� Q o (� vl `o. (] L] 0 �C •• u Q.` v a W u a a w v 5 o n o o ,p d d �,•a v m n. v �i � a•5 h � o u � o 3'v' or) :9 w U y N Q O Q d Q � C C` y U G O aC. ° C y •iC O �?' �:.� O _ ..V ❑❑ lJ C�' j”. ,5 �011 w ami"�'`Z o .y `�' OT y' V o > v ❑ ��.v N O y 4� y b' f�. m a� �• Um nm_ `os--aoia; .ti° =. S 13 go 4wwoE I d" y aa.o• a h,o i s ,y'= ti r� a m;n`oe up 'y N.$� trs°o` ° oc m °d' ov y y U Q v iE Q. ,C 'O ayi' d d ro -gca C4 N O' ` m 6 O -`trC -°�` o 4 0. 0 .� O 'a v. „"v_, y V o A •� v. 3 zoo O° '° •o m g o.,r, " N " g v m , qq c co w 0 .m. 0 o a� w v •S '"' u o o S ,'b fi 4 T> v G 0 4? •�+ `. �' O v �. C G G �.. C n .L O m. �' °p'�b0o AW'i 'ti 1w: .0'yW Ham'-oG dUa.v.m a y m bA U >' • o >> v " vi m .$ O�A� �. ^v, o Z o o =� �i -90 •o 'n W U V o °a c v an., m u o U E o y F+ -- H e Q¢� - •;, o s 'v q w' o w. H a u N O u u u w acs 75D-74 TITLE VI OF THE 1964 CIVIL RIGHTS ACT AND RELATED STATUTES age 1 of 2 NONDISCRIMINATION STATUTES ® Title VI of the 19.64 Civil Rights Act, 42 U.S.C. 2000, provides in Section 601 that: "No person in the United States shall, on the ground ofrace, 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 assisfaoce;' (PROHIBITS. DISCRIMINATION IN IMPACTS, SERVICES, AND BENEFITS OF; ACCESS T0; PARTICIPATION IN, AND TREATMENT UNDER A FEDERAL -AID RECIPIENT'S PROGRAMS OR ACTIVITIES) o The Age Discrimination Act of 1975, as amended 42 U.S.C. 6101, provides: "No person in the United States shall, on the basis of age,be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance." (PROHIBITS DISCRIMINATION BASED ON AGE) v The Uniform Relocation Assistance and Real Property_ Acquisition Policies Act of 1970, 42 U.S.C. 4601, provides: "For the fair and equitable treatment of persons displaced as direct result of programs or projects undertaken by a Federal agency or with Federal financial assistance." (PROVIDES FOR FAIR TREATMENT OF PERSON& DISPLACED BY FEDERAL AND FEDERAL -AID PROGRAMS AND PROJECTS) • The Federal -aid Highway Act, 49 U.S.C, 306 Outlines the responsibilities of the U.S. Department of Transportation and, at (c) outlines. the Secretary's authority to decidewhether a.recipient has not compiled with applicable Civil Rights statutes or regulations, requires the Secretary to provide notice of the violation, and requites necessary action to ensure compliance: o The 1973 Federal -aid Highway Act, 23 U.S.C. 324, provides: "No person shall on the ground of sex be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any, program or activity receiving Federal assistance under this Title or carried on under this title." (PROHIBITS DISCRIMINATION ON THE BASIS OF SEX) The Civil Rights Restoration Act of 1987, P.L. 100-209, provides: Clarification of the original intent of Congress in Title VI of the 1964 Civil Rights Act; Title IX of the Education Amendments of 1972, the Age Discrimination Act of 1975, and'Section 504 of the Rehabilitation Act of 1973. (RESTORES THE BROAD, INSTITUTION -WIDE SCOPE AND COVERAGE OF THE NON-DISCRIMINATION STATUTES TO INCLUDE ALL PROGRAMS AND ACTIVITIES OF FEDERAL -AID RECIPIENTS, SUB -RECIPIENTS AND CONTRACTORS, WHETHER SUCH PROGRAMS AND ACTIVITIES ARE FEDERALLY ASSISTED ORNOT) o The Uniform Relocation Act Amendments of 1987, P.L. 101-246, provides: "For fair, uniform, and equitable treatment of all affected persons; ...(and) minimizing the adverse impact of displacement...(to maintain)... the economic and social well-being of communities; and ... to establish a lead agency and allow for State certification and implementation." (UPDATED THE 1970 ACT AND CLARIFIED THE INTENT OF CONGRESS IN PROGRAMS AND PROJECTS WHICH CAUSE DISPLACEMENT) 75D-75 TITLE VI OF THE 1964 CIVIL RIGHTS ACT AND RELATED STATUTES Page ore e The Americans with Disabilities Act, P.L. 101-336, provides: "No qualified individual with a disability shall, by reason of such disability; be excluded from the participation in, be denied benefits of or be subjected to discrimination by a department, agency, special purpose district, or other instrumentality of State or a local government:' (PROVIDED ENFORCEABLE STANDARDS TO ADDRESS DISCRIMINATION AGAINST PEOPLE WITH DISABILITIES) • The Civil Rights Act of 1991, in part, amended Section 1981 of 42 U.S.C. by adding two new sections that provided: "(b) For the purposes of this section, the term `make and enforce contracts' includes the making, performance, modification, and:termination of contracts and the enjoyment of all benefits, privileges, terms, and conditions of the contractual relationship. (c) The rights protected by this section are protected against impairment by non-governmental discrimination and impairment under color of State law." • Title VIII ofth'e 1968 Civil Rights Act, 42 U.S.C. 3601, provides that: "(1) It shall be unlawfuL..to refuse to sell or rent after the making of a bona fide offer, or to refuse to negotiate for the sale or rental od; or otherwise make unavailable or deny a dwelling to any person because of race, color, religion or national origin." (PROHIBITS DISCRIMINATION IN THE SALE OR RENTAL OF HOUSING — HUD is the primary. interest agency, but FHWA and States under Title VI are responsible for preventing discrimination in the function of Right -of -Way) •. The National Environmental Policy Act of 1960,- 42 U.S.C. 4321 Requires the, consideration of alternatives, including the "no -build" alternative, consideration of social, environmental and. economic impacts, public involvement, and use of a systematic interdisciplinary approach at each decision making stage of Federal -aid project development. • Title IX of the Education Amendments of 1972 Makes financial assistance available to institutions of higher education to: (1) strengthen, improve and, where necessary, expand the quality of graduate and professional programs leading to an advanced degree; (2) establish, strengthen, and improveprogramsdesigned to prepare graduate and professional students for public service; and (3) assist in strengthening undergraduate programs of instruction in certain instances. • Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 790, provides that: "(No qualified handicapped person shall, solely by.reason of his handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under,any program or activity thatreeeives or benefits from Federal financial assistance." (PROHIBITS DISCRIMINATION BASED ON PHYSICAL OR MENTAL HANDICAP) Source: U.S. Department of Transportation Federal Highway Administration Title VI Handbook Title VI Nondiscrimination in the Federal -Aid Highway Progimin FHWA Publication No. FRWA-HCR-06-006 75D-76 K'F,Oi4WUUIIQUAC,E DEMtEG'G'a'dMON Ft.-A^rtiOARD El �`Iukenef b`.p,�, `L ZnLf llwNWtl6,Fa WJY ,�W M1WItn LYAlf, 6�h6 iYnYYLf ttWd 4'liP'F�ul' 6,p f,W�6p65,: � � �t�fr al,�l �rrsr ar arm � � az ali�i ern � I El ily55iliCul1nfi�t��tSFiti6So tiffi€i1s tt6ii51tiSR1irl1 S9S 9 ❑ Motka i kahhoh ya yangin fintOngnu' manaitai pat iIntOngnu' kumentos Chamorro. El �lAT1 AF vd'i#r# 1�aJt�o El Omadite ovaj kvadrati6 ako citate ili govorite hrvatski jezik. �nZagete tuto kolonku, pokudctete a hovoifte cesky. ❑ TCruis dit vakje aan als u Nederlands knot lezen of spreken. Mazk this box if you read or speak English. 033309 7501-77 1. Arabic 2. Armenian U.S. ULFAKI MGN I ur uummtuut EaromL U.S, susBURP U U.S, CENSUS 9URFAU 3. Bengali 4. Cambodian 5. Chamorro 6, Simplified Chinese 7.Traditional Chinese 8.Croatian 9. Czech 10. Dutch 11. English 12. Farsi Cacher id si vous lisez ou parlez le frangais. F] Kreuzen Sic dieses Kastchen an, wenn Sic Deutsch lesen oder sprechen. El £tjµettiba-re auto -co. nlaiato av Sta(3a(m r VA4Tz EXt qvt ..&. Make kazye sa a si ou li oswa ou pale kreyol ayisyen. trallu ZIT Wwit, fta?�v qz�vuzftg�I. za71L+1-0T °�°ut 01 96-11 RAl-al Aa' Al�0. Zmw�uZ�Ba�u q`�uiwe�u�nd�nw�a�aoa. 13. French 14. German 15. Greek 16. Haitian Creole 17. Hindi 18. Hmong 19, Hungarian 20..Ilocano 21. Italian 22.Japanese 23. Korean 24. Laotian Prosimy o zaznaczenie tego kwadratu,jeieli postuguje sigPan/Pani 25. Polish jgzykiem polskim. 83309 U.S. DEPARTMENT OF COMMENCE 6awMv and SUWdv AdW.n d - U.S. CENSUS BUREAU 75D-78 Kos lub voj no yog koj paub twin thiab hais lus Hmoob. Ielolje meg ezt a kockat, ha meg€rd vagy beszAM a magyar nyelvet. Markaam daytoy nga kahon no makabasa wenno makasaoka iti Ilocano. Marchi questa casella se legge o parla italiano. za71L+1-0T °�°ut 01 96-11 RAl-al Aa' Al�0. Zmw�uZ�Ba�u q`�uiwe�u�nd�nw�a�aoa. 13. French 14. German 15. Greek 16. Haitian Creole 17. Hindi 18. Hmong 19, Hungarian 20..Ilocano 21. Italian 22.Japanese 23. Korean 24. Laotian Prosimy o zaznaczenie tego kwadratu,jeieli postuguje sigPan/Pani 25. Polish jgzykiem polskim. 83309 U.S. DEPARTMENT OF COMMENCE 6awMv and SUWdv AdW.n d - U.S. CENSUS BUREAU 75D-78 ❑ Assinale este quadrado se voce ]e ou fala Portugues. Ynsemnali aceasta casula data cititi sau vorbiii romaneete. RoateTbTe noT xeaApaTxx, ecrna Bb[ mTraeTe xnx ronopxTe no-pyccxx. ❑ 06enexcxTe oaaj KBagpaTmh yxonxxO Ymzare xnx roBopmze cp[[cxx je311K. ❑ Ozaa6te tento stvorcek, ak viete citae alebo hovorif po slovensky. Marque esta casilla si lee o habla espanol. ❑ Markahan itong kuwadrado kung kayo ay mamnong magbasa o magsalita ng Tagalog. 9tfrn[riio�ttl�iiiijalxuoanTviTutiititliogFlnait�'lhtl. ❑ Maaka'i he puha ni kapau 'oku ke lau pe lea fakatonga. ❑ BiAM1T6=1#0 MiTNRKy, RKnlO BH `mTaew a6o rOBOpHTe yKpalHcbKoto mosoi . r _J"�JVUt.f»L.loLfI;L'It I, ❑ Yin danh dau vao o nay neu quy vi bi6t doc va not d[igc Vi6t Ngi3. ❑ .vrT+x u�vT'lY'tx u�vl+7 ilx »>H iuoYp oY'r w»lyrt� no mann U.S. OEPAMMENT OF COMMERCE Exnemlv.nd SYaWUe Pdmglmdcn 75D -7 Q V U.S. CENSUS BUREAU 26. Portuguese WAIMPHTs-rel 28. Russian 29. Serbian 30. Slovak 31. Spanish 32.Tagalog 33.Thai 34.Tongan 36. Ukranian' 361 Urdu 37. Vietnamese 38.Yiddish TITLE A SURVEY PERSONAL INFORMATION NOTICE Pursuant to the Federal Privacy Act (P.L. 93-579) and the Information Practices Act of 1977 (Civil Code Sections 1798; et seq.); notice is hereby given for the request of personal information by this form. The requested personal information is voluntary. The principal purpose of the voluntary information is to facilitate the processing of this form. The, failure to provide all or any -part of the requested information may delay processing of this form..No disclosure of'personal information will be made unless permissible under Article 6, Section 1798,24 of the IPA of 1977. Each individual has the right upon request and proper identification, to inspect all personal information in any record maintained do the individual by an identifying particular. Direct any inquiries on information maintenance to your IPA Office: Expenditure Authorization (EA) NON-DISCRIMINATION All persons affected by State transportation projects are requested to provide information with regard to race, color, national origin, sex, disability, age or income status. Please check the items below which best describe you and return this form in the enclosed envelope. The furnishing of this information is voluntary. Head of household: ❑Male Age: ❑ Under 40 RacelEthnicity:. ❑ White Cl Black ❑ Hispanic ❑ Asian Language spoken, if other than English: ❑ Female ❑ 41-65 ❑ Over 65 ❑ American Tribe ❑ Pacific islander ❑ Other Specify: Are you or any member of your household suffering any physical disability or medical condition?, O Yes ONO Are you a low-income family? Enclosure ❑ Yes ❑ No 75D-80 TITLE VI DISCRIMINATION COMPLAINT PERSONAL INFORMATION NOTICE Pursuant to Ne FedWaI Pr nary pd (P.L 93518) and the Worm ton Precgms Ad .11977 (Ciwl Code Sccllons 1798. e1 see.), ngum is hereby given rcr No request of Persovd In orrnadon by Nis (.int The requesled personal INomallon Is voluntary. Thu piincpal pury.sa of the voluntary Infmmag.n is to facilitate the pmmsdrg of We form. The failure be provide a9 or any part of No requesletl adomva.n may delay processing of we fmrrt Na dsdowro of personal Nformaa.n will be made udess Pemdsslble under Md. 6, 9ed(em 1.79929 of No IPA of 19Th Each inoititlual has Na dght upon request aM poser itlen'you" to inspect all persmal Inf.irna9o. in etry record h I le' ed .0 , dl'd Iffy bl Ifv' nparend .'vett nonquI" information ' 1 ce f. your lPA Office. 12. Orange 405 Dist Co Rte BASIS OF DISCRIMINATION ❑ RACE ❑ COLOR ❑ NATIONAL ORIGIN ❑ SEX ❑ DISABILITY []LOW-INCOME ❑ NON-ENGLISH SPEAKER Provide datc(s) and place ofalleged discrimination Describe the nature of the action, decision, or conditions of the alleged discrimination (Attach Extra Page. If Necessary) Name of individuals (if Known) responsible for the action, decision orcondition of alleged discrimination Provide supporting information known to complainant in support of his/her allegation Identify possible tvitnesse i whom the complainant believes can provide factual information about this allegation State the action requested by complainant 75D-81 • •' Project 1185095.1 75D-82 INTRODUCTION This booklet was prepared for you as a person who may potentially be affected by a proposed public transportation project. If it is your property that is affected, you may have wondered what will happen. Who will contact you? Who will pay your moving costs? Will Orange County's Transportation Authority (OCTA) help you find anew place to live? What will you be paid for your property? Important questions like these require specific answers. We hope this booklet will answer some of your questions and present a better picture of our overall procedures. WHY DOES A PUBLIC AGENCY HAVE THE RIGHT TO BUY MY PROPERTY? Our State and federal constitutions recognize the need for public agencies/entities to purchase private property for public use, and provide appropriate safeguards to accomplish this purpose. State and federal constitutions and the federal Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended, authorize the purchase of private property for public use and assure full protection of the rights of each citizen. The Orange County Transportation Authority ("OCTA"), a public entity, may purchase private property for public use. INITIAL PROJECT PLANNING The responsibility for studying potential sites for a transportation project rests with a team of specially trained individuals selected to do this important job. Many months or even years are spent in preliminary study and investigation to consider possible locations for a project. Consideration of the environmental and social impacts are as much a part of location determination as engineering and cost. Participation by private citizens and public agencies is actively sought so that various views can be considered in the study process. The process may include public hearings and/or workshops, which give persons an opportunityto express their views on the locations being considered. The team of trained individuals is composed of many specialists. Among these are: Transportation Planners These individuals determine methods and routes for the traveling public. This includes studies of existing traffic patterns, "origin -destination" surveys and user benefits. They also determine whetherthe proposed project location is economicallysound. They research and analyze the effects produced by similar projects upon other communities. 1185095.1 7501-83 Environmental Planners These individuals evaluate the socio-economic and/or environmental impacts, including traffic, noise and visual impacts of the proposed project Design Engineers These individuals recommend the type of transportation project which will be of the most benefit to the public. They prepare design plans which determine the properties needed for the project. Relocation Specialists These individuals perform early studies of the general needs of persons who may need to be relocated and the kind of replacement properties which may be required. A relocation impact analysis will be completed before the Department requires anyone to move from their property. As a result of this team effort, the best possible location for a transportation project is selected after thorough social, economic, engineering, and environmental analyses, as well as consideration of expressed public concerns and desires. The goal is that the project provide the greatest public good and the least private injury or inconvenience while rendering the best possible service. Transportation Surveyors These individuals perform field surveys and monument property lines to delineate and map the Department's right of way needs. They are also authorized by law to enter real property to perform such tasks. It is the Department's policy that owners and tenants of property will be notified prior to such surveys. FREQUENTLY ASKED QUESTIONS WHO WILL CONTACT ME? One of the first persons you will meet is an independent appraiser. You will be afforded the opportunity to accompany the appraiser on the inspection of your property. At the time of the inspection the appraiser will also provide you with general project information. The appraiser will analyze your property and examine all of the features which contribute to its market value. Information about improvements you have made and any other special features that you believe may affect the market value of your propertyshould be given to the appraiserto ensure he/she has all the information you feel is relevant. It is the duty of OCTAto ensure that you receive fair market value for the property rights and/or interests needed for the project. The OCTA cannot buy your property for more than it is worth, but it can and will assure you that you do not have to sell your property for less than its fair market value. California law provides that the owner shall receive a copy of the appraisal or a summary of the valuation upon which the Department's offer is based. 1185095.1 75D-84 At the time the offer is made to purchase property rights and/or the interests needed in your property, you may obtain your own appraisal and the Department will reimburse you up to $5,000 for the actual, reasonable costs of obtaining an independent appraisal. A licensed State appraiser must perform your appraisal. Your OCTA acquisition agent will provide more information concerningthis reimbursement at the time of the offer. WHAT ADVANTAGE IS THERE IN SELLING YOUR PROPERTY TO THE DEPARTMENT? A purchase of property rights and/or interests in your property by OCTA is handled in the same way as any private sale of property. However, there can be financial advantages in selling to the Department. The Department will pay fair market value for the property rights and/or interests in your property. The Department will also pay for the preparation of all documents, all title and escrow fees, a policy of title insurance, recording fees and such other fees as may be required for the conveyance of title to OCTA. Since this is a direct conveyance of real property from the property owner to OCTA; there are no real estate commissions involved, and the Department will not recognize or pay any such real estate commissions. A private sale will usually cost thousands of dollars in sales expenses. There are no seller's expenses in a purchase by the Department. Additionally, depending on your specific circumstances, you may be eligible for relocation payments and benefits for moving personal property and/or when you move. These benefits are described in supplemental booklets which will be provided to you, should the Department's acquisition actually cause your personal property to be moved and/or you to be displaced from your property. WILL I BE PAID FOR LOSS IN VALUE TO MY REMAINING PROPERTY? When only certain interests (i.e. a Temporary Construction Easement) or apart of your property is needed for a project, every reasonable effort is made to ensure that you do not suffer damages to the remainder of your property. The total payment by OCTA will be for the property or interests in the property OCTA actually purchases, for any loss in market value to your remaining property and temporary damages to the remainder of your property, if any. 1185095.1 75D-85 The determination of any loss in market value and/or temporary damages to the remainder are appraisal problems involving many variables. When these situations occur, your OCTA acquisition agent will explain the effect of a partial acquisition on your remaining property. Additionally, as an owner of a business conducted on the property to be purchased, you may be entitled to compensation for a loss of business goodwill. Your specific circumstances will need to be analyzed on a case-by-case basis. MAY I RETAIN AND MOVE MY HOME, BUSINESS BUILDING, MACHINERY, OR EQUIPMENT? If your house is movable and you wish to make such an arrangement, OCTA will pay you on the basis of the market value of your present lot including landscaping, plus the reasonable cost of moving the buflding. There are cases where, because of age, size or condition of the house, the cost of moving it would exceed its present market value, less its salvage value. In such a case, payment of moving costs would, of course, be an unwise expenditure of public funds. If you operate a farm or business, you may wish to keep and move fixed machinery and equipment. Additionally, as an ownerof a business conducted on the propertyto be purchased, you may be entitled to compensation for a loss of business goodwill. Your specific circumstances will need to be analyzed on a case-by-case basis. If any of these concepts are applicable to your situation, they will be explained by your OCTA acquisition agent. WILL I HAVE TIME TO SELECT ANOTHER HOME AFTER OCTA MAKES ITS OFFER TO PURCHASE? OCTA starts to appraise properties early enough so that you will have ample time to move prior to your property being needed for construction of the project. Like any other real estate transaction, it requires time to close an escrow after a right of way contract and deed have been signed. If it is determined at any point in the process that property needs to be purchased in its entirety and/or you are notified that you are eligible for relocation benefits, you will not be required to move until reasonable, decent, safe and sanitary replacement housing is available. If you receive a written offer to purchase your entire property from OCTA, it is in your best interest to look for a new place to live as soon as possible. Finding a home early that best suits your needs before you are required to move will minimize your personal inconvenience and will avoid having to make a choice of housing under pressure. In some instances you maybe able to sell your propertyto OCTA and rent back temporarily pending construction. 1185095.1 7501-86 If it's determined you are eligible for relocation benefits, OCTA also offers to provide you with assistance in finding a new place in which to live. OCTAwill give you at least 90 days notice in writing before you are required to move. WHAT HAPPENS TO THE LOAN ON MY PROPERTY? After you and OCTA have agreed upon a price, your OCTA acquisition agent and/or a title company will contact all other parties having an interest in the property. Payment to satisfy outstanding loans or liens will be made through a title company escrow as in the case in any real estate transaction. WHAT WILL HAPPEN TO MY GI OR CAL -VET LOAN? The Veterans Administration and the California Department of Veterans Affairs allow your veteran loan privileges to be transferred and to become available for coverage on another property. If it's determined that your property needs to be purchased in its entirety, your OCTA acquisition agent will assist you in the transfer. However, it is highly recommended you . check with the Veterans Administration orthe California Department of Veterans Affairs for procedural instructions. IF THE VALUE OF MY PROPERTY IS HIGHER TODAY THAN WHEN I PURCHASED IT, DO I HAVE TO PAY INCOME OR CAPITAL GAINS TAX ON THIS DIFFERENCE WHEN I SELL/CONVEY TO OCTA? Accordingto the Internal Revenue Service, the sale of propertyto a governmental agency for public purposes comes underthe definition of an "involuntary conversion". In these cases, it is not necessary to pay income tax or capital gains tax if the money you receive is used to buy a similar property within a limited period of time. In every case, however, you should check with your local Internal Revenue Service office and/or accountant. WILL I LOSE THE FAVORABLE PROPERTY TAX BASIS THAT I NOW HAVE UNDER THE PROVISIONS OF PROPOSITION 13? Section 2(d) of Article XIII -A of the California Constitution, Section 68 of the Revenue and Taxation Code, and Rule 462.500 of Title 18 of the California Code of Regulations generally provide that propertytax relief shall be granted to any real property owner who acquires comparable replacement property after having been displaced by governmental acquisition or eminent domain proceedings. You will be given a copy of Rule 462.500 with an attached page showing examples of how to calculate estimates of the tax relief you may be eligible for. These are only approximations. You must see your county Tax Assessor for a final determination. 1195095.1 75D-87 Note: Revenue and Taxation Code Section 68, and California Code of Regulations, Title 18, Rule 462.500, G. 1 through G.4, set forth time limits that may affect your eligibilityto retain your favorable current real property tax status. OCTA'S RIGHT OF EMINENT DOMAIN A property owner's rights are guaranteed by the federal and State constitutions and applicable federal and State laws. The principal right is that "Just Compensation" must be paid for any property rights or interests acquired by eminent domain. The vast majority of our transactions are settled by contract. However, if the owner and OCTA cannot agree on the terms of sale, OCTA may resort to the eminent domain process to avoid delayingthe project, and will ultimately initiate condemnation proceedings. OCTA may exercise its power of eminent domain to acquire private property for public use. At a public hearing called a Resolution ofNecessity(RON) hearing, OCTAwill request authority from the OCTA Board of Directors ("Board") to file a condemnation action in court. You will be given an opportunity to appear before'the Board to question whether public interest, necessity, planning and location require the proposed project and your property. The Board does not hear arguments regarding valuation orjust compensation at the RON.... hearing. WHAT HAPPENS IN A CONDEMNATION TRIAL? The purpose of the trial is to determine the amount of Just Compensation. Usuallythe trial is conducted before a judge and jury. Both the property owner and OCTA will have the opportunityto present evidence of value. Thejurywilldeterminetheamountof compensation after being instructed as to the law by the judge. In those cases where the parties choose not to have a jury, the judge will decide the amount of compensation. The Judgment is then prepared by counsel and signed by the judge. It will state that, upon payment of the amount of the verdict for the benefit of the property owner, title will be transferred to public ownership. When OCTA makes the payment as required by the Judgment, the Final Order of Condemnation is signed by the judge and recorded with the County Recorder's office. This finalizes the actual transfer of title. 1185095.1 7501-88 IF I WANT ATRIAL, MUST I HAVE AN ATTORNEY AND EXPERT WITNESSES? Property owners have the right to represent themselves. However, you may wish to consult your own attorney. If you do not have one, in many communities the yellow pages of the telephone directory will refer you to an attorney reference service. The local bar association may also provide a list of attorneys who may offer services in eminent domain proceedings. You and your attorney must decide what type of case you will present and what witnesses will be needed. WILL I BE PAID ANY RELOCATION ASSISTANCE BENEFITS EVEN THOUGH I GO TO COURT? A decision to go to court has no effect on your right to relocation benefits. Payment of relocation benefits is administered separately from the condemnation action. You will be provided details of additional assistance to help displaced persons, businesses, farms or nonprofit organizations in finding, purchasing or renting, and moving to a new location. These are explained in various booklets prepared for homeowners, tenants, and business and farm operators and are made available by OCTA. HOW LONG CAN I KEEP MY PROPERTY? Continued use of your property usually depends on when construction must begin, including utility relocations, and the demolition and/or clearance of buildings. If construction must begin before the trial, OCTA will seek a court order for early possession of your property. In this regard OCTA will be required to deposit with the State Treasurer, the probable amount of just compensation, as determined by an appraisal as security for the value of the property rights it is seeking. The court will determine if the amount of money deposited is adequate. Once the deposit is made the owner may withdraw all or a portion of it at anytime during the condemnation proceedings. The court may then grant to OCTA an order for early possession allowing OCTA to use the property for construction of the project. To obtain an Order for Possession, OCTAwill file a motion with the court and schedule a hearing 90 days after you and all occupants of the property are served with the motion papers (60 days if the property is unoccupied). You and the occupants, if any, will have 30 days to oppose the motion. Once the court grants an Order for Possession of the property, OCTA may obtain possession of the property 30 days after the owner and any occupants are served with the Order. 1185095.1 75D-89 Subject to the rights of any other persons having an interest in the property, you may withdraw all or part of the pre -Judgment deposit. If you do not make a withdrawal, OCTA will pay interest on the eventual court award, or agreed settlement sum from the time it legally occupied your property until the date of final payment to you. Interest will accrue at the applicable statutory rate until paid at the time of final settlement. OCTA's Acquisition Agent assigned to purchase your property will assist you in the transaction and will be available to answer any additional questions you may have. DEFINITIONS The language used in relation to eminent domain proceedings may be new to you. These are some terms you may hear and their general meaning. Acquire -To purchase Answer - The property owner's written reply, in appropriate legal form, filed with the court in response to the eminent domain complaint and as requested bythe summons. Complaint -The docum entfiled with the court by the Department which initiates an eminent domain proceeding. Condemnation - The legal process by which a proceeding in eminent domain is accomplished. Counsel - Anattorneyorattorneys. Eminent Domain - The right of government to purchase private property for public use. Fair Market value - The fair market value of the propertytaken is the highest price on the date of valuation that would be agreed to by a seller, being willingto sell but under no particular or urgent necessityfor so doing, nor obliged to sell, and a buyer, being ready, willing and able to buy but under no particular necessity for so doing, each dealing with the other with full knowledge of all the uses and purposes for which the property is reasonably adaptable and available. Final Order of Condemnation - The instrument which, when recorded, transfers title to public ownership. Judgment -The court's formal decision based on applicable law and the verdict. Just Compensation - The measure of Just Compensation is Fair Market Value. Loss of business goodwill - A loss in the value of a business caused by the OCTA's acquisition of property that cannot be reasonably prevented by relocation of the business 1185095.1 75D-90 or the owner adopting prudent or reasonable steps that preserve the value of the business goodwill. Parcel - Usually meansthe property that is being acquired. Plaintiff -The pub Iicagencythat desires to purchasethe property. Possession - Legal control; to have the right to use. Property - The right or interest which an individual has in land, including the rights to use possess, or dispose. Summons - Notification of filing of a lawsuit in eminent domain and of the necessityto file answer or other responsive pleading. Temporary Construction Easement —A temporary right for a specific time acquired from the owner of real property to provide a work area necessary for the construction of the project. Title - Legal ownership. Trial - The hearing of the facts from a plaintiff and defendant in court of law, eitherwith or without a jury. Verdict - The amount of just compensation to be paid for a property including any damages to the remainder, if applicable. 1185095.1 75D-91 - orm — Request for Taxpayer Give Form to the 'Rev. D!�etmftteh,�e!�'..,yr 4) p� OaEntlflCc°�$i®� P�Us�tber and Certification resident alien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other requester. Do not ]eparI. entitles, it is your employer Identification number (EIN). If you do not have a number, see How to get a send to the IRS. Intemd Revenue Service TIN on page 3. _ - or 1 Name (as shown on your income tax return). Name is required on this line; do not leave this line blank. of 2 Business name/disregarded entity name, If different from above m m m °- 3 Check appropriate box for federal tax classification; check only one of the following seven boxes: 4 Fxemptions (codes apply only to certain entities, not Individuals; see o ❑IndlviduaVsole proprietor or ❑ CCorporatlon ❑SCorporation ❑Partnership ❑Trust/estate instructions on page 3): a o single -member LLC ❑ Umited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=partnership) � Exempt payee code (if any) u o Note. For a single -member LLC that is disregarded, do not check LLC; check the appropriate box in the line above for Exemption From FATCA reporting w the tax classification of the single -member owner. code If arty) p, o E] Other (see instructions) fY (Apones the U.S) a 5 Address (number, street, and apt. or suite no.) Requester's name and address (options) U N yo 6 City, state, and ZIP code v N 7 List account number(s) here(optlona) , Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given online 1 to avoid social security number backup withholding. For individuals, this is generally your social security number (SSN). However, fora resident alien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other entitles, it is your employer Identification number (EIN). If you do not have a number, see How to get a TIN on page 3. _ - or Note. If the account is in more than one name, see the instructions for line.1 and the chart on page 4 for I Employer Identification number guidelines on whose number to enter. F71 F—F—F—F—F Under penalties of perjury, I certify that: ' 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. 1 am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. 1 am a U.S. citizen or other U.S. person (defined below); and 4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions on page 3. alun Signature of Here U.S.pemonD Date► General Instructions Section references are to the Internal Revenue Code unless otherwise noted. Future developments. Informatlon about developments affecting Form W-9 (such as legislation enacted after we release it) Is at www.inugovffw9. Purpose of Form An Individual or entity (Form W-9 requester) who is required to file an information return with the IRS most obtain your correct taxpayer identification number (rIN) which may be your social security number (SSI), Individual taxpayer Identification number (ITIN), adoption taxpayer identification number (ATIN), or employer Identification number (EIN), to report on an Information return the amount paid to you, or other amount reportable on an information return. Examples of information returns Include, but are not limited to, the following: • Form 1099 -INT interest earned or paid) • Form 1099 -DIV (dividends, including those from stacks or mutual funds) • Form 1099-MISC (various types of income, prizes, awards, or gross proceeds) • Form 1099-B (stock or mutual fund sales and certain other transactions by brokers) • Form 1099-S (proceeds from real estate transactions) • Form 1099-K (merchant card and third party network transactions) • Form 1098 (home mortgage interest), 1098-E (student loan Interest), 1098-T (tuition) • Form 1099-C (canceled debt) • Form 1099-A (acquisition or abandonment of secured property) Use Form W-9 only If you are a U.S. person (including a resident alien), to provide your correct TIN. Ifyou do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. See What is backup withholding? on page 2. By signing the filled -out form, you: 1. Certify that the TIN you are giving is correct (or you are wafting for a number to be Issued), 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable share of any partnership Income from a U.S. trade or business Is not subject to the withholding tax on foreign partners' sham of effectively connected Income, and 4. Certify that FATCA code(s) entered on this form (if any) indicating that you are exempt from the FATCA reporting, is correct. See (Khat is FATCA reporting? on page 2 for further Information. Cat. No. 10231X 75D-92 Form W-9 (Rev. 12-2014) Form W-9 (Rev. 12-2014) Note. If you are a U.S. person and a requester gives you a form other than Form W-9 to request your TIN, you must use the requester's form if it is substantially similar to this Form W-9. Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person if you are: e An Individual who Is a U.S. citizen or U.S. resident alien; ^ A partnership, corporation, company, or association created or organized In the United States or under the laws of the United States; An estate (other than aforeign estate); or - A domestic trust (as defined in Regulations section 301.7701-7). Special rules for partnerships. Partnerships that conduct a trade or business in the United States are generally required to pay a wUhhclding tax under section 1446 on any foreign partners share of effectively connected taxable Income from such business. Further, in certain cases where a Form W-9 has not been received, the miss under section 1446 require a partnership to presume that a partner is a foreign person, and pay the section 1446 withholding tax. Therefore, if you are a U.S. person that is a partner in a partnership conducting a trade or business In the United States, provide Form W-9 to the partnership to establish your U.S. status and avoid section 1445 withholding on your share of partnership income. In the cases below, the following person must give Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net Income from the partnership conducting a trade or business in the United States: - In the case of a disregarded entity with a U.S. owner, the U.S. owner of the disregarded entity and not the entity; - - In the case of a grantor trust with a U.S. grantor or other U.S. owner, generally, the U.S. grantor or other U.S. owner of the grantor trust and not the trust; and - In the case of a U.S. trust (other than a grantor trust), the U.S. trust (other than a grantor trust) and not the beneficiaries of the trust. Foreign person. If you are a foreign person or the U.S. branch of a foreign bank that has elected to be treated as a U.S. person, do not use Form W-9. Instead, use the appropriate Form W-8 or Form 6233 (see Publication 515, Withholding of Tax on Nonresident Aliens and Foreign Entities). Nonresident alien who becomes a resident alien. Generally, only a nonresident alien Individual may use the terms of atax treaty to reduce or eliminate U.S. tax on certain types of Inca me. However, most tax treaties contain a provislon known as a 'saving clause." Exceptions specified In the saving clause may permit an exemption from tax to continue for certain types of Income even after the payee has othenvise become a U.S. resident alien for tax purposes. If you are a U.S. resident alien who is relying on an exception contained In the saving clause of a tax treaty to claim an exemption from U.S. in on certain types of Income, you must attach astatement to Farm W-9 that specifies the following five items: 1. The treaty country. Generally, this must be the same treaty under which you claimed exemption from tax as a nonresident alien. 2. The treaty article addressing the income. 3. The article number (or location) In the tax treaty that contains the saving clause and its exceptions. 4. The type and amount of income that qualifies for the exemption from tax. 5. Sufficient facts to justify the exemption from tax under the terms of the treaty article. Example. Article 20 of the U.S.-China Income tax treaty allows an exemption from tax for scholarship Income received by a Chinese student temporarily present In the United States. Under U.S, law, this student will become a resident alien for tax purposes if his or her stay in the United States exceeds 5 calendar years. However, pamgraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, :. A Chinese student protocol) and is orfellowship Income would attach to Form W-9 a statement that includes the information described above to support that exemption. If you are a nonresident alien or a foreign entity, give the requester the appropriate completed Forth W-6 or Form 8233. Backup Withholding What is backup withholding? Persons making certain payments to you must under certain conditions withhold and pay to the IRS 28% of such payments. This Is called"backup withholding." Payments that may be subject to backup withholding Include interest, tax-exempt interest, dividends, broker and barter exchange transactions, rents, royalties, nonemployee pay, payments made in settlement of payment card and third party network transactions, and certain payments from fishing boat operators. Real estate transactions are not subject to backup withholding. You will not be subject to backup withholding on payments you receive If you give the requester your correct TIN, make the proper certifications, and report all your taxable interest and dividends on your tax return. Payments you receive will be subject to backup withholding If: 1. You do not furnish your TIN to the requester, 2. You do not certify your TIN when required (see the Part II Instructions on page 3 for details), 3. The IRS tells the requester that you furnished an incorrect TIN, 4. The IRS tells you that you are subject to backup withholding because you did not report all your Interest and dividends on your tax return (for reportable interest and dividends only), or 5. You do not certify to the requester that you are not subject to backup withholding under 4 above (for reportable interest and dividend accounts opened after 1983 only). Certain payees and payments are exempt from backup withholding. See Exempt payee code on page 3 and the separate Instructions for the Requester of Form W-9 for more Information. Also see Special rules for partnerships above. What is FATCA reporting? The Foreign Account Tax Compliance Act (FATGA) requires a participating foreign financial Institution to report all United States account holders that are specified United States persons. Certain payees are exempt from FATCA reporting. See Exemption from FATCA reporting code on page 3 and the Instructions for the Requester of Form W-9 for more Information. Updating Your Information You must provide updated infoonalion to any person to whom you claimed to be an exempt payee if you are no longer an exempt payee and anticipate receiving reportable payments In the future from this person. For example, you may need to provide updated information if you are a C corporation that elects to be an 5 corporation, or If you no longer are tax exempt. In addition, you must furnish a new Form W-9 if the name or TIN changes for the account; far example, If the grantor of a grantor trust dies. penalties -Failure to fumish TIN. If you fail to furnish your correct TIN to a requester, you are subject to a penalty of $50 for each such failure unless your failurels due to reasonable cause and not to willful neglect. Civil penalty for false information with respect to withholding. If you make a false statement with no reasonable basis that results in no backup withholding, you are subject to a $500 penalty. Criminal penalty for falsifying information. Willfully falsityingcertifications or affirmations may subject you to criminal penalties Including fines and/or Imprisonment. Misuse of TI Ns. If the requester discloses or uses TINS in violation of federal law, the requester may be subject to civil and criminal penalties. Specific Instructions Line 1 You must enter one of the following on this line; do not leave this line blank. The name should match the name on your tax return. If this Form W-9 is for a joint account, list first, and then circle, the name of the person or entity whose number you entered in Part I of Form W-9. a. Individual. Generally, enter the name shown on your tax return. If you have changed your last name without informing the Social Security Administration (SSA) of the name change, enter your first name, the last name as shown on your social security card, and your new last name. Note. [TIN applicants Enter your individual name as it was entered on your Farm W-7 application, line 1 a This should also be the same as the name you entered on the Forth 1040/104DA/1040FZ you fled with your application. b. Sole proprietor or single -member LLC. Enter your individual name as shown on your 104011040AM 040EZ on line 1. You may enter your business, trade, or "doing business as" (DBA) name on line 2. c. Partnership, LLC that Is not a single -member LLC, C Corporation, or S Corporation. Enter the entity's name as shown on the entity's tax return on line 1 and any business, trade, or DBA name on line 2. d. Other entities. Enter your name as shown on required U.S. federal tax documents an [Ina 1. This name should match the name shown on the charter or other legal document creating the entity. You may enter any business, trade, or DBA name on line 2. e. Disregarded entity. For U.S. federal tax purposes, an entity that Is disregarded as an entity separate from its owner Is treated as a "disregarded entity." See Regulations section 301.7701-2(c)(2)(111). Enter the owner's name on line 1. The name of the entity entered on line 1 should never be a disregarded entity. The name on line 1 should be the name shown on the Income tax return on which the income should be reported. For example, if a foreign LLC that is treated as a disregarded entity for U.S, federal tax purposes has a single owner that Is a U.S. person, the U.S. owner's name is required to be provided on line 1. If the direct owner of the entity is also a disregarded entity, enter the first owner that Is not disregarded for federal tax purposes. Enter the disregarded entity's name on line 2, "Business name/disregarded entity name." If the owner of the disregarded entity is a foreign person, the owner must complete an appropriate Form W-8 instead of a Form W-9. This is the case even if the foreign person has a U.S. TIN. 75D-93 Form W-9 (Rev. 12-2014) Line 2 If you have a business name, trade name, DBA name, or disregarded entity name, you may enter it on line 2. Line 3 Check the appropriate box in line 3 for the U.S. federal tax classification of the person whose name is entered on line 1. Check only one box in line 3. Limited Liability Company (LLC). If the name on line 1 is an LLC treated as a partnership for U.S. federal tax purposes, check the "Limited Liability Company" box and enter "P" in the space provided. If the LLC has filed Form 8832 or 2553 to be taxed as a corporation, check the "Limited Liability Company" box and In the space provided enter "C" for C corporation or "S" for S corporati if it is a single -member LLC that is a disregarded entity, do not check the "Limited Liability Company" box; Instead check the first box in line 3 "Individual/sele proprietor or single -member LLC." Line 4, Exemptions It you are exempt from backup withholding and/or FATCA reporting, enter In the appropriate space in line 4 any socials) that may appy to you. Exempt payee code. - Generally, individuals lincluding sole proprietors) are not exempt from backup withholding. - Except as provided below, corporations are exempt from backup withholding for certain payments, Including Interest and dNidends. - Corporations are not exempt from backup withholding for payments made In settlement of payment card or third party network transactions. - Corporations are not exempt from backup withholding with respect to attorneys fees or gross proceeds paid to attorneys, and corporations that provide medical of health care services are not exempt with respect to payments reportable on Form 1099-MISC. The following codes identify payees that are exempt from backup withholding. Enter the appropriate code in the space in line 4. 1—An organization exempt from tax under section 601(a), any IRA, or a custodial account under section 403(b)(7) If the account satisfies the requirements of section 401 (%2) 2—The United States or any of its agencies or instrumentalities , 3—A state, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or instrumentalities 4—A foreign government or any of its political subdivisions, agencies, or instrumentalities 5—A corporation 6—A dealer In securities or commodities required to register In the United States, the District of Columbia, or a U.S. commonwealth or possession 7—Afutures commission merchant registered with the Commodity Futures Trading Commission 8—A real estate investment bust 9—An entity registered at all times during the tax year under the Investment Company Act of 1940 10—A common trust fund operated by a bank under section 584(a) 11—A financial institution 12—A middleman known in the Investment community as a nominee or custodian 13—A trust exempt from tax under section 964 or described in section 4947 The following chart shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees listed above, l through 13. IF the paym ant is for... THEN the payment is exempt for... Interest and dividend payments All exempt payees except for 7 Broker transactions Exempt payees 1 through 4 and 6 through 11 and all C corporations. S corporations must not enter an exempt payee code because they are exempt only for sales of noncovered securities acquired prior to 2012. Barter exchange transactions and Exempt payees 1 through 4 patronage dividends Payments over $600 required to be Generally, exempt payees reported and direct sales over $5,0001 1 through 5' Payments made in settlement of Exempt payees 1 through 4 payment card or third party network transactions I See Form 1099-MISC, Miscellaneous Income, and its instructions. ' However, the following payments made to a corporation and reportable on Form 1099-MISC are not exempt from backup withholding: medical and health care payments, attorneys' fees, gross proceeds paid to an attorney reportable under section 6045(f), and payments for services paid by a federal executive agency. Exemption from FATCA reporting code. The following codes identify payees that are exempt from reporting under FATCA. These codes apply to persons submitting this farm for accou ins maintained outside of the United States by certain foreign financial institutions. Therefore, if you are only submitting this form for an account you hold In the United States, you may leave this field blank. Consult with the person requesting this form if you are uncertain if the financial Institution Is subject to these requirements. A requester may indicate that a code is not required by providing you with a Form W-9 with "Not Applicable" (or any similar indication) written or printed on the line for a FATCA exemption code. A—An organization exempt from tax under section 501(a) or any individual retirement plan as defined in section 7701(a)(37) B—The United States or any of its agencies or instrumentalities C—A state, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or Instrumentalities D—A corporation the stock of which is regularly traded on one or more established securities markets, as described in Regulations section 1.1472-1(c)(1)(i) E—A corporation that Is a member of the same expanded affiliated group as a corporation described In Regulations section 1.1472-1(c)(1)() F—A dealer In securities, commodities, or derivative financial instruments (Including notional principal contracts, futures, forwards, and options)that is registered as such under the laws of the United States or any state G—A real estate investment trust If —A regulated investment company as defined In section 851 or an entity registered at all times during the tax year under the Investment Company Act of 1940 —Acommon trust fund as defined in section 584(a) J—A bank as defined in section 581 K—A broker L—A trust exempt from tax under section 664 or described in sectton 4947(a)(1) M—A tax exempt trust under a section 403(b) plan or section 457(g) plan Note. You may wish to consult with the financial institution requesting this form to determine whether the FATCA code and/or exempt payee code should be completed. Line 5 Enter your address (number, street, and apartment or suite number). This Is where the requester of this Form W-9 will mall your Information returns. Line 6 Enter your city, state, and ZIP code. Part I. Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. If you are a resident alien and you do not have and are not eligible to get an SSN, your TIN Is your IRS individual taxpayer Identification number (ITIN). Enteril in the social security number box. Ifyou do not have an [TIN, see How to get a TIN below. If you are a sole proprietor and you have an EIN, you may enter eitner your SSN or EIN. However, the IRS prefers that you use your SSN. If you are a single -member LLC that Is disregarded as an entity separate from its owner (see Limited Lfabllity, Company (LLC) on this page), enter the owner's SSN (or EIN, if the owner has one). Do not enter the disregarded entity's EIN. If the LLC Is classified as a corporation or partnership, enter the entity's EIN. Note. See the chart on page 4 for further clarification of name and TIN combinations. How to get a TIN. If you do not have aTIN, appy for one immediately. To appy for an SSN, get Form SS -5, Application for a Social Security Card, from your local SSA office or get this form online at www.ssa.gov. You may also get this form by calling 1-600-772-1213. Use Fonn W-7, Application for IRS Individual Taxpayer Identification Number, to apply for an mN, or Form SS -4, Application for Employer Identification Number, to apply for an EIN. You can apply for an EIN online by accessing the IRS website at wwminsgowbuslnesses and clicking on Employer Identification Number (EIN) under Starting a Business. You can get Forms W-7 and SS -4 from the IRS by visiting IRS.gov or by calling 1 -800 -TAX -FORM (1-800-829-3676). If you are asked to complete Form W-9 but do not have a TIN, apply for a TIN and write "Applied For" in the space for the TIN, sign and date the forth, and give It to the requester. For Interest and dividend payments, and certain payments made With respect to readily tradable Instruments, generally you will have 60 days to get a TIN and give it to the requester before you are subject to backup withholding on payments. The 60 -day rule does not apply to other types of payments. You will be subject to backup withholding on all such payments until you provide your TIN to the requester. Note. Entering "Applied For" means that you have already applied for a TIN or that you Intend to apply for one soon. Caution: A disregarded U.S. entity that has a foreign owner must use the appropriate Form W-8. 75D-94 Form W-9 (Rev. 12-2014) Part II. Certification To establish to the withholding agent that you are a U.S. person, or resident alien, sign Form W-9. You may be requested to sign by the withholding agent even If hems 1, 4, or 5 below indicate otherwise. For a joint account, only the person whose TIN is shown in Part I should sign (when required). In the case of a disregarded entity, the person Identified on line 1 must sign. Exempt payees, see Exempt payee code earlier. Signature requirements. Complete the certification as indicated In items 1 through 5 below. 1. Interest, dividend, and barter exchange accounts opened before 1984 and broker accounts considered active during 1983. You must give your correct TIN, but you do not have to sign the certification 2. Interest, dividend, broker, and barter exchange accounts opened after 1983 and broker accounts considered inactive during 1983. You must sign the certification or backup withholding will apply. If you are subject to backup withholding and you are merely providing your correct TIN to the requester, you must cross out Item 2 I the certification before signing the form. 3. Real estate transactions. You must sign the certification. You may cross out Nem 2 of the certification. 4. Other payments. You must give your correct TIN, but you do not have to sign the certification unless you have been notified that you have previously given an Incorrect TIN. 'Other payments" Include payments made In the course of the requester's trade or business for rents, royalties, goods (other than bil Is for merchandise), medical and health care services (Including payments to corporations), payments to a nonemployee for services, payments made In settlement of payment card and third party nehvork transactions, payments to certain fishing boat crew members and fishermen, and gross proceeds paid to attorneys (including payments to corporations). S. Mortgage Interest paid by you, acquisition or abandonment of secured property, cancellation of debt, qualified tuition program payments (under section 529), IRA, Coverdell ESA, Archer MSA or HSA contributions or distributions, and pension distributions. You must give your correct TIN, but you do not have to sign the certification. What Name and Number To Give the Requester For this type of account Give name and SSN of:' 1. Individual The individual 2. Two or more Individuals Goint The actual owner of the account or, account) If combined funds, the first Individual on the account' 3. Custodian account of a minor The minor' (Uniform Gift -to Minors Act) 4. a. The usual revocable savings The grantor -trustee' trust (grantor is also trustee) b. So-called trust account that is The actual owner not a legal or valid trust under state law S. Sole proprietorship or disregarded The owner' entity owned by an individual 6. Grantor trust filing under Optional The grantor' Form 1099 Filing Method 1 (see Regulations section 1.671-4(b)(2)(0 (A)) For this type of account Give name and BIN of: 7. Disregarded entity not owned by an The owner individual 8. A valid trust, estate, or pension trust Legal entity' 9. Corporation or LLC electing The corporation corporate status an Form 8832 or Foran 2553 10. Association, club, religious, The organization charitable, educational, or other tax- exempt organization 11. Partnership or multi -member LLC The partnership 12. A broker or registered nominee The broker or nominee 13. Account with the Department of The public amity Agriculture In the name of a public entity (such as a state or local government, school district, or prison) that receives agricultural program payments 14. Grantor trust filing under the Form The trust 1041 Filing Method or the Optional Form 1099 Fling Method 2 (see Regulations section 1.671-4(b)(2)() (B)) ' list first and circle the name of the person whose number you famish. If only one person on a joint account has an SSN, that person's number must be fun she 1. a Oiele the minor's name and famish the minor's SSN. °You must show your Individual name and you may also enter your business or DBAr ame on the'Bosiness name/claregaNed entity' name line. You may use either your SSN or BN (If you have one), but the IRS encourages you to use your SSN. ' List first and circle the name of the trust, estate, or pension tryst. (Do net fwnish the TIN of the personal representative or trustee unless the legal entity Itself Is not designated In the account floe.) Also see Speclal rules forpartnershipson page 2. •Note.Gramoralmo tpmvidea Form W-9totrusteeoftrust Note. If no name Is circled when more than one name is listed, the number will be considered to be that of the first name listed. Secure Your Tax Records from Identity Theft Identity theft ocsurs when someone uses your personal information such as your name, SSN, or other Identifying information, without your permission, to commit fraud or other crimes. An identity thief may use your SSN to get a job or may file a tax return using your SSN to receive a refund. To reduce your risk: • Protect your SSN, Ensure your employer is protecting your SSN, and • Be careful when choosing a tax preparer. If your tax records are affected by identity theft and you receive a notice from the IRS, respond right away to the name and phone number printed on the IRS notice or letter. If your tax records are not currently affected by Identity theft but you think you are at risk due to a lost or stolen purse or wallet, questionable credit card activity or credit report, contact the IRS Identity Theft Hotline at 1-800-908-4490 or submit Form 14039. For moa Information, see Publication 4535, Identity Theft Prevention and Victim Assistance. Victims of Identity theft who are experiencing economic harm or a system . problem, or as seeking help in resolving tax problems that have not been resolved through normal channels, may be eligible for Taxpayef Advocate Service CTAS) assistance. You can reach TAS by calling the TAS toll-free case Intake line at 1-877-777-4778 orTTYMr) 1-800-8294059. Protect yourself from suspicious emails or phishing schemes. Phishing Is the creation and use of email and websftes designed to mimic legitimate business emails and websites. The most common act is sending an email to a user falsely claiming to be an established legitimate enterprise In an attempt to scam the user Into surrendering private Information that will be used for Identity theft. The IRS does not initiate contacts with taxpayers via emails. Also, the IRS does not request personal detailed Information through email or ask taxpayers for the PIN numbers, passwords, or similar secret access Information for their credit card, bank, or other financial accounts. ' If you receive an unsolicited email claiming to be from the IRS, forward this message to phishing®irs.gov. You may also report misuse of the IRS name, logo, or other IRS property to the Treasury Inspector General for Tax Administration (nGTA) at 1-800-366-4484. You can forward suspicious smalls to the Federal Trade Commission at: spam®uee.gov or contact them at www.fte.govlfdfheff or 1-877-IDTHEFT (1-877-438-4338). Visit IRS.gav to learn more about identity theft and how to reduce your risk. Privacy Act Notice Section 6109 of the Internal Revenue Code requires you to provide your correct TIN to persons (Including federal agencies) who are required to file information returns with the IRS to report interest, dividends, or certain other income paid to you; mortgage Interest you paid; the acquisition or abandonment of secured property; the cancellation of debt; or contributions you made to an IRA, Archer MSA, or HSA. The person collecting this form uses the information on the form to file information returns with the IRS, reporting the above Information. Routine uses of this Information Include giving it to the Department of Justice for civil and criminal litigation and to cities, states, the District of Columbia, and U.S. commonwealths and possessions for use In administering their laws. The information also may be disclosed to other countries under a treaty, to federal and state agencies to enforce civil and criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism. You must provide your TIN whether or not you are required to file a tax return. Under section 3406, payers must generally withhold a percentage of taxable Interest dividend, and certain other payments to a payee who does not give a TIN to the payer. Certain penalties may also apply for providing false or fraudulent Information. 75D-95 75D-96 .� PARTNERS • RECEIPT OF OFFER PACKAGE OC Streetcar Project 1922 (also known as 2006) & 2002 W. Fifth Street Santa Ana, CA 92703 OCTA No. OCS-002 & 003 APN: 007-100-04 & 05 1, Property Owner: Valdivia Family Trust 2. Property Address: 1922 (also known as 2006) & 2002 W. Fifth Street, Santa Ana, CA 92703 This is to acknowledge receipt of the offer package containing the following items: • Written Offer Letter Dated November 22, 2016 i Bill of Sale • Statement of Compensation and Value Summary • Summary Statement Relating to Purchase of Improvements Pertaining to Realty • Full Acquisition Offset Statement • Exhibit A— Improvements Pertaining to Realty • Exhibit B — Inventory of Movable Items • Title VI Brochure • Acquisition Brochure • W9 By: Federico Valdivia, Successor Trustee Valdivia Family Trust Exhibit 3 75D-97 Date November 22, 2016 SENT VIA REGULAR U.S. MAIL Jeff Farano, Esq. SA Recycling LLC 2411 N. Glassell Street Orange, CA 92865 Valdivia Family Trust Federico Valdivia (Trustee) P.O. Box 202 Santa Ana, CA 92702-0202 RE: Offer to Acquire Improvements Pertaining to Realty OC Streetcar Project 1922 (also known as 2006) and 2002_ W. Fifth Street, Santa Ana, CA 92703 OCTA ID#: OCS-002 & 003 Orange County Assessor's Parcel Number(s): 007-100-04 & 05 FTA Project Number: TBD Dear Mr. Farano and Mr. Valdivia: The Orange County Transportation Authority ("OCTA"), in cooperation with the City of Santa Ana, is proposing to construct a modern streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove (the "Project'), It has been determined that the Project will require the acquisition of the property located at 1922 (also known as 2006) and 2002 W. Fifth Street in the City of Santa Ana and identified by the Orange County Assessor as Assessor Parcel Numbers 007-100-04 and 007-100-05 (the "Property"), which is owned by the Valdivia Family Trust and is currently occupied by SA Recycling, Paragon Partners Ltd. ("Paragon") has been contracted by OCTA to contact each property owner and occupant in order to acquire the necessary rights for the Project. The OCTA has obtained an appraisal to determine the market value of the Improvements Pertaining to Realty (Immovable business fixtures and equipment, hereinafter designated as IPTR). A detailed inventory of the IPTR is listed on Exhibit A of the attached Statement of Compensation and Appraisal Summary, Please note that moveable business fixtures and equipment listed on Exhibit B will not be acquired, but OCTA will pay the reasonable costs of moving the items pursuant to the Uniform Relocation and Real Property Acquisition Policies Act of 1970, as amended, and California Government Code Section 7267 and its implementing guidelines. 5—j62 Bolsa Avenue, Sul -a 2oi I Huntington aeach, California 92649 1204543.1 75D-98 Page Two November 22, 2016 Just Compensation: Michael A. Lacey, ASA, an appraiser with Hodges Lacey & Associates, LLC has inspected and appraised the IPTR belonging to either the Valdivia Family Trust or SA Recycling LLC for the purpose of determining the fair market value in place of the IPTR in the amount of FOUR HUNDRED TWENTY-THREE THOUSAND EIGHT HUNDRED AND -FIFTY DOLLARS AND ZERO CENTS ($423,860.00). Offer to Purchase: Based on the determined just compensation, OCTA hereby offers to purchase the IPTR for FOUR HUNDRED TWENTY-THREE THOUSAND EIGHT HUNDRED AND FIFTY DOLLARS AND ZERO CENTS ($423,850.00). OCTA has made no determination as to the ownership of the IPTR. Please submit to the undersigned a notarized copy of the enclosed Full Acquisition Offset Statement ("Offset Statement') confirming the ownership of all of the listed items. This offer is being made to the owner of the IPTR as will be identified In the fully executed, notarized Offset Statement. This is an offer to purchase the IPTR upon the terms as substantially set forth in the enclosed Bill of Sale, free of all liens and other encumbrances, except as may be agreed to by OCTA. This offer does not reflect or include any relocation benefits related to possible relocation of personal property to which -you may be entitled. If for any reason you do not accept OCTKs offer, please be advised that this letter and the offer made herein are tendered under the provisions of the California Evidence Code Section 1152 and shall not be admissible in evidence to prove OCTXs liability in any eminent domain proceeding which may subsequently be instituted for the acquisition of the fixtures and equipment. It is OCTA's hope that this offer is agreeable to you, If you wish to accept this offer, please return the fully executed Offset Statement and call Phillip Bonina of Paragon at (714) 379-3376 so that the enclosed Bill of Sale can be finalized. If you have any 1204565.1 7501-99 Page Three November 22, 2016 questions, wish to discuss this matter further or would like to meet in person at your convenience, please feel free to call me at the number listed above. 7P fillip L. Bonina aragon Partners Ltd. cc: Paula A. Schaefer, Esq. (Valdivia Family Trust) Michael Leifer, Esq./Michael Kehoe, Esq. (SA Recycling) Joe Gallardo, Manager, Real Property (OCTA) Enclosures: Acknowledgment of Receipt of Offer Package Statement of Compensation and Value Summary Bill of Sale Full Acquisition Offset Statement Title VI Brochure Acquisition Brochure Exhibit A — Improvements Pertaining to Realty Exhibit B — Inventory of Movable Items 1204565A i 75D-100 Orange County Transportation Authority BILL OF SALE VALDIVIA FAMILY TRUST/SA RECYCLING LLC Page 1 Project: OC Streetcar Project Landlord: Valdivia Family Trust/Lessee: SA Recycling LLC APN(s): 007-100-04 & -05 OCTA Parcel No(s).: OCS-002 & 003 City: Santa Ana SA RECYCLING LLC ("Lessee") leases certain real property located at 1922 (also known as 2006) and 2002 W. Fifth Street, Santa Ana, CA 92703 (the "Property") from the Valdivia Family Trust ("Landlord"). The Orange County Transportation Authority, a public entity (tire "OCTA") is interested in the acquisition of the Property for construction of the OC Streetcar Project (the "Project"). In order for the OCTA to construct the Project, it will become necessary for Lessee to move from the Property. The parties understand that Lessee may be entitled to certain relocation benefits under applicable law. The purpose of this Agreement is for the parties to set forth the entire terms of their agreement with respect only to compensating Lessee and/or Landlord for their respective interests in improvements and items pertaining to the realty in the Property. In consideration of which, and the other considerations hereinafter set forth, it is mutually agreed as follows: 1. The OCTA shall: (A) Pay Landlord and/or Lessee the sum of FOUR HUNDRED TWENTY-THREE THOUSAND EIGHT HUNDRED AND FIFTY DOLLARS ($423,850.00) for all of Landowner's and Lessee's interests in the improvements and items pertaining to the realty in the Property. This sum shall be paid to Landlord and/or Lessee by depositing the money into escrow upon the full execution of this agreement and delivery by Landlord and/or Lessee to OCTA of a notarized copy of the enclosed Full Acquisition Offset Statement confirming that Landlord aid/or Lessee own said improvements. (B) Open an internal escrow and pay all escrow fees incurred in this transaction. 2. It is understood and agreed by and between the parties hereto that payment in Clause 1(A), above, is payment for the fair market value in place of improvements and items pertaining to the realty in the amount of FOUR HUNDRED TWENTY-THREE THOUSAND EIGHT HUNDRED AND FIFTY DOLLARS ($423,850.00), as set forth in Exhibit "A", attached hereto and made a part hereof, which are considered to be part of the realty and have been acquired by the OCTA in this transaction (hereinafter, the "IPTR'). 3. Landlord and Lessee, for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, do hereby remise, release and forever quitclaim to the OCTA all of its right, title and interest in the IPTR. 4. Should the Property be materially destroyed by fire, earthquake, or other calamity without the fault of either party prior to its transfer of the Property to OCTA, this agreement may be rescinded by the OCTA; in such an event, the OCTA may reappraise the IPTR and make an offer thereon. 5. To the current knowledge of Landlord and Lessee, Landlord and Lessee warrant to the OCTA that, as of the date of this Bill of Sale, Landlord and Lessee have not encumbered the title to the IPTR with any liens or granted any unrecorded encumbrances or licenses on the improvements. 6. Landlord and Lessee warrant that as of the date of this Bill of Sale, neither Landlord nor Lessee have entered into any contracts, leases, licenses, commitments, or undertakings respecting the IPTR by which the OCTA would become obligated or liable to anyone. 7. In consideration for the payment of the sum stated in Clause I (A) above and other valuable consideration, receipt of which is hereby acknowledged, the Landlord and Lessee hereby acknowledge they have no further 1204724.1 75D-101 Orange County Transportation Authority BILL OF SALE VALDIVIA FAMILY TRUST/SA RECYCLING LLC Page 2 rights under the Federal and State Uniform Relocation Assistance Acts (42 U.S.C. Section 4601 et seq. and California Government Code Section 7260, et seq. to receive reimbursement for the expense of moving and/or reinstallation of the items listed oil Exhibit "A". 8. No amendment, change, modification or supplement to this Bill of Sale shall be valid and binding on the parties unless it is represented in writing and signed by each of the Parties. 9. This Bill of Sale shall be governed by, interpreted under, construed and enforced in accordance with the laws of the State of California, irrespective of California's choice -of -law principles. 10. This Bill of Sale and the terms, provisions, promises, covenants and conditions hereof shall be binding upon and inure to the benefit of the Parties hereto and their respective heirs, legal representatives, successors and assigns. 11. Each individual executing this Bill of Sale on behalf of the OCTA and the Landlord and Lessee has been duly authorized to execute this Bill of Sale. 12. This Bill of Sale may be executed in two or more separate counterparts, each of which, when so executed, shall be deemed to be an original. Such counterparts shall together constitute and shall be one and the same instrument. This Bill of Sale shall not be effective until the execution and delivery by the Parties hereto of at least one set of counterparts. The Parties hereby authorize each other to detach and combine original signature pages and consolidate them into a single identical original. Any one of such completely executed counterparts shall be sufficient proof of this Bill of Sale. An electronic/email version of the signature pages shall be considered original versions. NO OBLIGATION OTHER THAN THOSE SET FORTH HEREIN WILL BE RECOGNIZED In WITNESS WHEREOF, the parties have executed this agreement the dates set forth below. LESSEE: SA RECYCLING LLC By: Printed: Date: ORANGE COUNTY TRANSPORTATION AUTHORITY, A Public Entity Date: M 1204724.1 75D-1 0 2 Orange County Transportation Authority BILL OF SALE LANDLORD: VALDIVIA FAMILY TRUST M Federico Valdivia, Successor Trustee Date: APPROVED AS TO FORM: WOODRUFF, SPRADLIN & SMART, APC Date: By: _ James M. Donich General Counsel for OCTA PAULA SCHAEFER LAW Date By: _ Paula A. Schaefer Attorney for Valdivia Family Trust PALMIERI, TYLER, WIENER, WILHELM & WALDRON LLP Date: By: Michael Leifer Michael Kehoe Attorneys for SA Recycling LLC VALDIVIA FAMILY TRUST/SA RECYCLING LLC Page 3 1204724.1 75D-1 0 3 ORANGE COUNTY TRANSPORTATION AUTHORITY ("OCTA") STATEMENT OF COMPENSATION AND VALUE SUMMARY (IMPROVEMENTS PERTAINING TO REALTY) DATE OF VALUATION: March 9, 2016 PROJECT: OC Streetcar Project PARCEL NO: OCS-002 & 003 PROPERTY LOCATION: APN: 007-100-04 & 05 1922 (also known as 2006) and 2002 W. Fifth Street Santa Ana, CA 92703 PROPERTY OWNER: Valdivia Family Trust TENANT: SA Recycling LLC DESCRIPTION OF SUBJECT BUSINESS: SA Recycling is located at 1922 (also known as 2006) and 2002 West 50' Street, Santa Ana, California. Mr. Alex Villa, a Supervisor for the Subject Business, reported that the Subject Business started operation at the Subject Location in 2007. BASIS OF COMPENSATION: The OCTA's offer of compensation is based upon the Fair Market Value in Place of the subject F&E and is not less than the approved appraised valuation. The amount of the offer is the full amount believed to be compensation for the F&E. OCTA had the subject F&E appraised to determine the Replacement Cost New, the Fair Market Value in Place the Salvage/Liquidation Value of the assets identified as being F&E. In valuing the F&E, the appraiser physically inspected the assets listed on Exhibit A and examined the age, condition and considered the useful life of each asset, both physically and functionally. The appraiser then contacted the manufacturers' representatives and used Marshall & Swift Valuation Services, as well as cost/marketing data of the assets in question and various resale internet sites. Using this data, the appraiser determined the Replacement Cost New Value, the Fair Market Value in Place and the Salvage/Liquidation Value based on the following definitions: Fair Market Value in Place In estimating the fair market value of the assets appraised herein, we have relied upon the definition of fair market value found in Article 4, §1263.320 of the California Code of Civil Procedure, which reads as follows: 75D-104 (a) The fair market value of the property taken is the highest price on the date of valuation that would be agreed to by a seller, being willing to sell but under no particular or urgent necessity for so doing, nor obliged to sell, and a buyer, being ready, willing, and able to buy but under no particular necessity for so doing, each dealing with the other with full knowledge of all the uses and purposes for which the property is reasonably adaptable and available. (b) The fair market value of property taken for which there is no relevant, comparable market is its value on the date of valuation as determined by any method of valuation that is just and equitable. In estimating the fair market value in place, additional costs may be incurred to place the asset in service including installation, freight, sales tax, design and other acquisition costs. Salvage Value The term salvage value means the probable sale price of an item offered for sale to knowledgeable buyers with the requirement that it be removed from the property at a buyer's expense (i.e., not eligible for relocation assistance). This includes items for re -use as well as items with components that can be re -used or recycled when there is no reasonable prospect for sale except on this basis. [Source: Code of Federal Regulations, Title 49, Subtitle A, Part 24, Subpart A, Section 24.2 (a) (23)] Salvage value is the price the State would obtain for the equipment in place at auction with the buyer removing the equipment in a relatively short time. [Source: Caltrans Right or Way Manual, Chapter 7, Appraisals, Section 7.08.05.00] The Fair Market Value in Place of the F&E was determined to be $423,850, which is the basis for OCTA's determination of compensation. Please note that moveable business fixtures and equipment listed on Exhibit B will not be acquired, but OCTA will pay the reasonable costs of moving the items pursuant to the Uniform Relocation and Real Property Acquisition Policies Act of 1970, as amended, and California Government Code Section 7267 and its implementing guidelines. RECOMMENDED COMPENSATION: The recommended amount of compensation for the acquisition of the F&E is $423,850. 2 75D-105 ORANGE COUNTY TRANSPORTATION AUTHORITY SUMMARY STATEMENT RELATING TO THE PURCHASE OF REAL PROPERTY OR AN INTEREST THEREIN The Orange County Transportation Authority (OCTA) is proposing to purchase real property or interests therein in connection with the construction of the OC Streetcar Project (Project) and related improvements and appurtenances. The property located at 1922 (also known as 2006) and 2002 W. Fifth Street in the City of Santa Ana, is within the Project area and identified by your County Assessor as Parcel No. 007-100-04 & 05. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 and the California Relocation Assistance and Real Property Acquisition Guidelines require that you, as an owner from whom a public agency proposes to purchase real property or an interest therein or as a tenant owning improvements on the property must be provided with at a minimum, a summary of the appraisal of the real property or interest therein, as well as the following information: 1. You are entitled to receive full payment of the probable amount of just compensation prior to vacating the real property being acquired unless you have heretofore waived such entitlement. In the event of any voluntary purchase or sale of the property or interests, you would not be required to pay recording fees, transfer taxes, or the pro rata portion of real property taxes allocable to any period following the passage of title or possession. 2. The OCTA will offer to purchase any remnant(s), if any, considered by the OCTA to be an uneconomic unit(s) which is/are owned by you or, if applicable, occupied by you as a tenant and which is/are contiguous to the land being conveyed. 3. All buildings, structures and other improvements affixed to the land described in the referenced document(s) covering this transaction, and which are owned by you as the owner or, if applicable, owned by you as a tenant, are being conveyed unless other disposition of these improvements has been made. The real property interest proposed to be acquired is: Fee Simple — Full Acquisition and Improvements Pertaining to Realty. 4. The market value of the property proposed to be acquired is based upon a market value appraisal which is summarized on the attached Valuation Summary Statement, and such amount: A. Represents the full amount of the appraisal of just compensation for the property proposed to be purchased; B. Is not less than the approved appraisal of the fair -market value of the property as improved; C. Disregards any decrease or increase in the fair market value of the real property proposed to be acquired prior to the date of valuation which might be caused by the Project itself or by the likelihood that the property would be acquired for or in connection with the Project, other than that due to physical deterioration within the reasonable control of the owner or occupant; and D. Does not reflect any consideration of or allowance for any relocation assistance and payments or other benefits which the owner is entitled to receive under an agreement with the OCTA: 5. Pursuant to Code of Civil Procedure Section 1263.025 should the owner of the property elect to obtain an independent appraisal, the OCTA will pay for the actual reasonable costs up to Five Thousand ($5,000) Dollars subject to the following conditions: A. You, not the OCTA, must order the appraisal. Should you enter into a contract with the selected appraiser, the OCTA will not be a party to the contract; B. The selected appraiser is licensed with the California Bureau of Real Estate Appraisers (BREA); 1197842.1 75D-106 ORANGE COUNTY TRANSPORTATION AUTHORITY SUMMARY STATEMENT RELATING TO THE PURCHASE OF REAL PROPERTY OR AN INTEREST THEREIN C. Appraisal cost reimbursement must be made in writing, and submitted to the Orange County Transportation Authority c/o Paragon Partners Ltd. at 5762 Bolsa Avenue, Huntington Beach, CA 92649 Attn: Phillip L. Bonina, within ninety (90) days of the earliest of the following dates: (1) the date the selected appraiser requests payment from you for the appraisal; or, (2) the date upon which you, or someone on your behalf, remitted full payment to the selected appraiser for the appraisal. Copies of the contract (if a contract was made), appraisal report, and the invoice for the completed work by the appraiser must be provided to the OCTA concurrent with the submission of the written request. The costs must be reasonable and justifiable. 6. If you are the owner of a business conducted on a property proposed to be acquired, or conducted on the remaining property which will be affected by the purchase of the required property, you may be entitled to compensation for the loss of goodwill. Entitlement is contingent upon the owner and/or lessee's ability to prove such loss in accordance with the provisions of Sections 1263.510 and 1263.520 of the Code of Civil Procedure. 7. If you ultimately elect to reject the OCTA's offer for your property, you are entitled to have the amount of compensation determined by a court of law in accordance with the laws of the State of California. 8. You are entitled to receive all benefits that are available through donation to the OCTA of all or part of your interest in the real property sought to be acquired by the OCTA as set out in Streets and Highways Code Sections 104.2 and 104.12. 1197842.1 75D-1 07 ORANGE COUNTY TRANSPORTATION AUTHORITY FULL ACQUISITION OFFSET STATEMENT (Fano k) EXHB,T 8 -EX -18A (Rev. 6/95) PERSONAL INFORMATION NOTICE Pursuant to the Federal Privacy Act (P.L. 93-579) and the Information Practices Act of 1977 (Civil Code Sections 1798, at seq.), notice is hereby given for time request of personal information by this form. The requested personal information is voluntary. The principal purpose of the voluntary information is to facilitate the processing of this form. The failure to provide all or any part of the requested information may delay processing of this fort. No disclosure of personal information will be made unless permissible under Article 6, Section 1798.24 of the IPA of 1977. Each individual has the right upon request and proper identification, to inspect all personal information in any record maintained on the individual by an identifying particular. Direct any inquiries on information maintenance to your IPA Office. PROJECT: PARCEL NO.: WHEREAS, The Orange County Transportation Authority (OCTA) seeks to acquire fee -simple title to certain lands and buildings, including that certain building known as and, (Address) WHEREAS, OCTA and the owner of said building are negotiating a sale of said building.. NOW, THEREFORE, The undersigned makes the following statement of facts and represents to, OCTA that each of said facts is hue and correct in every detail. That the undersigned are the tenants in possession corder the terms of. 1. () An oral lease from month-to-month O A written lease for a term ending at a monthly rental of $ and that the undersigned has paid all rents to and including the day of 20_, and has paid no rents beyond said date except 2. That the last rental payment was made to and that the next rental payment of $ will be due and payable on the day of '20 3. ( ) that no offsets are claimed by the undersigned tenants and/or lessees against any rents which have been paid of which may hereafter become due. ( ) That the following offsets are claimed by the undersigned tenants ( ), lessees ( ), against future rents: ORANGE COUNTY TRANSPORTATION AUTHORITY FULL ACQUISITION OFFSET STATEMENT (Form N) EXHIBIT S -EX -18A (Rev. 6/95) 4. That it is widerstood and agreed between the undersigned that the following items are considered pari of the realty and are owned by the: LESSOR () None ( ) LESSEE () None ( ) Dated this day of 20_ TWA 0 TENANT ( ) NONE ( ) TENANT ( ) or LESSEE GRANTOR (LESSOR) EXHIBIT A IMPROVEMENTS PERTAINING TO REALTY 75D-110 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA IMPROVEMENTS PERTAINING TO THE REALTY EFFECTIVE DATE OF VALUE - MARCH 9, 2016 Item Replacement Fair Market Salvage No. Qty, Description CostNew Value hr Place Value I 1 Sign, 12'x 4.5', painted plywood, painted words, "SA Recycling', $2,500 $2,000 $0 plus 9 words, multi -colored, metal frame, exterior fetrce-mounted 2 1 Sign, 8' x 4', 2 sided, painted plywood, painted letters, "SA $3,000 $2,350 $0 recycling', plus I 1 words, painted softwood frame and 2 uprights, 10.5' high, painted concrete pad, 10' x 1.5' x 4', with inset planter 3 1 Group of exterior railing, exterior of office/warehouse building, $20,000 $16,500 $0 painted welded tubular metal, consisting of 210 Linear feet of guardrails, 2 to 4 cross members 8 Linear feet of hand rails, at stairs 42 Linear feet of hand rails, at rainp on north side of building 4 1 Alarm system, (not including, 8 snap shot cameras, wireless, in S5,100 $4,350 $0 yard, and receiver panel; exterior office wall -mounted, by Videoland, leased from Bay Alarm), consisting of: 1 Control panel 3 Code pads 5 Door contact sensors 7 Motion sensors 5 Warehouse door sensors 1 Line cut battery back up system 2 Panic buttons 5 18 Bollards, painted tubular metal, concrete filled, consisting of $7,400 $5,900 $0 4 Thigh, 8" x 8", square tube 2 42" high, 6" diameter 2 48" high, 4" diameter 4 36" high, 6" diameter 1 48" high, 6" diameter 5 50" high, 6" diameter 6 22 High intensity discharge (IIID) work lights, including, local $36,000 $28,500 $0 electrical, consisting of 6 Wall washers 16 Pole and bracket -mounted, painted metal, including, 1 small metal mounting pole, 1 mounting pole on radiation detection unit at truck scale, 20' high (estimate), 4 building roof -mounted metal brackets 7 1 Group of yard waste water drainage improvements, consisting of: $21,500 $17,000 $0 1 Catch basin, Tx 3' T (estimate), concrete, with, metal grate enclosure, 6'x 1.5'x 4', 1 sump pump, control panel and 30 amp safety switch, local electrical 75D-111 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA IMPROVEMENTS PERTAINING TO THE REALTY EFFECTIVE DATE OF VALUE - MARCH 9, 2016 Item Replacement Fair Market Salvage No. Qty, Description Cost New Value in Place Value 410 Linear feet (estimate) of drainpipe to filtration vessels, 3" diameter, plastic, 2 ball valves 15 Linear feet of street discharge drain pipe, 2" diameter, plastic, with coupling, 1 in-line flow meter, GF, digital, local electrical 22 Surveillance cameras, including, 3 rotating zoom/pan, 13 $30,000 $22,000 $600 stationary, 12 with weather housings, 1 yard mounting pole, 20' high (estimate), 4" x 4", painted metal, 6 at warehouse scrap weigh stations, 4 I snapshot, by Axis, 2 by IQ Eye, cabling, power packs 265 Linear feet of concrete barrier blocks, blocks are Tx 2.5' x 23, $43,000 $34,000 $1,500 including, 175 linear feet of 4 blocks high, 40 linear feet of 3 blocks high, 50 linear feet of 2 blocks high, approximately 190 total blocks 10 160 Linear feet of interior yard fencing, 10' high, painted 1/2" thick $115,000 $85,000 $0 steel plate sheeting, heavy duty steel frame with 14 I beam uprights, 8" x 7", 3 cross members, 4" x 4", 160 linear feet of top - mounted chain link fence, 3 cross members, 1 slide gate, 26' long, metal frame, painted corrugated metal covering 11 2 Radiation detection panels, at truck scale, Ludlmn Measurements, $45,000 $35,500 $3,000 Incorporated, Model: 45254400, Serial: GM -5153, each with I beam frames, local electrical and cabling 12 1 Truck scale, in -ground, 70'x 10' platform, with diamond plate $94,000 $77,000 $5,000 top, 60 ton capacity, including, 1 camera, cabling, power pack, I exterior direct read out (DRO), Matko Electronic Displays, 1 interior DRO, by GDE, Model: 560 13 1 Truck scale, Above -ground, Southwestern Scale, Sidewinder, $76,000 $62,500 $4,000 Model: 4035 LPS, Serial: 082397, 40 ton capacity, with steel framned side walls, drive -on and drive -off concrete pads, 1 camera, cabling, power pack, 1 exterior DRO, Matko Electronic Displays, I interior DRO, by GDE, Model: 560 14 1 Fire suppression water boost system, including, 25 linear feet of $6,500 $5,350 $300 1.5" diameter copper pipe connection, with ball valve, 1 control panel, GE, 300 Line Control, metal wall mounting bracket, 1 pump motor, Goulds Water Technology, Model: 36565, ground - mounted metal stand, 1 fire hose with wall -mounted hanger, 7' long, metal 75D-1212 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA IMPROVEMENTS PERTAINING TO THE REALTY EFFECTIVE DATE OF VALUE - MARCH 9, 2016 Item Replacement Fair Market Salvage No. Qty. Description Cost New ValuenrPlace Value 15 1 Emergency eye wash station, pedestal base, with shower, local $1,700 $1,350 $100 plumbing 16 1 Lot of supplemental electrical power distribution, for specific $10,500 $9,050 $0 business equipment, including, wire, conduit and circuit breakers, consisting of: 1 120 volt duplex receptacle, at diesel station in yard 1 120 volt duplex receptacle, at "Stoiminator" station, with 2 ontoff switches, and hardwiring to storage container 1 120 volt quadraplex receptacle, in warehouse . 2 120 volt hardwirings for pallet scales, in warehouse 1 120 volt quadraplex receptacle, for pallet scale, in warehouse 2 120 volt duplexes, and electrical reels, in warehouse 17 1 Lot of minor miscellaneous yard improvements, including, 8 whip $4,700 $3,600 $50 banner hangers, minor signage, 4 traffic mirrors, T diameters, 2 public address speakers, wiring, 2 electrical outlet hose reels 18 52 Linear feet of wall guard rail, in warehouse, 3' high, 11 bollards, 3 $6,700 $4,900 $0 cross members, painted metal 19 1 Time recorder, Schlage, Model: Hand Punch 4000, including, $4,600 $3,650 $200 metal control box, with, uninterrupted power source, APC, Model: ES550, electrical outlet ship, local electrical 20 1 Lot of intemet/network cabling for approximately 12 stations, $4,200 $3,350 $0 including, receptacles TOTAL IMPROVEMENTS PERTAINING TO THE REALTY $537,400 $423,850 $14,750 75D-1313 EXHIBIT B MOVABLE F &E 75D-114 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty. Description 21 1 Storage cabinet, Tx 6', 2 door, Craftsman 22 2 Desks, 60" x 30", with return, laminate, double pedestal 23 1 Desk, 60" x 30", with return, 4' connector 24 11 Stack chairs, fabric seat and back 25 2 File cabinets, vertical, 2 drawer 26 1 Compact refrigerator, Frigidaire, estimated 4 cu ft. 27 1 Bookcase, 2.5'x 6', laminate, 5 tier 28 5 Telephone handsets, Cisco, Model: 1P Phone 7941 29 1 Laptop, Dell, Model: Latitude, Core i5 processor with docking station, wireless keyboard and mouse 30 2 LCD monitors, Dell, 22" 31 1 Metal scanner, Olympus, Model: DP -2000, Serial Number: 541800, with charging station 32 1 Printer, HP, Model: LaserJet, P3005n 33 1 White board, 6'x 4', no frame 34 1 Swivel arm chair, medium back, 3 paddle, vinyl 35 1 Lot of minor miscellaneous office and desk accessories 36 4 File cabinets, lateral, 5 drawer, 42" 37 2 Storage cabinets, 3' x 6', 2 doors, metal, Hon 38 1 Size T gas cylinder 39 7 Cordless power tools, Dewalt and Milwaukee 75D-115 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty, Description 40 2 Bottled water dispensers, hot and cold 41 1 Swivel stool, fabric seat and back, foot ring, 1 paddle 42 1 Copier, Kyocera, Model: Taskalfa 3 00c 43 1 Computer wall mount, 2 shelf 44 1 Desktop computer, Dell, Model: OpitPlex 780, with LCD, Dell, 17" 45 2 Radiation detectors, Ludlum Instruments, Model: 3 Survey Meter 46 11 Swivel arm chairs, vinyl, chrome base; 1 paddle 47 2 Swivel arm chairs, vinyl, high back, 1 paddle 48 8 File cabinets, vertical, 2 drawer, letter - 49 4 File cabinets, lateral, 2 drawers, 30" 50 2 Cash drawers 51 1 Desktop computer, ThinkCentre, Model: M Series, with LCD, Elo, Model: 17" 52 1 Desktop computer, Dell, Model: OptiPlex 745, with LCD, Dell, Model: 17", with mount bracket 53 2 Receipt printers, Star, Model: TSP 800 II 54 1 Receipt printer, Epson, Model: M66SA 55 1 Bar seamier, Honeywell, Model: 3800g 75DA16 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty. Description 56 2 Desktop computers, Dell, Model: OptiPlex 755, with LCD, Dell, 22", 1 -computer camera, Axis, 2- monitor desk shelves, plastic 57 1 Currency counter, Royal Sovereign, digital 58 12 Motorola radios, Model: Ht750, with 2-6 station chargers 59 1 Compact refrigerator, GE, estimated 6 cu. ft. 60 1 All -in -one machine, HP, Model: Color LaserJet CM23201if 61 1 Cabinet, 2 door, 2' x 2.5', 2 door, metal 62 1 Laptop, Dell, Model: Latitude, with 2 LCD's, Dell, 22", plastic monitor desk shelf, wireless keyboard and mouse 63 1 Surveillance monitor, Panasonic, Model: WV-LC1900 64 1 Camera remote controller, Dedicated Micros 65 1 Bookcase, Tx 6', laminate, 4 tiers 66 1 White board, 6'x 4', Quartet, aluminum frame 67 1 Group of minor miscellaneous items: 2 Oscillating floor fans, Lasko, 18" 3 Print calculators, Sharp, Model: EL-2196BL 3 Bulletins, 3' x 2', cork 3 Fire extinguishers, 5 lbs., dry chemical 1 Tire wall clock, 14" 1 First Aid Kit, wall mount, metal I Laminator, Scotch, Model: TL901 2 Microwave, Avanti, stainless steel 1 Toaster oven 2 Water coolers, plastic, Igloo 1 Coffee dispenser, Air Pot 1 Paper shredder 1 Microwave, GE, stainless steel, with wire shelf stand 75D-117 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty. Description 1 Folding table, 6', plastic 68 1 Office occasional table, 4' diameter, laminate 69 1 Desk, 60"x30", laminate, I pedestal 70 1 Conference table, 12'x 4', oval, finished wood, panel legs, 2 piece 71 3 Bookcases, 3.5'x 4.5', metal 72 1 Monitor, Sanyo, 32", wall mount 73 2 Refrigerators, GE, Model: Americana, overlunder, A3316ABSBRW W 74 1 Desktop computer, Dell, Model: Vostro 360, Core i3, with Dell speaker set 75 1 Time recorder, Iifor,.biometric 76 1 Monitor, Vizio, 32" 77 9 Stack chairs, fabric seat and back, 2" thick 78 1 Locker set, 3 over 6 cubes 79 1 File cabinet, lateral, 3 drawer, 42", lock 80 1 Compact refrigerator, Kenmore, estimated 4 on ft., with rolling stainless steel stand 81 1 Group of computer network components: 1 Wall rack cabinet, Hoffman, 22" x 49" x 24" 1 Integrated services router, Cisco, Model: 2811 2 Nehvorking unit, Cisco, Model: Catalyst 3560G, Series 1 48 pat bub, CAT 6, ICC 1 24 port hub, CAT 6, Leviton 1 Wireless router, VeloCloud 1 Wireless router, AT&T Uverse, Model: NVG589 75D-'618 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty. Description 1 Power supply, Altronix, Model: 16 1 Plug-in outlet center, Wiremold 1 Surveillance DVR, Dedicated Micros 16 channel 1 Power back up, APC, rack mount 82 11 Fire extinguishers, 10 lbs., dry chemical 83 3 Fire extinguishers, 5 lbs., dry chemical 84 2 Fire extinguishers, 30 lbs., for metal fires 85 1 Waste compactor, estimated 2,000 lbs., steel, forklift type 86 T Utility cart, 2 tiers 87 1 Worktable, 4'x 3', steel 88 1 Workbench, 8'x 4', steel, back splashes, vise 89 1 Workbench, 6' x 4', steel, back splashes 90 1 Abrasive cut off saw, Dewalt, 14" 91 2 Utility carts, stainless steel 92 1 Rolling tool cabinet, 12 drawer, Craftsman 93 3 Cable pullers, 4,000 lbs. 94 3 Job boxes, steel 95 2 Pallet jacks, 5,500 lbs. 96 1 Group of bins: 41 6'x 4.5'x 4', steel 17 4' x.5' x 4', steel 12 Trash, 6'x 4', plastic flip lids 9 Stackable, 4'x 2.5'x 4', SSI Schafer 2t/8t 2 Bins, tipping, forklift type 75D-119 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty, Description 11 Wirebaskets 97 1 Lot of trash barrels, plastic, mostly Rubbermaid, Brute, some drums, approximately 170 98 25 Flat bed hand trucks, steel, generally 4'x 2.5' 99 3 Picnic tables, 3'10" x 3'10", coated expanded metal, 4 benches, tube steel fi•ame, with 3 umbrellas 100 2 Trash receptacles, outdoor, metal, cylinder 101 7 Spill pallets, plastic 102 3 Scales, 4'x 4', with on/off ramps, Systems Alternatives bit, LLC, with computer podium cart, computers, receipt printers, GSE, Model: 560 digital readouts 103 1 Area fan, Maxx Air, 24", floor model 104 1 Paint stripe sprayer cart 105 1 Flammable storage cabinet, 2 door, Justrite, 45 gallon, Model: 894500 106 3 Carpet blowers 107 3 Chairs, aluminum 108 1 Emergency shower and eye wash, Bradley, portable tank type 109 1 Forklift, Caterpillar, Model: PD10000, 2012, Serial Number: AT19D80260, with rotating forks attachment, diesel, 3 stage mast, yard tires 110 1 MIG welder, Miller, Model: Dua1MIG 131T/1, with cart 111 1 Aisle safety fence, accordion 75D-1 20 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty. Description 112 1 Shelving unit, 4'x 6'x 13, plated wire, 4 tier, casters 113 1 Welder, Miller, Model: Spectrum 375 114 1 Scale, 5'x 5', with GSE 560 digital readout, 10,000 x 2 lbs. 115 1 Rolling tool cabinet, Craftsman, 8 drawer, with side cabinet 116 1 Rotating fork attachment 117 2 Dual grapple buckets attachment for John Deere 270 118 1 Skid steer loader, John Deere 270, Serial Number: K70270A270904 119 1 Skid steer loader, Caterpillar, Model: 252B, with dual grapple bucket, Turbo 120 i Skid steer loader, Caterpillar, Model: 262C, with yard brush sweeper attachment 121 1 Mobile wash trailer, Hydrotak.com, Steam -X Power Equipment, Model: SS30004VG, 4 gallon per minute, 3,000 psi, "Mobile Wash Skid", gas engine 122 4 Shipping containers, 20' 123 1 Shipping containers, 40', miscellaneous contents 124 1 Portable loading ramp, steel, 40' 125 3 Slid steer buckets 126 1 Excavator grapple, 2 way 127 1 Lot of safety bollards, plastic in bin 128 1 Lot of damaged bins, various, not in use, not appraised 75D-121 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No, Qty, Description 129 2 Cylinder storage platforms, 20' x 8' high, 3 and 4 section steel, 1 with canopy 130 2 Propane tank holder, steel 131 2 Safety barriers, plastic, Annorcast, fillable 132 1 Floor machine, American -Lincoln, Model: 2160, propane 133 1' Forldift, Clark, Model: C50SD, diesel, Serial Number: P455D02629802; 3 stage mast, no attachment, no longer in use, not appraised 134 1 Tire machine, Butler, Model: 10533, Serial Number: 06019, Date of Manufacture: 06/03, not in use, not appraised 135 1 Forklift, Hyster, Model: 50, propane, rotating fork attachment, 3 stage mast, not in use, not appraised 136 1 Mobile work light trailer, Alhnand, Model: Night -Lite Pro, 4 x 1250 watt, SHO Lighting System 137 1 Air compressor, Champion, I0hp, 120 gallon, horizontal tank 138 2 Roll off bins, 24', open top, 6' high 139 6 Roll off bins, 24', open top, 8' high 140 1 Wheeled fire extinguisher, Amerex, Model: 493, Serial Number: 5396013, 14 kw 141 1 DC welder/generator, MQ Power MultiQuip, Model: BLW- 400SW, on cat 142 1 Forklift, Caterpillar, Model: DPL40, Serial Number: 3CM11973, rotating forks attachment, Cascade, diesel, tires 75D-1122 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty. Description 143 1 Excavator, Caterpillar, Model: 330CL, 2003, with contractor grapple, 18,074 hours, under repairs, value assumes working 144 1 Size T tank forklift rack, with cabinet 145 1 Hydraulic lift table, Presto Lifter 146 1 Skid steer loader, Caterpillar, Model: 252B, dual grabble bucket, Serial Number: CAT0252BJSCP05440 147 1 Wheel loader, Caterpillar 980C, 1980 148 1 Excavator, Caterpillar, Model: 300DL, 2007, with hydraulic scrap shear 149 1 Container loader, custom build, not in use, not appraised 150 1 Material hauler, Caterpillar, Model: MH3037, 2015; with orange peel and magnet attachments 151 1 Auto dismantling rack, 16', 3 uprights, base fluid containment, platform, 20'x 8', 20" high, made from shipping.container frame, corrugated iron canopy 152 1 Paint sprayer 153 1 Charger, Schafer, Model: FC40 154 1 Emergency eye wash, tank type 155 2 Oil drip pans, rolling 156 1 Lot of tools 157 1 Tire machine, Coats 158 4 IBC containers, 275 gallon 75D-1223 SA RECYCLING, 2006 WEST 5TH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty, Description 159 1 Gasoline, fuel tank, 500 gallon, steel cylinder, with containment box, steel 160 1 Lube pump, drum top, Graco, pneumatic, with drum cart, forklift design 161 1 Workbench, 10', spray down screens 162 1 Canopy platform, made from 20' shipping container frame, corrugated iron canopy 163 1 Hotsy Stearn washer 164 1 Roll off, 24', 4' high, open top 165 3 Refrigerant recovery machines, Appion, Model: G5 Twin, hand truck mounted 166 2 Generators, Ridgid, Model: 8500 start watts, 6800 running watts, gas engine 167 1 Air compressor trailer, Atlas Copco, Model: XAS97(JD), Serial Number: 8972-425001 168 1 Air compressor trailer, Athals Copco, Model: XAS 120, 250 CFM 169 1 Flammable fluids storage cabinet, 2 door, Protectoseal, Model: 55455, 45 gallon 170 1 Tool cart 171 1 Car logger baler, Al -Jon, Model: CL 580, Builtrite handler, Model: 2C4201, Serial Number: NS3930 172 1 Loading ramp, 40', steel 173 1 Step ladder, Louisville, 6', hand rails, Castors, aluminum 75D-1324 SA RECYCLING, 2006 WEST STH STREET, SANTA ANA, CALIFORNIA MOVABLE FURNITURE AND EQUIPMENT Item No. Qty. Description 174 1 Group of storm water filtration equipment for "Storminator" system, consisting of: 1 Tank, Baker tank, plastic, 9' diameter, 11.5' high, approximately 5,400 gallon capacity 1 Tank, Rotonics Manufacturing Inc., Part No. 4995, plastic, 5,007 gallon capacity 1 Filter vessel, Filter Specialist Inc., Model: X-100, Serial Number: 11102010 2 Pump motors, (swimming pool pumps), Pentair Pool Products, Part No. 0111513, Serial Number: N/A, 1 lip 1 Filter vessel, Pentair Pool Products, Triton II, Part No. 140210, Serial Number: 0101010080017L, Date of Manufacture: 11/10/08 7 Filtration vessels, Storm Water Online Inc., Serial Numbers: 10005, 10010, 10006, 10007, I -No S/A, (same as 10007), 10132, 10056 8 Filtration valves, Pentair Pool Products, valve Model: SM -20-3, valve assembly Model: SM2-PP3 4 Flexline hoses, 2" diameter, 3-6' long, 1-10' long, with couplings 9 Plastic pallets, 4'x 4, with steel diamond plate tops 175 1 Dry storage container, 26'x 8' x 8', 2 door, with 14' wide cut- out, built-in shelving unit, 10'x 6'x 2', tub metal, 3 tier, plywood decking 176 1 Canister vacuum, Ridgid, 16 gallon, 6.5 hp, plastic 177 2 Step ladders, Werner, 6' high, fiberglass 178 1 Straight ladder, 12' high, aluminum 179 2 rBC containers, with cut tops 75D-125 -21�l `' f � ! Transw%ortation i 1185095.1 m 75D.126 INTRODUCTION This booklet was prepared for you as a person who may potentially be affected by a proposed public transportation project. If it is your property that is affected, you may have wondered what will happen. Who will contact you? Who will pay your moving costs? Will Orange County's Transportation Authority (OCTA) help you find a new place to live? What will you be paid for your property? Important questions like these require specific answers. We hope this booklet will answer some of your questions and present a better picture of our overall procedures. WHY DOES A PUBLIC AGENCY HAVE THE RIGHTTO BUY MY PROPERTY? Our State and federal constitutions recognize the need for public agencies/entities to purchase private property for public use, and provide appropriate safeguards to accomplish this purpose. State and federal constitutions and the federal Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended; authorize the purchase of private property for public use and assure full protection of the rights of each citizen. The Orange County Transportation Authority ("OCTA"), a public entity, may purchase private property for public use. INITIAL PROJECT PLANNING The responsibility for studying potential sites for a transportation project rests with a team of specially trained individuals selected to do this important job. Many months or even years are spent in preliminary study and investigation to consider possible locations for a project. Consideration of the environmental and social impacts are as much a part of location determination as engineering and cost. Participation by private citizens and public agencies is actively sought so that various views can be considered in the study process. The process may include public hearings and/or workshops, which give persons an opportunityto express their views on the locations being considered. The team of trained individuals is composed of many specialists. Among these are: Transportation Planners These individuals determine methods and routes for the traveling public. This includes studies of existing traffic patterns, "origin -destination" surveys and user benefits. They also determine whether the proposed project location is economically sound. They research and analyze the effects produced by similar projects upon other communities. 11£5095.1 75D-127 Environmental Planners These individuals evaluate the socio-economic and/or environmental impacts, including traffic, noise and visual impacts of the proposed project Design Engineers These individuals recommend the type of transportation project which will be of the most benefit to the public. They prepare design plans which determine the properties needed for the project. Relocation Specialists These individuals perform early studies of the general needs of persons who may need to be relocated and the kind of replacement properties which may be required. A relocation impact analysis will be completed before the Department requires anyone to move from their property. As a result of this team effort, the best possible location for a transportation project is selected after thorough social, economic, engineering, and environmental analyses, as well as consideration of expressed public concerns and desires. The goal is that the project providethe greatest public good and the least private injury or inconvenience while rendering the best possible service. Transportation Surveyors These individuals perform field surveys and monument property lines to delineate and map the Department's right of way needs. They are also authorized. by law to enter real property to perform such tasks. It is the Department's policy that owners and tenants of property will be notified prior to such surveys. FREQUENTLY ASKED QUESTIONS WHO WILL CONTACT ME? One of the first persons you will meet is an independent appraiser. You will be afforded the opportunity to accompany the appraiser on the inspection of your property. At the time of the inspection the appraiser will also provide you with general project information. The appraiser will analyze your property and examine all of the features which contribute to its market value. Information about improvements you have made and any other special features that you believe may affect the market value of your property should be given to the appraiser to ensure he/she has all the information you feel is relevant. It is the duty of OCTA to ensure that you receive fair market value for the property rights and/or interests needed for the project. The OCTA cannot buy your property for more than it is worth, but it can and will assure you that you do not have to sell your property for less than its fair market value. California law provides that the owner shall receive a copy of the appraisal or a summary of the valuation upon which the Department's offer is based. 1185095.1 75D-1 28 At the time the offer ismade to purchase property rights and/or the interests needed in your property, you may obtain your own appraisal and the Department will reimburse you up to $5,000 for the actual, reasonable costs of obtaining an independent appraisal. A licensed State appraiser must perform your appraisal. Your OCTA acquisition agent will provide more information concerningthis reimbursement at the time of the offer. WHAT ADVANTAGE IS THEREIN SELLING YOUR PROPERTY TO THE DEPARTMENT? A purchase of property rights and/or interests in your property by OCTA is handled in the same way as any private sale of property. However, there can be financial advantages in selling to the Department. The Department will pay fair market value for the property rights and/or interests in your property. The Department will also pay for the preparation of all documents, all title and escrow fees, a policy of title insurance, recording fees and such other fees as may be required for the conveyance of title to OCTA. Since this is a direct conveyance of real property from the property ownerto OCTA, there are no real estate commissions involved, and the Department will not recognize or pay any such real estate commissions. A private sale will usually cost thousands of dollars in sales expenses. There are no seller's expenses in a purchase by the Department. Additionally, depending on your specific circumstances, you may be eligible for relocation payments and benefits for moving personal property and/or when you move. These benefits are described in supplemental booklets which will be provided to you, should the Department's acquisition actually cause your personal property to be moved and/or you to be displaced from your property. WILL I BE PAID FOR LOSS IN VALUE TO MY REMAINING PROPERTY? When only certain interests (i.e. a Temporary Construction Easement) or a part of your property is needed for a project, every reasonable effort is made to ensure that you do not suffer damages to the remainder of your property. The total payment by OCTA will be for the property or interests in the property OCTA actually purchases, for any loss in market value to your remaining property and temporary damages to the remainder of your property, if any. 1155095-1 75D-129 The determination of any loss in market value and/or temporary damages to the remainder are appraisal problems involving many variables. When these situations occur, your OCTA acquisition agent will explain the effect of a partial acquisition on your remaining property. Additionally, as an owner of a business conducted on the property to be purchased, you may be entitled to compensation for a loss of business goodwill. Your specific circumstances will need to be analyzed on a case-by-case basis. MAY I RETAIN AND MOVE MY HOME, BUSINESS BUILDING, MACHINERY, OR EQUIPMENT? If your house is movable and you wish to make such an arrangement, OCTA will pay you on the basis of the market value of your present lot including landscaping, plus the reasonable cost of movingthe building. There are cases where, because of age, size or condition of the house, the cost of moving it would exceed its present market value, less its salvage value. In such a case, payment of moving costs would, of course, be an unwise expenditure of public funds. If you operate a farm or business, you may wish to keep and move fixed machinery and equipment. Additionally, as an owner of a business conducted on the propertyto be purchased, you may be entitled to compensation for a loss of business goodwill. Your specific circumstances will need to be analyzed on a case-by-case basis. If any of these concepts are applicable to your situation, they will be explained by your OCTA acquisition agent. WILL I HAVE TIME TO SELECT ANOTHER HOME AFTER OCTA MAKES ITS OFFER TO PURCHASE? OCTA starts to appraise properties early enough so that you will have ample time to move priorto your property being needed for construction of the project. Like any other real estate transaction, it requires time to close an escrow after a right of way contract and deed have been signed. If it is determined at any point in the process that property needs to be purchased in its entirety and/or you are notified that you are eligible for relocation benefits, you will not be required to move until reasonable, decent, safe and sanitary replacement housing is available. If you receive a written offer to purchase your entire property from OCTA, it is in your best interest to look for a new place to live as soon as possible. Finding home early that best suits your needs before you are required to move will minimize your personal inconvenience and will avoid havingto make a choice of housing under pressure. In some instances you may be able to sell your propertyto OCTA and rent backtemporarily pending construction. 1185095.1 75D-1 30 If it's determined you are eligible for relocation benefits, OCTA also offers to provide you with assistance in finding a new place in which to live. OCTA will give you at least 90 days notice in writing before you are required to move. WHAT HAPPENS TO THE LOAN ON MY PROPERTY? After you and OCTA have agreed upon a price, your OCTA acquisition agent and/or a title company will contact all other parties having an interest in the property. Payment to satisfy outstanding loans or liens will be made through a title company escrow as in the case in any real estate transaction. WHAT WILL HAPPEN TO MY GI OR CAL -VET LOAN? The Veterans Administration and the California Department of Veterans Affairs allow your veteran loan privileges to be transferred and to become available for coverage on another property. If it's determined that your property needs to be purchased in its entirety, your OCTA acquisition agent will assist you in the transfer. However, it is highly recommended you check with the Veterans Administration or the California Department of Veterans Affairs for procedural instructions. IF THE VALUE OF MY PROPERTY IS HIGHER TODAY THAN WHEN I PURCHASED IT, DO I HAVE TO PAY INCOME OR CAPITAL GAINS TAX ON THIS DIFFERENCE WHEN I SELL/CONVEY TO OCTA? According to the Internal Revenue Service, the sale of propertyto a governmental agency for public purposes comes under the definition of an "involuntary conversion". In these cases, it is not necessary to pay income tax or capital gains tax if the money you receive is used to buy a similar propertywithin a limited period of time. In every case, however, you should check with your local Internal Revenue Service office and/or accountant. WILL I LOSE THE FAVORABLE PROPERTY TAX BASIS THAT I NOW HAVE UNDER THE PROVISIONS OF PROPOSITION 13? Section 2(d) of ArticleXlll-A of the California Constitution, Section 68 of the Revenue and Taxation Code, and Rule 462.500 of Title 18 of the California Code of Regulations generally provide that propertytax relief shall be granted to any real property owner who acquires comparable replacement property after having been displaced by governmental acquisition or eminent domain proceedings. You will be given a copy of Rule 462.500 with an attached page showing examples of how to calculate estimates of the tax relief you may be eligible for. These are only approximations. You must see your county Tax Assessor for a final determination. 1185095.1 75D-1 31 Note: Revenue and Taxation Code Section 68, and California Code of Regulations, Title 18, Rule 462.500, G. 1 through GA, set forth time limits that may affect your eligibility to retain your favorable current real property tax status. OCTA'S RIGHT OF EMINENT DOMAIN A property owner's rights are guaranteed by the federal and State constitutions and applicable federal and State laws. The principal right is that "Just Compensation" must be paid for any property rights or interests acquired by eminent domain. The vast majority of ourtransactions are settled by contract. However, if the owner and OCTA cannot agree on the terms of sale, OCTA may resort to the eminent domain process to avoid delaying the project, and will ultimately initiate condemnation proceedings. OCTA may exercise its power of eminent "domain to acquire private property for public use. At a public hearing called a Resolution ofNecessity(RON) hearing, OCTA will request authority from the OCTA Board of Directors ("Board") to file a condemnation action in court. You will be given an opportunity to appear before the Board to question whether public interest, necessity, planning and location require the proposed project and your property. The Board does not hear arguments regarding valuation orjust compensation at the RON hearing. WHAT HAPPENS IN A CONDEMNATION TRIAL? The purpose of the trial is to determine the amount of Just Compensation. Usually the trial is conducted before a judge and jury. Both the property owner and OCTA will have the opportunity to present evidence of value. The jury will determine the amount of compensation after being instructed as to the law by the judge. In those cases where the parties choose not to have a jury, the judge will decide the amount of compensation. The Judgment is then prepared by counsel and signed by the judge. It will state that, upon payment of the amount of the verdict for the benefit of the property owner, title will be transferred to public ownership. When OCTA makes the payment as required by the Judgment, the Final Order of Condemnation is signed by the judge and recorded with the County Recorder's office. This finalizes the actual transfer of title. 1185095.1 7501-132 IF I WANT A TRIAL, MUST I HAVE AN ATTORNEY AND EXPERT WITNESSES? Property owners have the right to represent themselves. However, you may wish to consult your own attorney. If you do not have one, in many communities the yellow pages of the telephone directory will refer you to an attorney reference service. The local bar association may also provide a list of attorneys who may offer services in eminent domain proceedings. You and your attorney must decide what type of case you will present and what witnesses will be needed. WILL I BE PAID ANY RELOCATION ASSISTANCE BENEFITS EVEN THOUGH I GO TO COURT? A decision to go to court has no effect on your right to relocation benefits. Payment of relocation benefits is administered separatelyfrom the condemnation action. You will be provided details of additional assistanceto help displaced persons, businesses, farms or nonprofit organizations in finding, purchasingor renting, and movingto a new location. These are explained in various booklets prepared for homeowners, tenants, and business and farm operators and are made available by OCTA. HOW LONG CAN I KEEP MY PROPERTY? Continued use of your property usually depends on when construction must begin, including utility relocations, and the demolition and/or clearance of buildings. If construction must begin before the trial, OCTA will seek a court order for early possession of your property. In this regard OCTA will be required to depositwith the State Treasurer, the probable amount of just compensation, as determined by an appraisal as security for the value of the property rights it is seeking. The court will determine if the amount of money deposited is adequate. Once the deposit is made the owner may withdraw all or a portion of it at anytime duringthe condemnation proceedings. The court may then grant to OCTA an order for early possession allowing OCTA to use the property for construction of the project. To obtain an Order for Possession, OCTA will file a motion with the court and schedule a hearing 90 days after you and all occupants of the property are served with the motion papers (60 days if the property is unoccupied). You and the occupants, if any, will have 30 days to oppose the motion. Once the court grants an Order for Possession of the property, OCTA may obtain possession of the property 30 days after the owner and any occupants are served with the Order. 1185095.1 7501-133 Subject to the rights of any other persons having an interest in the property, you may withdrawal] or part of the pre -Judgment deposit. If you do not make a withdrawal, OCTA will pay interest on the eventual court award, or agreed settlement sum from the time it legally occupied your property until the date of final payment to you. Interest will accrue at the applicable statutory rate until paid at the time of final settlement. OCTA's Acquisition Agent assigned to purchase your property will assist you in the transaction and will be available to answer any additional questions you may have. DEFINITIONS The language used in relation to eminent domain proceedings may be new to you. These are some terms you may hear and their general meaning. Acquire - To purchase Answer - The propertyowner's written reply, in appropriate legal form, filed with the court in response to the eminent domain complaint and as requested bythe summons. Complaint - The document filed with the court bythe Departmentwhich initiates an eminent domain proceeding. Condemnation -The legal process by which a proceeding in eminent domain is accomplished. Counsel -An attorney or attorneys. Eminent Domain -The right of government to purchase private property for public use. Fair Market value -The fair market value of the property taken is the highest price on the date of valuation that would be agreed to by a seller, being willing to sell but under no particular or urgent necessity for so doing, nor obliged to sell, and a buyer, being ready, willing and able to buy but under no particular necessity for so doing, each dealing with the other with full knowledge of all the uses and purposes for which the property is reasonably adaptable and available. Final Order of Condemnation -The instrument which, when recorded, transfers title to public ownership. Judgment - The court's formal decision based on applicable law and the verdict. Just Compensation -The measure of Just Compensation is Fair Market Value. Loss of business goodwill - A loss in the value of a business caused bythe OCTA's acquisition of propertythat cannot be reasonably prevented by relocation of the business 1155095.1 75D-1 34 or the owner adopting prudent or reasonable steps that preserve the value of the business goodwill. Parcel -Usually means the property that is being acquired. Plaintiff - The public agencythat desires to purchase the property. Possession - Legal control; to have the right to use. Property - The right or interest which an individual has in land, including the rights to use possess, or dispose. Summons - Notification of filing of a lawsuit in eminent domain and of the necessityto file answer or other responsive pleading. Temporary Construction Easement —A temporary right for a specific time acquired from the owner of real property to provide a work area necessary for the construction of the project. Title - Legal ownership. Trial - The hearing of the facts from a plaintiff and defendant in court of law, either with or without a jury. Verdict - The amount of just compensation to be paid for a property including any damages to the remainder, if applicable. 1155095.1 75D-135 ORANGE COUNTY TRANSPORTATION AUTHORITY CAPITAL PROGRAMS REAL PROPERTY DEPARTMENT SEPTEMBER 2015 This is an informational pamphlet only. It is not intended to give a complete statement of all State or federal laws and regulations pertaining to the purchase of your propertyfora public use, the Relocation Assistance Program, technical legal definitions, or any form of legal advice. ADA Notice For individuals with disabilities, this document is available in alternate formats. For information contact: Real Property Department (714) 560-1715 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 1185095.1 7501-136 TITLE VI PACKAGE The project proposed by the Orange County Transportation Authority may be receiving federal financial assistance. Pursuant to Title VI of the Civil Rights Act of 1964, no person in the United States shall, 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. Other statutes provide protection against discrimination on the basis of sex, age or disability. The enclosed Title. VI Package is being provided for your information to further explain your rights. The Package includes the following documents: Title VIBooklet Title Vf of the 1964 Civil Rights Act and Related Statutes The U.S. Deparfinent of Commerce of the Census, Language Identification flashcard o Ifyou read or speak a language different than English, please write your name and address on the top of the page and check the appropriate box on the Language Identification Flashcard and return to: Orange County Transportation Authority Real Property Depaetment 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 Attn: Real Property Manager Title VI Survey Form with Self -Addressed Stamped Envelope o It is requested that the Right of Way Title VI Survey Foran be. completed and returned in the self-addressed stainped 'envelope. M Title VI Discrimination Complaint Form o Ifyc m believe you have been.subjected to discrimination, pleaseftll out the Title V1 Discrimination Complaint Form and return to: Deputy Chief Executive Officer Human Resources & Organizational Development Orange CountyTransportatton Authority 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 714.636-7433 75D-137 75D-138 C u. m o p •o �' �5 � W. o. � o o- p F. [ d � o�o N .. 23 C' c � O y Siler � P• p Off. Gb« �Q too i6 � N .wp m vxmi 9' m' w' o ra° Fj m m W w y. Q' oy y W V3 •y.. G ^' •o o° '-' xt 8 P .� A. 073 y g «' �. w p+ m E � m g T v. m' E SE > `a u �. o, O ooF .} m' U •ti N N y 4 b o SAs 3 ¢ °.' . . . . . . a H a..°-' w r3P a t v o m R o: °'p 3 m. v aim .o x v 44 •3::i a=. .� .S .S aF, «, b .�y .5 e p �E 'v 'S F!m ra P .� q .� :� v .5 in Ow .« F o. ai ° m b ami m •4 iq C O a. -. a b m W 0d P m U N m 4: •� v 0. e"o c N a C m >+m d .�' � _n. 7 � � E 'm.�.R .9� °�'• S $.a° � �v 6daaa a,—°� o. v v .S .fir Fa- d ,Um rd •w5o d O c y •�. r3 `ad . b 0 •3: ?"' "1O •d o ,., vi ?3 O W a U ;�.b: `ad a• $ C 3: e v .=: �° m 5 m m t° Z•' F4`5m •Ed `� C. y E -y U o'~R'° N �C.w. �m� Ea, Q ma°ia `� m°o p�.,8.b•o .o .R „.5egmu 'R%gg a m 'S v oRF m.a �•gF^;gaz,`P -S, .�a�%p aEi a,• _«v •T m �'9E mH go o• m V `a3 p oN q w A Ate" oil A m P . . . . . F•S ., . . e C�u.v. �'v OU b.5 c. w ZI ti :oma a • E ba z v. „ 9' 00 0 d • �' a• 3' a O u. F -5 m C NT �,dn" q Z y. 'd w_ C W _ O `. Tl 60 F � p �y U�. a m o F. S w, o Q a Zc o c >, m m •d C' 4 a', c ° c ti m �, u �. u &1• w � y ••G. d O •CO' � 5 O .r C m •C' O N yVyl m u'r a p. if 13'R 6: •C .d y: O F �: u. y p. yj �? r9. v d m •y' {i� 0 :Fl o A � m o ti'L. qqq O• ° `i' Q .D bm0' N •Fa O �.;� la o ° eo m am "^�[ }>°�_. -Oy oa�0�aa Yn b Z O C °� w -'°� EO `G 'ct O _ m w° ,a Tn Z •p m V m 21 00 �' •N-:�• y ti' ¢,'� ba Q O❑EO roW 6 .-A an .9. . � ^m.o Zoo°;� vv� Wyy�^so m❑m ^Ouoo UES3� �h Fc dd ATsu_�N`o., Fv.muN Ovuvw•o TITLE VI OF THE 19941 CIVIL RIGHTS ACT AND RELATED STATUTES Page t of NONDISCRIMINATION STATUTES ® Title VI of the 1964 Civil Rights Act 42 U,S.C. 2000, provides in Section 601 that. "No person in the United States shall, on the ground of race, color, or national origin, be. excluded. from participation in, be denied the benefits of, 6r be subjected to discrimination under any program. or activity receiving Federal financial assistance." (PROHIBITS DISCRIMINATION IN IMPACTS', SERVICES, AND BENEFTTS.OF; ACCESS T0; PARTICIPATION IN, AND TREATMENT UNDER A FEDERAL -AID RECIPIENT'S PROGRAMS OR AGTIVITBES) © The Age Discrimination Act of 1975, as amended 42 U.S.C. 6101, provides: "No person in the United States shall, on the basis.ofage,.be excludedfrom participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance." (PRO.HIBITS DISCRIMINATION BASED ON AGE) • The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, 42 U.S.C. 4601, provides: "For the fair and equitable treatment of persons displaced as direct result of programs or projects undertaken by a Federal agency or with Federal financial assistance." (PROVIDES FOR FAIR TREATMENT OF PERSONS DISPLACED BY FEDERAL AND FEDERAL -AID PROGRAMS AND -PROJECTS) o The Federal -aid Highway Act, 49 U.S.C. 306 Outlines the responsibilities of the U.S. Department of Transportation and, at (c) outlines the Secretary's authority to decide whether areeipient has not compiled with applicable Civil Rights statutes or regulations, requires the Secretary to provide notice of the violation, and requires necessary acdon to ensure compliance: The 1973 T'ederal-aid Highway. Act,.23 U.S.C. 324, provides: "No person shall on the ground of sex be excluded from participation in, be.denMd the benefits of or be subjected to discrimination under any program or activity receiving Federal assistance under this Title or carried on under this title." (PROHIBITS DISCRIMINATION ON THE BASIS OF'SEX) a. The Civil Rights Restoration Act of 1987, P.L. 100-209, provides: Clarification of the original intent of Congress in Title VI of the 1964. Civil Rights Act; Title IX of the Education Amendments of 1972, the Age Discrimination Act of 1975, and Seciion 504 of the Rehabilitation Act of 1973. (RESTORES THE BROAD, INSTITUTION -WIDE SCOPE AND COVERAGE OF THE NON-DISCRIMINATION STATUTES TO INCLUDE ALL PROGRAMS AND ACTIVITIES OF FEDERAL -AID RECIPIENTS, SUB, -RECIPIENTS AND CONTRACTORS, WHETHER SUCH PROGRAMS AND ACTIVITIES ARE FEDERALLY ASSISTED OR NOT) Th'e Uniform Relocation Act Amendments of 1987, P.L. 101-246, provides: "For fair, uniform, and equitable treatment of all affected persons; ...(and). minimizing the adverse impact of displacement ... (to maimam)...the economic and social well-being of communities; and ... to establish a lead agency and allow for State certification and implementation." (UPDATED THE 1970 ACT AND CLARIFIED THE INTENT OF CONGRESS IN PROGRAMS AND PROJECTS WHICH CAUSE DISPLACEMENT) 75D-140 TITLE VI OF THE 1964 CIVIL RIGHTS ACT AND RELATED STATUTES Paget oft The Americans with Disabilities Act, P,L. 101-536, provides; "No qualified individual with a disability shall, by reason of such disability; be excluded from the participation in, be denied benefits of, or be subjected to discrimination by a department, agency, special purpose district, or other instrumentality of State or a local government-: � (PROVIDED ENFORCEABLE STANDARDS TO ADDRESS DISCRIMINATION AGAINST PEOPLE WITH DISABILITIES) The Civil Rights Act of 1991, in part, amended Section 1981 of 42 U.S.G. by adding two new sections that provided: "(b) For the purposes of this section, the term `make and enforce contracts' includes the making, performance, modification, and.termination of contracts and the enjoyment of all benefits, privileges, terms, and conditions of the contractual relationship. (c) The rights protected by this section are protected against impairment by non-&Dyemmental discrimination and impairment under color of State law:" " Title VIII ofthe 1965 Civil Rights Act, 42 U.S.C. 3601, provides that: "(I) It shall be unlawful. -.to refuse to sell or rent after the making of a bona fide offer; of to refuse to negotiate for the sale or rental at or otherwise make unavailable or deny a dwelling to any person because of race, color, relip ou or national origin:' (PROHIBITS DISCRIMINATION IN THE SALE OR RENTAL OF HOUSING— HUD is the primary interest agency, but FHWA and States under Title VI are responsible for preventing discrimination in rho function of Right -of -Way) " The National Environmental Policy Act of 1969, 42 U.S.C. 4321' Requires the consideration of alternatives, including the "no -build" alternative, consideration of social, environmental andecon9mila impacts, public involYemerit, and use of a systematic interdisciplinary approach at each decision makingstage of Federal -aid project development. _ " Title IX of the Education Amendments of 1972 Makes financial assistance available to institutions of higher education to: (1) strengthen, improve and, where necessary, expand the quality of graduate and professional programs leading to an advanced degree; (2) establish; strengthen, and improve programs designed to prepare graduate and professional students for public service; and. (3)assist in strengthening undergraduate programs of instruction in certain instances. Section 504 of the Rehabilitation Act of 1973, 29 U.S.C- 790, provides that: "(N)o qualified handicapped person shall, solely by.reason of his handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity that -receives or benefits fromFederal financial assistance." (PROHIBITS DISCRIMINATION BASED ON PHYSICAL OR MENTAL HANDICAP) Source: U.S. Department of Transportation Federal If, Administration Title VI Handbook Title VI Nondiscrimination in the Federal -Aid Highway Program FHWA Publication No. FRWA-HCR-06-006 75D-141 ❑ ❑ jwu tU Lr h%.g%LnLX kMWWV6.g wJRJ gwnu 1in�uni r,. Lph iununed' qWX ttmprVnur hg ;.JhUVU, ❑ �Il .aleft °fi? f T -4 M —,51 �M a" aTc Pull R4 I ❑ lliU43i5CIN1fifi�t�LiSF3[SGS= itfafif316 ffS9TilVSit1ftl1 T2E ti ❑ Motka i kahhon ya yangin unttinghu' manaitai pat anttangnu' kumentos Chamorro. ❑nGux ANAMMPIM. ❑ Oznacite ovaj kvadratl6 ako citate ili govorite hrvatski jezik. ❑ Z9krtn8te tuto kolonku, pokud 6tete a hovonte cesky.. ❑ Kruis dit vakje aan als u Nederlands kunt lezen of spreken. ❑ Mark this box if you read or speak English. 1. Arabic 2. Armenian 3. Bengali 4. Cambodian 5. Chamorro 6. Simplified Chinese ❑ t11� °S1sI��y�Ica.�.LLL, -- na_v�n° U.S. DEPARTMENT OF CDMMERGE 75D-142 7.Traditional Chinese B.Croatian 9. Czech 10. Dutch 11. English 12. Fars! E.�mm�tu ends Ihg. Adminbttn9en 75D-143 U.S. CENSUSSUREAU 11 French A German 15. Greek 16. Haitian Creole 17. Hindi 18. Hmong 19. Hungarian 20. llocano 21. Italian 22.Japanese 23. Korean 24. Laotian 25. Polish Cocher 1ci si vous lisez ou parlez le frangais. Kreuzen Sie dieses.Kdstchen an, wenn Sie Deutsch lesen oder sprechen. Et)µetdt6TE auto Td 70Ldiato av StaPa(srs i1 p aiE Ea7ttlwk& Make kazye sa a A ou li oswa on pale kreyol ayisyen. ❑ PTC e1Trf �- c zu ug FSC" c �u �w rF I ❑ KOS lub voj no yog koj paub twm thiab hais.lus llmooh: 7eldlje megmt a kockat, ha meghti vagy beszeli a magyar nyelvet. ❑ Markaam daytoy nga kahon no,makabasa wenno makasaoka iti llocano, Marchi questa Casella se legge o pada Italiano. � e� o$v�lvt'6J, o�t�f�of�«Ii=EP�f7l7z<t�l,�, al--qcl * 0;1 4 TM -�r 5avI Ol 57.1°l RAI aIAVl 9. ZmwuuZ�Bs�u tlnui�ue�umtlnntJ�a�a�o. ❑ Prosimy o zamaczenie tego kwadratu,jetch posluguje sig Pan/Pani jgzykiem polskim. nomne U.S. nEPARSMENT OF COMMERCE E.�mm�tu ends Ihg. Adminbttn9en 75D-143 U.S. CENSUSSUREAU 11 French A German 15. Greek 16. Haitian Creole 17. Hindi 18. Hmong 19. Hungarian 20. llocano 21. Italian 22.Japanese 23. Korean 24. Laotian 25. Polish ❑ Assinale este quadrado se voce 1e ou fala pormgues. `e insemnaii aceasta casuia data, citili sau vorbili romsneste. TIonreTaTe aror xaappaTxx; ecmr stir =n-rraeTe xnx ronopxTe no-pyccxx. ❑ O6enexaxTe osaj xeagpaTIlh yxomaxo 9xTaTe. xnx m4opxxe cpncxx jesxr<: ❑ Onacte tento "stvorcek, ak vide, Utatalebo hovorif po slovensky. ❑ Marque esta casilla si lee o habla espanol. ❑ Mwkahan itong kuwadrado kung kayo ay tnarunong,inagbasa o magsalita ng Tagalog. ❑ Wn-11ArIDI) ilwa 3114!a4t AIII d.wI TO1 fl litl1}1G, ❑ Maaka'i he puha ni kapau'oku ke lau pe lea fakatonga. ❑ B1,QMIT6Te U� KIIITIrtHKy: nK11{O ex �n9TSETC a60 rOBOpxTE.yKpa1HL6KOF0 MOBO10. ❑ _�GIL;iV�'Lb,(19i�i�9lL .19LlvVI ❑ Xin danh dau vao o nay neu quy vi bie`t doe va not dude Viet Ng3. ❑ u)>,Tlx n-ro, IY' N Wp»5 75x 3)1N 5mp op, mr)sx:I Ecai.mtc:nd �atiNCPdminlrnJon 75D-144 U.S. CENSUS BUREAU 6: Portuguese VAIMMMM Mm !8. Russian W9 Serbian 30. Slovak 31, Spanish 32.Tagalog 33.Thai 34.Tongan 35. Ukranian 36: Urdu 37. Vietnamese 38.Yiddish TITLE V1 SURVEY PERSONAL INFORMATION NOTICE Pursuant to the Federal Privacy Act ( PL. 93-579) and the Information Practices Act of 1977 (Civil Code Sections 1798, et- seq:); notice is hereby given for the request of personal information by this form. The requested personal information is voluntary. The principal purpose of the voluntary information is to facilitate the processing of this form. The fai)ure to provide all or any, pad of the requested information may delay processing of this form -No disclosure of personal information will be made unless permissible under Article 6, Section 1798.24 of the IPA of 1977. Each individual has the right upon request and proper identification, to ipspect all personal information in any recbrd maintained on the individual by an identifying particular. Direct any inquiries. on information maintenance to your IPA Office: Expenditure Authorization (EA) NON-DISCRIMINATION Alf persons affected by State transportation projects are requested to provide information with regard to race, color, national origin, sex, disability, age or income status. Please check the items below which best describe you and return this form in the enclosed envelope. The furnishing of this information is voluntary. Head of household: ❑ Mala ❑ Female Age: t7 Under 40 o 4l-65 o Over 65 Race/Etllnicity:. o White O American Tribe o Black ❑ Pacific islander 13 Hispanic bother o Asian Suecifv: Language spoken, if other than Are you or any member of you household suffering any physical disability or medical condition? 0 Yes ONG Are you a low-incoine.family? Enclosure ❑Yes ONo 75D-145 TITLE VI DISCRIMINATION COMPLAINT 12 orange 405 Dist Co Rte BASIS OF.DISCRIMWATION ❑RACE' ❑COLOR ❑NATIONALOWIN []SEX []DISABILITY []LOW-INCOME ❑NON-LNNOLISHSPEAKER Provide date(s) and place of alleged diseriminadon Describe the nature of the action, decision, or conditions of the alleged discrimination (Attach Extra Page. IfNecessuy) Name of individiiats (if Known) responsible forthe actidn, decision or candition of alleged discrimination Provide supporting information known to complainant in support of his/her allegation Identify possible witnesses Whom the complainant believes can provide formal information about this allegation State the action requested by complainant 7501-146 -orm'so Request for Taxpayer Give Form to the 'Rev. December 2014) Identification Number and Certification requester. Do not Japarlment of the Treasury send to the IRS. Infernal Revenue Service 1 Name (as shown on your Income tax return). Name is required on this line; do not leave this line blank. of 2 Business name/disregarded entity name, if different from above m m m �- 3Check appropriate box for fedemltax dassNipfion; check only one of the following seven bones: 4Fxemptions (codes apply only to m ❑ Indlvidual/sole proprietor or ❑ C Corporation ❑ S Corporation p ❑ TrusVestate ❑ Partnership certain entitles, not individuals; see Instructions on page 3): m me o- m �5 single -member LLC Limited liability company. Enter the tax classification C=C torr emtlon, S=S corporation, P= artnershi ® ❑ p y ( p p p) Exempt payee code Of my) `o Note. For a single -member LLC that is disregarded, do not check LLC; check the appropriate box in the line above for Exemption from FATCA reporting a m the tax classification of the single -member owner. code Of any) c a` o ❑Other (see instructions)® (nppu'es,a axoumsmaaremrewmee uxusl 'uw 5 Address (number, street, and apt. or suite no.) Requester's name and address (optional) m a m 6 City, state, and ZIP code m m 7 List account numbers) here (optimal) IM Taxpayer Identification Number (TIN) Ester your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid I Social security number backup withholding. For individuals, this is generally your social security number ( However, far a page _ m —� resident alien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other entitles, it is your employer identification number (EIN). If you do not have a number, see How to get TIN on page 3. or Note. If the account is in more than one name, see the instructions for line 1 and the chart on page 4 for I Employeridentificatienrrumber guidelines on whose number to enter. F—F-1 Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. 1 am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. 1 am a U.S. citizen or other U.S. person (defined below); and 4. The FATCA code(s) entered on this form (if any) Indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions on page 3. sign Signature of Here I U.S. person b- Date ► General Instructions Section references am to the Internal Revenue Code unless otherwise noted. Future developments. Information about developments affecting Form W-9 (such as legislation enacted after we release it) is at wwmks.goy1lw9. Purpose of Form An individual or entity (Form W-9 requester) who Is required to file an Information return with the IRS must obtain your correct taxpayer Identification number (TIN) which may be your social security number (SSN), individual taxpayer Identification number (ITIN), adoption taxpayer Identification number (ATIM, or employer identification number (EIN). to report on an information return the amount paid to you, or other amount reportable on an information return. Examples of Information returns include, but are not limited to, the following: • Form 1099 -INT (interest earned or paid) • Form 1099 -DIV (dividends, including those from stocks or mutual funds) • Form 1099-MISC (various types of income, prrzes, awards, or gross proceeds) • Form 1099-B (stock or mutual fund sales and certain other transactions by brokers) • Form 1099-S (proceeds from real estate transactions) • Form 1099-K (merchant card and third party network transactions) • Form 1098 (home mortgage Interest), 1098-E (student loan Interest), 1098-T (tuition) • Form 1099-C (canceled debt) • Form 1099-A (acquisition or abandonment of secured property) Use Form W-9 only if you are a U.S. person (Including a resident alien), to provide your correct TIN. If you do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. Sea What is backup withholding? on page 2. By signing the filled -out form, you: 1. Certify that the TIN you are giving is correct (or you are waiting for a number to be Issued), 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S, exempt payee. If applicable, you arra also certifying that as a U.S. person, your allocable share of any partnership Income from a U.S. turtle or business is not subject to the withholding tax on foreign partners' share of effectively connected income, and 4. Certify that FATCA code(s) entered on this form (f any) indicating that you are exempt from the FATCA reporting, is correct. Sea What is FATCA reporting? on page 2 for further information. Cat. No. 10231X 75D-147 Form W-9 (Rev. 12-2014) Form W-9 (Rev. 12-2014) Note. If you are a U.S. person and a requester gives you a form other than Form W-9 to request your TIN, you must use the requester's form if it is substantially similar to this Form W-9. Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person if you are: • An Individual who is a U.S. citizen or U.S. resident alien; • A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States; • An estate (other than a foreign estate); or • A domestic trust (as defined In Regulations section 301.7701-7). Special rules for partnershlps. Partnerships that conduct a trade or business in the United States are generally required to pay a withholding tax under section 1446 on any foreign partners' share of effectively connected taxable income from such business. Further, in certain cases where a Form W-9 has not been received, the rules under section 1446 require a partnership to presume that a partner is a foreign person, and pay the section 1446 withholding tax. Therefore, if you are a U.S. person that is a partner In a partnership conducting a trade or business in the United States, provide Form W-9 to the partnership to establish your U.S. status and avoid section 1446 withholding on your share of partnership Income. In the cases below, the following person must give Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net income from the partnership conducting a trade or business In the United Slates: • In the case of a disregarded entity with a U.S. owner, the U.S. owner of the disregarded entity and not the entity; • In the case of a grantor trust with a U.S. grantor or other U.S. owner, generally, the U.S. grantor or other U.S. owner of the grantor trust and not the trust; and • In the case of a U.S. trust (other than a grantor trust), the U.S. trust (other than a grantor trust) and not the beneficiaries of the trust. Foreign person. If you are a foreign person or the U.S. branch of aforeign bank that has elected to be treated as a U.S. person, do not use Form W-9. Instead, use the appropriate Form W-8 or Form 8233 (see Publication 515, Withholding of Tax on Nonresident Aliens and Foreign Entities). Nonresident alien who becomes a resident alien. Generally, only a nonresident alien Individual may use the terms of atax treaty to reduce or eliminate U.S. tax on certain types of Income. However, most tax treaties contain a provision known as a "saving clause.' Exceptions specified in the saving clause may permit an exemption from tax to continue for certain types of income even after the payee has otherwise become a U.S. resident alien for tax purposes. If you are a U.S. resident alien who is relying on an exception contained in the saving clause of a tax treaty to claim an exemption from U.S. tax on certain types of Income, you must attach a statement to Form W-9 that specifies the following five items: 1. The treaty country. Generally, this must be the same treaty under which you claimed exemption from tax as a nonresident alien. 2. The treaty article addressing the Income. ' 3. The article number (or location) In the tax treaty that contains the saving clause and its exceptions. 4. The type and amount of income that qualifies for the exemption from tax. 5. Sufficient facts to justify the exemption from tax under the terms of the treaty article. Example. Article 20 of the U.S.-China Income tax treaty allows an exemption from tax for scholarship income received by a Chinese student temporarily present In the United States. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay In the United States exceeds 5 calendar years. However, paragraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows the provisions of Article 20 to continue to apply even after the Chinese student becomes a resident alien of the United States. A Chinese student who qualifies for this exception (under paragraph 2 of the first protocol) and Is relying on this exception to claim an exemption from tax on his or her scholarship or fellowship Income would attach to Form W-9 a statement that Includes the information described above to support that exemption. If you are a nonresident alien ora foreign entity, give the requester the appropriate completed Form W -B or Form 8233. Backup Withholding What is backup withholding? Persons making certain payments to you must under certain conditions withhold and pay to the IRS 28% of such payments. This is called"backup withholding.' Payments that maybe subject to backup withholding include interest, tax-exempt interest, dividends, broker and barter exchange transactions, rents, royalties, nonemployee pay, payments made In settlement of payment card and third party network transactions, and certain payments from fishing boat operators. Real estate transactions are not subject to backup withholding. You will not be subject to backup withholding on payments you receive If you give the requester your correct TIN, make the proper certifications, and report all your taxable Interest and dividends on your tax return. Payments you receive will be subject to backup withholding if.. 1. You do not furnish your TIN to the requester, 2. You do not certify your TIN when required (see the Part II instructions on page 3 for details), 3. The IRS tells the requester that you furnished an inconectTIN, 4. The IRS tells you that you are subject to backup withholding because you did not report all your interest and dividends on your tax return (for reportable interest and dividends only), or 5. You do not certify to the requester that you are not subject to backup withholding under 4 above (for reportable interest and dividend accounts opened after 1983 only). Certain payees and payments are exempt from backup withholding. See Exempt payee code on page 3 and the separate Instructions for the Requester of Form W-9 for more Information. Also see Speclal rules forpartnershlps above. What is FATCA reporting? The Foreign Account Tax Compliance Act (FATCA) requires a participating foreign financial Institution to report all United States account holders that are specified United States persons. Certain payees are exempt from FATCA reporting. See Exemption from FATCA reporting code on page 3 and the Instructions for the Requester of Farm W-9 for more information. Updating Your Information You must provide updated Information to any person to whom you claimed to be an exempt payee it you are no longer an exempt payee and anticipate receiving reportable payments In the future from this person. For example, you may need to provide updated Information if you are a C corporation that elects to be an S corporation, or if you no longer are tax exempt. In addition, you must famish a new Form W-9 if the name or TIN changes for the account; for example, if the grantor of a grantor trust dies. Penalties Failure to furnish TIN. If you fail to fumish your correct TIN to a requester, you are subject to a penalty of $50 for each such failure unless your failure is due to reasonable cause and net to willful neglect. Civil penalty for false Information with respect to withholding. If you make a false statement with no reasonable basis that results In no backup withholding, you are subject to a $500 penalty. Criminal penalty for falsifying information. Willfully falsifying certifications or affirmations may subject you to criminal penalties including fines and/or Imprisonment. Misuse of TINS. It the requester discloses or uses TINS in violation of federal law, the requester may be subject to civil and criminal penalties. Specific Instructions Line T You must enter one of the following on this line; do not leave this line blank. The name should match the name on your tax return. If this Form W-9 is for afoint account, list first, and then circle, the name of the person or entity whose number you entered in Part I of Eofrn W-9. a. Individual. Generally, enter the name shown an your tax return. If you have changed your last name without Informing the Social Security Administration (SSA) of the name change, enter your first name, the last name as shown on your social security card, and your new last name. Note. [TIN applicant Enter your Individual name as it was entered on your Form W-7 application, line ia. This should also be the same as the name you entered on the Form 1040/1040A/1040E7 you filed with your application. b. Sole proprietor or single -member LLC. Enter your individual name as shown on your 1040/1040A/1040EZ on I'me 1. You may enter your business, trade, or "doing business as" (DBA) name on line 2. c. Partnership, LLC that is not a single -member LLC, C Corporation, or Corporation. Enter the entity's name as shown on the entity's tax return on line 1 and any business, trade, or OBA name on line 2. d. Other entities. Enteryour name as shown on required U.S. federal tax documents on line 1. This name should match the name shown on the charter or other legal document creating the entity. You may enter any business, trade, or DSA name on line 2. e. Disregarded entity. For U.S. federal tax purposes, an entity that is disregarded as an entity separate from its owner is treated as a "disregarded entity." See Regulations section 301.7701-2(c)(2)(4). Enter the owner's name on line 1. The name of the entity entered on line 1 should never be a disregarded entity. The name on Ilne 1 should be the name shown on the income tax return on which the Income should be reported. For example, If a foreign LLC that is treated as a disregarded entity for U.S. federal tax purposes has a single owner that is a U.S. person, the U.S, owner's name Is required to be provided on line 1. If the direct owner of the entity Is also a disregarded entity, enter the first owner that Is not disregarded for federal tax purposes. Enter the disregarded entity's name on line 2, "Business name/disregarded entity name." If the owner of the disregarded entity is a foreign person, the owner must complete an appropriate Form W-8 instead of a Form W-9. This is the case even If the foreign person has a U.S. TIN. 75D-148 Form W-9 (Rev. 12-2014) Line 2 If you have a business name, trade name, DBA name, or disregarded entity name, you may enter it on line 2. Line 3 Check the appropriate box in line 3 for the U.S. federal tax classification of the person whose name is entered on line 1. Check only one box in line 3. Limited Liability Company (LLC). If the name on line 1 Is an LLC treated as a partnership for U.S. federal tax purposes, check the "Umlted Liability Company' box and enter "P" in the space provided. If the LLC has filed Form 8832 or 2553 to be taxed as a corporation, check the 'Limited Liability Company- box and In the space provided enter "C for C corporation or "S" for S corporation. If It is a single -member LLC that is a disregarded entity, do not check the "Umlted Liability Company' box; Instead check the first box in line 3 "Individual/sole proprietor or single -member LLC." Line 4, Exemptions If you are exempt from backup withholding and/or FATCA reporting, enter In the appropriate space in line 4 any code(s) that may apply to you. Exempt payee code. - Generally, Individuals (Including sole proprietors) are net exempt tram backup withholding. - Except as provided below, corporations are exempt from backup withholding for certain payments, Including Interest and dividends. - Corporations are not exempt from backup withholding for payments made In settlement of payment card or third party network transactions. - Corporations are not exempt from backup withholding with respect to attorneys' fees or gross proceeds paid to attorneys, and corporations that provide medical or health care services are not exempt with respect to payments reportable on Form 1099-MISC. The following codes identify payees that are exempt be in backup withholding. Enter the appropriate code in the space in line 4. 1—An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)) if the account satisfies the requirements of section 401 (1)(2) 2—The United States or any of its agencies or Instrumentalities 3—A state, the District of Columbia, a U.S. commomvealth or possession, or any of their political subdivisions or instrumentalities 4—A foreign government or any of its political subdivisions, agencies, or Instrumentalities 5—A corporation 6—A dealer In securities or commodities required to register in the United States, the District of Columbia; or a U.S. commonwealth or possession 7—A futures commission merchant registered with the Commodity Futures Trading Commission 8—A real estate Investment trust 9—An entity registered at all times during the tax year under the Investment Company Act of 1940 10—A common trust fund operated by a bank under section 584(a) 11—A financial Institution 12—A middleman known In the investment community as a nominee or custodian 13—A trust exempt from tax under section 664 or described in section 4947 The following chart shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees listed above, 1 through 13. IF the payment is for... THEN the payment is exempt for... Interest and dividend payments All exempt payees except for 7 Broker transactions Exempt payees 1 through 4 and 6 through 11 and all C corporations. S corporations must not enter an exempt payee code because they are exempt only for sales of nomovered securities acquired prior to 2012. Barter exchange transactions and Exempt payees 1 through 4 patronage dividends Payments over $600 required to be Generally, exempt payees reported and direct sales over $5,0001 1 through 52 Payments made in settlement of Exempt payees 1 through 4 payment card or third party network transactions Page 3 'However, the following payments made to a corporation and reportable on Form 1099-MISC are not exempt from backup withholding: medical and health care payments, attorneys' fees, gross proceeds paid to an attorney reportable under section 6045((), and payments for services paid by a federal executive agency. Exemption from FATCA reporting code. The following codes identify payees that am exempt from reporting under FATCA. These codes apply to persons submitting this form for accounts maintained outside of the United States by certain foreign financial Institutions. Therefore, if you are only submitting this form for an account you hold In the United Slates, you may leave this field blank. Consult with the person requesting this form if you are uncertain Ifthe financial institution is subject to these requirements. A requester may indicate that a code is not required by providing you with a Form W-9 with "Not Applicable" (or any similar Indication) written or printed on the line for a FATCA exemption code. A—An organization exempt from tax under section 501(a) or any individual retirement plan as defined In section 7701(a)(37) B—The United States or any of Its agencies or instrumentalities C—A state, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or Instrumentalities D—A corporation the stock of which is regularly traded on one or more established securities markets, as described in Regulations section 1.1472-1(0)(1)(7 E—A corporation that is a member of the same expanded affiliated group as a corporation described in Regulations section 1.1472-1(c)(1)(i) F—A dealer In securities, commodities, or derivative financial Instruments (including notional principal contracts, futures, forwards, and options) that is registered as such under the laws of the United States or any state G—A real estate investment trust H—A regulated investment company as defined in section 851 or an entity registered at all times during the tax year under the Investment Company Act of 1040 I—A common trust fund as defined In section 5(i4(a) J—A bank as defined In section 581 K—A broker L—A trust exempt from tax under section 664 or described in section 4947(a)(1) M—A tax exempt trust under a section 403(b) plan or section 457(9) plan Note. You may wish to consult with the financial Institution requesting this form to determine whether the FATCA code and/or exempt payee code should be completed. Line 5 Enter your address (number, street, and apartment or suite number). This Is where the requester of this Form W-9 will mail your Information returns. Line 6 Enteryour city, state, and ZIP code. Part I. Taxpayer Identification Number (TIN) Enter your TIN In the appropriate box. If you are a resident alien and you do not have and are not eligible to get an SSN, your TIN Is your IRS Individual taxpayer Identification number (fflk7. Enter it in the social security number box. If you do not have an ITIN, see How to get a TIN below. If you are a sole proprietor and you have m EIN, you may enter either your SSN or EIN. However, the IRS prefers that you use your SSN. If you are a single -member LLC that is disregarded as an entity separate from its owner (see Limited Liability Company (LLC) on this page), enter the owners SSN (or EIN, if the owner has one). Do not enter the disregarded entity's EIN. If the LLC Is classified as a corporation or partnership, enter the entity's E[N. Note. See the chart on page 4 for further cladficatlon of name and TIN combinations. How to get a TIN. If you do not have a TIN, apply for one Immediately. To apply for an SSN, get Form SS -5, Application for a Social Security Card, from your local SSA office or get this form online at www.ssa.gov. You may also get this form by calling 1-600-772-1213. Use Forth W-7, Application for IRS Individual Taxpayer Identification Number, to appy for an MN, or Form SS -4, Application for Employer Idenfification Number, to apply for an EIN. You can apply for an EIN online by accessing the IRS website at www1m.gov/businesses and clicking on Employer Identification Number (EIN) under Starting a Business. You can get Forms W-7 and SS -4 from the IRS by visiting IRS.gov or by calling 1 -600 -TAX -FORM (1-600-829-3676). If you are asked to complete Form W-9 but do not have a TIN, apply for a TIN and write "Applied For" in the space for the TIN, sign and date the form, and give it to the requester. For Interest and dividend payments, and certain payments made With respect to readily tradable Instruments, generally you will have 60 days to get a TIN and give It to the requester before you are subject to backup withholding on payments. The 60 -day rule does not appy to other types of payments. You will be subject to backup withholding on all such payments until you provide your TIN to the requester. Note. Entering "Applied For" means that you have already applied for a TIN or that 1 See Forth 1099-MISC, Miscellaneous Income, and its Instructions. you intend to apply for one soon. Caution: Adisregarded U.S. entity that has a foreign owner must use the appropriate Forth W-8. 75D-149 Form W-9 (Rev. 12-2014) Part H. Certification To establish to the withholding agent that you are a U.S. person, or resident alien, sign Form W-9. You may be requested to sign by the withholding agent even if Items 1, 4, or 5 below Indicate othenvise. For a joint account, only the person whose TIN is shown in Part I should sign (when required). In the case of a disregarded entity, the person identified on line 1 must sign. Exempt payees, see Exempt payee code earlier. Signature requirements. Complete the certification as indicated in Items 1 through 5 below. 1. Interest, dividend, and barter exchange accounts opened before 1984 and broker accounts considered active during 1983. You must give your correct TIN, but you do not have to sign the certification. 2 Interest, dividend, broker, and barter exchange accounts opened after 1983 and broker accounts considered inactive during 1983. You must sign the certification or backup withholding will apply. If you are subject to backup Withholding and you are merely providing your correct TIN to the requester, you must cross cut item 2 in the certification before signing the form. 3. Real estate transactions. You must sign the mortification. You may cross out item 2 of the certification. 4. Other payments. You must give your correct TIN, but you do not have to sign the certificatlon unless you have been notified that you have previously given an Incorrect TIN. "Other payments" include payments made in the course of the requester's trade or business for rents, royalties, goods (other than bills for merchandise), medical and health care services (including payments to corporations), payments to a nonemployee for services, payments made in settlement of payment card and third party network transactions, payments to certain fishing boat crew members and fishermen, and gross proceeds paid to attorneys (Including payments to corporations). S. Mortgage interest paid by you, acquisition or abandonment of secured property, cancellation of debt, qualified tuition program payments (under section 529), IRA., Coverdell ESA, Archer MSA or HSA contributions or distributions, and pension distributions. You must give your correctTIN, but you do not have to sign the certification. What Name and Number To Give the Requester For this type of account: Give name and SSN of: 1. Individual The individual 2, Two or more individuals (loin The actual owner of the account or, account) if combined funds, the first Individual on the amount' 3. Custodian account of a minor The minor` (Uniform Gift to Minors Act) 4. a. The usual revocable savings The grantor -trustee trust (grantor is also trustee) b. So-called trust account that is The actual owner not a legal or valid hurt under state law 5. Sole proprietorship or disregarded The owner' entity owned by an Individual Be Grantor trust filing under Optional The grantor Form 1099 Filing Method 1 (see Regulations section 1.671-4(b)(2)(1) (A)) For this type of account: Give name and EIN of: 7. Disregarded entity not owned by an The owner individual B. Avalid trust, estate, or pension trust Legal entity' S. Corporation or LLC electing The corporation corporate status on Form 8832 or Form 2553 10. Association, dub, religious, The organization charitable, educational, or other tax- exempt organization 11. Partnership or mufti -member LLC The partnership 12. A broker or registered nominee The broker or nominee 13. Account with the Department of The public entity Agriculture in the name of a public entity (such as a state or local government, school district, or prison) that receives agricultural program payments 14. Grantor trust filing under the Form The trust 1041 Filing Method or the Optional Form 1099 Filing Method 2 (see Regulations section 1.671-4(b)(2)(i) (ED ' List first and circle the name of Ore person whose number you furnish. if only one person on a joint account has an SSN, that person's number must be buMshed. ' Clroleshe minors name and furnish the minors SSN. Page 4 You must show your Individual name and you mey also enter YOU Wevess or DBAname on the `Business namovoisregarded enEty` name line. You may use eitherycur SSN or EIN (f you have one), but the IRS encourages you to use your SSN. • Dst first and drole the name of the trust, estate, or pension trust. lea but tumish the TIN of personal representative or in atee unless the legal entity itself is not designated inthe account title) Also see Special rules for parme¢hipe on page 2. 'Note. Grantor also must provide a Form W-9 to trustee of dust Note. if no name is circled when more than one name Is listed, the number will be considered to be that of the first name listed. Secure Your Tax Records from Identity Theft Identity theft occurs when someone uses your personal information such as your name. SSN, or other identifying information, without your permission, to commit fraud or other crimes. An identity thief may use your SSN to get a job or may file a tax return using your SSN to receive a refund. To reduce your risk: • Protect your SSN, • Ensure your employer is protecting your SSN, and • Be careful when choosing a tax preparer. It your tax records are affected by Identity theft and you receive a notice from the IRS, respond right away to the name and phone number printed on the IRS notice or letter. If your tax records are riot currently affected by identity theft but you think you are at risk due to a lost orshien purse or wallet, questionable credit card activity or credit report, contact the IRS Identify Theft Hotline at 1-900-908-4490 or submit Form 14039. For more Information, see Publication 4535, Identity Theft Prevention and Victim Assistance. victims of Identity theft who are experiencing economic harm or a system problem, or are seeking help in resolving tax problems that have not been resolved through normal channels, may be eligible for Taxpayer Advocate Service (TAS) assistance. You can reach TAS by calling the TAS toll-free case Intake line at 1-877-777-4778 wTTY/TDD 1-800-829-4059. Protect yourself from suspicious smalls or phishing schemes. Phishing is the creation and use of email and websites designed to mimic legitimate business smalls and websites. The most common act Is sending an email to a user falsely claiming to be an established legitimate enterprise in an attempt to scam the user into surrendering private information that will be used for Identity theft. The IRS does not initiate contacts with taxpayers via emalls. Also, the IRS does not request personal detalled Information through small or ask taxpayers for the PIN numbers, passwords, or similar secret access Information for their credit card, bank, or other financial accounts. If you receive an unsolicited email claiming to be from the IRS, forward this message to phfshing®im.gov. You may also report misuse of the IRS name, logo, or other IRS property to the Treasury Inspector General for Tax Administration (rIGTA) at 1-800-366-4484. You can forward suspicious smalls to the Federal Trade Commission at: spam®uce.gov or contact them at www.ttc.90 ylidrheff or 1-877-1OTHEFf (1-877-438-4338). Visit IRS.govto learn more about Identity theft and law to reduce your risk. Privacy Act Notice Section 6109 of the Internal Revenue Code requires you to provide your correct TIN to persons QncludIng federal agencies) who are required to file information returns with the IRS to report Interest, dividends, or certain other Income paid to you; mortgage Interest you paid; the acquisition or abandonment of secured property; the cancellation of debt; or contributions you made to an IRA, Archer MSP, or HSA. The person collecting this form uses the information on the form to file information returns with the IRS, reporting the above information. Routine uses of this Information Include giving it to the Department of Justice for civil and criminal litigation and to cites, states, the District of Columbia, and U.S. commonwealths and possessions for use in administering their laws. The information also may be disclosed to other counts les under a treaty, to federal and state agencies to enforce civil and criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism. You must provide your TIN whether or not you are required to file a tax return. Under section 3406, payers must generally withhold a percentage of taxable Interest, dividend, and certain other payments to a payee who does not give a TIN to the payer. Certain penalties may also apply for providing false or fraudulent information. 75D-150 JMF/6/6/17 RESOLUTION NO. 2017 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF CERTAIN REAL PROPERTIES LOCATED WITHIN THE CITY OF SANTA ANA AT 1922 (also known as 2006) & 2002 W. FIFTH STREET (APN 007-100-04 & 007-100-05) FOR THE ORANGE COUNTY STREETCAR PROJECT BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. June 6, 2017, the City Council of the City of Santa Ana, after written notice duly provided to all those claiming ownership in the properties described hereafter, as they appeared on the last equalized County assessment roll, held a hearing pursuant to Code of Civil Procedure section 1245.235 for the purpose of allowing the owners thereof a reasonable opportunity to be heard on the following matters: A. Whether the public interest or necessity requires the project; B. Whether the project is planned or located in a manner which is most compatible with the greatest public good and the least private injury; C. Whether the properties proposed to be acquired are necessary for the project; D. Whether the offer required by Government Code section 7267.2 has been made; E. Whether the City has complied with all conditions and statutory requirements necessary to exercise the power of eminent domain to acquire the properties described herein, as well as any other matter regarding the right to take said properties by eminent domain; and F. Whether the City has statutory authority to acquire the properties by eminent domain. Section 2. The City Council has, as a result of its consideration and the evidence presented at the hearings on this matter, and in accordance with the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines, determined that the proposed project has been adequately evaluated in the previously prepared Revised Environmental Assessment/Final Environmental Impact Report (State Clearinghouse No. 2010051060). Pursuant to the National Environmental Policy Act, an Environmental Exhibit 4, Resolution No. 2017 -XXX Page 1 of 6 75D-151 Assessment document with a Finding of No Significant Impact was prepared for the proposed project and approved by the Federal Transit Administration in 2015. On the basis of this review, the City Council finds that there is no evidence from which it can be fairly argued that the Project will have a significant adverse effect on the environment. Section 3. Pursuant to Title XIV, California Code of Regulations ("CCR") § 753.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the proposed project will have the potential for any adverse effect on wildlife resources or the ecological habitat upon which wildlife resources depend. The proposed project exists in an urban environment characterized by paved concrete, roadways, surrounding buildings and human activity. Therefore, pursuant to Fish and Game Code § 711.4(c)(2)(A) and Title XIV, CCR § 753.5(a)(3), the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 4. The City of Santa Ana hereby finds and determines each of the following: A. The public interest and necessity require the proposed project. B. The proposed project is planned or located in the manner that will be most compatible with the greatest public good and least private injury. C. The properties located at 1922 (also known as 2006) & 2002 W. Fifth Street (APN 007-100-04 & 007-100-05), as described in Exhibit A and graphically depicted in Exhibit B, are necessary for the proposed project. D. The offer required by section 7267.2 of the California Government Code was made. Section 5. The City hereby finds, determines and declares that the public interest, convenience and necessity require the acquisition by the City of the property described in Section 4 above, including any and all leaseholds and related improvements, for the purposes of the Orange County Transportation Authority ("OCTA") and the City of Santa Ana joint project that proposes to construct a modern streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove, also known as the Orange County Streetcar Project ("Project'). Section 6. The taking of the interest in the properties described in Section 4 above is necessary for the public right of way and is authorized by Section 19 of Article I of the California Constitution; Section 200 of the Santa Ana Charter; California Code of Civil Procedure sections 1240.010, 1240.110; California Government Code sections 37350.5 and 40404; and other applicable law. Resolution No. 2017 -XXX Page 2 of 6 75D-152 JMF/6/6/17 Section 7. The City hereby declares that it is the intention of the City of Santa Ana to acquire in its name, in accordance with the provisions of the laws of the State of California with reference to condemnation procedures, all interests in and to the Properties described in Section 4 above. Section 8. If any of the properties described in Section 4 above has been appropriated for some public use, the public use to which it is to be applied and taken under this proceeding is a more necessary and paramount public use. Section 9. The properties described in Section 4 above is located within the City of Santa Ana, County of Orange, State of California, and is more particularly described in Section 4 hereof. Section 10. The City of Santa Ana is authorized to acquire by eminent domain as provided in the California Code of Civil Procedure. Section 11. The City Attorney is hereby authorized and directed to prepare, institute and prosecute in the name of the City such proceedings, in the proper court having jurisdiction thereof, as may be necessary for the acquisition of the interests in the Properties described in Section 4 above. The City Attorney is also authorized and directed to obtain a necessary order of immediate possession and occupancy of such properties, at the discretion of the City Attorney. Section 12. 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 J2017. APPROVED AS TO FORM: Sonia A. Carvalho, City Attorney By: JotM M. Funk Assistant City Attorney Miguel A. Pulido Mayor 75D-153 Resolution No. 2017 -XXX Page 3 of 6 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. 2017 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Resolution No. 2017 -XXX Page 4 of 6 Clerk of the Council City of Santa Ana 75D-154 JMF/6/6/17 EXHIBIT A All that pgoe Rat property situate) In the CWMY a Orange. Style V [flim., def-16el a: lalowe- me West I MORD feel on that portion as Ou land Nlottw to IW4n CNayea In o«re. at petition of the Rantllo SaMlago Da Santa Ana, recorded at Took 0 of ludgmec, a That l7u AMielal Court of Cellforms, described Is follows: Beglmme, at a point on We Centvllne a FINK Shady aYe honest Oeing the NorWa# taxer of Me land formerly owned by Wlllone A. great SOW hint be,.0 Nene 99' 30 00' E. 2355.E I feel and North 12aJ.H noel 1. IM Common Wrner of S.,,. 10, 11, la and IS, TuwnaMp 5 South, Fantasy 10 West; Thence Soudh 253.00 feet to the North Mm a The right of fey of The Pat Elecldo RaRNayl Thena< West 350.00 feel along, said North line; Thence North 250.00 feet to surd c-tvahat of Fifth Street; TMeee East 350.00 feet m Me pelel Of fashioning. Esceptlre, The Noah 30.00 feat M .... I a 1.070 sgoae tae all that CW tall rxal ,Werty a.tuated Ie the Cou ty or ofenge. 'itee nI Caurwma Atti, Ansa ae follows. That Dart. .1 1N lend aI1UlMq he Julian C we M W.aee a sn"Ite n a line T.. Santiago IN, Sahli ane, modand In Case No. 1192, aM eMNM September 12, 18(i0 in 3m4 T hell 610 til Ldgarnta a the IT` )W Wal Disney Cwrt Of California, described as Fdbses: Ballooning at is hent on The cents, One of Fifth Stoat, slid WhN Mho the fbrtioul. a the fond fermedy owned by William A. Hinds, said p hes btlrq Nath 89' 30' 00' East 235S.21 ANA and North I lal.aa Fast from the ..an earner of Sect oho, 10, 11, 14 and 15, TownSOh 5 Sahel, Faoh. LO Weft; Thence SouM 253.00 feet to the North line of the right of way of the Faulk Ekttrk Failwhy. Thence West 350.00 feet along mid North line; Thence North 250.00 feet t. SAW ttnter line a Filth Slmet; Thence East 350.00 feat to the pout or be4oanilNl. Except ate West 175.00 Net thereof. aro.". it. North 30.011 reel thereof 41,487 samre M1N 1151. rah, lrl h. Resolution No. 2017 -XXX Page 5 of 6 75D-155 kU IN 5 s9z Resolution No. 2017 -XXX Page 6 of 6 EXHIBIT B a;a;�q4 12 ya 75D-156 laiend ?yi - S bjw Pameh r arow I sbxcr, Q 0 •4' 0^ 11 Q -L room SWETr -- O 1i O d Co,"ate /, 1:ll 1� ON ie O QQ: Ay --jr1 t"Yr , J �.,:, SME, t'> rm-n5 n.17 75D-156 MAYOR Mipel A. Pulido MAYOR PRO TEM MicheleMartinez COUNCIL IEMBERS P. David Benavides Vicente Sarmiento lose Solorio Sal Tinajem Juan Villegas Valdivia Family Trust Rudy Valdivia (Trustee) 2002 W. 5th Street Santa Ana, CA 92703 CITY OF SANTA ANA 20 Civic Center Plaza, P.O. Box 1988 Santa Ana, California 92702 714-647-6900 www.santa-ana.ory May 17, 2017 Federico Valdivia, Sucessor Trustee of the Valdivia Family Trust Rudy Valdivia Trustee 1922 West 5a' Street Santa Ana, CA 92703 Rudy Valdivia P.O. Box 3067 Tustin, CA 92781 INTERUM CITY MANAGER Cynthia J. Kurtz CRY ATTORNEY Sonia R Carvalho CLERK OF THE COUNCIL Maria D. Huizar Re: Notice of Hearing regarding adoption of Resolution of Necessity to Acquire Real Property by Eminent Domain (Code of Civil Procedure § 1245.235) Properties: 1922 (also known as 2006) & 2002 W. Fifth Street, Santa Ana, CA 92703 APN: 007-100-04 & 05 Dear Owners: The City Council of the City of Santa Ana ("City") intends to consider the adoption of a Resolution of Necessity on June 6, 2017, which if adopted, will authorize the City to acquire by eminent domain the real properties described in this letter for the Orange County Transportation Authority ("OCTA") and the City of Santa Ana joint project that proposes to construct a modern streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove ("Project'). A legal description and map of the real properties to be acquired is enclosed with this Notice as Exhibit "A" (the "subject properties"). Please take notice that the City Council at its regularly scheduled meeting to be held on June 6, 2017, at 5:45 p.m., or as soon thereafter as the matter may be heard, at the City Council Chambers, 22 Civic Center Plaza, Santa Ana, CA 92702, will hold a hearing on whether a Resolution of Necessity should be adopted, as required by California Code of Civil Procedure § 1245.220, for the commencement of an eminent domain proceeding to acquire fee title to the subject properties. 75D-157 May 17, 2017 Page 2 You have the right to appear and be heard before the City Council at the above scheduled hearing on the following matters and issues, and to have the City Council give judicious consideration to your testimony prior to deciding whether or not to adopt the proposed Resolution of Necessity: Whether the public interest and necessity require the proposed project; 2. Whether the proposed project is planned or located in the manner that will be most compatible with the greatest public good and the least private injury; 3. Whether the subject properties sought to be acquired by the exercise of eminent domain as described in the Resolution of Necessity are necessary for the proposed project; 4. Whether the offer required by Government Code § 7267.2 has been made; 5. Whether the City has complied with all conditions and statutory requirements necessary to exercise the power of eminent domain (the "right to take") to acquire the subject properties, as well as any other matter regarding the right to take the subject properties by way of eminent domain; and 6. Whether the City has the statutory authority to acquire the subject properties by eminent domain. On June 1, 2017, a copy of the proposed Resolution of Necessity will be available on the City's websiteathttp://,,vww.ci.santa-ana.ca.us/coc/uanicIus asp within the agenda materials for the June 6`h City Council Meeting. Also, a copy of the proposed Resolution of Necessity will be available upon your request on June 1, 2017, for inspection at the office of the Clerk of the Council at 20 Civic Center Plaza, 81h Floor, Santa Ana, CA 9270. This Notice has been sent to you because your name and the above listed address appear on the last equalized tax assessment roll of the County of Orange as being the name and address for tax bills to be sent for the subject property. The statutes authorizing the City to acquire the subject properties by eminent domain for the proposed project include the City's Charter at § 200, Santa Ana Municipal Code § 41-781, California Code of Civil Procedure §§ 1240.010, 1240.110, Section 19 of Article I of the California Constitution, and California Government Code § 37350.5 and § 40404. If you desire to be heard, you must file a written request with the Clerk of the Council. The address for the Clerk of the Council is City Hall, City of Santa Ana, 20 Civic Center Plaza, M- 30, Santa Ana, CA 92702, and the facsimile number is (714) 647-6956. Alternatively, you may appear at the hearing and be given an opportunity to speak. The City will consider any written observations you may wish to submit before the hearing. Failure to comply with the provisions set forth above will, under California law, result in a waiver of the right to appear and be heard on the matters and issues which are the subject of this hearing. 75D-158 May 17, 2017 Page 3 However, if you elect not to appear and be heard in regard to compensation, your nonappearance will not be a waiver of your right to claim greater compensation in a court of law. The amount to be paid for the subject property will not be considered by the City Council at the hearing. If you elect not to appear and not to be heard, your failure to appear will be a waiver of your right to later challenge the City's right to take the subject property by eminent domain. This Notice is not intended to foreclose any negotiations between you and the City's representatives on the amount of compensation to be paid for the subject properties. If the City Council elects to adopt a Resolution of Necessity, then within six (6) months the City may commence eminent domain proceedings in Orange County Superior Court. In that proceeding, the court will determine the amount of compensation to which you are entitled. Very truly yours, MARIA D. HUIZAR CLERK OF THE CO CIL cc: Paula A. Schaefer, Esq Enclosures: Description of subject property and map (Exhibit A) Proof of Service by Mail SANTA ANA CITY COUNCIL Kguel A. Pulido 114,wale Sarmienm Michele Alanines Angelica Arno.. Mayw Mayor Pro Tem. Ward l Ward Ward? mouldMsanla ana or Kanniert,a7anta-arta oro mmaninexesanla-anaora ao. zZ (dsanla.anawo 75D-159 P David Benaddes Raman Reyna Sal inajera Ward ward Ward dbenaMasAaanla arta wa rra,na.�}asanla-anaora 5Cn (d t,-,na Old EXEMIT A Legal Descriptions and Map All that certain real property situated in the County of Orange, State of California, described as follows: The West 175.00 feet on that portion of the land allotted to Julian Chavez in Decree of Partition of the Rancho Santiago De Santa Ana, recorded In Book B of Judgments of the 17th Judicial Court of California, described as follows: Beginning at a point on the centerline of Fifth Street, said point being the Northeast corner of the land formerly owned by William A. Hinds, said pint being North 890 30' 00" East 2355.21 feet and North 1243.44 feet from the common corner of Sections 10, 11, 14 and 15, Township 5 South, Range 10 West; Thence South 253.00 feet to the North line of the right of way of the Pacific Electric Railway; Thence West 350.00 feet along said North line; Thence North 250.00 feet to said centerline of Fifth Street; Thence East 350.00 feet to the point of beginning. Excepting the North 30.00 feet thereof 41,076 square feet APN: 007-100-04 All that certain real property situated in the County of Orange, State of California, described as follows: Thati:portion of the land allotted to Julian Chavez in Decree of Partition of the Rancho Santiago De Santa Ana, rendered in Case No. 1192, and entered September 12, 1868 In Book B, Page 410 of Judgments of the 17th Judicial District Court of California, described as follows: Beginning at a point on the center line of Fifth Street, said point being the Northeast corner of the land formerly.owned by William A. Hinds, said point being North 890 30' 00" East 2355.21 feet and North 1243.44 feet from the common corner of Sections 10, 11, 14 and 15, Township 5 South, Range 10 West; Thence South 253.00 feet to the North line of the right of way of the Pacific Electric Railway; Thence West 350.00 feet along said North line; Thence North 250.00 feet to said center line of Fifth Street; Thence East 350.00 feet to the point of beginning. Except the West 175.00 feet thereof. Also except the North 30.00 feet thereof. 41,487 square feet APN:007-100-05 75D-160 b Cb I� a M 12 11 Legend - Subject Parcels iTOWNSEIq ` STREET . O J: O, e, ix a O PAD r -1 DAISY STREET d - 4 RAirr 465-17 Ln -I s riu STREET Y i 405-05 75D-161 �� or L Yl N (D OArr AVT. or /�l1AYh Ave U) rr N y ti h PROOF OF SERVICE BY MAIL STATE OF CALIFORNIA, COUNTY OF ORANGE I am employed in Orange County, California. I am over eighteen years of age and not a party to the within action; my residence/business address is 20 Civic Center Plaza, Santa Ana, California 92701. On May 17, 2017, I served the foregoing document described as NOTICE OF HEARING ON ADOPTION OF RESOLUTION OF NECESSITY on the interested parties in this action. [X] By placing [X] the original thereof enclosed in sealed envelopes as follows: Valdivia Family Trust Rudy Valdivia Rudy Valdivia (Trustee) P.O. Box 3067 2002 W. 5'h Street Tustin, CA 92781 Santa Ana, CA 92703 Federico Valdivia, Sucessor Trustee of the Paula S. Schaefer, Esq. Valdivia Family Trust U.S. Bank Building Rudy Valdivia Trustee 9042 Garfield Avenue, Suite 312 1922 West 59' Street Huntington Beach, CA 92646 Santa Ana, CA 92703 [X] BY MAIL [ ] BY OVERNIGHT MAIL VIA UPS/FEDERAL EXPRESS [X] As follows: I am "readily familiar" with my employer's practice of collection and processing correspondence for mailing. Under that practice it would be deposited with U.S. Postal Service on that same day with postage thereon fully prepaid at Santa Ana, California in ordinary course of business. I am aware that on motion of the party served, service is presumed invalid if postal cancellation date or postage meter date is more than one day after date of deposit for mailing in affidavit. Executed on May 17, 2017 at Santa Ana, California. [X] (State) I declare under penalty of perjury under the laws of the State of California that the above is true and correct. *ATM. ALMA 75D-162 CORRESPONDENCE 75D-164 U.7/L.J/11 lUi 4iAXL LHW VLL 14.L f� \ Via US Mail and Fax to 714.647-6956 Clerk of the City Council City Hall City of Santa Ana 20 Civic Center Plaza M-30 Santa Ana, CA 92702 1017 MAY 23 PM 4: 14 May 23, 2017 CITY OF SANTA ANA CLERK OF COUNC1t. Re: Notice of Hearing regarding adoption of Resolution of Necessity to Acquire Real Property by Eminent Domain (Code of Civil Procedure § 1245.2350) Properties: 1922 (also known as 2006) and 2002 W. 5`h Street, Santa Ana, CA 92703 APN: 007-100-04 and 05 Dear Ms. Huizar: On behalf of my client, Federico Valdivia, Trustee of The Valdivia Family Trust, I respectfully request a-30=day continuance of the above-described hearing. It is not possible for the Trust to be properly prepared to address the issues to be raised and adequately represented at that meeting with only 15 days' notice. Further, there is a scheduling conflict for that particular evening that prevents all parties from attending. The Trust requests a meeting with appropriate City officials prior to the scheduled hearing. This meeting will be attended by legal counsel, representatives of the Trust, and a representative from the tenant currently operating its business on both parcels. Please contact me at your earliest convenience to arrange a meeting prior to the hearing and to advise me as to the new date of the hearing. Rest regards, P4t'a A. Schaefer,./ cc: Federico Valdivia, Trustee Jeff Farano, Sr., SA Recycling Sul . ..iU i,.r..�i ��', 1-1l: f; C; r'CtOn .�i(,?d Cil, l.8ii(t r'ii.i 9264"S t ^.L.% Srn14!i'3 Os'.I; _ )£sli'.u'S(:�7oliif�'liil'✓.i Utll vn r,'✓ I i.,. 75D-165 r 75D-166 JUN -01-2017 04:15PM From:PTw 9497940725 To:17146476956 PALMIERI TY�k i PH 4:25 ATTORNEYS AT .L A W ANGELO J. PALM ERI (1926.1996) ROBERT F. WALORON (1927-1999) DENNIS W. CHAN' MELISA R, PEREZ DAVID D. PARR' MICHAEL I. KEHOE CHARLES H. KANTER' CHADWICK C. BUNCH PATRICK A. HENNESSEY ANISH J. BANKER SDN FISHER RYAN M. PRAGER WARREN A. WILLIAMS ERIN BALSARA NADERI JOHN R. LISTER ERICA M. SOROSKY MICHAEL K. LEIFER JOSHVA J. MARK RICHARD A. SALUS ERIN K. OYAMA NORMAN J. RODICH KATHERINE M. SHAW MICHAEL L. D'ANGELO JANE DONAHUE OAVALOS STEPHEN A. $CHECK BRIAN CLICKLIN DONNA L, SNOW CAROLYN H. CLARK RYAN M. EASTER STEVEN ON ELISE M, KERN NAZANI N. Te MOURIAN MICHAEL C. ONO, OF COUNSEL RONALD M COLE, OF COUNSEL MICHAEL J. GREENE'. OF COUNSEL ROBERT C. IMRKE, OF COUNSEL GREGORY N. WEIL9R. OF COUNSEL ALAN H. WIENER-. OF COUNSEL JAMES E. WILHELM, RETIRED DENIMS G. TYLER'. RETIRED • avvcc..Ivxu cvaaoaAtwN June 1, 2017 VIA FACSIMILE (714)647-6956 & U.S. MAIL City of Santa Ana Attn: City Clerk Maria Huizar 20 Civic Center Plaza M-30 Santa Ana, CA 92702 CITY OF SANTA ANA CLERK OF COUNCIL P.O. Box 19712 Irvine. CA 92623-9712 Page:2�6 Michael H. Leifer Direct Dial (949) 051-7294 Direct Far (949) 525-5412 mleifar®PN.wW.rnm Refer To File No. $6019-002 Document I.D. 2096123.1 Re: Opposition to Eminent Domain taking of SA Recycling facility at 2002 and 2006 West 56' Street. Notice of intent to appear and be heard. Dear City Clerk: SA Recycling, LLC is the recycling business operating from 2002 and 2006 West 5th Street, Santa Ana, California 92703, APN 007-100-04 and -05 (the "subject property"). SA Recycling intends to appear and be heard concerning the proposed eminent domain taking of its Santa Ana facility on Tuesday, June 6th at City Hall. For almost a decade, SA Recycling has performed an essential service for the economy and environment for the City of Santa Ana, its residents and businesses. The SA Recycling facility accepts and processes various metals that are otherwise not properly recyclable in the City. SA Recycling's facility provides a proper outlet for metal recycling that avoids illegal dumping or salvage. Despite the fact that it provides a critical local portal for recycling, the SA Recycling facility has been improperly targeted for eminent domain. 1900 Main Street, Suite 700, Imine, CA 92614-7328 1 T 949.851.9400 1 1' 949.851.1554 1 ptwww..com 75D-167 JUN -01-2017 04:15PM From:PTw 9497940725 To:17146476956 PALMIERI TYLER City of Santa Ana June 1, 2017 Page 2 The City and/or OCTA are illegally pre -committed to condemning the SA Recycling facility. Paee:3'6 The property owner/business owner has not been provided with the documentation it has requested. It is believed that there are numerous documents, emails and memos that demonstrate that OCTA/City is not proceeding legally with regard to this eminent domain taking. OCTA was requested to provide such documentation and has not. OCTA has produced some documentation, but has withheld most. It has certainly withheld inculpatory documentation demonstrating that it is proceeding illegally. This letter incorporates by reference into the administrative record all documents and information that is available to OCTA and the City Council. In February 2017, OCTA senior staff and numerous consultants and City staff held a meeting attended by SA Recycling representatives. Other than one or two documents that were in front of OCTA and City personnel, no documents were produced or available at the meeting. OCTA counsel, among others, was taking notes of the meeting. No notes of the meeting were later produced by OCTA. SA Recycling's purpose was to find out about the Streetcar project and to discuss avoiding the acquisition of the SA Recycling facility. OCTA and City's primary purpose was to inform SA Recycling that the eminent domain train had already left the station. OCTA and City representatives said that there was no alternative to acquiring the SA Recycling facility. The City confirmed that the decision to locate the maintenance station on the SA Recycling facility was made years ago. OCTA's senior staff said that multiples of tens of millions of dollars, if not hundreds of millions of dollars had already been spent or committed premised upon the specific location of the Streetcar maintenance yard taking out the SA Recycling facility. City and OCTA representatives stated that all plans and contracts for this project had for years been based upon using eminent domain to take out this facility. At the most fundamental levels, the decision to acquire has already been made. The City council meeting called for by the staff of the City and OCTA is a pretense. Eminent domain by the City is a fait accompli. 2096123.1 75D-168 JUN -01-2017 04:15PM From:PTw 9497940725 To:17146476956 Paee:4/6 PALMIERI TYLER City of Santa Ana June 1, 2017 Page 3 Of course from SA Recycling's perspective, practically and legally, it shouldn't be a fait accompli. Apparently, years ago a firm was hired to determine the Streetcar maintenance station location. The directions given to the that firm have not been produced to SA Recycling, although they have been requested along with numerous other documents. To the extent it is asserted that no written directions were provided to the firm "locating" the Streetcar maintenance station, such defies credulity. Ultimately, the firm's conclusions do not make sense. It apparently could only identify two possible locations for a Streetcar Maintenance Station. The proposed linear project adjoins numerous other private and public properties. Essentially none were considered for this public use. Some have been for sale over the years or are for sale now. None were acquired for a proposed maintenance yard. All, or essentially all, are land uses that are far more relocatable than SA Recycling's facility. As to the ability/feasibility of relocating SA Recycling's facility in the City of Santa Ana, OCTA/the City did not identify sites when the consultant determined the location of the Streetcar Maintenance Station. SA Recycling has sought meetings with City administration and planning concerning the issues. A City attorney attended the February meeting at OCTA. Because of the difficulty to re -situate SA Recycling in comparison to other types of land uses such as residential, industrial, commercial, the City cannot find that its action is consistent with the least private injury. Many other locations, are at least equal, if not better, locations for the sought for Streetcar maintenance yard. As the story was told to SA Recycling at the February meeting at OCTA, OCTA or the City hired representatives of a private firm to "locate" the maintenance station a couple of years ago. Out of the whole of the City, somehow only two parcels were "considered" Somehow, the only two parcels that were considered happened to be put to recycling business use. At the February meeting, SA Recycling suggested that a portion of the underused Willowick golf course be utilized for the maintenance station. It is public land. That site stretches straight along the proposed Streetcar track. There would be less private injury. Other than being informed that the maintenance station decision had already been made, SA Recycling was provided no further information. Despite being a constituent and stakeholder of the City, no notice of the hearing was provided to our client by the City. The City is well aware of our client's occupancy and interest in the property the City seeks to take. The City and/or its project partner OCTA have also been in communication with our office. We can certainly be reached and are certainly known to the City. The City is also aware that our client objects to its business location being condemned. 2096123.1 75D-169 JUN -01-2017 04:16PM From:PTw 9497940725 To:17146476956 Paee:5/6 PALMIERI TYLER City of Santa Ana June 1, 2017 Page 4 Yet, notice was not provided to our office or our client by the City. The only conclusion that can be drawn for the lack of notice is that the City did not want SA Recycling to have notice. At the same time, the City wants undoubtedly will claim any objection must be asserted at the hearing of which no notice was given to us or our client. We object to such position. Our client objects to the lack of notice from the City, the lack of any notification of any time frame in which a request to appear may be made, any improper assertion in any notice claiming that failure to appear is a waiver of matters not included in Code of Civil Procedure Section 1245.235 (particularly as no notice has been afforded SA Recycling by the City), and the short time given to prepare for the hearing after only learning about it second-hand. As to the hearing substance, the City, by itself and through OCTA, undoubtedly has numerous emails, correspondence and memorandum regarding this Project. The City has access to its staff and consultants. For example, the City has unfettered access to the appraiser and the appraiser's file compiled as part of the appraisal process underlying the mandatory precondemnation appraisal and offer. Our client has not been provided such access limiting its ability to respond. Our client likewise has not been party to the internal discussions of staff relating to the site selection, the search for alternative locations that provide at least the same or greater public good and least private injury or that show there is no need to take our client's business location. We also have not been provided all of the project contracts or project plans. We request, pursuant to the Public Records Act, that we be provided the full administrative file pertaining to this project before any hearing, the precondemnation appraisal for the subject property; the appraiser's complete file(s) relating to the appraisal of the real estate and fixtures and improvements; any contract awarded for the construction of the contract; any project schedules delineating the City's commitment to construction of the project for which the subject property is sought to be taken; up-to-date project plans; correspondence between the City and OCTA and/or Paragon relating to selection of the subject property for acquisition and displacement of SA Recycling; communications between the City/OCTA/Paragon with any representative of the Valdivia family (our client's landlord) relating to the project; any funding requests and approvals for the project including any obligations to which the City has agreed to obtain and/or retain funding for this project; both internal communications between the City, OCTA and Paragon as well as communications with any third -party about this proposed condemnation. At the same time the City is failing to provide notice of the resolution of necessity hearing to us, it is informing our client through multiple communicators -- OCTA (its project partner), its consultant Paragon, its staff -- that SA Recycling will be fully displaced and the subject property will be taken as site selection has already been determined by the City. We were informed that if the project goes forward it was inevitable that SA Recycling's business location would be condemned. 2096123.1 75D-170 JUN -01-2017 04:16PN From:PTw 9497940725 To:17146476956 Paee:6/6 PALMIERI TYLER City of Santa Ana June 1, 2017 Page 5 On all of the foregoing grounds, our client objects to adoption of the resolution of necessity. Our client reserves its rights to make further objections. Very truly yours, 1 cc: Client Michael I. Kehoe 2096123.1 75D-171 JUN -01-2017 04:15PM From:PTw 9497940725 To:17146476956 Pa9e:1/6 PALMIERI TYLER A T T O P N E Y e A T L A W S[ Michael H. Leifer 1900 MAIN STREET, SUITE 700 2017 JUN -I Ro'62512 Dimm Dial (949) 851-7290 Irvine, CA 920219712 Direct Fax (949) 825-5412 IRVINE, CA 92614-7328 r, �1-n ler, , No. 360IM02 mleiler@phv .cam CITY OF SAPS c �.2097154.1 CLERK OF COt� Date: June 1, 2017 File Name: SA Recycling To City Clerk - Maria Huizar City of Santa Ana From: Michael H. Leifer FACSIMILE COVER SHEET File No.: 36019-002 Fax No. Telephone No. 714-647-6956 TOTAL NUMBER OF PAGES INCLUDING THIS FORM IS: Message: ORIGINAL WILL: r BE SENT BY MAIL r BE SENT By MESSENGER r BE SENT BY E-MAIL F BE SENT BY FEDEX/OVERNIGHT COURIER r NOT BE SENT If all pages are not received, please call Michelle Pase at (9499851-7325. THIS COVER SHEET AND ANY DOCUMENTS ACCOMPANYING IT ARE INTENDED FOR THE INDIVIDUAL OR ENTITY SET FORTH AS THE ADDRESSEE, AND MAY CONTAIN INFORMATION THAT IS PRIVILEGED AND CONFIDENTIAL, IF YOU ARE NOT THE INTENDED RECIPIENT, OR THE EMPLOYEE OR AGENT RESPONSIBLE FOR DELIVERING THE MESSAGE TO THE INTENDED RECIPIENT, YOU ARE HEREBY NOTIFIED THAT ANY DISSEMINATION, DISTRIBUTION OR COPYING OF THIS COMMUNICATION IS STRICTLY PROHIBITED. IF YOU HAVE RECEIVED THIS COMMUNICATION IN ERROR, PLEASE NOTIFY US IMMEDIATELY BY TELEPHONE SO THAT ARRANGEMENTS CAN BE MADE FOR RETURNING THE ORIGINAL MESSAGE TO US. THANK YOU. 75D-172 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 6, 2017 TITLE: PUBLIC HEARING — RESOLUTION DETERMINING PUBLIC INTEREST AND NECESSITY FOR THE ACQUISITION OF REAL PROPERTY AT 2016-2020 WEST 5TH STREET (PROJECT NO. 17-6766) (NONGENERAL FUND) (STRATEGIC PLAN NOS. 3, 2C AND 413; RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution determining the public interest and necessity for the acquisition of entire real property located at 2016-2020 West 5th Street (APN 007-110-17). DISCUSSION On March 15, 2016, a Design Cooperative Agreement (Agreement) with the Orange County Transportation Authority (OCTA) was approved by the City Council for the design of the OC Streetcar Project (Project). The Agreement outlined the general roles and responsibilities of the City of Santa Ana and OCTA for the design phase of the Project between. The Agreement was subsequently executed by OCTA on May 9, 2016. On April 4, 2017, an amendment to the Agreement was approved by City Council and OCTA. The amendment included a revised scope outlining additional City staff and consultant legal services to support OCTA's right-of-way team in the acquisition of the properties required for the OC Streetcar Maintenance and Storage Facility. The City agreed to be the lead agency for all eminent domain proceedings and activities, also known as condemnation, pertaining to Assessor Parcel Numbers 007-100-04, 007-100-05, and 007-110-17, and their respective owners and occupants, including hearing and adopting Resolutions of Necessity, filing Complaints in Eminent Domain, and obtaining Orders of Prejudgment Possession. City staff and consultant time for this work will be reimbursed by OCTA per the revised work plan incorporated in the amendment to the Agreement. Also per the Agreement, OCTA will hold harmless and defend the City in any litigation matters arising out of these condemnation proceedings. 75E-1 Public Hearing — Resolution Determining Public Interest and Necessity of Property at 2016-2020 West 5th Street June 6, 2017 Page 2 To accommodate the construction of the OC Streetcar Maintenance and Storage Facility, the acquisition of parcel 007-110-17 at 2020 West 5th Street is required (Exhibit 1). Prior to City involvement, OCTA had made a diligent effort to negotiate with the property owners and their representatives for the past 8 months. A good faith offer was made on August 16, 2016, in the amount of $724,000 (Exhibit 2). This good faith offer is based on an appraisal prepared by a California State licensed appraiser following precise legal guidelines. The City and OCTA have made, and will continue to make, every effort to reach a settlement with the property owner. However, to maintain the OC Streetcar project schedule, staff is requesting adoption of a Resolution of Necessity (Exhibit 3) which will allow negotiations to continue while condemnation proceedings are initiated. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet the following Strategic Plan Goals 1. 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). 2. 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). 3. 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; e.g., transit vision, street car, fixed guideway project, SARTC master plan, Bristol Street widening, neighborhood streets, traffic improvements, park facilities, sport fields, soccer fields, senior centers, bike master plan, etc.). ENVIRONMENTAL IMPACT On January 20, 2015, by Resolution No. 2015-004 and following a duly noticed public hearing, the City Council certified the Revised Environmental Assessment/Final Environmental Impact Report for the Santa Ana -Garden Grove Fixed Guideway Project, otherwise known as the "OC Streetcar" project. 75E-2 Public Hearing — Resolution Determining Public Interest and Necessity of Property at 2016-2020 West 5th Street June 6, 2017 Page 3 FISCAL IMPACT There is no fiscal impact to the City associated with this action. OCTA will deposit the necessary funds to acquire the specified properties directly into the State Condemnation account. �red Mousavipour Executive Director Public Works Agency FM/EWG/JG/ML Exhibits: 1. Location Map 2. Offer Letter 3. Resolution of Necessity 75E-3 75E-4 (NTS) i 0 0 0 K a 16 :0 !2 to 12 u LEGEND: O-SUBJECT PROPERTIES SANTA ANA m CITY PWA C JL 2102 2026 2022 IHPN 007-.110-171 2020 opuo N --- P O ENGLISH ST N u u 1900 1941 1004 RAITT ST GXr1O I RESOLUTION DETERMINING PUBLIC INTEREST AND NECESSITY FOR THE ACQUISITION OF REAL PROPERTY AT 2016-2020 W 5TH STREET (PROJECT NO. 17-6766 NONGENERAL FUND) (Strategic Plan No. 6,1G; and 3, 2C] 75E-5 PAGE 1 OF 1 N N N P TOWNSEND ST 1922 � N r N W 1927 co 2002 $ I To 4 DAISY AVE N N u t977 UNK 1900 1911 7901 1900 w FAIRLAWN AVE 1004 RAITT ST GXr1O I RESOLUTION DETERMINING PUBLIC INTEREST AND NECESSITY FOR THE ACQUISITION OF REAL PROPERTY AT 2016-2020 W 5TH STREET (PROJECT NO. 17-6766 NONGENERAL FUND) (Strategic Plan No. 6,1G; and 3, 2C] 75E-5 PAGE 1 OF 1 75E-6 11 PARAGON PARTNERSLTD RECEIPT OF OFFER PACKAGE OC Streetcar Project 2016 - 2020 W. Fifth Street Santa Ana, CA 92703 OCTA No. OCS-001 APN:007-110-17 1. Property Owner: Salvador Navarro, an unmarried man 2. Property Address: 2016 - 2020 W. Fifth Street, Santa Ana, CA 92703 This is to acknowledge receipt of the offer package containing the following items: • Written Offer Letter Dated August 16, 2016 • Appraisal Summary Statement by Integra Realty Resources — Los Angeles • Summary Statement Relating to -Purchase of Real Property or an Interest Therein • Right of Way Contract • Grant Deed • Plat Map and Legal Description for the Interest to be acquired • Litigation Guarantee • Title VI Brochure • Acquisition Brochure • W9 By: Salvador Navarro Date 5762 Bolsa Avenue, Suite 2o2I Huntington Beach, California 92649 ��Y`- PARAGON PARTNERS ro August 16, 2016 VIA PERSONAL DELIVERY Salvador Navarro 102 E. Fourth Street Santa Ana, CA 92701 Salvador Navarro 1417 W. St. Andrew Place Santa Ana, CA 92704 RE: Offer to Acquire Property Rights OC Streetcar Project 2016-2020 W. Fifth Street, Santa Ana, CA 92703 OCTA ID#: OCS-001 Orange County Assessor's Parcel Number(s): 007-110-17 FTA Project Number: TBD Dear Mr. Navarro: The Orange County Transportation Authority ("OCTA"), in cooperation with the City of Santa Ana, is proposing to construct a modern streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove (the "Project"). OCTA is interested in negotiating the purchase of a fee interest in the real property you own located at 2016-2020 W. Fifth Street in the City of Santa Ana and identified by the Orange County Assessor as Assessor Parcel Number 007-110-17 (the "Property".) Paragon Partners Ltd. ("Paragon") has been contracted by OCTA to contact each property owner in order to acquire the necessary rights for the Project. A review of public records indicates that you are the owner of record of the Property. OCTA is considering acquiring the Property for this Project. The purpose of this letter is to extend OCTA's offer to acquire the Property. It is the desire of OCTA to acquire private property through voluntary purchase, if possible. While OCTA has the power of eminent domain, condemnation has not been authorized with respect to your property as of this date and no decision has yet been made to use the power of eminent domain to acquire the interests in your property. 1185108.1 5762 Bolsa Avenue, Suite aoi I Huntington Beach, California 92649 75E-8 PARAGON PARTNERS LTD Page Two August 16, 2016 The property interests OCTA seeks to acquire consists of the Property in fee simple absolute (the 'Property Interests"). These Property Interests are more particularly described and depicted in the enclosed legal description and plat map. Just Compensation: Beth Finestone, a licensed real estate appraiser with Integra Realty Resources — Los Angeles has inspected and appraised the Property Interests for the purpose of determining their fair market value. Based on this appraisal, OCTA has determined that the just compensation for the PropertyInterests is $724,000. Enclosed with this letter is a copy of the appraisal summary statement, which is the basis for the amount established as just compensation for the purchase of the Property Interests. Offer to Purchase: Based on the determined just compensation, OCTA hereby offers to purchase the Property Interests for $724,000. This is an offer to purchase the Property Interests upon the terms set forth in the enclosed Right of Way Contract free of all liens and other encumbrances, except as may be agreed to by OCTA. This offer is also based on the assumption that the Property Interests are free of contamination and require no remediation other than the contamination and remediation described in a Limited Phase II Environmental Report prepared by Eco & Associates, Inc., dated May 4, 2016 (the "Environmental Report"), which will be available to Grantor for review. If contamination is found, other than the contamination found in the Environmental Report, this offer will be subject to amendment. This offer does not reflect or include any relocation benefits related to possible relocation of personal property to which you may be entitled. Owner's Appraisal: You have the right to obtain your own independent appraisal as part of the acquisition process. Pursuant to California Code of Civil Procedure section 1263.025, you are entitled to receive the reasonable cost, up to five thousand dollars ($5,000), for an independent appraisal you obtain. The appraisal you obtain must be conducted by an appraiser licensed by the California Bureau of Real Estate Appraisers (formerly the California Office of Real Estate Appraisers) and your request for reimbursement must be submitted in writing to OCTA with a copy of the appraisal and an invoice from the appraiser. 1185108.1 75E-9 I IPARAGON U( PARTNERS LM Page Three August 16, 2016 Although you have the right to obtain your own appraisal and are entitled to receive up to $5,000 for your appraisal as described above, please note that OCTA is not obligated to accept your appraiser's value of the Property Interests. OCTA, however, will review your appraisal and if appropriate, confer with OCTA's independent appraiser regarding the merits of your appraisal. It is OCTA's hope that this offer is agreeable to you. If you wish to accept this offer, please execute the enclosed Right of Way Contract, execute and notarize the enclosed deed(s) and call Philip Bonina of Paragon at (714) 379-3376 so that delivery of the documents can be arranged. If you have any questions, wish to discuss this matter further or would like to meet in person at your convenience, please feel free to call me at the number listed above. L. Bonina >n Partners Ltd. cc: Joe Gallardo, Manager, Real Property (OCTA) Enclosures: Acknowledgment of Receipt of Offer Package Appraisal Summary Statement prepared by Integra Realty Resources Los Angeles Right of Way Contract Grant Deed Legal description and Title VI Brochure Acquisition Brochure 118510a.1 plat for the fee interest 75E-10 PARAGON Kil M PARTNERS August 16, 2016 SENT VIA CERTIFIED U.S. MAIL Receipt # 70151520 0002 0458 5119 Salvador Navarro 102 E. Fourth Street Santa Ana, CA 92701 Salvador Navarro 1417 W. St. Andrew Place Santa Ana, CA 92704 RE: Offer to Acquire Property Rights OC Streetcar Project 2016-2020 W. Fifth Street, Santa Ana, CA 92703 OCTA ID#: OCS-001 Orange County Assessor's Parcel Number(s): 007-110-17 FTA Project Number: TBD Dear Mr. Navarro: The Orange County Transportation Authority ("OCTA"), in cooperation with the City of Santa Ana, is proposing to construct a modern streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove (the "Project"). OCTA is interested in negotiating the purchase of a fee interest in the real property you own located at 2016-2020 W. Fifth Street in the City of Santa Ana and identified by the Orange County Assessor as Assessor Parcel Number 007-110-17 (the "Property".) Paragon Partners Ltd. ("Paragon") has been contracted by OCTA to contact each property owner in order to acquire the necessary rights for the Project. A review of public records indicates that you are the owner of record of the Property. OCTA is considering acquiring the Property for this Project. The purpose of this letter is to extend OCTA's offer to acquire the Property. It is the desire of OCTA to acquire private property through voluntary purchase, if possible. While OCTA has the power of eminent domain, condemnation has not been authorized with respect to your property as of this date and no decision has yet been made to use the power of eminent domain to acquire the interests in your property. 5762 Bolsa Avenue, Suite 2o2I Huntington Beach, California 92649 1185108.1 75E-11 11PARAGON PARTNERS LTD Page Two August 16, 2016 The property interests OCTA seeks to acquire consists of the Property in fee simple absolute (the 'Property Interests"). These Property Interests are more particularly described and depicted in the enclosed legal description and plat map. Just Compensation: Beth 'Finestone, a licensed real estate appraiser with Integra Realty Resources — Los Angeles has inspected and appraised the Property Interests for the purpose of determining their fair market value. Based on this appraisal, OCTA has determined that the just compensation for the Property Interests is $724,000. Enclosed with this letter is a copy of the appraisal summary statement, which is the basis for the amount established as just compensation for the purchase of the Property Interests. Offer to Purchase: Based on the determined just compensation, OCTA hereby offers to purchase the Property Interests for $724,000. This is an offer to purchase the Property Interests upon the terms set forth in the enclosed Right of Way Contract free of all liens and other encumbrances, except as may be agreed to by OCTA. This offer is also based on the assumption that the Property Interests are free of contamination and require no remediation other than the contamination and remediation described in a Limited Phase II Environmental Report prepared by Eco & Associates, Inc., dated May 4, 2016 (the "Environmental Report"), which will be available to Grantor for review. If contamination is found, other than the contamination found in the Environmental Report, this offer will be subject to amendment. This offer does not reflect or include any relocation benefits related to possible relocation of personal property to which you may be entitled. Owner's Appraisal: You have the right to obtain your own independent appraisal as part of the acquisition process. Pursuant to California Code of Civil Procedure section 1263.025, you are entitled to receive the reasonable cost, up to five thousand dollars ($5,000), for an independent appraisal you obtain. The appraisal you obtain must be conducted by an appraiser licensed by the California Bureau of Real Estate Appraisers (formerly the California Office of Real Estate Appraisers) and your request for reimbursement must be submitted in writing to OCTA with a copy of the appraisal and an invoice from the appraiser. 1185108.1 75E-12 � ARTNERS 11 Page Three August 16, 2016 Although you have the right to obtain your own appraisal and are entitled to receive up to $5,000 for your appraisal as described above, please note that OCTA is not obligated to accept your appraiser's value of the Property Interests. OCTA, however, will review your appraisal and if appropriate, confer with OCTA's independent appraiser regarding the merits of your appraisal. It is OCTA's hope that this offer is agreeable to you. If you wish to accept this offer, please execute the enclosed Right of Way Contract, execute and notarize the enclosed deed(s) and call Philip Bonina of Paragon at (714) 379-3376 so that delivery of the documents can be arranged. If you have any questions, wish to discuss this matter further or would like to meet in person at your convenience, please feel free to call me at the number listed above. L. Bonina m Partners Ltd. cc: Joe Gallardo, Manager, Real Property (OCTA) Enclosures: Acknowledgment of Receipt of Offer Package Appraisal Summary Statement prepared by Integra Realty Resources — Los Angeles Right of Way Contract Grant Deed Legal description and plat for the fee interest Title VI Brochure Acquisition Brochure 1185108.1 75E-13 Appraisal Summary Statement OC Streetcar Project—Rivera Parcel 2020 West 5th Street Santa Ana, Orange County, California 92703 Summary of Salient Facts and Conclusions Property Name OC Street Car Project - Rivera Pa rcel Address 2020 West 5th Street Zoning Designation Santa Ana, Orange County, California 92703 PropertyType Industrial land Owner of Record Rudolph Perez Rivera and Hardball Propertl es, LLC Tax ID 007-110-17 Land Area 0.54 acres; 23,441 SF Gross Building Area 4,181SF Rentable Area 3,797 SF Percent Leased 80% Year Built 1938 Zoning Designation M-1, Ught Industrial Highest and Best Use - As if Vacant Industrial use Highest and Best Use - As Improved Redevelopment to an Industrial Use Exposure Time; Marketing Period 6.12 months; 6.12 months Effective Date of the Appraisal June 13, 2016 Date of the Report June 30, 2016 Property Interest Appraised Fee Simple Value Conclusion Appraisal Premise Interest Appraised Dateof Value Value Conclusion Fair Market Value larger Parcel Fee Simple Interest June 13, 2016 $724,000 75E-14 Extraordinary Assumptions and Hypothetical Conditions The value conclusions are subject to the fol lowing extraordinary assumptions that may affect the assignment results. An extraordinary assumption is uncertain Information accepted as fact. If the assumption is found to be false as of the effective date of the appraisal, we reserve the right to modify our value conclusions. 1. Our date of value corresponds with the date of completion of our analysis. Our appraisal assumes that the condition of the subject property is the same on our date of value as on our date of inspection. 2. We have reviewed a limited Phase 11 Environmental Site Assessment report prepared by Eco & Associates, Inc., dated May 4, 2016. This report indicates the presence of lead contamination at the subject, within the upper six inches of soil, that is above the Commercial/Industrial California Human Health Screening Level (CHHSL). A Memorandum Review of the Phase It report was prepared by HDR on May 24, 2016, which incl uded esti mated cleanup costs for the necessary environmental mitigation at the site. This memorandum is included in the addenda of our report and the estimated mitigation costs are incorporated into the value conclusion in this analysis. We assume thatthe findings in these documents are complete and accurate. 3. Section 1263.330 of the Cal iforni a Code of Civi I Procedure requires the appraiser to not consider any effect on the va I ue of the property from the project, the eminent domain proceeding, or any preliminary actions of the acquiring agency. The appraisers investigated the rea I estate market for any influence these issues may have had in the market data selected and analyzed and could not find any. Therefore we have prepared the apprai s a I a nalys is of the subject property under the extraordinary assumpti on that these activities have no effect on the va I ue concl us ions stated i n this a ppra isa I report. The value conclusions are based on the following hypothetical conditions that may affect the assignment results. A hypothetical condition is a condition contrary to known fact on the effective date of the appraisal but is supposed for the purpose of analysis. 1. None. 75E-15 Basic Data and Opinions 1. Interest Valued a. Larger Parcel - Fee Simple — Full Acquisition 2. Date of Value: June 13, 2016 3. Date of Report: July 30, 2016 4. Opinion of Highest and Best Use As Vacant: Industrial use As Improved: Redevelopment to an industrial use 5. Zoning of Subject Parcel: M-1, Light Industrial 6. Larger Parcel Land Area: 0.54 acres (23,441 SF) 7. Property Name: OCStreet Car Project— Rivera Parcel 8. Assessor's Parcel Number (APN): 007-110-17 9. Property Owner: Rudolph Perez Rivera and Hardball Properties, LLC 10. Property Address: 2020 West 5ch Street Santa Ana, CA 92703 11. Structural Improvements: The site is improved with six heavily - depreciated, detached single -story residential structures. 12. Studies Cost Approach: Not Applicable, Not Utilized Sales Comparison Approach: Applicable, Utilized Income Approach: Not Applicable, Not Utilized 13. Attachments Comparable Land Sales and Conclusions: Attachment 1 75E-16 We have prepared this appraisal summary statement, presented on the preceding pages, and it fairly and correctly states our opinions and knowledge as to the matters therein stated. Beth B. Finestone, MAI, AI-GRS, FRICS, CRE July 26, 2016 ,—x " July 26, 2016 Adam M. Bogorad, MAI Jared M. DeCamp 75E-17 July 26, 2016 Certification We certify that, to the best of our knowledge and belief: 1. The statements of fact contained in this report are true and correct. 2. The reported analyses, opinions, and conclusions are limited only by the reported assumptions and limiting conditions, and are our personal, impartial, and unbiased professional analyses, opinions, and conclusions. 3. We have no present or prospective interest in the property that is the subject of this report and no personal interest with respect to the parties involved. 4. We have not performed any services, as an appraiser or in any other capacity, regarding the property that is the subject of this report within the three-year period immediately preceding acceptance of this assignment. S. We have no bias with respect to the property that is the subject of this report or to the parties involved with this assignment. 6. Our engagement in this assignment was not contingent upon developing or reporting predetermined results. 7. Our compensation for completing this assignment is not contingent upon the development or reporting of a predetermined value or direction in value that favors the cause of the client, the amount of the value opinion, the attainment of a stipulated result, or the occurrence of a subsequent event directly related to the intended use of this appraisal. 8. Our analyses, opinions, and conclusions were developed, and this report has been prepared, in conformity with the Uniform Standards of Professional Appraisal Practice as well as applicable state appraisal regulations. 9. The reported analyses, opinions, and conclusions were developed, and this report has been prepared, in conformity with the Code of Professional Ethics and Standards of Professional Appraisal Practice of the Appraisal Institute. 10. The use of this report is subject to the requirements of the Appraisal Institute relating to review by its duly authorized representatives. 11. Beth B. Firestone, MAI, AI-GRS, FRICS, CRE, has personally Inspected the property that is the subject of this report. Adam M. Bogorad, MAI, has personally inspected the subject. Jared M. Decamp has also personally inspected the subject. 12. Significant real property appraisal assistance, primarily related to researching comparable sales, was provided by Austin Glicher who has not signed this certification. 13. We have experience in appraising properties similar to the subject and are in compliance with the Competency Rule of USPAP. 14. As of the date of this report, Beth B. Finestone, MAI, AI-GRS, FRICS, CRE, and Adam M. Bogorad, MAI, have completed the continuing education program for Designated Members of the Appraisal Institute. 75E-18 15. As of the date of this report, Jared M. DeCamp has completed the Standards and Ethics Education Requirements for Candidates/Practicing Affiliates of the Appraisal Institute. Beth B. Firestone, MAI, AI-GRS, FRICS, CRE Certified General Real Estate Appraiser California Certificate # AGO04030 Jared M. Decamp Certified.General Real Estate Appraiser California Certificate # 3003720 7P4�10i/ Adam M. Bogorad, MAI Certified General Real Estate Appraiser California Certificate # AG038741 75E-19 Attachment 1 Summary of Comparable Land Sales Sale Date; Effective Sale SF; $/SF No. Name/Address Status Price Acres Zoning Land 1 122 South Orange Avenue Aug -15 $500,000 15,000 Commercial $33.33 1225.Ora nge Ave. Closed 0.34 Santa Ana Orange County CA TaxID:398-514-05 2 615 South Santa Fe Street Jun-is $510,000 16,988 Heavy $30.02 615 S. Santa Fe St. Closed 0.39 Industrial Santa Ana Orange County CA Tax ID:O11-312-04 3 208 East Walnut Street Nov -14 $360,000 11,250 Split $32.00 208 E. Walnut St. Closed 0.26 Santa Ana Orange County . CA Tax ID: 404-092-01 4 2100 South YaIeStreet Sep -14 $2,200,000 60,625 Lightlndustrial $36.29 2300 S. Ya le St. Closed 1.39 Santa Ana Orange County CA Tax ID: 408-161-12,-13 5 260 East Alton Avenue pug -13 $1,150,000 41,818 Lightlndustrial $27.50 260 E. Alton Ave. Closed 0.96 Santa Ana Orange County CA Tax ID: 411-161-21, -22-, 23 6 902-906 East Walnut Street Jul -13 $440,000 14,000 Lightlndustrial $31.43 902-906 E. Walnut St. Closed 0.32 Santa Ana Orange County CA Tax ID: 011-133-01,-02 Subject 23,441 Light Industrial OC Street Ca r Project- 0.54 Rivera Parcel Santa Ana, CA 75E-20 Attachment 1 Coned Land Value Conclusion Land Sales Array Item No. Overall Comparability Market Conditions Adjusted Price Per Square Foot 4 Significantly Superior $38.10 1 Superior $34.33 6 Superior $34.26 3 Superior $33.60 Subject Property 2 Inferior $30.92 5 Inferior $29.70 Land Value Conclusion Indicated Value per Square Foot $33.00 Subject Square Feet 23,441 Indicated Value $773,553 Adjustments Environmental Contamination Mitigation -$So,000 Total Adjustments -$50,000 Indicated Value $723,553 Rounded $724,000 Value Conclusion Appraisal Premise I nterest Appraised Dateof Value Value Conclusion Fai r Me rket Va l ue larger Parcel Fee Simple Interest June 13, 2016 $724,000 75E-21 ORANGE COUNTY TRANSPORTATION AUTHORITY SUMMARY STATEMENT RELATING TO THE PURCHASE OF REAL PROPERTY OR AN INTEREST THEREIN The Orange County Transportation Authority (OCTA) is proposing to purchase real property or interests therein in connection with the construction of the OC Streetcar Project (Project) and related improvements and appurtenances. Your property located at 2016 - 2020 W. Fifth Street in the City of Santa Ana, is within the Project area and identified by your County Assessor as Parcel No. 007-110-17. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 and the California Relocation Assistance and Real Property Acquisition Guidelines require that you, as an owner from whom a public agency proposes to purchase real property or an interest therein or as a tenant owning improvements on the property must be provided with at a minimum, a summary of the appraisal of the real property or interest therein, as well as the following information: 1. You are entitled to receive full payment of the probable amount of just compensation prior to vacating the real property being acquired unless you have heretofore waived such entitlement. In the event of any voluntary purchase or sale of the property or interests, you would not be required to pay recording fees, transfer taxes, or the pro rata portion of real property taxes allocable to any period following the passage of title or possession. 2. The OCTA will offer to purchase any remnant(s), if any, considered by the OCTA to be an uneconomic unit(s) which is/are owned by you or, if applicable, occupied by you as a tenant and which is/are contiguous to the land being conveyed. 3. All buildings, structures and other improvements affixed to the land described in the referenced document(s) covering this transaction, and which are owned by you as the owner or, if applicable, owned by you as a tenant, are being conveyed unless other disposition of these improvements has been made. The real property interest proposed to be acquired is: Fee Simple — Full Acquisition. The property being purchased is comprised of 23,441 square feet and is described and depicted in the attached legal and plat. 4. The market value of the property proposed to be acquired is based upon a market value appraisal which is summarized on the attached Valuation Summary Statement, and such amount: A. Represents the full amount of the appraisal of just compensation for the property proposed to be purchased; B. Is not less than the approved appraisal of the fair -market value of the property as improved; C. Disregards any decrease or increase in the fair market value of the real property proposed to be acquired prior to the date of valuation which might be caused by the Project itself or by the likelihood that the property would be acquired for or in connection with the Project, other than that due to physical deterioration within the reasonable control of the owner or occupant; and D. Does not reflect any consideration of or allowance for any relocation assistance and payments or other benefits which the owner is entitled to receive under an agreement with the OCTA. 5. Pursuant to Code of Civil Procedure Section 1263.025 should you elect to obtain an independent appraisal, the OCTA will pay for the actual reasonable costs up to Five Thousand ($5,000) Dollars subject to the following conditions: A. You, not the OCTA, must order the appraisal. Should you enter into a contract with the selected appraiser, the OCTA will not be a party to the contract; B. The selected appraiser is licensed with the California Bureau of Real Estate Appraisers (BREA); 75E-22 ORANGE COUNTY TRANSPORTATION AUTHORITY SUMMARY STATEMENT RELATING TO THE PURCHASE OF REAL PROPERTY OR AN INTEREST THEREIN C. Appraisal cost reimbursement must be made in writing, and submitted to the Orange County Transportation Authority, clo Paragon Partners Ltd. at 5762 Bolsa Avenue, Huntington Beach, CA 92649 Attn: Philip Bonina, within ninety (90) days of the earliest of the fallowing dates: (1) the date the selected appraiser requests payment from you for the appraisal; or, (2) the date upon which you, or someone on your behalf, remitted full payment to the selected appraiser for the appraisal. Copies of the contract (if a contract was made), appraisal report, and the invoice for the completed work by the appraiser must be provided to the OCTA concurrent with the submission of the written request. The costs must be reasonable and justifiable. _ 6. If you are the owner of a business conducted on a property proposed to be acquired, or conducted on the remaining property which will be affected by the purchase of the required property, you may be entitled to compensation for the loss of goodwill. Entitlement is contingent upon the owner and/or lessee's ability to prove such loss in accordance with the provisions of Sections 1263.510 and 1263.520 of the Code of Civil Procedure. 7. If you ultimately elect to reject the OCTAs offer for your property, you are entitled to have the amount of compensation determined by a court of law in accordance with the laws of the State of California. 8. You are entitled to receive all benefits that are available through donation to the OCTA of all or part of your interest in the real property sought to be acquired by the OCTA as set out in Streets and Highways Code Sections 104.2 and 104.12. 75E-23 ORANGE COUNTY TRANSPORTATION AUTHORITY CONFIDENTIAL 71tis document contains personal RIGHT OF WAY CONTRACT information, and pursuant to Civil Code section 1798.2 1, it shall be kept confidential in order to protect against unauthorized disclosure. OC STREETCAR PROJECT 2016-2020 W. Fifth Street, Santa Ana, CA 92703 OCS-001 007-110-17 Property Address Parcel No(s) APN(s) TBD -Pending FTA 08026699 -920 -CMM Federal Project No. Escrow No. Title Order No. RIGHT-OF-WAY CONTRACT Salvador Navarro, an unmarried man (hereinafter, "Grantor"), owns the real property located at 2016- 2020 W. Fifth Street, Santa Ana, CA 92703 in the County of Orange, Assessor Parcel Number 007- 110-17 (the "Property"). The Property is needed for construction of the OC Streetcar Project, a modern streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove (the "Project"). Document No. OCS-001 in the, form of a Grant Deed (Exhibit "1") to the Orange County Transportation Authority ("OCTA"), covering the property interests as described and depicted in Exhibits "A" and "B" attached thereto (the "Property Interests") has been executed and delivered to, Philip Bonina, Right -of -Way Agent for Paragon Partners Ltd., agent for OCTA. In consideration of which, and the other considerations hereinafter set forth, it is mutually agreed as follows: (A) The parties have herein set forth the whole of their agreement ("Agreement"). The performance of this Agreement constitutes the entire consideration and shall relieve OCTA of all further obligations or claims on this account, or on account of the location, grade or construction of the proposed public improvement. (B) OCTA requires said Property Interests described in Document No. OCS-001 for the Project, a public use for which OCTA has the authority to exercise the power of eminent domain. (C) Both Grantor and OCTA recognize the expense, time, effort, and risk to both parties in. determining the compensation for the Property Interests by eminent domain litigation. The compensation set forth herein for the Property Interests is in compromise and settlement, in lieu of such litigation. (D) It is agreed that OCTA shall open an escrow in accordance with this Agreement at Commonwealth Land Title Insurance Company (Escrow Agent). This Agreement constitutes the joint escrow instructions of OCTA and Grantor, and Escrow Agent to whom these instructions are delivered is hereby empowered to act under this Agreement. The parties hereto agree to perform all acts reasonably necessary to close this escrow within sixty (60) days following the opening of escrow. 2. (A) OCTA shall pay the undersigned Grantor the sum of $724,000 for the Property Interests conveyed by Document No. OSC-001 (Grant Deed attached as Exhibits 1 hereto) when title to said Property Interests vests in OCTA freer and clear of all liens, deeds of trusts, encumbrances, assessments, easements and leases (recorded and/or unrecorded), and taxes. 7 j.R-2A ORANGE COUNTY TRANSPORTATION AUTHORITY RIGHT OF WAY CONTRACT CONFIDENTIAL This document contains personal information, and pursuant to Civil Code section 1795.21, it shall he kept confidential in order to protect against unauthorized disclosure. (B) OCTA will pay all usual escrow and recording fees incurred in this transaction, and if title insurance is desired by OCTA, the premium charged therefore. Due to OCTA's status as a public entity, no recording fees will be payable (pursuant to Government Code Section 27383) and no documentary transfer tax will be payable (pursuant to Revenue & Taxation Code Section 11922). This transaction may be handled through an external escrow with Commonwealth Land Title Insurance Company, Escrow Number to be determined. (C) OCTA shall have the authority to deduct and pay from the amount shown on Clause 2(A) above, any amount necessary to satisfy any bond demands and delinquent taxes due in any year except the year in which this escrow closes, together with penalties and interest thereon, and/or delinquent and unpaid non -delinquent assessments which have become a lien against the Property at the close of escrow. (D) There shall be no proration of real property taxes through Escrow. Escrow Agent is authorized and instructed to comply with the following tax adjustment procedures. (i) Pay and charge Grantor for any unpaid delinquent taxes and/or penalties and interest thereon, and for any delinquent or non -delinquent assessments or bonds against the Property. (ii) If Escrow closes between July 1 and November 1, and the current tax information is not available, Escrow Agent is instructed to withhold from Grantor's proceeds an amount equal to one hundred twenty percent (120%) of the amount payable on the prior fiscal year's second half tax bill. At such time as current tax information is available, Escrow Agent shall pay the first installment of real property taxes and assessments to the County Tax Collector and in the event the amount withheld is not sufficient, Grantor agrees to immediately pay the difference to Escrow Agent. (iii) If Close of Escrow occurs at a time when current tax information is available, Escrow Agent shall withhold from Grantor's proceeds and pay to the County Tax Collector the full amount of the current installment of real property taxes and assessments. 3. FULL AND COMPLETE SETTLEMENT. Grantor hereby acknowledges that he is the sole and lawful owner of the Property and the compensation paid to Grantor through this Agreement constitutes the full and complete settlement of any and all claims against OCTA and the City of Santa Ana and their respective predecessors, successors and assigns, employees, agents, officers, servants, representatives, contractors, attorneys, partner agencies and assigns (hereinafter, individually and collectively, "Releasees") by reason of the Project and/or acquisition of the Property Interests, including, but not limited to, any and all rights or claims that Grantor had, currently has or may in the future have under Article 1, Section 19 of the California Constitution, the Eminent Domain Law, or any other law or regulation, except as provided herein. Grantor, on behalf of himself and his successors and assigns, further knowingly and voluntarily waives and expressly releases and discharges Releasees from liability in regard to any claims for the following: pre -condemnation damages, inverse condemnation, lost business 7SE-2S ORANGE COUNTY TRANSPORTATION AUTHORITY CONFIDENTIAL This document contains personal RIGHT OF WAY CONTRACT to information, and pursuant to Civil Code section 1798.2 1. it shall be kept confidential in order to protect against unauthorized disclosure. goodwill, lost profits, lost rents, severance damages, mitigation damages, compensation for the construction and use of the Project in the manner proposed, damage to or loss of improvements pertaining to the realty, machinery, fixtures, inventory, equipment and/or personal property, interest, any right to repurchase, leaseback, or receive any financial gain from, the sale of any portion of the Property, any right to challenge the adoption of a resolution of necessity, any right to receive any notices pursuant to Code of Civil Procedure section 1245.235, any right to enforce any obligation pursuant to the Eminent Domain Law, any other rights conferred upon Grantor pursuant to the Eminent Domain Law, and claims for litigation expenses, attorney's fees, statutory interest and/or costs. 4. The parties intend that this Agreement will result in a full, complete and final resolution and settlement of any and all claims, causes of action or disputes which exist, or may exist, between them as to the acquisition, possession and/or use of the Property Interests, except as expressly provided herein. It is therefore understood that the waiver, under this Agreement, of any rights, damages, compensation or benefits to which Grantor is, or may be, entitled is intended to be full and complete. Accordingly, except as provided herein, upon and subject to the Close of Escrow: (A) Pursuant to the releases set forth in this Agreement, Grantor specifically waives the provision of section 1542 of the Civil Code of the State of California which provides: "A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor." (B) Grantor represents and warrants that he understands the effect of this waiver of section 1542 and has had the opportunity to discuss the effect of this waiver with counsel of his choice. 5. Any monies payable under this Agreement up to and including the total amount of unpaid principal and interest on note(s) secured by mortgage(s) or deed(s) of trust, if any, and all other amounts due and payable in accordance with the terms and conditions of said deed(s) of trust or mortgage(s), shall upon demand(s) be made payable to the mortgagee(s) or beneficiary(ies) entitled thereunder, said mortgagee(s) or beneficiary(ies) are to furnish Grantor with good and sufficient receipt showing said monies credited against the indebtedness secured by said mortgage(s) or deed(s) of trust. 6. Grantor represents and warrants that he is the fee simple owner of the Property and that he has the right to convey the Property Interests. Grantor will defend and indemnify OCTA, its successors and/or assigns against any and all claims, demands, causes of action filed against OCTA, its successors and/or assigns by someone claiming a legal interest in or right to the Property, or any portion thereof. Grantor represents and warrants that he will defend and indemnify OCTA, its successor and/or assigns in the amount of any due and unpaid real property taxes, assessments, liens and any penalties and delinquencies on the Property. Grantor represents and warrants that he has made no assignment of any interest in the Property. 7. Grantor represents and warrants that there are no oral or written leases on all or any portion of the Property exceeding a period of one month and Grantor agrees to defend and indemnify and hold OCTA harmless and reimburse OCTA for any and all of its losses and expenses ORANGE COUNTY TRANSPORTATION AUTHORITY CONFIDENTIAL contains personal RIGHT OF WAY CONTRACT This document pursuant to Civil Code and rs information,, and section 1798.2 1, it shall be kept confidential in order to protect against unauthorized disclosure. occasioned by reason of any lease of said Property held by any tenant of Grantor for a period exceeding one month. Grantor acknowledges that a general release or quitclaim deed will be required from any lessee that has a lease term exceeding one month. Said general release or quitclaim deeds are to be provided to Commonwealth Land Title Insurance Company, other selected escrow company, or OCTA by Grantor, prior to the close of escrow. The provisions of this paragraph shall apply to current leases on Grantor's property as well as future leases, if any, that are entered into after the execution of this Agreement. B. It is understood and agreed by and between the parties hereto that included in the amount payable under Clause 2(A) above is payment in full to compensate Grantor for the purchase of the Property in fee including the following improvements: All Structures identified within the appraisal report completed by Integra Realty Resources — Los Angeles dated June 30, 2016. All purchased improvements listed above will not be replaced. Grantor agrees that he is not entitled to compensation for any other improvements located within the areas of the Property Interests being purchased pursuant to this Agreement. Grantor may elect to remove or relocate some or all of the above improvements prior to close of escrow; provided, however, that any of the above improvements that have not been removed from the Property by close of escrow may be removed by OCTA, its agents, representatives, contractors, and/or assigns, and disposed of in such manner as OCTA deems appropriate, without further notice or responsibility to Grantor whatsoever. 9. It is agreed between the parties hereto that OCTA is not assuming responsibility for payment or subsequent cancellation of unpaid assessments on the Property acquired under this transaction. Said assessments include but are not limited to Schedule B, Part 1, Item #B of order number 08026699 -920 -CMM of the Litigation Guarantee prepared by Commonwealth Land Title Insurance Company. Grantor acknowledges he has received and reviewed the Litigation Guarantee. The assessments remain the obligation of Grantor. Payment for the Property Interests acquired under this transaction is made upon the basis that the Grantor retains his obligation to the levying body respecting said assessments. 10. Any notice either party may or is required to give the other shall be in writing, and shall be either personally delivered or sent by registered or certified mail, return receipt requested. If by mail, service shall be deemed to have been received by such party at the time the notice is delivered to the following addresses: To Grantor: Salvador Navarro 102 E. Fourth Street Santa Ana, CA 92701 To OCTA: 550 South Main Street Orange, CA 92863-1584 Attn: Real Property Department 11. It is understood and agreed by and between the parties hereto that this Agreement inures to the benefit of, and is binding on, the parties, their respective heirs, personal representatives, successors, and/or assignees. OCTA may freely assign any or all of its interests or rights under this Agreement. 75r=-27 ORANGE COUNTY TRANSPORTATION AUTHORITY CONFIDENTIAL RIGHT OF WAY CONTRACT This document contains personal information, and pursuant to Civil Code section 179821, it shall be kept confidential in order to protect against unauthorized disclosure. 12. Grantor represents and warrants that during the period of Grantor's ownership of the Property, there have been no disposals, releases or threatened releases of hazardous substances or hazardous wastes on, from, or under the Property, other than the contamination described in a Limited Phase II Environmental Report prepared by Eco & Associates, Inc., dated May 4, 2016 (the "Environmental Report"), which is available for inspection by Grantor. Grantor further represents and warrants that Grantor has no knowledge of any disposal, release, or threatened release of hazardous substances or hazardous wastes on, from, or under the Property which may have occurred prior to Grantor taking title to the Property, other than that described in the Environmental Report. 13. The acquisition price of the Property Interests being acquired in this transaction reflects the full and complete settlement of the Property Interests without the presence of contamination other than the contamination described in the Environmental Report, which costs to remediate are estimated at $50,000. If the Property Interests being acquired is found to be contaminated by the presence of hazardous waste which requires mitigation under Federal or State law in an amount exceeding $50,000, OCTA may elect to recover the additional clean-up costs from those who caused or contributed to the contamination including, but not limited to, Grantor. 14. This Agreement constitutes the entire agreement between the parties hereto with respect to the subject matter of this Agreement and may not be modified except by an instrument in writing signed by the party to be bound thereby. 15. If any term or provision of this Agreement shall be held to be invalid or unenforceable, the remainder of the Agreement shall remain in full force and effect. 16. Each individual executing this Agreement on behalf of an entity represents and warrants that he or she has been authorized to do so by the entity on whose behalf he or she executes this Agreement and that said entity will thereby be obligated to perform the terms of this Agreement: 17. This Agreement may be executed in counterparts, including by facsimile and/or electronic transmission (i.e., email), each of which so executed counterpart shall, irrespective of the date of its execution and delivery, be deemed an original, and all such counterparts together shall constitute one and the same instrument. 18. This Agreement may be subject to approval by OCTAs governing Board of Directors. REMAINDER OF PAGE INTENTIONALLY LEFT BLANK SIGNATURE PAGE FOLLOWS ORANGE COUNTY TRANSPORTATION AUTHORITY RIGHT OF WAY CONTRACT CONFIDENTIAL This document contains personal information, and pursuant to Civil Code section 179821, itshall be kept confidential in order to protect against unauthorized disclosure. In Witness Whereof, the parties have executed this Agreement on the day and year set forth below. GRANTOR Salvador Navarro, an unmarried man By: Salvador Navarro DATE ORANGE COUNTY TRANSPORTATION AUTHORITY By: Jim Bell DATE Executive Director, Capital Programs APPROVED AS TO FORM: James Donich DATE General Counsel Orange County Transportation Authority 75F -2q ORANGE COUNTY TRANSPORTATION AUTHORITY RIGHT OF WAY CONTRACT Exhibit "1" Grant Deed (attached) 7GC 4A CONFIDENTIAL This document contains personal information, and pursuant to Civil Code section 1795.21, it shall be kept confidential in order to protect against unauthorized disclosure. NO FEE DOCUMENT Government Code 66103 & &27383 RECORDING REQUESTED BY AND WHEN RECORDED MAIL TO: ORANGE COUNTY TRANSPORTATION AUTHORITY Attn: Real Property Department 550 South Main Street P.O. Box 14184 The Above Space For Recorder's Use Only OK to Accept: Project Name: OC Streetcar Project Date: Address: 2016- 2020 W. Fifth Street, Santa Ana, CA 92703 APN: 007-110+17 Project Parcel No.: OCS-00I Title Order No.: 08026699 -920 -CMM Escrow No. THIS TRANSACTION IS EXEMPT FROM CALIFORNIA DOCUMENTARY TRANSFER TAX PURSUANT TO SECTION 11922 OF THE CALIFORNIA REVENUE AND TAXATION CODE. THIS DOCUMENT IS EXEMPT FROM RECORDING FEES PURSUANT TO SECTIONS 6103 and 27383 OF THE CALIFORNIA GOVERNMENT CODE. GRANT DEED FOR VALUABLE CONSIDERATION, receipt and sufficiency of which is hereby acknowledged, SALVADOR NAVARRO, AN UNMARRIED MAN ("Grantor"), hereby grants to the ORANGE COUNTY TRANSPORTATION AUTHORITY, A Public Entity ("Grantee"), all that real property situated in the City of Santa Ana, County of Orange, State of California, described as follows: See Exhibit "A", legal description, and Exhibit `B", plat to accompany legal description, attached hereto and made a part hereof. Executed this day of Lfi Salvador Navarro 1184669.1 75E-31 201_ ACKNOWLEDGEMENT 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 , 2016, before me, 'Notary Public, personally appeared, who proved to me on the basis of satisfactory evidence to be the person(s) whose name is subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity, and that by his/her/their signature on the instrument the person,, or the entity upon behalf of which the person acted, executed the instrument. I certify UNDER PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and connect. WITNESS my hand and official seal. Signature (seal) 1184669.1 75E-32 CERTIFICATE OF ACCEPTANCE This is to certify that the interest in real property conveyed by the Grant Deed dated 201_, from SALVADOR NAVARRO, AN UNMARRIED 'MAN, to the ORANGE COUNTY TRANSPORTATION AUTHORITY, A Public Entity ("OCTA"), by the within instrument, the provisions of which are incorporated by this reference as though fully set forth in this Certification, is hereby accepted by the undersigned officer(s) on behalf of OCTA pursuant to authority conferred by the Board of Directors Resolution No. 2010-010 adopted on March 8, 2010, and the Grantee consents to recordation thereof by its duly authorized officer. Dated: By: James Beil, Executive Director Capital Programs 1184669.1 75E-33 EXHIBITS "A" AND `B" LEGAL DESCRIPTION AND PLAT MAP APN: 007-110-17/OCS-001 [SEE THE FOLLOWING PAGES] 1184669.1 75E-34 EXHIBIT A LEGAL DESCRIPTION All that certain real property situated in the County of Orange, State of California, described as follows: Parcel A: The North one-half of Lot 17 of Tract No. 270, in the City of Santa Ana, County of Orange, State of California, as shown on a map recorded in Book 13, Page 48 of Miscellaneous Maps, in the office of the County Recorder of said county. Parcel B: Lot 18 and the South one-half of Lot 17 of Tract No. 270, In the City of Santa Ana, County of Orange, State of California, as shown on a map recorded in Book 13, Page 48 of Miscellaneous Maps, In the office of the County Recorder of said county. APN:007-110-17 75E-35 G € x N 9 t _ Qilartr. rr. AEG N I fl n G € x t _ �t x. N I W 75E-36 7 ; i. i i rCommonwealth Land Title Insurance Company GUARANTEE NO.: CA-SFXFC-IMP-81021-1-15-08026699 LITIGATION GUARANTEE SUBIECT TO THE LIMITATIONS CONTAINED HEREIN, THE EXCLUSIONS FROM COVERAGE, THE LIMITS OF LIABILITY AND OTHER PROVISIONS OF THE CONDITIONS AND STIPULATIONS HERETO ANNEXED AND MADE A PART OF THIS GUARANTEE COMMONWEALTH LAND TITLE INSURANCE COMPANY a corporation, herein called the Company GUARANTEES the Assured named in Schedule A against loss ,not exceeding the liability amount stated in Schedule A which the Assured shall sustain by reason of any incorrectness In the assurance which the Company hereby gives that, according to the public records, as of Date of Guarantee shown in Schedule A: 1. The title to the herein described estate or Interest is vested in the vestee named In Schedule A. 2. Except for the matters shown In Schedule B, there are no defects, liens, encumbrances or other matters affecting title to the estate or Interest in the land shown in Schedule A, which matters are not necessarily shown In the order of their priority. (a) The current interest holders claiming some right, title or interest by reason of the matters shown in Part II of Schedule B are shown therein. The vestee named In Schedule A and parties claiming to have some right, title or Interest by reason of the matters shown In Part II of Schedule B may be necessary parties defendant in an action, the nature of which Is referred to in Schedule A. (b) The current interest holders claiming some right, title or interest by reason of the matters shown In Part I of Schedule B may also be necessary parties defendant In an action, the nature of which is referred to in Schedule A. However, no assurance is given hereby as to those current Interest holders. 4. The return address for mailing after recording, if any, as shown on each and every document referred to in Part II of Schedule B by specific recording information, and as shown on the document(s) vesting title as shown in Schedule A are as shown in Schedule C. THIS LITIGATION GUARANTEE IS FURNISHED SOLELY FOR THE PURPOSE OF FACILITATING THE FILING OF THE ACTION REFERRED TO IN SCHEDULE A. IT SHALL NOT BE USED OR RELIED UPON FOR ANY OTHER PURPOSE. IN WITNESS WHEREOF, COMMONWEALTH LAND TITLE INSURANCE COMPANY has caused this Guarantee to be signed and sealed as of the date of policy shown in Schedule A, the Guarantee to become valid when countersigned by an authorized signatory. Countersigned: (� S! ,F w-? 2 ls�i71�1LLee, °SEAL �a-aFnia� aiay. w�PrzslEent eu / By: Z—?yowt , Authorized Officer or Agent i.ouydcimre'q vd y Form No: 81021 CLTA Guarantee Form No. 1 (Rev. 12-15-95) 75E-37 Form No: 27021 75E-38 CLTA Guarantee Form No. 1 (Rev. 12-15-95) Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 LITIGATION GUARANTEE SCHEDULE A Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 Liability: $50,000.00 Fee: $500.00 1. Name of Assured: Orange County Transportation Authority 2. Date of Guarantee: 3uly 25, 2016 at 7:30 A.M. 3. This Litigation Guarantee is furnished solely for the purpose of facilitating the filing of an action to Eminent Domain 4. The estate or interest in the land which is covered by this guarantee is: A FEE 5. Title to the estate or interest in the land is vested in: Salvador Navarro,, an unmarried man 6. The land referred to in this guarantee is described as follows: See Exhibit A attached hereto and made a part hereof. 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 75E-39 Page 1 Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 EXHIBIT A LEGAL DESCRIPTION All that certain real property situated In the County of Orange, State of California, described as follows: Parcel A: The North one-half of Lot 17 of Tract No. 270. In the City of Santa Ana, County of Orange, State of California, as shown on a map recorded in Book 13. Page 48 of Miscellaneous Maps, in the office of the County Recorder of said county. Parcel B: Lot 18 and the South one-half of Lot 17 of Tract No. 270, In the City of Santa Ana, County of Orange, State of California, as shown on a map recorded in Book 13, Page 48 of Miscellaneous Maps, in the office of the County Recorder of said county. APN:007-110-17 81021 Litigation Guarantee CLTA Guarantee Form No.1 (12/16/92) 75E-40 Page 2 Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 SCHEDULE B Defects, liens, encumbrances or other matters affecting title: PART I A. Property taxes, including any personal property taxes and any assessments collected with taxes, are as follows: Tax Identification No.: 007-110-17 Fiscal Year: 2015-2016 1st Installment: $1,093.00, (Paid) 2nd Installment: $1,093.00, (Paid) Homeowners Exemption: $ Not Set Out Code Area: 11101 B. The lien of supplemental or escaped assessments of property taxes, if any, made pursuant to the provisions of Chapter 3.5 (commencing with Section 75) or Part 2, Chapter 3, Articles 3 and 4, respectively, of the Revenue and Taxation Code of the State of California as a result of the transfer of title to the vestee named in Schedule A or as a result of changes in ownership or new construction occurring prior to Date of Policy. 1. Water rights, claims or title to water, whether or not disclosed by the public records. 2. Discrepancies, conflicts In boundary lines, shortage in area, encroachments, or any other matters shown on Map: Record of Survey Recording No: in Book,99. Page 25 Record of Survey 3. The Land described herein is included within a project area of the Redevelopment Agency shown below, and that proceedings for the redevelopment of said project have been instituted under the Redevelopment Law (such redevelopment to proceed only after the adoption of the Redevelopment Plan) as disclosed by a document. Redevelopment Agency: Community Redevelopment Agency of the City of Santa Ana Recording Date: October 20, 2004 Recording No: as Instrument No. 2004000948360 of Official Records 4. Any Invalidity or defect in the title of the vestees In the event that the trust referred to herein is Invalid or fails to grant sufficient powers to the trustee(s) or in the event there is a lack of compliance with the terms and provisions of the trust instrument. If title is to be insured in the trustee(s) of a trust, (or if their act is to be insured), this Company will require a Trust Certification pursuant to California Probate Code Section 18100.5. 81021 Litigation Guarantee CI -TA Guarantee Form No. 1 (12/16/92) 75E-41 Page 3 Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) SCHEDULE B - Part I (Continued) END OF PART I 75E-42 Page 4 Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 SCHEDULE B PART 3I 1. A deed of trust to secure an Indebtedness In the amount shown below, Amount: $300,000.00 Dated: June 17, 2016 Trustor/Grantor Salvador Navarro, an unmarried man Trustee: Lawyers Title Company Beneficiary: The Rudolph Rivera Trust dated 12/22/05, Randolph Rivera as Successor Trustee, as to an undivided 50% interest, and Hardball Properties, LLC, a 'Callfornia Limited Liability Company, as to an undivided 50% Interest Recording Date: July 19, 2016 Recording No: 2016000327948, Official Records. 2. A deed of trust to secure an Indebtedness In the amount shown below, Amount: $60,000.00 Dated: June 27, 2016 Trustor/Grantor Salvador Navarro, a single man Trustee: California TD Specialists Beneficiary: Pensco Trust Company Custodian FBO Alexander MacDougall IRA Recording Date: July 19; 2016 Recording No: 2016000327949, Official Records 81021 litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) END OF PART II 75E-43 Page 5 Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 SCHEDULE C ADDRESSES Salvador Navarro 102 E. 4`^ St Santa Ana, Ca 92701 (Record Owner) Salvador Navarro 1417 W. St. Andrew Place Santa Ana, California 92704 (Record Owner) The Rudolph Rivera Trust Dated 1/2/22/05, Randolph Rivera, Tr and Hardball Properties LLC C/O 1855 W. Katella Avenue, Suite 365 Orange, California 92867 (Beneficiary Item 1 , B II) Mortgage Vintage, Inc. Fbo Pensco Trust Company Custodian FBO Alexander MacDougall IRA 260 Newport Center Drive, Suite 403 Newport Beach, California 92660 (Beneficiary Item 2, B II) NOTE NO, 1: Any and all parties known to the plaintiff to have or claim any interest in said land, or whose interest could be ascertained by an inspection of said land or by making inquiry of persons in possession thereof, should also be named as parties defendant. 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 75E-44 Page 6 Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) SCHEDULE C (Continued) 75E-45 Page 7 Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 GUARANTEE CONDITIONS AND STIPULATIONS 1. DEFINITION OF TERMS The following terms when used in this Guarantee mean: (a) "land": the land described, specifically or by reference, in this Guarantee and Improvements affixed thereto which by law constitute real property; (b) "public records": those records which impart constructive notice of matters relating to said land; (c) "date the effective date; (d) "the Assured": the party or parties named as the Assured in this Guarantee, or in a supplemental writing executed by the Company; (e) "mortgage": mortgage, deed of trust, trust deed, or other security instrument. 2. EXCLUSIONS FROM COVERAGE OF THIS GUARANTEE The Company assumes no liability for loss or damage by reason of the following: (a) Taxes or assessments which are not shown as existing liens by the records of any taxing authority that levies taxes or assessments on real property or by the public records. (b) Unpatented mining claims; reservations or exceptions in patents or In Acts authorizing the Issuance thereof; water rights, claims or title to water. (c) Title to any property beyond the lines of the land expressly described in the description set forth In this Guarantee, or title to streets, roads, avenues, lanes, ways or waterways on which such land abuts, or the right to maintain therein vaults, tunnels, ramps or any other structure or improvement; or any rights or easements therein unless such property, rights or easements are expressly and specifically set forth in said description. (d) Defects, liens, encumbrances, adverse claims against the tide as guaranteed or other matters (1).created, suffered, assumed or agreed to by one or more of the Assured; or (2) resulting in no loss to the Assured. 3. PROSECUTION OF ACTIONS (a) The Company shall have the right at its own cost to institute and prosecute any action or proceeding or do any other act which in its opinion may be necessary or desirable to establish or confirm the matters herein guaranteed; and the Company may take any appropriate action under the terms of this Guarantee whether or not it shall be liable thereunder and shall not thereby concede liability or waive any provision thereof. (b) In all cases where the Company does so institute and prosecute any action or proceeding, the Assured shall permit the Company to use, at its option, the name of the Assured for such purpose. Whenever requested by the Company, the Assured shall give the Company all reasonable aid in prosecuting such action or proceeding, and the Company shall reimburse the Assured for any expense so Incurred. 4. NOTICE OF LOSS -- LIMITATION OF ACTION A statement in writing of any loss or damage for which it is claimed the Company is liable under this Guarantee shall be furnished to the Company within sixty days after such loss or damage shall have been determined, and no right of action shall accrue to the Assured under this Guarantee until thirty days after such statement shall have been furnished, and no recovery shall be had by the Assured under this Guarantee unless action shall be commenced thereon within two years after expiration of said thirty day period. Failure to furnish such statement of loss or damage or to commence such action within the time hereinbefore specified, shall be a conclusive bar against 81021 Litigation Guarantee CLTA Guarantee Form No.1 (12/16/92) maintenance by the Assured of any action under this Guarantee. S. OPTION TO PAY, SETTLE OR COMPROMISE CLAIMS The Company shall have the option to pay or settle or compromise for or in the name of the Assured any claim which could result in loss to the Assured within the coverage of this Guarantee, or to pay the full amount of this Guarantee or, If this Guarantee is issued for the benefit of a holder of a mortgage, the Company shall have the option to purchase the indebtedness secured by said mortgage. Such purchase, payment or tender of payment of the full amount of the Guarantee shall terminate all liability of the Company hereunder. In the event after notice of claim has been given to the Company by the Assured the Company offers to purchase said Indebtedness, the owner of such indebtedness shall transfer and assign said Indebtedness and the mortgage securing the same to the Company upon payment of the purchase price. 6. LIMITATION OF LIABILITY --PAYMENT OF LOSS (a) The liability of the Company under this Guarantee shall be limited to the amount of actual loss sustained by the Assured because of reliance upon the assurances herein set forth, but -In no event_ shall such liability exceed the amount of the liability stated on the face page hereof. (b) The Company will pay all costs imposed upon the Assured in litigation carried on by the Company for the Assured, and all costs' and attorneys' fees In litigation carried on by the Assured with the written authorization of the Company. (c) No claim for damages shall arise or be maintainable under this Guarantee (1) if the Company after having received notice of an alleged defect, lien or encumbrance not shown as an Exception or excluded herein removes such defect, lien or encumbrance within a reasonable time after receipt of such notice, or (2) for liability voluntarily assumed by the Assured in settling any claim or suit without written consent of the Company. (d) All payments under this Guarantee, except for Attorneys' fees as provided for In paragrapli 6 (b) hereof, shall reduce the amount of the liability hereunder pro tanto, and no payment shall be made without producing this Guarantee for endorsement of such payment unless the Guarantee be lost or destroyed, in which case proof of such loss or destruction shall be furnished to the satisfaction of the Company. (e) When liability has been definitely fixed in accordance with the conditions of this Guarantee, the loss or damage shall be payable within thirty days thereafter. 7. SUBROGATION UPON PAYMENT OR SETTLEMENT Whenever the Company shall have settled a claim under this Guarantee, all right of subrogation shall vest in the Company unaffected by any act of the Assured, and it shall be subrogated to and be entitled to all rights and remedies which the Assured would have had against any person or property in respect to such claim had this Guarantee not been Issued. If the payment does not cover the loss of the Assured, the Company shall be subrogated to such rights and remedies in the proportion which said payment bears to the amount of said loss. The Assured If requested by the Company, shall transfer to the Company all rights and remedies against any person or property necessary In order to perfect such right of subrogation, and shall permit the Company to use the name of the Assured in any transaction or litigation Involving such rights or remedies. 75E-46 Page 8 Order No.: 08026699 -920 -CMM Guarantee No.: CA-SFXFC-IMP-81021-1-15-08026699 SCHEDULE C (Continued) S. GUARANTEE ENTIRE CONTRACT Any action or actions or rights of action that the Assured may have or may bring against the Company arising out of the subject matter hereof must be based on the provisions of this Guarantee. No provision or condition of this Guarantee can be waived or changed except by awriting endorsed or attached hereto signed by the President, a Vice President, the Secretary, an Assistant Secretary or other validating officer of the Company. 81021 Litigation Guarantee CLTA Guarantee Form No. 1 (12/16/92) 9. NOTICES, WHERE SENT All notices required to be given the Company and any statement In writing required to be furnished the Company shall be addressed to it. Commonwealth Land Title Insurance Company P.O. Box 45023 Jacksonville, FL 32232-5023. 10. THE FEE SPECIFIED ON THE FACE OF THIS GUARANTEE IS THE TOTAL FEE FOR TITLE SEARCH AND EXAMINATION AND FOR THIS GUARANTEE. 75E-47 Page 9 O xa- ea's ss� 9 75E-48 9 Dx: ORA 7-11-06059 Pap lorl C ted Svdev tr.t Pd.ed: IOVISA01510:30:50AM PST 75E-48 TITLE VI PACKAGE The project proposed by the Orange County Transportation Authority may be receiving federal financial assistance: Pursuant to Title VI of the Civil Rights Act of 1964, no person in the United States shall, 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. Other statutes provide protection against discrimination on the basis of sex, age or disability. The enclosed Title VI Package is being provided for your information to further explain your rights. The Package includes the following documents: N. Title VI Booklet • Title VI of the 1964 Civil Rights Act and Related Statutes • The U.S. Department of Commerce of the Census, Language Identification Flashcard o Ifyou read or speak a language different than English, please write your name and address on the top of the page and check the appropriate box on the Latguage Identification Flashcard and return to: Orange County Transportation Authority Real Property Department 550 South Main Street P.O. Box 14184' Orange, CA 92863-1584 Attn: Real Property Manager ■ Title VI Survey Form with Self -Addressed Stamped Envelope o It is requested that the Right of Way Title VI Survey Form be completed and returned in the "self-addressed stamped envelope. Title VI Discrimination Complaint Form o Ifyou believe you have been subjected to discrimination, please fill out the Title PI Discrimination Complaint Form and return to: Deputy ChiefExecutive.Ofrcer Human Resources & Organizational Development Orange County Transportation Authority 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 714.636-7433 75E-49 75E.50 § \ § r. \ ƒ § ± ƒ / } 0 \ 0 U ) 00\ ¥ a \ 5 ¢ O @ \ \ \ 0 \ f 00 \ k ® 0 # tE ; ! ( j # r 2 ;g6 ® / /) )/)\\\ ) \ K §) � / \ \§kk\W/ 0 0 o \ j ) \ \ \ a 0 w 75E.50 u y Y. (�• W _P4 and c '3e� U Y N W O o ee�W gc E EF d c �aWi"O cd uo C .E .� E w TU' a �a F Q W0 a .0 Q o bD G °1 a� $.ap- 12X0000°' a v vC Q [ vC= o Q O :tm 12 y iz ,m C 800 o c o� E m a N ��WN m�0awi�y 'aN3 7 T u O u W a •c w d T o 3 aCi p w F d « c o v w U e y> •v •'s-' % a e �;a UOQ 3 QC • FEsa:Wo v m o 0 u v 0 3 ger 'y e «O .a T °' @ o tO v O'C O i°i •m " p Q �,W., ° Z e c fi cw W.� � � c �� `o '� y Q A� o � 0,;0•ow 0 Q 0 e o 8-s .5 a, to N S � Ev '�.„ o v c o o c � 41 y 0 EF - "T p o c ._ c o y a 0 3 0 12 •5 .. & •p W o $ O o .. m .°', w ., m •amu . `o o m c>a •,g'o_ � y a• >o, 8 0 44)i o ❑ o 5 a o.S x= U n — a W �'2 E ❑. = milU Q o _0 :3 m 0 a 0 y c "2'« •ro o. 3 :,' v c a� a 0 0 0� ` u CQ c oR �= op oaa oac .5a E4 v o .� o •5� n, Awq psv moo, o W c c g�°�° _" v .�• U u� v 2 m � �� � c.5 0 �`Es=•ice-'c`�0 �o ^•� ° op p. n Q O w Q Vl 6 Q rJ' Q� �� L Q N d W U d 6 6i •p0 C 9 0 'b p 0 �p Q O R'C a Fin Qi p3°v OU i a w O c m O o & U c o y to a, .'1. 0 a n. o Z; `o v .E N ? > 0 v c^� Oabp o o z° �'o .5 n' R N 43 m L: y v ° o6 Wtuy 0" V ,eo c 5 a O p Oo-Z>, Q d�o y• 0" W Ot`" oO�UVN °^�.b �U 3 vi .' o o z o > m `a o `o .5 5" @ c 0 to a ❑ p o o i b C. m E8 5o z . W o V vO K o W@ u V e o m W 4j,S °�' m ` 5 k, [¢• vi a c -' aoi av W v 4 u � h .� o c 3 ci; o;> o N `c� m U 3 •W o 3 0 m .5 m y 0> z�° b o m •a � "°� -Cu �' o � C� d m 'j O_ � ,�` � o F o� �p � ,C V a v b ¢ Q W � g�_ � a 0 L F a W U N O O u u w v TITLE VI OF THE 1964 CIVIL RIGHTS ACT AND RELATED STATUTES Paye t of NONDISCRIMINATION STATUTES • Title VI of the 1964 Civil Rights Act, 42 U.S.C. 2000, provides in Section 601 that: "No person in the United States shall, on the ground 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." (PROHIBITS DISCRIMINATION IN IMPACTS, SERVICES, AND BENEFITS OF, ACCESS TO, PARTICIPATION IN, AND TREATMENT UNDER A FEDERAL -AID RECIPIENT'S PROGRAMS OR ACTIVITIES) • The Age Discrimination Act of 1975, as amended 42 U.S.C. 6101, provides: "No person in the United States shall, on the basis of age, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance." (PROHIBITS DISCRIMINATION BASED ON AGE) • The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, 42 U.S.C. 4601, provides: "For the fair and equitable treatment of persons displaced as direct result of programs or projects undertaken by a Federal agency or with Federal financial assistance." (PROVIDES FOR FAIR TREATMENT OF PERSONS DISPLACED BY FEDERAL AND FEDERAL -AID PROGRAMS AND PROJECTS) • The Federal -aid Highway Act, 49 U.S.C. 306 Outlines the responsibilities of the U.S. Department of Transportation and, at (c) outlines the Secietary's authority to decide whether a recipient has not compiled with applicable Civil Rights statutes or regulations, requires the Secretary to provide notice of the violation, and requires necessary action to ensure compliance. • The 1973 Federal -aid Highway Act, 23 U.S.C. 324, provides: "No person shall on the ground of sex be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal assistance under this Title or carried on under this title." (PROHIBITS DISCRIMINATION ON THE BASIS OF SEX) • The Civil Rights Restoration Act of 1987, P.L. 100-209, provides: Clarification ofthe original intent of Congress in Title VI of the 1964 Civil Rights Act, Title IX of the Education Amendments of 1972, the Age Discrimination Act of 1975; and Section 504 of the Rehabilitation Act of 1973. (RESTORES THE BROAD, INSTITUTION -WIDE SCOPE AND COVERAGE OF THE NON-DISCRIMINATION STATUTES TO INCLUDE ALL PROGRAMS AND ACTIVITIES OF FEDERAL -AID RECIPIENTS, SUB -RECIPIENTS AND CONTRACTORS, WHETHER SUCH PROGRAMS AND ACTIVITIES ARE FEDERALLY ASSISTED OR NOT) • The Uniform Relocation Act Amendments of 1987, P.L. 101-246, provides: "For fair, uniform, and equitable treatment of all affected persons; ...(and) minimizing the adverse impact of displacement ... (to maintain)... the economic and social well-being of communities; and ... to establish a lead agency and allow for State certification and implementation." (UPDATED THE 1970 ACT AND CLARIFIED THE INTENT OF CONGRESS M PROGRAMS AND PROJECTS WHICH CAUSE DISPLACEMENT) 75E-52 TITLE VI OF THE 1964 CIVIL RIGHTS ACT AND RELATED STATUTES Page 2of2 • The Americans with Disabilities Act, P.L. 101-336, provides: "No qualified individual with a disability shall, by reason of such disability, be excluded from the participation in, be denied benefits of, or he subjected to discrimination by a department, agency, special purpose district, or other instrumentality of a State or a local government" (PROVIDED ENFORCEABLE STANDARDS TO ADDRESS DISCRIMINATION AGAINST PEOPLE WITH DISABILITIES) • The Civil Rights Act of 1991, in part, amended Section 1981 of 42 U.S.C, by adding two new sections that provided: "(b) For the purposes of this section, the term 'make and enforce contracts' includes the making, performance, modification, and termination of contracts and the enjoyment of All benefits, privileges, terms, and conditions of the contractual relationship. (c)The rights protected by this section are protected against impairment by non-governmental discrimination and impairment under color of State law." • Title Vlll of the 1968 Civil Rights Act, 42 U.S.C. 3601, provides that: "(I) It shall be unlawful—to refuse to sell or rent after the making of a bona fide offer, or to refuse to negotiate for the sale or rental of, or otherwise make unavailable or deny a dwelling to any person because of race, color, religion or national origin!' (PROHIBITS DISCRIMINATION IN THE SALE OR RENTAL OF HOUSING — HUD is the primary interest agency, but F14WA and States under Title VI are responsible for preventing discrimination in the function of Right -of -Way) • The National Environmental Policy Act of 1969, 42 U.S.C. 4321 Requires the consideration of alternatives, including the "no -build" altemative, consideration of social, environmental and economic impacts, public involvement, and use of a systematic interdisciplinary approach at each decision making stage of Federal -aid project development. • Title IX of the Education Amendments of 1972 Makes financial assistance available to institutions of higher education to: (1) strengthen, improve and, where necessary, expand the quality of graduate and professional programs leading to an advanced degree; (2) establish, strengthen, and improve programs designed to prepare graduate and professional students for public service; and (3) assist in strengthening undergraduate programs of instruction in certain instances. • Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 790, provides that: "(N)o qualified handicapped person shall, solely by reason of his handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity that receives or benefits from Federal financial assistance." (PROHIBITSDISCRIMINATION BASED ON PHYSICAL OR MENTAL HANDICAP) Source: U.S. Department of Transportation Federal Highway Administration Title VI Handbook Title VI Nondiscrimination in the Federal -Aid Highway Program FHWA Publication No. FHWA-HCR-06-006 75E-53 ❑ :d,._,.li ,,,�::,,i i,,s:.:.ts iii N_,oli l.ia � aa� � ❑ ia`P..t�.nul' 65.,�5.Znur Itw,nwr6.� w,u ,F.wnwltnwm.r�, _� � � _ __ 6p6 h.numf 4WX kWV "Ld' 6,p Sw jhL,6i.: ❑ �. �lwfr ate�r wry ar a� � � ai alt�sr �1n f� i ❑ IIfV9111111140 FF Uhs. w -Un lii i�3lIiltifiilftfl S�i y Motka i kahhon ya yangin Ontflngnu' manaitai pat lintdngnu' kumentos Chamorro. ❑ '#Jt� -. Oznacite ovaj kvadratid ako citate ill govorite hrvatski jezik. ] Za"sknnete tuto kolonku, pokud ctete a hovoiite cesky. Kruis dit vakje aan als u Nederlands kunt lezen of spreken. ❑ Mark this box if you read or speak English: 1, Cu.yl ...t.:...o .al, cS..,V j.3'9's J..i;1y3-,fl 75E-54 1. Arabic 2, Armenian 3.. Bengali 4. Cambodian 5. Chamorro 6. Simplified Chinese 7.Traditional Chinese 8.Croatian 9. Czech 10. Dutch 11. English 12. Farsi Cocher ici si vous lisez on parlez le flu igais. J Kreuzen Sie diesel Kkstchen an, wenn Sie Deutsch lesen oder sprechen. ❑ Egµeubor-re auto to naaiato av Stap&(ete fi µJure Eltarlvtxa ❑ Make kazye sa a si on li oswa on pale laeyal ayisyen. 711 ❑ 3M3rrwfc-i�7aimzlr=wcfftiftzfti'qzwgTfti3+rrgI Kos lub voj no yog koj paub twm thiab hais Ins Hmoob. ❑ Je161je meg ezt a kock5t, ha megdrti vagy besz6li a magyar nyelvet. Mazkaam daytoy age kahon no makabasa wenno makasaoka iti Ilocano. Marchi questa casella se legge o parla italiano. ❑ B oa a/�U`I/lc: Gil n�tf7af 0I""�. L.ILrn I`J�z<h: {I.,o ❑ `lq'Oi 0'7jq v T 5.t�9-11,4 °I iflolI RAI Tj'jA _9 ❑ Ztnau�uZ�zeOti� n-tanud-i4d-invianaio. ❑ Prosimy o zaznaczenie tego kwadratu, jezeli posluguje sig Pan/Pani jgzykiem polskim. 75E-55 13. French 14. German 15. Greek 16. Haitian Creole 17. Hindi 18. Hmong 19. Hungarian 20. Ilocano 21. Italian 22. Japanese 23. Korean 24. Laotian 25. Polish ❑ Assinale este quadrado se voce le ou fala portugues. ❑ 1.nsetnnali aceasta cisula data chili sau vorbili romdnecte. IIomeTbTe 3TOT KBagp=K, eemi nbi turram Hnn roaopHTe no-pycm F06enexcxTe osaj xaaApaTxh yxonxKo nKTaTe ainx rosopXTe cpncxror jesnK. ❑ Oznacte tento "stvorcek, ak viete citaf alebo hovorifpo slovensky. ❑ Marque esta casilla sl lee o habla espanol. ❑ Markahan itong kuwadrado kung kayo ay inamnong magbasa o magsalita ng Tagalog. ❑ WwadaiNuivaAu lnA'lYl'IUOuirfrnlFln'n -Mviu. ❑ Manl a'i he puha ni kapau'oku ke lau pe lea fakatonga. ❑ BI,gMIT6Te LVO KJIITAHKy AKU(O BN 9nTREfe a60 COBOpnTe yKpaIHC6KOio MeaOm. ❑ Xin danh da'u vao 6 nay n6u quy vi bidt doc vA n6i dtfUc Viet Ngt3. ❑ .W-T)X UlYI -IY-rX VJ3J))J VX WIN iUDY7 DY -r V]]»NK3 08-3309 U.S. OEPARiMENT OF COMMERCE FmnemL . US. CENSUS BUREAU V9. CENSUS BUREAU 75E-56 26. Portuguese 27. Romanian 28. Russian 29. Serbian 30. Slovak 31. Spanish 32.Tagalog 33.Thai 34.Tongan 35. Ukranian 36. Urdu 37. Vietnamese 38. Yiddish TITLE VI SURVEY PERSONAL INFORMATION NOTICE Pursuant to the Federal Privacy Act (P.L. 93-579) and the Information Practices Act of 1977 (Civil Code Sections 1798, at seq.), notice is hereby given for the request of personal information by this form. The requested personal information is voluntary. The principal purpose of the voluntary information is to facilitate the processing of this form -The failure to provide all or any part of the requested information may delay processing of this form. No disclosure of personal information will be made unless permissible under Article 6, Section 1798.24 of the IPA of 1977. Each individual has the right upon request and proper identification, to inspecfall personal information in any record maintained on the individual by an identifying particular. Direct any inquiries on information maintenance to your IPA Office. Expenditure Authorization (EA) NON-DISCRIMINATION All persons affected by State transportation projects are requested to provide information with regard to race, color, national origin, sex, disability, age or income status. Please check the items below which best describe you and return this form in the enclosed envelope. The famishing of this information is voluntary. Head of household: Age: Race/Ethnicity: ❑ Male ❑ Under 40 ❑ White ❑ Black ❑ Hispanic ❑ Asian Language spoken, if other than English: ❑ Female ❑ 41=65 ❑ Over 65 ❑ American Tribe ❑ Pacific islander ❑ Other Specify: Are you or any member ofyour household suffering any physical disability or medical condition? ❑ Yes ❑No Are you a low-income family? ❑ Yes ❑No Enclosure 75E-57 TITLE VI DISCRIMINATION COMPLAINT PERSONAL INFORMATION NOTICE Pursuant W Ne Federal Pdvacy Ad (P.L 91579) was No INortreUon Pradims Art of 1977 (OW Colo Sessions 170. at sect), mtlm Is hereby given far the request d persereal tnfamratian by Ws farm The requested personal irformnim is vduatary. The pdrMpal purpose N Ne vdua InbhmUan is Is faditate the Iasessdna of ells rams The tdiure b pmbda a7 or my par of Na requeeled ecformftion may delay pmwsskq of Ws farm No ciisdosum mn ui of personal INon9a9 be made unlessPermissible ArUdo e, Section 1798.24 of No IPA of 1977. Each IrsWdual has Ne dgN upon request anti proper identification, to Inspect all persoml infamustion In any reostd mstnudnNon Na Ndddual nvan WentiMtm pertldar. Cued em lmuidoaon Hfmvtiannidatmasa to Yom IPA 0111 12 Orange 405 Dist CO Rte BASIS OF DISCRIMINATION ❑ RACE ❑ COLOR ❑ NATIONAL ORIGM ❑ SEX ❑ DISABILITY ❑ LOW-INCOME ❑ NON-ENGLISH SPEAKER Provide date(s) and place of alleged discrimination Describe the nature of the Action, decision. or conditions of the alleged discrimination(Attach Ex Page. If Necessary) Name of Individuals (ifKnmvn) responsible for the action, decision or condition of alleged discrimination Provide supporting information known to complainant in support ofhislherallegation Identify possible witnesses whom the complainant believes can provide factual information about this allegation Stale the action requested by complainant 75E-58 1185095.1 Your Property Your Transportation Project 75E-59 INTRODUCTION This booklet was prepared for you as a person who may potentially be affected by a proposed public transportation project. If it is your property that is affected, you may have wondered what will happen. Who will contact you? Who will pay your moving costs? Will Orange County's Transportation Authority (OCTA) help you find anew place to live? What will you be paid for your property? Important questions like these require specific answers. We hope this booklet will answer some of your questions and present a better picture of our overall procedures. WHY DOES A PUBLIC AGENCY HAVE THE RIGHTTO BUY MY PROPERTY? Our State and federal constitutions recognize the need for public agencies/entities to purchase private property for public use, and provide appropriate safeguards to accomplish this purpose. State and federal constitutions and the federal Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended, authorize the purchase of private property for public use and assure full protection of the rights of each citizen. The Orange County Transportation Authority ("OCTA"), a public entity, may purchase private property for public use. INITIAL PROJECT PLANNING The responsibility for studying potential sites for a transportation project rests with a team of specially trained individuals selected to do this important job. Many months or even years are spent in preliminary study and investigation to consider possible locations for a project. Consideration of the environmental and social impacts are as much a part of location determination as engineering and cost. Participation by private citizens and public agencies it actively sought so that various views can be considered in the study process. The process may include public hearings and/or workshops, which give persons an opportunity to express their views on the locations being considered. The team of trained individuals is composed of many specialists. Among these are: Transportation Planners These individuals determine methods and routes for the traveling public. This includes studies of existingtraffic patterns, "origin -destination" surveys and user benefits. They also determine whetherthe proposed project location is economicallysound. They research and analyze the effects produced by similar projects upon other communities. 1185095.1 75E-60 Environmental Planners These individuals evaluate the socio-economic and/or environmental impacts, including traffic, noise and visual impacts of the proposed project Design Engineers These individuals recommend the type of transportation project which will be of the most benefitto the public. They prepare design plans which determine the properties needed for the project. Relocation Specialists These individuals perform early studies of the general needs of persons who may need to be relocated and the kind of replacement properties which may be required. A relocation impact analysis will be completed before the Department requires anyone to move from their property. As a result of this team effort, the best possible location for a transportation project is selected afterthorough social, economic, engineering, and environmental analyses, as well as consideration of expressed public concerns and desires. The goal is that the project provide the greatest public good and the least private injury or inconvenience while renderingthe best possible service. Transportation Surveyors These individuals perform field surveys and monument property lines to delineate and map the Department's right of way needs, They are also authorized by law to enter real property to perform such tasks. It is the Department's policy that owners and tenants of property will be notified prior to such surveys. FREQUENTLY ASKED QUESTIONS WHO WILL CONTACT ME? One of the first persons you will meet is an independent appraiser. You will be afforded the opportunity to accompany the appraiser on the inspection of your property. At the time of the inspection the appraiser will also provide you with general project information. The appraiser will analyze your property and examine all of the features which contribute to its market value. Information about improvements you have made and any other special features that you believe may affect the market value of your property should be given to the appraiser to ensure he/she has all the information you feel is relevant. It is the duty of OCTA to ensure that you receive fair market value for the property rights and/or interests needed for the project. The OCTA cannot buy your property for more than it is worth, but it can and will assure you that you do not have to sell your property for less than its fair market value. California law provides that the owner shall receive a copy of the appraisal or a summary of the valuation upon which the Department's offer is based. 1185095.1 75E-61 At the time the offer is made to purchase property rights and/or the interests needed in your property, you may obtain your own appraisal and the Department will reimburse you up to $5,000 for the actual, reasonable costs of obtaining an independent appraisal. A licensed State appraiser must perform your appraisal. Your OCTA acquisition agent will provide more information concerningthis reimbursement at the time of the offer. WHAT ADVANTAGE IS THERE IN SELLING YOUR PROPERTY TO THE DEPARTMENT? A purchase of property rights and/or interests in your property by OCTA is handled in the same way as any private sale of property. However, there can be financial advantages in selling to the Department. The Department will pay fair market value for the property rights and/or interests in your property. The Department will also pay for the preparation of all documents, all title and escrow fees, a policy of title insurance, recording fees and such other fees as may be required for the conveyance of title to OCTA. Since this is a direct conveyance of real property from the property owner to OCTA, there are no real estate commissions involved, and the Department will not recognize or pay any such real estate commissions. A private sale will usually cost thousands of dollars in sales expenses. There are no seller's expenses in a purchase by the Department. Additionally, depending on your specific circumstances, you may be eligible for relocation payments and benefits for moving personal property and/or when you move. These benefit! are described in supplemental booklets which will be provided to you, should the Department's acquisition actually cause your personal property to be moved and/or you to be displaced from your property. WILL I BE PAID FOR LOSS IN VALUE TO MY REMAINING PROPERTY? When only certain interests (i.e. a Temporary Construction Easement) or a part of your property is needed for a project, every reasonable effort is made to ensure that you do not suffer damages to the remainder of your property. The total payment by OCTA will be for the property or interests in the property OCTA actually purchases, for any loss in market value to your remaining property and temporary damages to the remainder of your property, if any. 1185095.1 75E-62 The determination of any loss in market value and/or temporary damages to the remainder are appraisal problems involving many variables. When these situations occur, your OCTA acquisition agent will explain the effect of a partial acquisition on your remaining property. Additionally, as an owner of a business conducted on the property to be purchased, you may be entitled to compensation for a loss of business goodwill. Your specific circumstances will need to be analyzed on a case-by-case basis. MAY I RETAIN AND MOVE MY HOME, BUSINESS BUILDING, MACHINERY, OR EQUIPMENT? If your house is movable and you wish to make such an arrangement, OCTA will pay you on the basis of the market value of your present lot including landscaping, plus the reasonable cost of moving the building. There are cases where, because of age, size or condition of the house, the cost of moving it would exceed its present market value, less its salvage value. In such a case, payment of moving costs would, of course, be an unwise expenditure of public funds. If you operate a farm or business, you may wish to keep and move fixed machinery and equipment. Additionally, as an owner of a business conducted on the property to be purchased, you may be entitled to compensation for a loss of business goodwill. Your specific circumstances will need to be analyzed on a case-by-case basis. If any of these concepts are applicable to your situation, they will be explained by your OCTA acquisition agent. WILL I HAVE TIME TO SELECT ANOTHER HOME AFTER OCTA MAKES ITS OFFER TO PURCHASE? OCTA starts to appraise properties early enough so that you will have ample time to move prior to your property being needed for construction of the project. Like any other real estate transaction, it requires time to close an escrow after a right of way contract and deed have been signed. If it is determined at any point In the process that property needs to be purchased in it's entirety and/or you are notified that you are eligible for relocation benefits, you will not be required to move until reasonable, decent, safe and,sanitary replacement housing is available. If you receive a written offer to purchase your entire property from OCTA, it is in your best interest to look for a new place to live as soon as possible. Finding a home early that best suits your needs before you are required to move will minimize your personal inconvenience and will avoid having to make a choice of housing under pressure. In some instances you maybe able to sell your property to OCTA and rent back temporarily pending construction. 1185095.1 75E-63 If it's determined you are eligible for relocation benefits, OCTA also offers to provide you with assistance in finding anew place in which to live. OCTA will give you at least 90 days notice in writing before you are required to move. WHAT HAPPENS TO THE LOAN ON MY PROPERTY? After you and OCTA have agreed upon a price, your OCTA acquisition agent and/or a title company will contact all other parties having an interest in the property. Payment to satisfy outstanding loans or liens will be made through a title company escrow as in the case in any real estate transaction. WHAT WILL HAPPEN TO MY GI OR CAL -VET LOAN? The Veterans Administration and the California Department of Veterans Affairs allow your veteran loan privileges to be transferred and to become available for coverage on another property. If it's determined that your property needs to be purchased in its entirety, your OCTA acquisition agent will assist you in the transfer. However, it is highly recommended you check with the Veterans Administration or the California Department of Veterans Affairs for procedural instructions. IF THE VALUE OF MY PROPERTY IS HIGHER TODAY THAN WHEN I PURCHASED IT, DO I HAVE TO PAY INCOME OR CAPITAL GAINS TAX ON THIS DIFFERENCE WHEN I SELL/CONVEY TO OCTA? According to the Internal Revenue Service, the sale of property to a governmental agency for public purposes comes under the definition of an "involuntary conversion". In these cases, it is not necessary to pay income tax or capital gains tax if the money you receive is used to buy a similar property within a limited period of time. In every case, however, you should check with your local Internal Revenue Service office and/or accountant. WILL I LOSE THE FAVORABLE PROPERTY TAX BASIS THAT I NOW HAVE UNDER THE PROVISIONS OF PROPOSITION 13? Section 2(d) of Article XIII -A of the California Constitution, Section 68 of the Revenue and Taxation Code, and Rule 462.500 of Title 18 of the California Code of Regulations generally provide that propertytax relief shall be granted to any real property ownerwho acquires comparable replacement property after having been displaced by governmental acquisition or eminent domain proceedings. You will be given a copy of Rule 462.500 with an attached page showing examples of how to calculate estimates of the tax relief you maybe eligible for. These are only approximations. You must see your county Tax Assessor for a final determination. 1185095.1 75E-64 Note: Revenue and Taxation Code Section 68, and California Code of Regulations, Title 18, Rule 462.500, G.1 through G.4, set forth time limits that may affect your eligibilityto retain your favorable current real property tax status. OCTA'S RIGHT OF EMINENT DOMAIN A property owner's rights are guaranteed by the federal and State constitutions and applicable federal and State laws. The principal right is that "Just Compensation" must be paid for any property rights or interests acquired by eminent domain. The vast majority of our transactions are settled by contract. However, if the owner and OCTA cannot agree on the terms of sale, OCTA may resort to the eminent domain process to avoid delayingthe project, and will ultimately initiate condemnation proceedings. OCTA may exercise its power of eminent domain to acquire private property for public use. At a public hearing called a Resolution of Necessity(RON) hearing, OCTA will request authority from the OCTA Board of Directors ("Board") to file a condemnation action in court. You will be given an opportunity to appear before the Board to question whether public interest, necessity, planning and location require the proposed project and your property. The Board does not hear arguments regarding valuation or just compensation at the RON hearing. WHAT HAPPENS INA CONDEMNATION TRIAL? The purpose of the trial is to determine the amount of Just Compensation. Usuallythe trial is conducted before a judge and jury. Both the property owner and OCTA will have the opportunity to present evidence of value. The jury will determine the amount of compensation after being instructed as to the law by the judge. In those cases where the parties choose not to have a jury, the judge will decide the amount of compensation. The Judgment is then prepared by counsel and signed by the judge. It will state that, upon payment of the amount of the verdict for the benefit of the property owner, title will be transferred to public ownership. When OCTA makes the payment as required by the Judgment, the Final Order of Condemnation is signed by the judge and recorded with the County Recorder's office. This finalizes the actual transfer of title. 1185095.1 75E-65 IF I WANT ATRIAL, MUST I HAVE AN ATTORNEY AND EXPERT WITNESSES? Property owners have the right to represent themselves. However, you may wish to consult your own attorney. If you do not have one, in many communities the yellow pages of the telephone directory will refer you to an attorney reference service. The local bar association may also provide a list of attorneys who may offer services in eminent domain proceedings. You and your attorney must decide what type of case you will present and what witnesses will be needed. WILL I BE PAID ANY RELOCATION ASSISTANCE BENEFITS EVEN THOUGH I GO TO COURT? A decision to go to court has no effect on your right to relocation benefits. Payment of relocation benefits is administered separatelyfrom the condemnation action. You will be provided details of additional assistance to help displaced persons, businesses, farms or nonprofit organizations in finding, purchasing or renting, and moving to a new location. These are explained in various booklets prepared for homeowners, tenants, and business and farm operators and are made available by OCTA. HOW LONG CAN I KEEP MY PROPERTY? Continued use of your property usually depends on when construction must begin, including utility relocations, and the demolition and/or clearance of buildings. If construction must begin before the trial, OCTA will seek a court order for early possession of your property. In this regard OCTA will be required to deposit with the State Treasurer, the probable amount of just compensation, as determined by an appraisal as security for the value of the property rights it is seeking. The court will determine if the amount of money deposited is adequate. Once the deposit is made the owner may withdraw all or a portion of it at anytime duringthe condemnation proceedings. The court may then grant to OCTA an order for early possession allowing OCTA to use the property for construction of the project. To obtain an Order for Possession, OCTA will file a motion with the court and schedule a hearing 90 days after you and all occupants of the property are served with the motion papers (60 days if the property is unoccupied). You and the occupants, if any, will have 30 days to oppose the motion. Once the court grants an Order for Possession of the property, OCTA may obtain possession of the property 30 days after the owner and any occupants are served with the Order. 1185095.1 75E-66 Subject to the rights of any other persons having an interest in the property, you may withdraw all or part of the pre -Judgment deposit. If you do not make a withdrawal, OCTA will pay interest on the eventual court award, or agreed settlement sum from the time it legally occupied your property until the date of final payment to you. Interest will accrue at the applicable statutory rate until paid at the time of final settlement. OCTA's Acquisition Agent assigned to purchase your property will assist you in the transaction and will be available to answer any additional questions you may have. DEFINITIONS The language used in relation to eminent domain proceedings may be new to you. These are some terms you may hear and their general meaning. Acquire - To purchase Answer -The property owner's written reply, in appropriate legal form, filed with the court in response to the eminent domain complaint and as requested by the summons. Complaint - The document filed with the court by the Department which initiates an eminent domain proceeding. Condemnation -The legal process by which a proceeding in eminent domain is accomplished. Counsel -An attorney or attorneys. Eminent Domain -The right of government to purchase private property for public use. Fair Market value -The fair market value of the property taken is the highest price on the date of valuation that would be agreed to by a seller, being willing to sell but under no particular or urgent necessity for so doing, nor obliged to sell, and a buyer, being ready, willing and able to buy but under no particular necessity for so doing, each dealing with the other with full knowledge of all the uses and purposes for which the property is reasonably adaptable and available. Final Order of Condemnation -The instrument which, when recorded, transfers title to public ownership. Judgment -The court's formal decision based on applicable law and the verdict. Just Compensation - The measure of Just Compensation is Fair Market Value. Loss of business goodwill - A loss in the value of a business caused by the OCTA's acquisition of propertythat cannot be reasonably prevented by relocation of the business 1185095.1 75E-67 or the owner adopting prudent or reasonable steps that preserve the value of the business goodwill. Parcel - Usually means the propertythat is being acquired. Plaintiff - The public agency that desires to purchase the property. Possession - Legal control; to have the right to use. Property -The right or interest which an individual has in land, including the rights to use possess, or dispose. Summons - Notification of filing of a lawsuit in eminent domain and of the necessityto file answer or other responsive pleading. Temporary Construction Easement—A temporary right for a specific time acquired from the owner of real property to provide a work area necessary for the construction of the project. Title - Legal ownership. Trial -The hearingof the facts from a plaintiff and defendant in court of law, either with or without a jury. Verdict- The amount of just compensation to be paid for a property including any damages to the remainder, if applicable. IR -3-148 711 75E-68 ORANGE COUNTY TRANSPORTATION AUTHORITY CAPITAL PROGRAMS REAL PROPERTY DEPARTMENT SEPTEMBER 2015 FA ®CTA This is an informational pamphlet only. It is not intended to give a complete statement of all State or federal laws and regulations pertaining to the purchase of your propertyfora public use, the Relocation Assistance Program, technical legal definitions, or any form of legal advice. ADA Notice For individuals with disabilities; this document is available in alternate formats. For information contact: 1185095.1 Real Property Department (714) 560-1715 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 75E-69 Farmi social security number Request for Taxpayer Give Form to the (Rev. December 20141 Identification (dumber and Certification entities, it is your employer Identification number (EIN). If you do not have a number, see Now !o get a requester. Do not Dof IheTreasury send to the IRS. Internal Revenue SerNce 1 Name (as sham on your Income tax return). Name is required on this line; do not leave this line blank. Ci 2 Business nameldisregarded entity name, if different from above M m m n 3 Check appropriate box for federal tax classif0alion; check only one of the following seven boxes: 4 Exemptions (codes apply only to m ❑IndividuaVsole proprietor or E]CCorporation ❑SCorporation PartnershipPaership ❑TrusVestate certain entities, not Individuals; see instructions on page 3): m e uingle-member LLC ❑ Umited liability company. Enter the tax classification (C=C corporatlon, SS corporation, P=partnership) b- Exempt payee code (f arty) 0 0 Note. Fa a single -member LLC that is disregarded, do not check LLC; check the appropriate box in the line above for Exemption from FATCA reporting c the lax classification of the single -member owner. code (if any) El Other (see lnsiructbns)► f0.aar%mv>.mnrminu:vwemow use ;E 5 Address (number, street, and apt. orsuite no.) Requesters name and address (opltonaq u v a U) e City, state, and LP code 0 rn 7 Ust account numbers) here (optlonaQ IMB Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid social security number number (page However, fora backup withholding. For individuals, this Is generally your social I instructions resident ellen, sole proprietor, or disregarded entity, see the Part i Instructions on page 3. Fof other —m _ entities, it is your employer Identification number (EIN). If you do not have a number, see Now !o get a TIN on page 3. or Note. If the account is In more than one name, see the instructions for line 1 and the chart on page 4 for I Employer Identification number guidelines on whose number to enter. F—T-1 F—F—F—F—r 1. The number shown on this form Is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. 1 am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all Interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. 1 am a U.S. citizen or other U.S. person (defined below); and 4. The FATCA code(s) entered on this toren (if any) Indicating that i am exempt from FATCA reporting is correct. Certification Instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all Interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage Interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than Interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the •OlenI Signature of Here U.S.perscn► Date► General Instructions Section references are to the Internal Revenue. Code unless otherwise noted. Future developments. Information about developments affecting Form W-9 (such as legislation enacted after we release it) is at www.fts govHw9. Purpose of Form An individual or entity (Form W-9 requester) who is required to file an Information return with the IRS must obtain your correct taxpayer Identification number (rIN ) which may be your social security number (SSN), Individual taxpayer Identification number (ITIN), adoption taxpayer Identification number (ATIN), or employer IdentAcation number (EIM, to report on an information return the amount paid to you, or other amount reportable on an Information return. Examples of Information returns include, but are not limited to, the following: • Farm 1099.1 NT (interest earned or paid) • Form 1099 -DN (dividends, including those from stocks or mutual funds) • Farm 1099-MISC (various types of Income, prizes, awards, or gross proceeds) • Form 1099-B (stock or mutual fund sales and certain other transactions by brokers) • Form 1099-S (proceeds from real estate transactions) • Form 1099-K (merchant card and third party network i eMilss ions) • Form 1098 (home mortgage interest), 1098-E (student loan interest), 1098-T (tuition) • Fomi 1099-C (canceled debt) • Form 1099-A (acquisition or abandonment of secured property) Use Form W-9 only It you are a U.S. person (including a resident allen), to provide your correct TIN. ffyou do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. See What Is backup withholding? on page 2. By signing the filled -out form, you: 1. Certify that the TIN you are giving Is correct (or you are waiting for a number to be Issued), 2. Cerfify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S.. person, your allocable share of any partnership Income from a U.S. trade or business is not subject to the withholding tax on foreign partners' share of effectively connected Income, and 4. Certify that FATCA codes) entered on this form (if any) indicating that you are exempt from the FATCA reporting, Is correct. See What is FATCA reporting? on page 2 for further information. 'Cat. No. 10231% Form W -s (Rev. 12-2014) 75E-70 Form W-9 (Rev. 12-2014) Page 2 Note. If you are a U.S. person and a requester gives you a form other than Form W-9 to request your Tl N. you must use the requester's form if it is substantially similar to this Form W-9. Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person 8 you are: • An Individual who is a U.S. citizen or U.S. resident alien; • A partnership, corporation, company, or association created or organized in the United Stales or under the laws of the United States; • An estate (other than a foreign estate); or • A domestic trust (as defined in Regulators section 301.7701-7). Special rules for partnerships. Partnerships that conduct a trade or business In the United States am generally required to pay a withholding tax under section 1446 on any foreign partners' store of effectively connected taxable income from such business. Further, In certain cases where a Form W-9 has not been received. the rules under section 1446 require a partnership to presume that a partner Is a foreign person, and pay the section 1446 withholding tax. Therefore, if you are a U.S, person that is a partner in a partnership conducting a trade or business in the United Slates, provide Forth W-9 to the partnership to establish yew U.S. status and avoid section 1446 withholding on your share of partnership Income. In the cases below, the following person must give Form W-9 to the partnership for purposes of establishing Its U.S, status and avoiding withholding on its allocable share of net Income from the partnership conducting a trade or business In the United States: • In the case of a disregarded entity with a U.S. owner, the U.S, owner of the disregarded entity and not the entity; • In the case of a grantor trust with a U.S. grantor or other U.S. owner, generally, the U.S. grantor or other U.S. owner of the grantor trust and not the trust; and • In the case of a U.S. trust (other than a grantor trust). the U.S. trust (other than a grantor trust) and not the beneficiaries of the trust. Foreign person. If you me a foreign person or the U.S. branch of a foreign bank that has elected to be treated as a U.S. person, do not use Form W-9. Instead, use the appropriate Form W-8 or Form 8233 (see Publication 515, Withholding of Tax on Nomesidenl Aliens and Foreign Entitles). Nonresident alien who becomes a resident alien. Generally, only a nonresident alien Individual may use the terms or a tax treaty to reduce or eliminate U.S. tax on certain types of Income. However, most tax treaties contain a provision known as a'saving clause.- Exceptions specified In the saving clause may permit an exemption from tax to continue for certain types of income even after the payee has otherwise become a U.S. resident alien for tax purposes. If you am a U.S. resident alien who Is relying on an exception contained in the saving clause of a tax treaty to claim an exemption from U.S. tax on certain types 01 Income, you must attach a statement to Form W-9 that specifies the following two Items: 1. The treaty country. Generally, this must be the same treaty under which you claimed exemption from rax as a nonresident alien. 2. The treaty article addressing the income. 3. The article number (or location) in the tax treaty that contains the saving clause and its exceptions. 4. The type and amount of Income that qualities for the exemption from tax, S. Sufficient facts to justify the exemption from tax under the terms of the treaty article. Example. Article 20 of the U.S.-China income lax treaty allows an exemption from tax for scholarship Income received by a Chinese student temporarily present In the United Slates. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay in the United States exceeds 5 calendar years. However, paragraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows the provisions of Article 20 to continue to apply even after the Chinese student becomes a resident alien of the United States. A Chinese student who qualifies for this exception (under paragraph 2 of the first protocol) and Is relying on this exception to claim an exemption from tax on his or her scholarship or fellowship Income would attach to Form W-9 a statement that Includes the Information described above to support that exemption. If you are a nonresident alien or a foreign entity, give the requester the appropriate completed Form W-8 or Form 8233. Backup Withholding What is backup withholding? Persons making certain payments to you must under certain conditions withhold and pay to the IRS 26% of such payments. This is called"backup withholding.' Payments that maybe subject to backup withholding include Interest, tax-exempt interest, dividends, broker and barter exchange transactions, rents, royalties, nonemployee pay, payments made in settlement of payment card and third parry network transactions, and certain payments from fishing boat operators. Real estate transactions are not subject to backup withholding. You will not be subject to backup withholding on payments you receive if you give the requester your carted TIN, make the proper certifications, and report all yew taxable Interest and dividends on your tax return. Payments you receive will be subject to backup withholding if: 1. You do not furnish your'nN to the requester, 2. You do not certify your TIN when required (see the Part II Instructions on page 3 fordelails), 3. The IRS tells the requester that you furnished an incorrect TIN, 4. The IRS tells you that you am subject to backup withholding because you did not report all your Interest and dividends on your lax return (for reportable Interest and dividends only), or S. You do not certify to the requester that you are not subject to backup withholding under 4 above (for reportable Interest and dividend accounts opened after 1983 only). Certain payees and payments are exempt from backup withholding. See Exempt payee code on page 3 and the separate Instructions for the Requester of Form W-9 for mme Information. Also see Specter rotes ferpartnerships above. What is FATCA reporting? The Foreign Account Tax Compliance Act (FATCA) requires a participating foreign Handal Insttutlon to report an United States account holders that are specified United States persons. Certain payees are exempt from FATCA reporting. See Exemption from FATCA reporting code on page 3 and the Instructions for the Requester of Forth W-9 for more Information. Updating Your Information You must provide updated information to my person to whom you claimed to be an exempt payee if you are no longer an exempt payee and anticipate receiving reportable payments In the future from this person. For example, you may need to provide updated information If you are a C corporation that elects to be an S corporation, or if you no longer are tax exempt. In addition, you must furnish a new Forth W-9 if the name or TIN changes for the account; for example, If the grantor of a grantor trust tiles. Penalties Failure to furnish TIN. If you fail to furnish your correct TIN to a requester, you are subject to a penally of S50 for each such failure unless your failure Is due to reasonable cause and not to willful neglect. Civil penalty for false Information with respect to withholding. If you make a false statement with no reasonable basis that results in no backup withholding, you are subject to a $600 penalty. Criminal penalty for falsifying Information. Willfully falsifying certifications or affirmations may subject you to criminal penalties including fines andfor Imprisonment. Misuse of TINs. If the requester discloses or uses TINS in violation of federal law, the requester may be subject to civil and criminal penalties. Specific Instructions Line 1 You must enter one of the following on this Tina; do not leave this line blank. The name should match the name on your tax return. If this Form W-9 is for a joint account, list BrsL and then circle, the name of the person or entity whose number you entered In Part I of Form W-9. a. Individual. Generally, enter the name shown on your tax return. If you have changed your last name without informing the Social Security Administration (SSA) of the name change, enter your first name, the last name as shown on your social security card, and your new last name. Note. ITIN applicant- Enteryour individual name as it was entered on yaw Form W-7 application, line 1a. This should also be the same as the name you entered on the Form 1040/1040A/1040EZ you filed with your application. b. Sole proprietor or single -member LLC. Enteryour individual name as shown on your 104011040A/1040EZ on line 1. You may enteryour business. trade, or "doing business ae (DBA) name on line 2. c. Partnership, LLC that is not a single -member LLC, C Corporation, or $ Corporation. Enter the entity's name as shown on the entity's tax return on line 1 and any business, trade, or DBA name on line 2. d. Other entities. Enteryour name as shown on required U.S. federal tax documents on line 1. This name should match the name shown on the charter or other legal document creating the entity. You may enter any business, trade, or DBA name on line 2. e. Disregarded entity. For U.S. federal tax purposes, an entity that is disregarded as an entity separate from its owner is treated as a 'disregarded entity." See Regulations section 301.7701-2(c)(2)(Iii). Enter the ownees name on line 1. The name of the entity entered on line 1 should never be a disregarded entity. The name on line 1 should be the name shown on the Income tax return on which the Income should be reported. For example, if a foreign LLC that Is treated as a disregarded entity for U.S. federal tax purposes has a single owner that Is a U.S. person, the U.S. owner's name is required to be provided on line 1. If the direct owner of the entity is also a disregarded entity, enter the first owner that is not disregarded for federal tax purposes. Enter the disregarded entity's name on fine 2,'Business name/disregarded entity name." If the owner of the disregarded entity is a foreign person, the owner must complete an appropriate Form W-8 Instead of a Forth W-9. This Is the case even if the foreign person has a U.S. TIN. 75E-71 Form W-9 (Rev. 12-201 Line 2 If you have a business name, trade name, DBA name, or disregarded entity name, you may enter it on line 2. Line 3 Check the appropriate box in [Ina 3 for the U.S. federal tax classification of the person whose name is entered on line 1. Check only one box N fine 3. Limited Llability Company (LLC). If the name on I -me 1 is an LLC heated as a partnership for U.S. federal tax purposes, check the'LMBed Liability Company" box and enter"P" in the space provided. It the LLC has riled Form 8632 or 2553 to be taxed as a corporation, check the "Limited Uabifity Company' box and in the space provided enter "C" for C corporation or "S" for S corporation. If it is a single -member LLC that is a disregarded entity, do not check the "embed Liability Company" box; Instead check the first box In line 3'Individuallisole proprietor or single -member LLC.' Line 4, Exemptions If you ere exempt from backup withholding and/or FATCA reporting, enter In the appropriate space In line 4 any code(s) that may apply to you. Exempt payee code. s Generally, Individuals (Including sole proprietors) are not exempt from backup Withholding. " Except as provided below, corporations are exempt from backup withholding far certain payments, Including Interest and dividends. • Corpomtions are not exempt from backup withholding far payments made in settlement of payment card or third party network transactions. " Corporations we not exempt from backup withholding with respect to attorneys' lees or gross proceeds paid to attorneys, and corporations that provide medical or health care services are not exempt with respect to payments reportable on Form 1099-MISC. The following codes Identify payees that are exempt from backup withholding. Enter the appropriate code In the space in line 4. 1—An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)M if the account safisfies the requimmems of section 401(Q(2) 2—The United States or any of its agencies or Instrumentalities 3—A slate, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or instrumentalities 4—A foreign government or any of Its political subdivisions, agencies, or Instrumentalities 5—A corporation 6—A dealer in securities orcommoddies mqulred to register In the United Slates, the District or Columbia, or a U.S. commonwealth or possession 7—A futures commission merchant registered with the Commodity Futures Trading Commission 8—A real estate Investment tont 9—An entity registered at all times during the tax year under the Investment Company Act of 1940 10—A common trust fund operated by a bank under section 584(a) 11—A financial institution 12—A middleman known In the Investment community as a nominee or custodian 13—A trust exempt from tax under section 664 or described in section 4947 The following chart shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees fisted above,1 through 13. IF the payment is for... THEN the payment is exempt for... Interest and dividend payments Ail exempt payees except for 7 Broker transactions Exempt payees 1 through 4 and 6 through 11 and all C corporations. S corporations must not enter an exempt payee wits because they are exempt only for sales of noncovered securities acquired prior to 2012. Barter exchange transactions and Exempt payees 1 through 4 patronage dividends Payments over 8600 required to be Generally, exempt payees reported and direct sales overS5,000r ithrough 52 Payments made in settlement of Exempt payees 1 through 4 payment card or third party network transactions t See Farm 1099-MISC, Miscellaneous Income, and its instructions. 'However, the following payments made to a corporation and reportable on Forth 1099-MISC are not exempt from backup withholding: medical and health care, payments, attomeys' fees, gross proceeds paid to an atlomey reportable under section 6045(Q, and payments for services paid by a federal executive agency. Exemption from FATCA reporting code. The following codes identify payees that are exempt from reporting under FATCA. These codes apply to persons submitting this form for accounts maintained outside of the United Stales by certain foreign financial Institutions. Therefore, if you are only submitting this farm for an account you hold In the United States, you rosy leave this field blank. Consult with the person requesting this form If you are uncertain if the financial Institution Is subject to these requirements. A requester may indicate that a code Is not required by providing you with a Form W-9 with "Not Applicable" (or any similar indication) written or printed on the [Ina for a FATCA exemption code. A—An organization exempt from tax under section 501(a) or any Individual retirement plan as defined in section 7701 (a)(37) B—The United States or any of its agencies or Instrumentalities C—A state, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or Instrumentalities D—A corporation the stock of which is regularly traded on one or more established securities markets, as described in Regulations section 1.1472-1(c)(1)m E—A corporation that is a member of the same expanded affiliated group as a corporation described in Regulations section 1.1472.1(c)(1)n F—A dealer In securities, commodities, or derivative financial Instruments (Including notional principal contracts, futures, forwards, and options) that Is registered as such under the laws of the United States or any state G—A real estate Investment lout H—A regulated Investment company as defined In section 851 or an entity registered at all times during the tax year under the Investment Company Act of 1940 1—A common trust fund as defined in section 584(a) J—A bank as defined In section 581 K—Abroker L—A bust exempt from tax under section 664 or described in section 4947(x)(1) M—A tax exempt trust under a section 403(b) plan or section 457(8) plan Note. You may wish to consult Win the financial institution requesting this farm to determine whether the FATCA code and/or exempt payee code should be completed. Line 5 Enter your address (number, street, and apartment or suite number). This is where 'the requester of this Form W-9 will mail your Information returns. Lina 6 Ester your city, state, and ZIP code. Part I. Taxpayer Identification Number (TIN) Enter your TIN In the appropriate box. If you are a resident alien and you do not have and are not eligible to get an SSN, your TIN Is your IRS individual taxpayer Identification number (m N). Enter It in the social security number box. If you do not have an MN, see How to get a TIN below. If you are a sole proprietor and you have an EIN, you may enter either your SSN or EW. However, the IRS prefers that you use your SSN. If you are a single -member LLC that Is disregarded as an entity separate from its owner (see Unified Liability Company (LLC) on this page), enter the owner's SSN (or EIN, if the owner has one). Do not enter the disregarded entity's EIN. If the LLC is classified as a corporation or partnership, enter the entity's EIN. Note. See the chart on page 4 for further clarification of name and TIN combinations. How to get a TIN. If you do not have a TIN, apply for one immediately. To apply for an SSN, get Forth SS -5, Application for a Social Security Card, from your face] BSA office or get this form online at wwwssa.gov. You may also gel this fore by calling 1-800.772-1213. Use Form W-7, Application for IRS Individual Taxpayer Identification Number, to apply for an ITIN, or Form SS -4, Application for Employer Identification Number, to appy furan EIN. You can apply for an EIN online by accessing the IRS website at www.in.goy/businesses and clicking on Employer Identification Number (EIN) under Starting a Business. You can get Forms W-7 and SS -4 from the IRS by visiting IRS.gov or by calling 1.800 -TAX -FORM (1 -B00 -B29-3676). If you ere asked to complete Form W-9 but do not have a TIN, apply fora TIN and write -Applied For" in the space far the TIN, sign and date the form, and give it to the requester. For interest and dividend payments, and certain payments made with respect to readily tradable instruments, generally you will have 60 days to gel a TIN and give it to the requester before you are subject to backup withholding on payments. The 60 -day role does not apply to other types o1 payments. You will be subject to backup withholding on all such payments until you provide your TIN to the requester. Note. Entering "Appfied For" means that you have already applied for a TIN or that you Intend to apply for one soon. Caution: A disregarded U.S. entity Net has a foreign owner must uss the apampdate Forth W-8. 75E-72 Form Al (Rev. 12-2014) Page 4 Part II. Certification To establish to the withholding agent that you are a U.S. person, or resident alien, sign Form W-9. You may be requested to sign by the withholding agent even it Items 1, 4, or 5 below indicate otherwise. For ajoint account, only the person whose TIN Is shaven in Part I should sign (when required). In the case of a disregarded entity, the person identified on line 1 must sign. Exempt payees, see Exempt payee code earlier. Signature requirements. Complete the certification as indicated in items 1 through 5 below. t. Interest, dividend, and barter exchange accounts opened before 1984 and broker accounts considered active during 1983. You must give your comect TIN, but you do not have to sign the certification. 2. Interest, dividend, broker, and barter exchange accounts opened after 1983 and broker accounts considered Inactive during 1983. You must sign the certification or backup withholding will apply. If you are subject io backup withholding and you are merely providing your coreU TIN to the requester, you must arcs cut Item 21n the cemificatien before signing the forth. 3. Real estate transactions. You must sign the certification. You may cross out Item 2 of the certification. 4. Other payments. You must give your comect TIN, but you do not have to sign the cerlification unless you have been notified that you have previously given an Incorrect TIN. 'Other payments" Include payments made in the course or the requesters trade or business for rents, royalties, goods (other than bills for merchandise), medical and health care services Qncluding payments to corporations), payments to a renempioyee for services, payments made in settlement of payment card and third party network transactions, payments to certain fishing boat crew members and fishermen, and gross proceeds paid to attorneys Qncluding payments to corporations). S. Mortgage Interest paid by you, acquisition or abandonment of secured property, cancellation of debt, qualified tuition program payments (under section 529), IRA, Coverdell ESA, Archer MSA or HSA contributions or distributions, and pension distributions. You must give your correct TIN, but you do not have to sign the certification. What Name and Number To Give the Requester For this type of account; Give name and SSN of: 1. Individual The individual 2. Two or more individuals Quint The actual owner of the account or, account) if combined funds, the first individual on tha accowhe 3. Custodian account of a minor The minor` (Uniform Gift to Minors Act) - 4. a. The usual revocable Savings The gmnlor-lruslee' trust (grantor Is also trustee) - to. So-called trust account that is The actual owner not a legal or valid trust under ' state law ' S. Sole proprietorship or disregarded The owner' entity owned by an individual 6. Grantor trust filing under Optional The grantor' Form 1099 Fling Method 1 (see Regulations section 1.671-4@)(2)(17 (A)) For this type of account: Give name and EIN of: 7. Disregarded entity not owned by an The owner Individual 8. A valid trust, estate, or pension trust Legal entity' 9. Corporation or LLC electing The corporation corporate status on Form 8832 or Form 2553 10. Association, club, religious, The organization charitable, educational, mother tax- exempt organ@ation 11. Partnership or multi -member LLC The partnership 12. A broker or registered nominee The broker or nominee 13. Account with the Department or The public entity Agriculture in the name of a public entity (such as a stale or local government, school distdd, or prison) that receives agricultural program payments 14. Grantor trust filing under the Forth The trust 1041 Filing Method or the Optional Fond 1099 Filing Method 2 (see Regulations section 1.671-4(b)(2)(0 (a)) Ust first and circle the name of the parson whose numberyou lnni sh. II only one persanon a lain account has on SSN, that person's numbermust be banished. fished. a Ciicle the rJnars name and fuMsh the mirror's SSN. .You must show your'vldividual none end you may also enter your business or DBAname on Me 'easiness name disregarded enetY roma lure. You may use sorer your SSN mEIN fit you ban one), but me IRS encourages you to use your SSN. •List rust and main Ne rums of the Wet, estate. or pension Must (Do cot lumish the TN of Ne personal representative or Mustee Mau me legal easy itsell k not deslgnatro lame account tie.) Also see Special rules forpannarshlpsan papa 2. 'Note. Grantor also must provide a Form W-9 to trustee of Wet Note. If no name is circled when more than one name Is listed, the numberwill be considered to be that of the first name listed. Secure Your Tax Records from Identity Theft Identity theft occurs when someone was your personal Information such as your name. SSN, or other identifying information, without your permission, to commit fraud or other crimes. An Identity thief may use your SSN to get a job or may file a tax return using your SSN to receive a refund. To reduce your risk: • Protect your SSN, • Ensure your employer Is protecting your SSN, and • Be careful when choosing a tax preparear. If your tax records are affected by Identity theft and you receive a notice from the IRS, respond right away to the name and phone number printed on the IRS notice or letter. If your tax records are not curently affected by identity theft but you think you we at risk due to a lost or stolen purse or wallet, questionable crec in card activity or credit report, contact the IRS Identity Theft Hotline at 1-800.90BA490 or subm@ Form 14039. For more information, see Publication 4535, Identity Theft Prevention and victim Assistance. Victims of Identity theft who are experiencing economic harm or a system problem, or are seeking help in resolving tax problems that have not been resolved through normal channels, may be eligible for Taxpayer Advocate Service (rAS) assistance. You can reach TAS by calling the TAS toll-free case intake line at 1.877-777-4778 orTTY/rOD 1-800-829-40.59. Protect yourself from suspicious emails or phishing schemes. Phishing is the creation and use of email and websites designed to mimic legitimate business smalls and websites. The most common act is sending an email to a user falsely claiming to be an established legitimate enterprise in an attempt to stem the user Into surrendering private information that will be used for identify theft. The IRS doss not initiate contacts with taxpayers via emails. Also, the IRS does not request personal detailed Information through email or ask taxpayers for the PIN numbers, passwords, or similar secret access Information for thelrcredit card, bank, or other financial accounts. - If you iecelve an unsolicited email claiming to be from the IRS, forward this message to phfshingGfrs•gov. You may also report misuse of the IRS name, logo, or other IRS properly to the Treasury Inspector General for Tax Administration (fIGTA) at 1.800.366.4484. You can forward suspicious emails to the Federal Trade Commission at: spam®uce.gov or contact them at www.fle govAdd eft or 1-877-IDTHEFT (1-877-436-4338). Malt IRS.gov to learn more about Identity theft and how to reduce your risk. Privacy Act Notice Section 6109 of the Internal Revenue Code requires you to provide your cured TIN to persons (including federal agencies) who are required to file information returns with the IRS to report interest, dividends, or certain other income paid to you; mortgage Interest you paid; the acquisition or abandonment of secured property, the cancellation of debt; or contributions you made to an IRA, Anther MSA, or HSA. The person collecting this form uses the information on the form to file information returns with the IRS, reporting the above Information. Routine uses of this Information include giving It to the Department of Justice for civil and criminal litigation and to cities, stales, the District of Columbia, and U.S. commonwealths and possessions for use In administering their lam. The Information also may be disclosed to other countries under a treaty, to federal and state agencies to enforce civil and criminal laws, or to federal law enforcement and Intelligence agencies to combat terrorism. You must provide your TIN whether or not you are required to fee a tax return. Under section 3406, payers must generally Withhold a percentage of taxable interest, dividend, and certain other payments to a payee who does not give a TIN to the payer. Certain penalties may also apply for providing false or fraudulent information. 75E-73 75E-74 Mitre -Ramirez, Norma From: Huizar, Maria Sent: Wednesday, May 17, 2017 5:57 PM To: Mitre -Ramirez, Norma Cc: Orozco, Norma Subject: PUBLIC HEARIN NOTICES - LETTERS FOR THE OCSTREET CAR PROJECT Attachments: RON LETTER VALDIVIA 1922 & 2002 W. Fifth Street.pdf; RON LETTER NAVARRO 20 W. Fifth Street.pdf Categories: Public Noticing For agenda packet and agenda information under Public Hearings O From: Palma, Jeanette Sent: Wednesday, May 17, 2017 3:48 PM To: Huizar, Maria <MHuizar@santa-ana.org> Subject: RON LETTERS FOR THE OCSTREET CAR PROJECT Here are your copies. Jeanette M. Palma Senior Paralegal City of Santa Ana Office of the City Attorney 20 Civic Center Plaza, 7h Floor Santa Ana, CA 92702 (714) 647-5210 E Palma@santa-ana.org 75E-75 75E-76 JMF/6/6/17 RESOLUTION NO. 2017 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF CERTAIN REAL PROPERTY LOCATED WITHIN THE CITY OF SANTA ANA AT 2016-2020 W. FIFTH STREET (APN 007-110-17) FOR THE ORANGE COUNTY STREETCAR PROJECT BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. June 6, 2017, the City Council of the City of Santa Ana, after written notice duly provided to all those claiming ownership in the property described hereafter, as they appeared on the last equalized County assessment roll, held a hearing pursuant to Code of Civil Procedure section 1245.235 for the purpose of allowing the owners thereof a reasonable opportunity to be heard on the following matters: A. Whether the public interest or necessity requires the project; B. Whether the project is planned or located in a manner which is most compatible with the greatest public good and the least private injury; C. Whether the property proposed to be acquired is necessary for the project; D. Whether the offer required by Government Code section 7267.2 has been made; E. Whether the City has complied with all conditions and statutory requirements necessary to exercise the power of eminent domain to acquire the property described herein, as well as any other matter regarding the right to take said property by eminent domain; and F. Whether the City has statutory authority to acquire the property by eminent domain. Section 2. The City Council has, as a result of its consideration and the evidence presented at the hearings on this matter, and in accordance with the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines, determined that the proposed project has been adequately evaluated in the previously prepared Revised Environmental Assessment/Final Environmental Impact Report (State Clearinghouse No. 2010051060). Pursuant to the National Environmental Policy Act, an Environmental Assessment document with a Finding of No Significant Impact was prepared for the proposed project and approved by the Federal Transit Administration in 2015. Exhibit 3 Resolution No. 2017 -XXX Page 1 of 7 75E-77 On the basis of this review, the City Council finds that there is no evidence from which it can be fairly argued that the Project will have a significant adverse effect on the environment. Section 3. Pursuant to Title XIV, California Code of Regulations ("CCR") § 753.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the proposed project will have the potential for any adverse effect on wildlife resources or the ecological habitat upon which wildlife resources depend. The proposed project exists in an urban environment characterized by paved concrete, roadways, surrounding buildings and human activity. Therefore, pursuant to Fish and Game Code § 711.4(c)(2)(A) and Title XIV, CCR § 753.5(a)(3), the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 4. The City of Santa Ana hereby finds and determines each of the following: A. The public interest and necessity require the proposed project. B. The proposed project is planned or located in the manner that will be most compatible with the greatest public good and least private injury. C. The property located at 2016-2020 W. Fifth Street (APN 007-110-17), as described in Exhibit A and graphically depicted in Exhibit B, is necessary for the proposed project. D. The offer required by section 7267.2 of the California Government Code was made. Section 5. The City hereby finds, determines and declares that the public interest, convenience and necessity require the acquisition by the City of the properties described in Section 4 above, including any and all leaseholds and related improvements, for the purposes of the Orange County Transportation Authority ("OCTA") and the City of Santa Ana joint project that proposes to construct a modern streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove, also known as the Orange County Streetcar Project ("Project"). Section 6. The taking of the interest in the properties described in Section 4 above is necessary for the public right of way and is authorized by Section 19 of Article I of the California Constitution; Section 200 of the Santa Ana Charter; California Code of Civil Procedure sections 1240.010, 1240.110; California Government Code sections 37350.5 and 40404; and other applicable law. Resolution No. 2017 -XXX Page 2 of 7 75E-78 JMF/6/6/17 Section 7. The City hereby declares that it is the intention of the City of Santa Ana to acquire in its name, in accordance with the provisions of the laws of the State of California with reference to condemnation procedures, all interests in and to the Properties described in Section 4 above. Section 8. If any of the Property described in Section 4 above has been appropriated for some public use, the public use to which it is to be applied and taken under this proceeding is a more necessary and paramount public use. Section 9. The property described in Section 4 above is located within the City of Santa Ana, County of Orange, State of California, and is more particularly described in Section 4 hereof. Section 10. The City of Santa Ana is authorized to acquire by eminent domain as provided in the California Code of Civil Procedure. Section 11. The City Attorney is hereby authorized and directed to prepare, institute and prosecute in the name of the City such proceedings, in the proper court having jurisdiction thereof, as may be necessary for the acquisition of the interests in the property described in Section 4 above. The City Attorney is also authorized and directed to obtain a necessary order of immediate possession and occupancy of such property, at the discretion of the City Attorney. Section 12. This the City Council, and the this Resolution. ADOPTED this Resolution shall take effect immediately upon its adoption by Clerk of the Council shall attest to and certify the vote adopting day of APPROVED AS TO FORM: Sonia A. Carvalho, City Attorney By: J n M. Funk Assistant City Attorney 2017. Miguel A. Pulido Mayor 75E-79 Resolution No. 2017 -XXX Page 3 of 7 AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, Resolution No. 2017 -XXX to be the original City of Santa Ana on Date: Resolution No. 2017 -XXX Page 4 of 7 do hereby attest to and certify the attached resolution adopted by the City Council of the Clerk of the Council City of Santa Ana 75E-80 LEGAL DESCRIPTION All that certain real property situated In the County of Orange, State of California, described as /allows: Parcel A: The North one-half of Lot 17 of Tract No. 270, In the City of Santa Ana, County of Orange, State of California, as shown on a map recorded in Bock 13, Page 48 of Miscellaneous Maps, In the office of the County Recorder of said county. Parcel B: Lot 18 and the South one-half of Lot 17 of Tract No. 270, In the City of Santa Ana, County of Orange, State of Califomla, as shown on a map recorded In Book 13, Page 48 of Miscellaneous Maps, in the office of the County Recorder of said county. APN: 007-110-17 75E-81 JMF/6/6/17 Resolution No. 2017 -XXX Page 5 of 7 Resolution No. 2017 -XXX Page 6 of 7 EXHIBIT B 75E-82 JMF/6/6/17 Resolution No. 2017 -XXX Page 7 of 7 75E-83 75E-84 MAYOR Miguel A. Pulido MAYOR PRO TE%I Michele Martincz COUNCILMEMBERS P. David Benavides Vicentc sannicnto Jose solorio Sal Timjero Juan Villcgas CITY OF SANTA ANA 20 Civic Center Plaza, P.O. Box 1988 Santa Ana, Caliromia 92702 714-647-6900 www.santa-ana.olQ May 17, 2017 INTERIM CFFY MANAGER Cynthia 1. Kunz CRY ATTORNEY Sonia R Carvalho CLERK OF THE COUNCIL Maria D. Huizar Salvador Navarro Salvador Navarro 102 E. 4th Street 1417 W. St. Andrew Place Santa Ana, CA 92701 Santa Ana, CA 92704 Re: Notice of Hearing regarding adoption of Resolution of Necessity to Acquire Real Property by Eminent Domain (Code of Civil Procedure § 1245.235) Property: 2016-2020 W. Fifth Street, Santa Ana, CA 92703 APN: 007-110-17 Dear Owner: The City Council of the City of Santa Ana ("City") intends to consider the adoption of a Resolution of Necessity on June 6, 2017, which if adopted, will authorize the City to acquire by eminent domain the real property described in this letter for the Orange County Transportation Authority ("OCTA") and the City of Santa Ana joint project that proposes to construct a modem streetcar system connecting the Santa Ana Regional Transportation Center to Harbor Boulevard and Westminster Avenue in the City of Garden Grove ("Project"). A legal description and map of the real property to be acquired is enclosed with this Notice as Exhibit "A" (the "subject property"). Please take notice that the City Council at its regularly scheduled meeting to be held on June 6, 2017, at 5:45 p.m., or as soon thereafter as the matter may be heard, at the City Council Chambers, 22 Civic Center Plaza, Santa Ana, CA 92702, will hold a hearing on whether a Resolution of Necessity should be adopted, as required by California Code of Civil Procedure § 1245.220, for the commencement of an eminent domain proceeding to acquire fee title to the subject property. You have the right to appear and be heard before the City Council at the above scheduled hearing on the following matters and issues, and to have the City Council give judicious consideration to your testimony prior to deciding whether or not to adopt the proposed Resolution of Necessity: 75E-85 May 17, 2017 Page 2 Whether the public interest and necessity require the proposed project; 2. Whether the proposed project is planned or located in the manner that will be most compatible with the greatest public good and the least private injury; 3. Whether the subject property sought to be acquired by the exercise of eminent domain as described in the Resolution of Necessity is necessary for the proposed project; 4. Whether the offer required by Government Code § 7267.2 has been made; 5. Whether the City has complied with all conditions and statutory requirements necessary to exercise the power of eminent domain (the "right to take") to acquire the subject properties, as well as any other matter regarding the right to take the subject properties by way of eminent domain; and 6. Whether the City has the statutory authority to acquire the subject property by eminent domain. On June 1, 2017, a copy of the proposed Resolution of Necessity will be available on the City's website at httl)://%v%vw.ei.santa-ana.ca.us/coc,'.granicus.asi), within the agenda materials for the June 6`h City Council Meeting. Also, a copy of the proposed Resolution of Necessity will be available upon your request on June 1, 2017, for inspection at the office of the Clerk of the Council at 20 Civic Center Plaza, g1h Floor, Santa Ana, CA 9270. This Notice has been sent to you because your name and the above listed address appear on the last equalized tax assessment roll of the County of Orange as being the name and address for tax bills to be sent for the subject property. The statutes authorizing the City to acquire the subject property by eminent domain for the proposed project include the City's Charter at § 200, Santa Ana Municipal Code § 41-781, California Code of Civil Procedure §§ 1240.010, 1240.110, Section 19 of Article I of the California Constitution, and California Government Code § 37350.5 and § 40404. If you desire to be heard, you must file a written request with the Clerk of the Council. The address for the Clerk of the Council is City Hall, City of Santa Ana, 20 Civic Center Plaza, M- 30, Santa Ana, CA 92702, and the facsimile number is (714) 647-6956. Alternatively, you may appear at the hearing and be given an opportunity to speak. The City will consider any written observations you may wish to submit before the hearing. Failure to comply with the provisions set forth above will, under California law, result in a waiver of the right to appear and be heard on the matters and issues which are the subject of this hearing. 75E-86 May 17, 2017 Page 3 However, if you elect not to appear and be heard in regard to compensation, your nonappearance will not be a waiver of your right to claim greater compensation in a court of law. The amount to be paid for the subject property will not be considered by the City Council at the hearing. If you elect not to appear and not to be heard, your failure to appear will be a waiver of your right to later challenge the City's right to take the subject property by eminent domain. This Notice is not intended to foreclose any negotiations between you and the City's representatives on the amount of compensation to be paid for the subject property. If the City Council elects to adopt a Resolution of Necessity, then within six (6) months the City may commence eminent domain proceedings in Orange County Superior Court. In that proceeding, the court will determine the amount of compensation to which you are entitled. Very truly yours, `nq a a MARIA D. HUIZAR CLERK OF THE COUNCIL Enclosures: Description of subject property and map (Exhibit A) Proof of Service by Mail SANTA ANA CITY COUNCIL Aliguel A. Nildo Ymcente Samdento Migrge AlaNnez Amgeliaa Amezma P. David Benwilos Roman Reyna IAaY or Maya No Tem, Ward t Ward WaNJ Ware) Word mould,,Zym� r arm,ndq@samaana as mmartine:m"15anlaana mm aam.zW.A,anta.aria as r/Uemawdesldsamaana or rt maennta. an. an 75E-87 Sal Tinajero Ward 6 fn- oa 1. EXHIBIT A LEGAL DESCRIPTION AND MAP LEGAL DESCRIPTION All that certain real property situated in the County of Orange, State of California, described as follows: Parcel A: The North one-half of Lot 17 of Tract No. 270, In the City of Santa Ana, County of Orange, State of California, as shown on a map recorded In Book 13, Page 48 of Miscellaneous Maps, in the office of the County Recorder of said county. Parcel B: Lot 18 and the South one-half of Lot 17 of Tract No. 270, In the City of Santa Ana, County of Orange, State of California, as shown on a map recorded in Book 13, Page 48 of Miscellaneous Maps, In the office of the County Recorder of said county. APN: 007-110-17 75E-88 75E-89 PROOF OF SERVICE BY MAIL STATE OF CALIFORNIA, COUNTY OF ORANGE I am employed in Orange County, California. I am over eighteen years of age and not a party to the within action; my residence/business address is 20 Civic Center Plaza, Santa Ana, California 92701. On May 17, 2017, I served the foregoing document described as NOTICE OF HEARING ON ADOPTION OF RESOLUTION OF NECESSITY on the interested parties in this action. [X] By placing [X] the original thereof enclosed in sealed envelopes as follows: Salvador Navarro 102 E. 41h Street Santa Ana, CA 92701 Salvador Navarro 1417 W. St. Andrew Place Santa Ana, CA 92704 [X] BY MAIL [ ] BY OVERNIGHT MAIL VIA UPS/FEDERAL EXPRESS [X] As follows: I am `readily familiar" with my employer's practice of collection and processing correspondence for mailing. Under that practice it would be deposited with U.S. Postal Service on that same day with postage thereon fully prepaid at Santa Ana, California in ordinary course of business. I am aware that on motion of the party served, service is presumed invalid if postal cancellation date or postage meter date is more than one day after date of deposit for mailing in affidavit. Executed on May 17, 2017 at Santa Ana, California. [X] (State) I declare under penalty of perjury under the laws of the State of California that the above is true and correct. 4PA JEA E . 75E-90