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FULL PACKET_2017-09-19
MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA CALLED TO ORDER ATTENDANCE PUBLIC COMMENTS - None SEPTEMBER 05, 2017 CLOSED SESSION MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:12 P.M. COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor P. DAVID BENAVIDES VICENTE SARMIENTO (5:20 P.M.) JOSE SOLORIO SAL TINAJERO (5:17 P.M.) JUAN VILLEGAS COUNCILMEMBERS Absent: MICHELE MARTINEZ, Mayor Pro Tem 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 5:13 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. PUBLIC EMPLOYEE — APPOINTMENT pursuant to Government Code Section 54957(b)(1). Title: City Manager CITY COUNCIL MINUTES 1 SEPTEMBER 5, 2017 10A-1 2. CONFERENCE WITH LEGAL COUNSEL --EXISTING LITIGATION pursuant to paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: 1. The Orange County Catholic Worker, et al v City of Santa Ana United States District Court for the Central District of CA (S.D.), Case No.: 8:17-cv- 01340 2. Maria Gomez, et al. v. City of Santa Ana United States District Court Southern Division Case No. SA CV 06-245 DOC (RNBx) *Mayor Pulido abstained on Agenda Item 2.2 out of an abundance of caution as he's had alleged conflicts. 3. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Personnel Services Executive Director, Ed Raya Employee Organizations: Service Employees' International Union (SEIU) Full -Time Employees CLOSED SESSION REPORT - See Item 19A for any reportable actions. THE CLOSED SESSION MEETING WAS ADJOURNED TO SEPTEMBER 18, 2017 AT 9:30 A.M AND MEET AT SANTA ANA CITY HALL, 8T" FLOOR, ROOM 831, 20 CIVIC CENTER PLAZA, SANTA ANA, CA; SAME MEMBERS CONVENED TO THE REGULAR OPEN MEETING AT 6:12 P.M. CITY COUNCIL MINUTES 2 SEPTEMBER 5, 2017 10A-2 REGULAR OPEN MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:15 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor P. DAVID BENAVIDES VICENTE SARMIENTO JOSE SOLORIO SAL TINAJERO JUAN VILLEGAS COUNCILMEMBERS Absent: MICHELE MARTINEZ, Mayor Pro Tem STAFF Present: CYNTHIA J. KURTZ, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PLEDGE OF ALLEGIANCE MAYOR PULIDO INVOCATION BOB BARNETT, POLICE CHAPLAIN PRESENTATIONS PROCLAMATION presented by MAYOR PULIDO recognizing September as World Alzheimer's Awareness Month. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SARMIENTO to Raquel Kelly Gabriel Ribera, a distinguished visitor from Toledo, Spain, for her Outstanding Contributions to the Social Welfare, Environment, Health and Employment within the Hispanic/Latino Community. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO to the TKO Boxing Club for their outstanding contributions to the community. CITY COUNCIL MINUTES 3 SEPTEMBER 5, 2017 10A-3 CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER TINAJERO to Kevin Nguyen for his outstanding academic achievement and obtaining a perfect score on the ACT test. UPDATE by Orange County Fire Authority Battalion Chief Randy Black of relief efforts by the Urban Search and Rescue Team who were deployed to Hurricane Harvey. INTRODUCTION of Interim Community Development Agency Executive Director Robert Zur Schmiede CLOSED SESSION REPORT — City Attorney Carvalho reported that Public Employee Appointment item has been Adjourned to September 18, 2017 at 9:30 a.m. to the 8th floor of City Hall; there were no other reportable actions, but noted for the record that Mayor Pulido abstained on Agenda Item 2.2 (Maria Gomez et al) out of an abundance of caution as he's had alleged conflicts. PUBLIC COMMENTS (Consent Calendar Items) • Peter Katz, spoke on Agenda Item 25E, expressed support for SEIU members and fair labor negotiations. CONSENT CALENDAR ITEMS MOTION: Approve staff recommendations on the following Consent Calendar items: Items 10A through 29A, with the following modifications: • Councilmember Sarmiento, pulled Agenda Items 19F for separate action and dissented on Agenda Item 19C; • Councilmember Benavides, pulled Agenda Item 23D for separate action; and • Councilmember Solorio, abstained on Agenda Item 25C due to campaign contribution. MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Benavides Benavides, Pulido, Sarmiento, Solorio, Tinajero, Villegas (6) None (0) None (0) Martinez (1) CITY COUNCIL MINUTES 4 SEPTEMBER 5, 2017 1OA-4 separate action or modified are ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF AUGUST 15, 2017 {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office MOTION: Approve Minutes. BOARDS I COMMISSIONS I COMMITTEES 13A. RECEIVE AND FILE BOARDS AND COMMISSIONS BIANNUAL ATTENDANCE REPORT JANUARY THROUGH JUNE 2017 {STRATEGIC PLAN NO. 5, 1} — Clerk of the Council MOTION: Receive and file. 13B. APPOINT ANDRES MATZKIN TO THE PERSONNEL BOARD FOR A PARTIAL -TERM EXPIRING DECEMBER 11, 2018 AS THE MAYORAL REPRESENTATIVE {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office MOTION: Appoint Andres Matzkin to the Personnel Board as the Mayoral representative (replaces E. Andres). 13C. APPOINT CELESTE DURAN TO THE YOUTH COMMISSION FOR A PARTIAL -TERM EXPIRING DECEMBER 15, 2020 AS THE WARD 3 REGULAR REPRESENTATIVE {STRATEGIC PLAN NO. 5, 1} - Clerk of the Council Office MOTION: Appoint Celeste Duran to the Youth Commission as a Regular Member representing Ward 3 (replaces J. Barron). 13D. APPOINT JOSEPH ACEVEDO TO THE YOUTH COMMISSION AS AN ALTERNATE MEMBER FOR A FULL-TERM EXPIRING DECEMBER 15, 2020 AS THE WARD 5 ALTERNATE REPRESENTATIVE {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office CITY COUNCIL MINUTES 5 SEPTEMBER 5, 2017 10A-5 MOTION: Appoint Joseph Acevedo to the Youth Commission as an Alternate Member representing Ward 5 (replaces J. Carrillo). 13E. APPOINT COUNCILMEMBER SARMIENTO TO THE TRANSPORTATION CORRIDOR AGENCY (TCA) {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office MOTION: Appoint Councilmember Sarmiento to the the Transportation Corridor Agency as the City of Santa Ana's alternate representative and serve at the pleasure of the City Council. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — None 19B. EXCUSED ABSENCES — Clerk of the Council Office MOTION: Excuse the absence of May Pro Tem Martinez from the September 5, 2017 City Council Meeting. 19C. DESTRUCTION OF OBSOLETE CITY RECORDS - {STRATEGIC PLAN NO. 5, 1) -Police Department MOTION: Approve the requests for the destruction of obsolete records from various City departments in accordance with the retention schedule outlined in City Council Resolution 2013-014. The Citywide Records Retention Schedule has specific retention periods for many City documents. The Schedule is modeled after the California Secretary of State's sample for local government and incorporates other statutory periods applicable to Santa Ana. These are minimum retention periods. Each department makes discretionary decisions on whether to retain records past the minimum requirements. *Councilmember Sarmiento dissented on Agenda Item 19C. 19D. RECEIVE AND FILE PUBLIC WORKS AGENCY STATUS OF PROJECTS - MONTHLY CAPITAL IMPROVEMENT PROGRAM (CIP) EXECUTIVE REPORT FOR AUGUST 2017 {STRATEGIC PLAN NO. 5, 1) — Public Works Agency The CIP Executive Summary Schedule is available on the City's website at: http://www.ci.santa- ana.ca. us/pwa/documents/Executive Month lvCI P pdateAugust2017 MOTION: Receive and file. CITY COUNCIL MINUTES 6 SEPTEMBER 5, 2017 10A-6 19E. AUTHORIZATION TO FILE RECEIVERSHIP ACTIONS AGAINST OWNERS OF REAL PROPERTIES LOCATED IN THE CITY OF SANTA ANA FOR NUISANCE CONDITIONS RESULTING FROM THE OPERATION OF ILLEGAL MARIJUANA DISPENSARIES {STRATEGIC PLAN NO. 3, 3) — City Attorney's Office MOTION: Authorize the filing and prosecution of receivership actions against the owners of the following properties based on nuisance conditions resulting from operating illegal marijuana dispensaries for an amount not to exceed $200,000: 1. Herbology 35 Cap, 4728 W. I" 2. 20 Cap Collective, 1139 W. 171h 3. Elevated Dreams Collective, 413 W. 17th and Sky High Holistic, 419 W. 17th 4. LOL, 2350 N. Grand Ave. and Wax on Wax-W.O.W., 2550 N. Grand Ave. NST OWNERS OF REAL PROPERTIES LOCATED IN THE CITY A ANA FOR GENERAL CODE ENFORCEMENT VIOLATI( ATF( -Ir: PI AN NIC) 'A '11 - rity Attnrnev's Office Councilmember Sarmiento, asked how said properties selected to prosecute receiverships. City Attorney Carvalho, noted that Code Enforcement Division consulted; funding availability and ease of case were variables used to establish list. MOTION: Authorize the filing and prosecution of receivership actions against the owners of the following properties based on nuisance conditions resulting from health and safety violations of the City's Municipal Code for an amount not to exceed $90,000: 1. 533 E. Washington 2. 1020 S. Hickory 3. 3604 W. Hazard 4. 1244 S. Parton 5. 1029 W. 2nd MOTION: Sarmiento VOTE: AYES: NOES: SECOND: Benavides Benavides, Pulido, Sarmiento, Solorio, Tinajero, Villegas (6) None (0) CITY COUNCIL MINUTES 7 SEPTEMBER 5, 2017 10A-7 ABSTAIN: None (0) ABSENT: Martinez (1) BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A. APPROVE AN AGREEMENT ACCEPTING OFFICE OF TRAFFIC SAFETY SELECTIVE TRAFFIC ENFORCEMENT (STEP) PROGRAM GRANT FUNDS AND APPROPRIATION ADJUSTMENT TO REDUCE AUTO FATALITIES AND INJURIES THROUGH EDUCATION AND ENFORCEMENT {STRATEGIC PLAN NO. 1,3131 - Police Department MOTION: 1. Authorize the City Manager and Clerk of the Council to execute a one- year Grant Agreement No. PT18133 with the State Office of Traffic Safety for Selective Traffic Enforcement Program (STEP) Grant funds, for the period of October 1, 2017 through September 30, 2018, in an amount not to exceed $455,000, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-236). 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2018 — 020 - Recognizing State of California, Office of Traffic Safety, Selective Traffic Enforcement Program (STEP) Grant funds in the amount of $455,000 in the Office of Traffic Safety revenue account and appropriate same to expenditure accounts. 20B. APPROVE AN APPROPRIATION ADJUSTMENT AND AMENDMENT TO THE FISCAL YEAR 2017/18 CAPITAL IMPROVEMENT PROGRAM TO UPDATE SENATE BILL NO. 1 (EUCLID STREET AND WESTMINSTER AVENUE ROAD REHABILITATION; AND FLOWER STREET AND MACARTHUR BLVD. PREVENTATIVE MAINTENANCE/SLURRY) AND AREA F FUNDING (BRISTOL STREET AND MEMORY LANE INTERSECTION WIDENING) {STRATEGIC PLAN NO. 6, 1 G) — Public Works Agency MOTION. 1. Approve an amendment to the Fiscal Year 2017/18 Capital Improvement Program to reduce the Road Maintenance and Rehabilitation Account CITY COUNCIL MINUTES 8 SEPTEMBER 5, 2017 10A-8 allocation and incorporate the Senate Bill No. 1 Road Repair and Accountability Act project list. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2018-021 - Decreasing the Road Maintenance and Rehabilitation Account allocation by $39,993 in the corresponding revenue and expenditure accounts to match California Department of Finance revised estimates. 3. Approve an amendment to the Fiscal Year 2017/18 Capital Improvement Program to add $40,000 in Transportation System Improvement Area F funds to the Bristol Street and Memory Lane Intersection Widening Project (No. 17-6883). 4. Approve an appropriation adjustment. (Requires rive affirmative votes) APPROPRIATION ADJUSTMENT NO. 2018 - 021 - Recognizing $40,000 from prior year fund balance in the Transportation System Improvement Area F revenue account, and appropriating the same amount into the Transportation System Improvement Area F expenditure account for the Bristol Street and Memory Lane Intersection Widening Project (No. 17-6883). PROJECTS/CHANGE ORDERS 23A. AWARD CONTRACT FOR 17TH STREET WATER MAIN IMPROVEMENTS - PHASE 2, BETWEEN BRISTOL STREET AND FLOWER STREET (PROJECT 16-6468) f STRATEGIC PLAN NO. 6, 1 C} - Public Works Agency MOTION: 1. Authorize the City Manager and Clerk of the Council to award and execute a construction contract to AMPCO Contracting, Inc., the lowest responsible bidder, in accordance with the bid in the amount of $1,129,000, for the term beginning upon execution of the contract and ending upon project completion, for the construction of the 17th Street Water Main Improvements — Phase 2 Project, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $1,411,250, which includes the contract base amount, administration, inspection, testing, and a $112,900 contingency. 23B. AWARD CONTRACT FOR CONSTRUCTION OF ALLEY IMPROVEMENTS IN THE EASTSIDE NEIGHBORHOOD AND AUTHORIZE THE REALLOCATION OF UNSPENT FUNDS OF PRIOR COMPLETED PROJECTS (PROJECT NOS. CITY COUNCIL MINUTES 9 SEPTEMBER 5, 2017 10A-9 17-6891, 16-6865, AND 15-6842) {STRATEGIC PLAN NO, 6, 1 B & 1 G} - Public Works Agency MOTION. 1. Authorize the City Manager and the Clerk of the Council to award and execute a construction contract to Harry H. Joh Construction, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $377,621.30, for the term beginning upon execution of the contract and ending upon project completion, for construction of the FY 2014-15, 2015-16, and 2016-17 Alley Improvement Program projects, subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $472,028, which includes the contract base bid, administration, inspection, testing, and a $56,644 contingency. 3. Authorize the reallocation of $45,307 in unspent FY 2013-14 Gas Tax Funds and $114,162 in unspent FY 2014-15 Measure M2 Local Fairshare Funds from various completed projects to the Alley Improvement Program projects for FY 2014-15 (Project No. 15-6842, $77,097), FY 2015-16 (Project No. 16-6865, $24,830), and FY 2016-17 (Project No. 17- 6891, $57,542). 23C. AWARD CONTRACT FOR CONSTRUCTION OF THORNTON PARK SECURITY LIGHTING (PROJECT 16-2655) {STRATEGIC PLAN NO. 6, 113 & 1G) - Public Works Agency; and Parks, Recreation and Community Services Agency MOTION: 1. Authorize the City Manager and the Clerk of the Council to award and execute a construction contract to California Professional Engineering, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $94,500, for the term beginning upon execution of the contract and ending upon project completion, for construction of the Thornton Park Security Lighting Project, subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $127,575, which includes the contract base bid, administration, inspection, testing, and an $18,900 contingency. CITY COUNCIL MINUTES 10 SEPTEMBER 5, 2017 10A-10 ARKING STRUCTURE), 300 EAST FIFTH STREET (5TH/SPURG ARKING STRUCTURE), AND 301 NORTH BUSH STREET (3RD/B ARKING LOT) (PROJECT NOS. 16-1301, 16-1302 16-1303, 16-1 ;-roATccir of ANI Nlnc a 1 r,1_ Puhlir. Wnrks Aaencv. Councilmember Benavides, noted that project will modernize structures throughout the Downtown; requested timeline to completion. Public Works Executive Director, Fred Mousavipour, indicated that project expected to be completed in 6-9 months. MOTION: 1. Reject all bids received on March 30, 2017, for construction of the Downtown Parking Facility Improvements project, due to changes in the scope of work. 2. Award a contract and authorize the City Manager and Clerk of the Council to execute a construction contract to USS Cal Builders, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $2,809,485, for the term beginning upon execution of the contract and ending upon project completion, for the Downtown Parking Facility Improvements project, subject to non -substantive changes approved by the City Manager and the City Attorney. 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $3,275,000, which includes the contract bid amount, administration, inspection and testing, and an authorized contingency of $345,515. MOTION: Benavides VOTE: AYES: NOES: ABSTAIN ABSENT: AGREEMENTS SECOND: Villegas Benavides, Pulido, Sarmiento, Solodo, Tinajero, Villegas (6) None (0) None (0) Martinez (1) 25A. APPROVE FIRST AMENDMENT TO THE AGREEMENT FOR INSTALLATION OF FLAGS IN DOWNTOWN TO PERMIT PREPAYMENT AND ASSOCIATED CITY COUNCIL MINUTES 11 SEPTEMBER 5, 2017 10A-11 DISCOUNT {STRATEGIC PLAN NO. 3, 4A} {STRATEGIC PLAN NO. 3, 4A} - Community Development Agency MOTION: Approve an Amendment to the agreement with Exterior Products for installation of American flags in Downtown. (AGMT. No. 2017-237). 25B. APPROVE AN AMENDMENT TO AGREEMENT FOR KIOSK WARRANTY AND SOFTWARE SUPPORT SERVICES {STRATEGIC PLAN NO. 4, 11 - Finance and Management Services MOTION. Authorize the City Manager and Clerk of the Council to execute an amendment with C.E. Dean Enterprises, Inc. DBA as LD Systems for hardware warranty and software support services pertaining to the City's Payment Kiosk for the period beginning September 1, 2017 through December 31, 2020, for an amount not to exceed $77,675, which includes a $25,000 contingency; along with a provision for a six-month extension (January 1, 2021 to June 30, 2021) exercisable by the City Manager and the City Attorney, in an amount not to exceed $3,550 subject to non -substantive changes approved by the City Manager and the City Attorney (AGMT. No. 2017-238). 25C. APPROVE FIRST AMENDED AGREEMENT FOR EMERGENCY TRANSPORTATION SERVICES (AMBULANCE SERVICES) {STRATEGIC PLAN NO. 1, 51 - Finance and Management Services MOTION: Authorize the City Manager and Clerk of the Council to execute an extension with CARE Ambulance Services, Inc. for the period beginning September 20, 2017 through June 30, 2018 for an amount not to exceed $2,725,000, with a provision for a six-month extension (July 1, 2018 to December 31, 2018) exercisable by the City Manager and the City Attorney, in an amount not to exceed $ 1,752,000 subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-239). *Councilmember Solorio abstained on Agenda Item 25C due to a campaign contribution. 25D. APPROVE AN AGREEMENT FOR POLICE DEPARTMENT JANITORIAL SERVICES {STRATEGIC PLAN NO. 1, 3} - Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute a three-year agreement with Santa Fe Building Maintenance for the period of October 1, 2017 through September 30, 2020, in an amount not to exceed $1,637,289.84, which includes a $15,000 contingency, subject to non - CITY COUNCIL MINUTES 12 SEPTEMBER 5, 2017 10A-12 substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-240). 25E. RECEIVE AND FILE EMPLOYEE HEALTH INSURANCE RATE RENEWALS FOR CALENDAR YEAR 2018 AND EMPLOYEE DENTAL, LIFE AND LONG- TERM DISABILITY, AND VISION INSURANCE FOR CALENDAR YEARS 2018- 2019; APPROVE AN AGREEMENT FOR EMPLOYEE ASSISTANCE PLAN SERVICES AND FOR MANAGEMENT OF FLEX SPENDING ACCOUNTS AND RETIREE DENTAL BILLING SERVICES; AND, RECEIVE AND FILE CONTINUED AGREEMENT WITH ICMA-RC VANTAGECARE RETIREMENT HEALTH SAVINGS (RHS) PLAN {STRATEGIC PLAN NO. 7, 61 - Personnel Services Agency MOTION: 1. Receive and file rates for employee health insurance through CaIPERS for calendar year 2018. 2. Receive and file rates for employee dental insurance with Delta Dental and MetLife, employee life and long-term disability insurance coverage through Aetna and employee vision insurance through EyeMed for the calendar years 2018 and 2019. 3. Authorize the City Manager and Clerk of Council to execute an agreement with REACH to provide employee assistance plan services from January 1, 2018 to December 31, 2020 at a monthly cost of $1.85 per full time employee and $1.25 per part-time employee, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-241). 4. Authorize the City Manager and Clerk of the Council to execute an agreement with TASC to provide employee flexible spending accounts, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-242). 5. Authorize the City Manager and Clerk of the Council to execute an agreement with TASC to provide Retiree Dental Billing services, effective April 1, 2017 subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-243). 6. Receive and file continued agreement with ICMA-RC as the Plan Administrator of the VantageCare Retiree Health Savings Plan through December 31, 2018. MISCELLANEOUS - BUDGET CITY COUNCIL MINUTES 13 SEPTEMBER 5, 2017 10A-13 29A. DONATION AGREEMENT WITH ORGANIZATIONS TO SUPPORT COMMUNITY EVENTS AND PROGRAMS {STRATEGIC PLAN NO. 5,41 — City Council MOTION. Authorize the City Manager and Clerk of the Council to execute agreements with various organizations in support of their community events and programs, subject to non -substantive changes approved by the City Manager and the City Attorney, as follows: 1. Heritage Museum of Orange County to support the Halloween Spooktacular, a free community event in celebration of Dia de Los Muertos, in the amount of $500 (Mayor Pulido); 2. Heritage Museum of Orange County to support the Halloween Spooktacular, a free community event in celebration of Dia de Los Muertos, in the amount of $500 (Councilmember Tinajero). **END OF CONSENT CALENDAR** CLERK OF THE COUNCIL ADMINISTERED OATHS OF OFFICE TO THE NEWLY APPOINTED COMMISSIONERS: ANDRES MATZKIN AND JOSEPH ACEVEDO. BUSINESS CALENDAR ITEMS PUBLIC HEARINGS 75A. PUBLIC HEARING — ZONING ORDINANCE AMENDMENT NO. 2016-03 TO AMEND CERTAIN SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE — CITY OF SANTA ANA, APPLICANT {STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Consideration of matter continued from the April 18, 2017 City Council meeting by a vote of 5-0 (Sarmiento and Tinajero absent). Legal Notice published in the Orange County Reporter August 25, 2017. Mayor Pulido opened the Hearing. Ricardo Garibay, expressed strong support for ordinance. Mayor Pulido closed the Hearing. Councilmember Benavides, asked if aesthetic requirements could be reviewed when approving/renewing conditional use permits for wireless facilities. Interim Executive Director of Planning and Building Agency, Candida Neal, noted that conditional use permits are evaluated; code enforcement handles noncompliance cases. CITY COUNCIL MINUTES 14 SEPTEMBER 5, 2017 1 OA -14 Councilmember Sarmiento, thanked Interim City Manager for efforts to bring this matter forward; need to have expedited review process to generate revenue; proposed changes are consistent with those of surrounding cities. Interim City Manager, noted that staffing needs both for inspections and plan check review currently being assessed, consultants handling back -log. MOTION: Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2923 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING VARIOUS SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE INCLUDING SECTION 41-198.13 (WIRELESS FACILITIES), SECTION 41-246 (R-2/TWO-FAMILY RESIDENCE), SECTION 41-593.4 AND 41-593.5 (SPECIFIC DEVELOPMENT/SD SITE PLAN REVIEW), SECTION 41-638.1 (MINOR EXCEPTION), SECTION 41-639 (PLANNING COMMISSION TO MAKE FINDINGS OF FACT), SECTION 41-642 (REVIEW OF DECISION OF PLANNING COMMISSION BY CITY COUNCIL; HEARING), SECTION 41-645 (APPEALS FROM DECISIONS OF PLANNING COMMISSION AND/OR.. ZONING ADMINISTRATOR -GENERALLY), SECTIONS 41-668 AND 41-669 (DEVELOPMENT PROJECT APPROVAL), AND SECTIONS 41-1309, 41-1309.1, 41-1346, 41-1375 AND 41-1411 (VARIOUS PARKING STANDARDS) MOTION: Benavides SECOND: Tinajero VOTE: AYES: Benavides, Pulido, Sarmiento, Solorio, Tinajero, Villegas (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Martinez (1) PUBLIC COMMENTS (Considered Out of Order) • Wayne Bakker, thanked the City Council for service to the community, commented on efforts by members of SEIU and urged consideration for 'h% of general fund for salary increases. • Milly C. Lugo -Rios, library staff member, expressed support for fellow SEIU members. • Katia Canlas, Orange County Labor Federation Labor Communications Coordinator, noted that as a former City employee highly values the work and efforts of City employees — should be justly compensated. CITY COUNCIL MINUTES 15 SEPTEMBER 5, zui I 10A-15 • Gloria Alvarado, proud resident and supporter of SEIU employees; important to acknowledge contribution of all staff members. • Gilbert Davila, commented on varying services provided by members of SEIU; hard work and dedication should be equitably compensated. • Yvette Portugal, resident of the City; spoke in support of filling jail until reuse plan adopted. • Nick Koleu PHD, P.E., spoke of claim filed on a white collar crime regarding unethical behavior at the Child Support Services; police department should process complaint. • La She Rodriguez, representing environmental non-profit organization, spoke against off shore coast drilling. PUBLIC HEARINGS (Continued) 75B. PUBLIC HEARING - ADOPT AN ORDINANCE FOR THE REGISTRATION OF ABANDONED AND DEFAULTED RESIDENTIAL/COMMERCIAL PROPERTY AND ADOPT A RESOLUTION TO ADD THE $480 FEE FOR SERVICES IN THE FISCAL YEAR 2017/18 MISCELLANEOUS FEE SCHEDULE {STRATEGIC PLAN NO. 5, 4} - Planning and Building Agency Legal Notice published in the Orange County Reporter August 25, 2017 and September 1, 2017. MOTION. Continue consideration of matter to the September 19, 2017 Council Meeting per staffs request. MOTION: Benavides SECOND: Villegas VOTE: AYES: Benavides, Pulido, Sarmiento, Solorio, Tinajero, Villegas (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Martinez (1) *Mayor Pulido, abstained on Agenda Item 75C out of an abundance of caution and did not participate in the delibration of said mater. By unanimous consent, Councimember Benavides was elected presiding Chair. 75C. PUBLIC HEARING - ADOPT AN ORDINANCE TO REGULATE MOBILE FOOD VENDING VEHICLES AND DIRECT STAFF TO DEVELOP AN ELECTRICAL POWER OPTIONS PROGRAM FOR MOBILE VENDORS {STRATEGIC PLAN NO 5, 4} - Planning and Building Agency CITY COUNCIL MINUTES 16 SEPTEMBER 5, 2017 10A-16 Legal Notice published in the Orange County Reporter on August 25, 2017; in the Orange County Register on August 26, 2017; in La Opinion on August 29, 2017; and notices mailed on August 27, 2017. Acting Chair Benavides, opened the Hearing. • Richard Garcia, spoke on behalf of businesses in the City; need regulations to address and protect the brick and mortar businesses. Acting Chair Benavides, closed the Hearing. Councilmember Tinajero, inquired as measuring method (specifically for schools) — is it 250 feet from point of entrance?; schools have varying front entrances with limited access; overall City moving in right direction; proposed friendly amendment to motion to direct staff to return in 60 days to explore green stripping areas where the vending trucks would be assessed an extra business license fee and if plug into City owned electric outlet may also assess extra fee. Motion seconded by Councilmember Sarmiento. Code Enforcement Manager, Alvaro Nunez, noted that policy being developed in collaboration with City Attorney's office; safety factor and property line are some of the topics being considered. City Attorney Carvalho, noted that some vendors were considered about measuring distance from the back of the school; staff focused on accessibility to children and also number of exits available at each location; intent of ordinance is to measure from ingress and egress; initial ordinance was 500 from school property boundaries, but has since been modified; compromise would be that each school assessed. Interim City Manager Kurtz, indicated that purchase of Edison owned street lights issue being considered by the Public Utility Commission; City to return on that matter in 90 days. Councilmember Sarmiento, thanked staff for crafting recommendations and working with community in finding solutions; City could use mobile vending as an asset. Councilmember Villegas, asked if proposed ordinance require vendors to have trash cans and what if any parking limits apply; commented that chief complaint is extended parking. Code Enforcement Manager Nunez, noted parking limits need to correlate to public safety findings. Councilmember Solorio, asked if private streets or those with CC&R would apply; thanked all involved in bringing ordinance forward; new food association CITY COUNCIL MINUTES 17 SEPTEMBER 5, 2017 10A-17 formed to represent interest — Santa Ana Food on Wheels Association; proposed an additional friendly amendment to include a pilot program for a food truck island. City Attorney Carvalho, noted that provisions only apply to public streets; thanked vendors. FRIENDLY AMENDMENT TO MOTION: Direct staff to return in 60 days with Update - areas to consider include green striping areas to use for extra fee, update on purchase of electric poles (from So. California Edison) for possible use of outlets by vendors for added fee and also review use of remnant property to use as pilot program for food truck islands; and 1. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2924 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE NEW FOOD VENDING VEHICLE ORDINANCE IN CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE 2. Direct staff to return with a program to provide mobile vendors electrical power options upon purchase of street lights. MOTION: Tinajero VOTE: AYES: NOES: ABSTAINED AND NOT PRESENT: ABSENT: *Mayor Pulido resumed Chair position. SECOND: Sarmiento Benavides, Sarmiento, Solorio, Tinajero, Villegas (5) None (0) Pulido (1) Martinez (1) RECESSSED CITY COUNCIL MEETING AT 7:44 P.M. TO THE HOUSING AUTHORITY MEETING AND RECONVENED WITH SAME MEMBERS PRESENT AT 7:45 P.M. COMMENTS CITY COUNCIL MINUTES 18 SEPTEMBER 5, 2017 10A-18 90A. CITY MANAGER'S COMMENTS Interim City Manager Kurtz, invited all to attend upcoming Fiestas Patrias and Savor Santa Ana. PUBLIC COMMENTS (Considered Out of Order) • Rick Niedermayer, requested consideration of funds to improve the condition of the Dan Young Soccer Field instead of funding a new soccer complex. 90B. CITY COUNCILMEMBER COMMENTS Councilmember Solorio: Commented on hot and dry summer that has impacted City owned trees along the medians — process through the State board to receive a waiver on conservation mandates; need long term strategy. Councilmember Villegas: Thanked Orange County: Fire Authority Battalion Chief Black for update; strike team also deployed to nearby California fires. Councilmember Benavides: • Echoed comments on taking care of urban forest; water drip and other methods should be studied; important to preserve our trees; and • Tonight celebrated diversity of City by recognizing student's academic achievement, should celebrate immigrant community; City has been leader to support Dream Act; noted that future of many members of community threatened by current administration requested Council Agenda Item (85A) at the next City Council Meeting to condemn current action and urge congress to act swiftly to reaffirm Dream Act. Councilmember Sarmiento: • Thanked staff for efforts; and • Echoed comments by Councilmember Benavides on DACA and Dream Act; noted that approximately 400-600 residents currently gathered to oppose President Trump's Executive Order that will also ban transgender individuals from serving in the military and Muslim travel; supports Councilmember Benavides's request to agendize matter; need immigration reform and support our community. Councilmember Tinajero: Denounced Executive Order by US President Trump to eliminate DACA; many DACA members have proudly served our country and contributing members of our community; asked all organizations including POA and SEIU to join efforts to support non -criminal DACA members. CITY COUNCIL MINUTES 19 SEPTEMBER 5, 2017 10A-19 Mayor Pulido • Meeting Adjourned to a Closed Session on September 18, 2017 at 9:30 p.m. PUBLIC COMMENTS (Considered Out of Order) • Alejandro Vega, provided general comments for council consideration. ADJOURNED - 8:03 P.M. The Closed Session Meeting was Adjourned to September 18, 2017 at 9:30 a.m. and will convene at Santa Ana City Hall, 8th Floor, Room 831, 20 Civic Center Plaza, Santa Ana, CA. The next regular meeting of the City Council is scheduled for Tuesday, September 19, 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 • Labor Contracts CITY COUNCIL MINUTES 20 SEPTEMBER 5, 2017 1 OA -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: ORDINANCE SECOND READING: ZONING ORDINANCE AMENDMENT NO. 2016-03 TO AMEND CERTAIN SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE — CITY OF SANTA ANA, APPLICANT (STRATEGIC PLAN NO. 5, 1) (STRATEGIC PLANO NO. 6, 1) / Place ordinance on second reading and adopt. CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER On September 5, 2017, the following ordinance was introduced for first reading and City Council authorized publication of title by a vote of 6-0 (Mayor Pro Tem Martinez absent): ORDINANCE NO. NS -2923 — AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING VARIOUS SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE INCLUDING SECTION 41-198.13 (WIRELESS FACILITIES), SECTION 41-246 (R-2/TWO-FAMILY RESIDENCE), SECTION 41-593.4 AND 41-593.5 (SPECIFIC DEVELOPMENT/SD SITE PLAN REVIEW), SECTION 41- 638.1 (MINOR EXCEPTION), SECTION 41-639 (PLANNING COMMISSION TO MAKE FINDINGS OF FACT), SECTION 41-642 (REVIEW OF DECISION OF PLANNING COMMISSION BY CITY COUNCIL; HEARING), SECTION 41-645 (APPEALS FROM DECISIONS OF PLANNING COMMISSION AND/OR ZONING ADMINISTRATOR - GENERALLY), SECTIONS 41-668 AND 41-669 (DEVELOPMENT PROJECT APPROVAL), AND SECTIONS 41-1309, 41-1309.1, 41-1346, 41-1375 AND 41-1411 (VARIOUS PARKING STANDARDS) 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). 11 A-1 Ordinance — Second Reading: Chapter 39 SAMC August 1, 2017 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. �f�� Caria D. Huizar, lerk of the Council EXHIBIT: Ordinance No. NS -2923 11 A-2 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING VARIOUS SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE INCLUDING SECTION 41-198.13 (WIRELESS FACILITIES), SECTION 41-246 (R-2/TWO-FAMILY RESIDENCE), SECTION 41-593.4 AND 41-593.5 (SPECIFIC DEVELOPMENT/SD SITE PLAN REVIEW), SECTION 41-638.1 (MINOR EXCEPTION), SECTION 41- 639 (PLANNING COMMISSION TO MAKE FINDINGS OF FACT), SECTION 41-642 (REVIEW OF DECISION OF PLANNING COMMISSION BY CITY COUNCIL; HEARING), SECTION 41-645 (APPEALS FROM DECISIONS OF PLANNING COMMISSION AND/OR ZONING ADMINISTRATOR -GENERALLY), SECTIONS 41-668 AND 41-669 (DEVELOPMENT PROJECT APPROVAL), AND SECTIONS 41-1309, 41-1309.1, 41-1346, 41-1375 AND 41- 1411 (VARIOUS PARKING STANDARDS) 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. Various sections within Chapter 41 of the Santa Ana Municipal Code (Zoning) have been revised periodically over the last several years to respond to changes in development, to adopt new permitting procedures, and to comply with changes to state and federal laws. In a continuing effort to establish high-quality development standards and to create a user friendly environment for residents and the business community within the city, the Planning Division is proposing revisions to various sections of the Zoning Code. B. After a thorough analysis of the current code requirements in the city, staff identified a number of code amendments and additions that are necessary to ensure clear, uniform, and legally consistent regulations. The proposed changes and additions will enable the City to implement a regulatory framework that both protects the health, safety, and welfare of the city and limits undue strain on homeowners, business.operators and.developers. _. __ Ordinance No. NS-XXXX Page 1 of 12 11 A-3 C. Zoning Ordinance Amendment No. 2016-03 amends various sections in Chapter 41, including Section 41-198.13 (wireless facilities), Section 41- 246 (R-2/Two-Family Residence), Section 41-593.4 and 41-593.5 (Specific Development/SD site plan review), Section 41-638.1 (minor exception), Section 41-639 (Planning Commission to make findings of fact), Section 41-642 (review of decision of Planning Commission by City Council; hearing), Section 41-645 (appeals from decisions of Planning Commission and/or Zoning Administrator -generally), Sections 41-668 and 41-669 (development project approval), and Sections 41-1309, 41-1309.1, 41-1346, 41-1375 and 41-1411 (various parking standards). D. On March 13, 2017, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt Zoning Ordinance Amendment No. 2016-03 to amend Chapter 41 of the Santa Ana Municipal Code including Section 41-198.13 (wireless facilities), Section 41-246 (R-2/Two-Family Residence), Section 41-593.4 and 41- 593.5 (Specific Development/SD site plan review), Section 41-638.1 (minor exception), Section 41-639 (Planning Commission to make findings of fact), Sections 41-668 and 41-669 (development project approval), and Sections 41-1309, 41-1309.1, 41-1346, 41-1375 and 41-1411 (various parking standards). E. On September 5, 2017, the City Council held a duly noticed public hearing and voted to adopt Zoning Ordinance Amendment No. 2016-03 to amend Chapter 41 of the Santa Ana Municipal Code. Section 2. Pursuant to the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061(b)(3), and a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Section 41-198.13 (wireless facilities) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-198.13. Same -Conditional Use Permit Expiration. Each wireless communication facility approved pursuant to this article shall be approved for a period not to exceed ten (10) years. Section 4. Section 41-246 (R-2/Two-Family Residence) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: DIVISION 4. R2 (TWO FAMILY RESIDENCE) Ordinance No. NS-XXXX Page 2 of 12 11 A-4 Section 41-246. Applicability of Regulations. R-2 (two-family residence) districts are specifically subject to the regulations contained in this division, except that one -family dwellings are subject to the design and development standards set forth in Division 3 of this article, townhouses are subject to the design and development standards set forth in Division 6 of this article, and uses allowed under section 41-247.5 are subject to the design and development standards set forth in this article. Section 5. Sections 41-593.4 and 41-593.5 (Specific Development/SD site plan review) of Chapter 41 of the Santa Ana Municipal Code are hereby amended to read as follows: Sec. 41-593.4. Submission of Development Plans; Architectural Review. (a) Any application for a permit for a building or structure in the SD District shall be accompanied or preceded by the filing with the director of planning of a specific development plan which shall be one of either of the following types: (1) A plan consisting of architectural drawings or sketches and plot plans, all to a workable scale, showing the elevation of the proposed building or structure, signs, proposed landscaping or other treatment of grounds around such building or structure, off-street parking and other physical features such as trees, hydrants, poles, and other installations, and in addition, such other plans, drawings or information as may be determined by the director of planning to be necessary to fully evaluate any requirement for a building permit; (2) A plan consisting of standards and regulations pertaining to the following: (i) The height, location, and bulk of buildings: (ii) The location, arrangement and configuration of open space and building setback; (iii)The location and design of off-street parking areas; (iv)The number, size, and location of all signs; (v) Such other regulations and standards as may be necessary to accomplish the purposes and intent of this division or to insure the proper execution of the general plan. (b) Upon receipt of a specific development plan by the director of planning, the same shall be referred to the planning division for review and recommendations. The planning division shall review said plans for the purpose of ensuring that buildings, -structures; and grounds will be in keeping with the neighborhood and will not be detrimental to the Ordinance No. NS-XXXX Page 3 of 12 11 A-5 harmonious development of the city or impair the desirability of investment or occupation in the neighborhood. Sec. 41-593.5. Approval of specific development plans. No permit for a building or structure shall be issued for any property subject to the provisions of this division until the following requirements have been met: (a) If the property is within a zoning district classification combined with an SD suffix, the applicant must obtain for said property a conditional use permit permitting use of the property in accordance with a specific development plan. Said conditional use permit shall be approved, conditionally approved, or denied in accordance with the provisions of Article V of this chapter. All development shall be in compliance with all conditions of approval prior to issuance of a utility release by the director of building. (b) If the property is within an SD District, the specific development plan must be adopted by ordinance of the city. Such ordinance, in addition to adopting the specific development plan, shall specify the uses permitted on such property, together with any restrictions or conditions pertaining to such uses. Section 6. Section 41-638.1 (minor exception) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-638.1. Minor Exceptions from Off -Street Parking Requirements (a) Minor exceptions from the off-street parking regulations referenced in this section shall be subject to grant or denial by the Planning Manager based upon the standards set forth in this section and not upon the standards set forth in Section 41-638. (b) A minor exception from the requirement that required parking areas be integrated such that a vehicle need not enter a street to move from one aisle to another may be granted if: (i) The stalls in an aisle are all reserved or assigned so as to be unavailable for parking by persons permitted to park in another aisle; or (ii) A parking area serves an'office use and is immediately across a street or alley from it; or Ordinance No. NS-XXXX Page 4 of 12 11 A-6 (iii) The parking area is wholly or partly within a structure. (c) A minor exception may be granted from the provisions of this chapter requiring each use to have its required number of off-street parking stalls to allow: (i) Two (2) or more independent uses to share required parking stalls provided no conflict will arise between parking for one use and parking for another due to differences in time of primary utilization of parking as between such uses. (ii) Any use conducted in a building which cannot reasonably be considered as within the scope of any other section of this article setting minimum parking space requirements, unless a parking demand analysis is required at the discretion of the Planning Manager. (d) A minor exception may be granted from the off-street parking design requirements of this chapter to allow for tandem parking if the parking area is adequately managed by a valet service or parking management plan. (e) No minor exceptions shall be granted under this section if the effect would be to substantially increase difficulties of vehicle maneuverability or traffic congestion. Any minor exception granted under this section may be conditioned to avoid such adverse impacts, including the condition of maintaining parking according to an approved parking site and/or management plan. Section 7. Section 41-639 (Planning Commission to make findings of fact) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-639. Planning Commission to Make Findings of Fact; Filing, Review. In granting or denying a variance, conditional use permit or minor exception, the planning commission shall make a written finding which shall specify all facts relied upon by said commission in rendering its decision and in attaching conditions and safeguards. A copy of the decision of the planning commission, together with the written finding of fact, shall be filed with the clerk of the council, with the city planning division, and mailed to the applicant. All decisions of the planning commission shall_be final. unless appealed to the city council by_any _ Ordinance No. NS-XXXX Page 5 of 12 11 A-7 interested party, individual or group pursuant to Section 41-645 or set for public hearing by the City Council pursuant to Section 41-642. Section 8. Section 41-642 (Review of Decision of Planning Commission by City Council) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-642. - Review of decision of planning commission by city council; hearing. Upon the filing, by the planning commission, of a written finding of fact with the clerk of the council, the council may review and appeal said finding as set forth herein and in the timeframe set forth in Section 41-645(b). If the council is dissatisfied with the action of the planning commission or is of the opinion that the matter is of such magnitude as to be of special interest to the people of the City of Santa Ana it may, by majority vote, set the matter for a public hearing to be held at a regular or adjourned meeting with public notification made by the planning department as was required for the initial hearing; otherwise, all decisions of the planning commission shall be final. Section 9. Section 41-645 (Appeals from decisions Planning Commission of planning commission and/or zoning administrator -Generally) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-645. - Appeals from decisions of planning commission and/or zoning administrator -Generally. (a) An appeal from a decision or requirement of the planning commission or zoning administrator may be made by any interested party, individual or group. (b) Any appeal made under the terms of this article shall be made within ten (10) calendar days following the date of the decision by the planning commission or zoning administrator. Further, said appeal period shall end at 5:00 p.m. on the tenth calendar day following said date of the decision by the planning commission or zoning administrator. If said tenth calendar day ends on a Saturday, Sunday or holiday, the ten (10) day period shall end at 5:00 p.m. on the next regular business day. (c) All appeals shall be in writing and on forms provided by the planning department and shall specify wherein there was any error of decision or requirement by the commission or zoning administrator. Furthermore, a copy of said appeal shall be filed with the planning department and the clerk of the council. (d) Upon receipt of said appeal of the decision of the planning commission,- the planning department shall set the matter for hearing by the council. In the event the Ordinance No. NS-XXXX Page 6 of 12 11 A-8 matter is an appeal from a ruling by the zoning administrator, the matter shall be heard by the planning commission. (e) All appeals shall be heard in the same manner as prescribed for the original hearing. (f) Upon filing of an appeal, the planning department shall forward to the clerk of the council a copy of the written findings, maps, papers and exhibits upon which the decision of the planning commission and/or zoning administrator was based. (g) The council, or in the case of a zoning administrator appeal, the planning commission, may, after public hearing, affirm, reverse, change, modify the original decision and may make any additional determination it shall consider appropriate within the limitations imposed by this chapter. Such decision shall be filed with the clerk of the council, and the city planning department; one (1) copy thereof shall be sent to the applicant. Section 10. Sections 41-668 and 41-669 (development project approval) of Chapter 41 of the Santa Ana Municipal Code are hereby amended to read as follows: DIVISION 3. - DEVELOPMENT PROJECT PLAN APPROVAL Sec. 41-668. Definitions. (a) Development project As used in this division, the term "development project' includes any of the following projects: (1) The new construction of any building or buildings, and additions to any existing building or buildings, if new floor space of two thousand five hundred (2,500) square feet or more is constructed or added; but excluding the following: a. Single family homes; b. Room additions to duplexes; c. Tenant improvements not involving a change of use; d. Facade improvements; e. Equipment covers or structures to cover equipment. (2) Tenant improvements involving an intensification or change in occupancy classification. (3) Any project that requires a discretionary approval, excluding conditional use permits for operation of eating establishments between the hours of -12:00 Ordinance No. NS-XXXX Page 7 of 12 11 A-9 a.m. and 5:00 a.m. and conditional use permits for the sale of alcoholic beverages. (b) Discretionary approval: As used in this division, the term "discretionary approval' means a conditional use permit, variance, minor exception, tentative map approval, change in use district designation, or similar entitlement for development, the granting of which involves the exercise of discretion, other than the plan approval process set forth in this division. Sec. 41-669. Plan Approval. No building permit shall be issued for any development project unless consistent with plans that have been approved for such development project in accordance with this division, except as otherwise provided in a discretionary approval. Section 11. Section 41-1309 (interpretation of parking standards) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-1309. Interpretation of Standards. In interpreting the parking standards set forth in this article, the following rules shall govern: (1) Wherever required off-street parking is based upon gross floor area, the number of required spaces shall be determined by applying the appropriate mathematical ratio. If the product is not a whole number, the number of required spaces shall be the next lower natural number if the decimal fraction is less than five -tenths (0.5) or the next higher natural number if the decimal fraction is five -tenths (0.5) or more. Wherever required off-street parking is based upon some other factor, the number of required spaces shall be determined by the same arithmetical process. (2) Wherever two (2) or more uses identified in this article exist on the same site or within the same building: a. The number of parking spaces required for each use shall be determined separately. b. Except as provided in sections 41-1390 and 41-1391, ancillary activities or uses within a single tenant space not exceeding fifteen (15) percent of Ordinance No. NS-XXXX Page 8 of 12 11A-10 the gross floor area shall be calculated at the parking ratio of the primary use. (3) Wherever a particular use of property can be classified under more than one (1) section of this article which sets minimum parking space requirements, the section which contains the more specific use description shall apply. If two (2) or more equally specific sections apply, the section imposing the higher standard shall apply. (4) Wherever required parking is based upon the number of seats in an area, eighteen (18) inches of bench space shall be deemed the equivalent of one (1) seat. (5) Reduction in parking due to disabilities upgrade may be granted. When required solely as a need to upgrade existing parking facilities to comply with Americans with Disabilities Act (ADA), Title III and California Code of Regulations (CCR), California Access Code, Title 24, may be reduced at the discretion of the Planning Manager. (6) Additions of floor area up to twenty-five (25) percent of a designated historic resource on the Santa Ana Register of Historic Properties shall be exempt from the requirements of this subsection. Additional parking shall be provided only for the floor area being added which exceeds a twenty- five (25) percent increase. Section 12. Section 41-1309.1 (change of use/exceptions) of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: 41-1309.1 Change of Use, Exceptions. Upon the change of use of an existing building, lot, or a portion of a building or lot, additional parking and loading spaces shall be provided for the new use as required by this chapter over and above the number of parking and loading spaces required by this chapter for the prior use only, with the following exceptions: (1) Change of use in a historic district or registered historic property. Any change of use permitted in a historic resource shall not be required to provide additional parking to that legally required prior to the change of use. (2) Change of use in a space under two thousand five hundred (2,500) square feet. The occupancy of any tenant space of less than two Ordinance No. NS-XXXX Page 9 of 12 11A-11 thousand five hundred (2,500) square feet in all zones, may be interchanged among the below land uses without the need to provide additional parking beyond that currently provided on-site or in covenanted off-site spaces. The prior use must have been established with a valid business license and certificate of occupancy. Required parking shall be determined by the last occupancy that did not use this subsection in a space under two thousand five hundred (2,500) square feet in all zones. Parking will be determined by subsection 41-1300. • Professional and administrative offices Service uses • Medical and dental offices • Restaurants/eating establishments • Retail and service activities • Live/work spaces • Banks and financial institutions • Gymnasiums and studios operated for commercial or public purposes Section 13. Section 41-1341 ((parking standards for Restaurants, Cafes, etc.) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: DIVISION 3. - COMMERCIAL AND OFFICE STANDARDS Sec. 41-1341. Restaurants, cafes, etc. (a) The minimum off-street parking requirements for restaurants, cafes and other eating establishments are as follows: eight (8) spaces for each one thousand (1,000) square feet of gross floor area and open-air dining area except that an open-air dining area no greater than twenty-five (25) per cent of the gross floor area of the restaurant, or one thousand (1,000) square feet, whichever is smaller, is exempt from a parking requirement. (b) Each drive-through eating establishment shall have vehicular stacking lanes of at least eighty (80) feet from the pick-up window to the order point, and eighty (80) feet from the order point to the end of the drive-through lane. Such stacking lanes shall be located so that they do not serve as entries to parking spaces. Ordinance No. NS-XXXX Page 10 of 12 11A-12 Section 14. Section 41-1346 (parking standards for Medical, Dental, Psychiatric and Chiropractic Offices and Clinics) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-1346. Medical, dental, psychiatric and chiropractic offices and clinics. The minimum off-street parking requirements for medical, dental, psychiatric, and chiropractic offices and clinics are as follows: five (5) spaces for each one thousand (1,000) square feet of gross floor area. Section 15. Section 41-1375 (parking standards for Exercise Gyms, Spas, Health Clubs, etc.) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-1375. Exercise Gyms, Spas, Health Clubs, etc. The minimum off-street parking requirements for exercise gyms, spas, health clubs and similar facilities are as follows: one (1) space for each one hundred and eighty (180) square feet of floor area devoted to physical activity other than racquetball or handball (exclusive of locker rooms, shower facilities, utility rooms and ancillary public areas). Section 16. Section 41-1411 (parking standards for churches, chapels and religious meeting halls) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-1411. Churches, chapels and religious meeting halls. (a) The minimum off-street parking requirements for churches, chapels and religious meeting halls are as follows: one (1) space for each three (3) fixed seats, plus one (1) space for each fifty (50) square feet of floor area in seating areas without fixed seats. (b) For purpose of this section, "seating areas" shall include congregation seating, prayer and cry rooms, pastor and choir areas, and similar areas. Section 17. 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 Ordinance No. NS-XXXX Page 11 of 12 11A-13 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 Bye LisaS of rck, Assistant City Attorney NOES Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2017 Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2017 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 11A-14 Ordinance No. NS-XXXX Page 12 of 12 OC Reporter Order No.M4&7d?r ORDINANCE PUBLICATION The Santa Ana City Council will consider adopting the following ordinance at the regularly scheduled meeting to be held September 19, 2017, 22 Civic Center Plaza, Santa Ana, at 5:45 p.m. or as soon as possible thereafter. ORDINANCE NO. NS -2923 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING VARIOUS SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE INCLUDING SECTION 41-198.13 (WIRELESS FACILITIES), SECTION 41-246 (R- 2/TWO-FAMILY RESIDENCE), SECTION 41-593.4 AND 41-593.5 (SPECIFIC DEVELOPMENT/SD SITE PLAN REVIEW), SECTION 41- 638.1 (MINOR EXCEPTION), SECTION 41-639 (PLANNING COMMISSION TO MAKE FINDINGS OF FACT), SECTION 41-642 (REVIEW OF DECISION OF PLANNING COMMISSION BY CITY COUNCIL; HEARING), SECTION 41-645 (APPEALS FROM DECISIONS OF PLANNING COMMISSION AND/OR ZONING ADMINISTRATOR -GENERALLY), SECTIONS 41-668 AND 41-669 (DEVELOPMENT PROJECT APPROVAL), AND SECTIONS 41-1309, 41-1309.1, 41-1346, 41-1375 AND 41-1411 (VARIOUS PARKING STANDARDS) For further information, complete copy of the ordinance is on file in the Clerk of the Council Office, Santa Ana City Hall, 20 Civic Center Plaza, telephone (714) 647-6520. Vylavurl_//i��G� Maria uizar, Cledrlof the Council Publish: The O.C. Reporter; Date: September 8, 2017 11A-15 11A-16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: ORDINANCE SECOND READING: ADOPT AN ORDINANCE TO REGULATE MOBILE FOOD VENDING VEHICLES {STRATEGIC PLAN NO. 5, 1} {STRATEGIC PLANO NO. 5, 1} CdY MANAGE RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1r Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER On September 5, 2017, the following ordinance was introduced for first reading and City Council authorized publication of title by a vote of 5-0 (Mayor Pulido abstained; and Mayor Pro Tem Martinez absent): ORDINANCE NO. NS -2924 — AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE NEW FOOD VENDING VEHICLE ORDINANCE IN CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this action. az�� aria D. Huizar, /Maria of the Council EXHIBIT: Ordinance No. NS -2924 11 B-2 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE NEW FOOD VENDING VEHICLE ORDINANCE IN CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE 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. The City Council of the City of Santa Ana expressly finds that vending vehicles pose traffic hazards and special danger to the safety and welfare of children and residents of the City. The City's intent is to provide clear and concise regulations to ensure safety and prevent traffic hazards, as well as preserve the peace, safety and welfare of the community. B. The City Council of the City of Santa Ana previously adopted Article XIV in Chapter 36 "Food Vending Vehicles' in December 1994 (Santa Ana Municipal Code sections 36-700 through 36-720). C. The City Council later adopted Division 3 of Article 1 in Chapter 36 "Vending Vehicles" in 2004 and 2005 (Ordinances NS -2655 and NS -2701) codified as Santa Ana Municipal Code sections 36-50 through 36-63. D. The later ordinances were challenged in an action filed in Orange County Superior Court (Vasquez v. City of Santa Ana - Case No. 05CC13450). The Court ruled for the plaintiffs, finding that California Vehicle Code section 22455 preempted the City ordinances because the City regulations were not limited to protecting public safety. E. Following the Vasquez case, the City has not sought to enact or enforce further regulation of food vending vehicles, even though Vehicle Code section 22455 allows a local authority to adopt additional requirements for mobile vending which restricts the time, place and manner of vending in order to protect the public safety. F. On August 1, 2017, in an effort to update the Santa Ana Municipal Code (SAMC), the City Council repealed Article XIV in Chapter 36 "Food Vending Vehicles" (SAMC section 36-700 through 36-720) as well as Division 3 of Article 1 in Chapter 36 "Vending Vehicles' (SAMC section 36- 50 through 36-63) by Ordinance NS -2922. Ordinance No. NS-XXXX Page 1 11 B-3 G. The City Council hereby adopts a new Food Vending Vehicle ordinance restricting the place and manner of vending in order to protect the public safety in accord with Vehicle Code section 22455. Section 2. In accordance with the California Environmental Quality Act, the recommended action is categorically exempt from further review per section 15061(b)(3), in that it can be seen with certainty that the project will have no possible significant impact on the environment. As a result, a Notice of Exemption will be filed upon the adoption of this ordinance. Section 3. The City hereby adopts the new "Food Vending Vehicles", Article XIV to Chapter 8 of the Santa Ana Municipal Code to read as follows: ARTICLE XIV. FOOD VENDING VEHICLES. Sec. 36-700. Purpose and Intent. The City Council expressly finds that vending vehicles pose traffic hazards and special dangers to the safety and welfare of children and residents of the city. It is the purpose and intent of the City Council, in enacting this article, to provide responsible companies and persons who engage in the operation of vending from vehicles with clear and concise regulations to ensure safety and prevent traffic hazards, as well as preserve the peace, safety and welfare of the community. Sec. 36-701. Definitions. As used in this article: A. "Crosswalk" shall be defined by the California Vehicle Code, as that term may be amended from time to time. B. "Business license" means a business license required by Chapter 21 of the City of Santa Ana Municipal Code. C. "Food vending vehicle" or "vending vehicle" means any vehicle or trailer, as those terms are defined in the California Vehicle Code, which is equipped or used for retail sales of produce and/or prepared, pre-packaged, or unprepared, unpackaged food or foodstuffs of any kind on any public street, alley or highway or private street or alley within the City. The inventory of these vehicles is not necessarily limited to edible items and may include nonfood sundries. Food vending vehicle as used in this article does not refer to, nor include, ice cream trucks as regulated in Article X of Chapter 36 of this Code. Ordinance No. NS-XXXX Page 2 11 B-4 D. "Operator" as used in this article shall mean any entity and all person(s) that: (1) Owns, controls, manages, and/or leases a food vending vehicle; and/or (2) Contracts with any person(s) to drive, operate, prepare food in, and/or vend from, a food vending vehicle; and/or (3) Drive, operate, vend and/or prepare food in or from a food vending vehicle. E. "Goods" or "merchandise" shall include items and products of every kind and description, including all foods, produce, and beverage items. F. `Park" shall be defined by Chapter 31 of this Code, as it may be amended from time to time. G. "School" shall mean any institution of learning for minors, whether public or private, offering instruction in those courses of study required by the California Education Code and maintained pursuant to standards set by the state board of education. This definition includes a nursery school, kindergarten, elementary school, middle or junior high school, senior high school, or any special institution of education, but it does not include either a vocational institution or a professional institution of higher educations, including a community or junior college, college, or university. H. "Street' shall be defined by the California Vehicle Code, as that term may be amended from time to time. I. "Vend" or "vending" as used in this article means soliciting, displaying, offering for sale for monetary or other consideration, or sale, of any goods or merchandise to the public from a vehicle; offering produce, prepared food, prepackaged food or nonfood sundries of any kind for sale from a food vending vehicle on a public or private street, alley, highway or public place within the City of Santa Ana and includes the movement or standing of a food vending vehicle for the purpose of searching for, obtaining or soliciting retail sales of produce, prepared food, prepackaged food or nonfood sundries. J. "Restocking" means the transfer of food, goods or merchandise to a food vending vehicle from any other person or vehicle and includes, but is not limited to, loading and delivery of food, goods and merchandise. Sec. 36-702. Operational Requirements. A. No person shall own, control, operate, manage, lease, or contract with any other person for the operation of a food vending vehicle in the City without a valid business license issued, in addition to any other license or permit required under any other chapter of this code, for each and every food vending vehicle. Ordinance No. NS-XXXX Page 3 11B-5 B. All operators shall comply with the following regulations: 1. Each operator vending any produce or other food item shall comply with all County of Orange Health Care Agency requirements for mobile food facilities, as well as all required food handling permits. Each operator shall possess and at all times display such permits in conspicuous view upon each vending vehicle. 2. Each operator shall possess and at all times display in conspicuous view upon each such vehicle a City business license. 3. Every food vending vehicle shall have the name, address, and telephone number of the holder of the business license permanently affixed on both the left and right sides of the vehicle. Such information shall be in letters and numerals not less than four inches in height and shall be in contrast to the color of the background upon which the letters are placed. 4. No additional lighting other than that required by the California Vehicle Code may be installed or operated on a food vending vehicle. Any signage or display for a food vending vehicle must comply with the generally applicable sign regulations contained in Chapter 41 of the Code. 5. No operator of a food vending vehicle shall operate any sound amplification systems or other sound making devices or music systems to advertise, draw attention to, or announce the presence of any such vehicle while such vehicle is moving, stopped, standing, or parked upon any public or private street. 6. No owner or operator of a vending vehicle shall permit vending within two hundred and fifty (250) feet from a school, park, community center or public playground facility. 7. No owner or operator shall permit the vending vehicle to vend within fifty (50) feet of a marked or unmarked crosswalk in an intersection. S. No food vending vehicle shall be parked, stopped, or left standing in any manner which blocks or impedes vehicular access to any driveway or restricts the free movement of other vehicles upon any public or private street. Vending shall only be permitted where the food vending vehicle has been brought to a complete stop and parked adjacent to the curb in a lawful manner 9. Vending from a food vending vehicle while the vehicle is parked, stopped, or standing on any public or private street, alley, or highway is permitted only when that part of the food vending vehicle open to prospective customers is on the side of the vehicle immediately next to the right side of the public or private street, alley, or highway. Under no circumstances may vending occur from the left side of a food vending vehicle. Notwithstanding the above provisions, no person shall vend to any customer whose location creates a traffic hazard. Ordinance No. NS-XXXX Page 4 11 B-6 10. All food vending vehicles shall maintain and make refuse containers available large enough to contain all trash and refuse generated by the operation of such vehicle. The operator of the food vending vehicle shall pick up all trash and refuse generated by the operators vending during the time the vehicle is stopped, that is within not less than a fifty (50) -foot radius of the vehicle, before such vehicle is moved. 11. Restocking of a food vending vehicle shall only occur where the vehicle is lawfully parked and such restocking does not restrict vehicle or pedestrian traffic or otherwise create a traffic hazard. 12. No food vending vehicle shall attach to or receive any electrical power or other utilities from any public or private property while the vehicle is located on any private or public street or alley without a permit issued by the City of Santa Ana. 13. Vending is prohibited from a food vending vehicle that is parked, stopped, or standing on any public street, alley, or highway where the posted speed limit on the public street, alley, or highway is thirty-five (35) miles per hour or greater. 14. No owner or operator of a vending vehicle shall permit objects, including but not limited to tables, chairs, or other furniture, trash receptacles, generators or equipment, to be placed into that portion of the street, alley or highway which is open to vehicular traffic, nor shall any object, including but not limited to tables, chairs, other furniture, trash receptacles, generators or equipment, be placed within or upon the parkway or sidewalk. 15. In conformance with the California Retail Food Code and County of Orange Health Care Agency/Environmental Health, food vending vehicles shall be stored at or within an approved commissary in order to have protection from unsanitary conditions. Food vending vehicles shall not be stored overnight outside of an approved commissary. Sec. 36-703. Exemptions. This article shall not apply to any City -sponsored event where the operator of the food vending vehicle is operating pursuant to a valid contract with the City. Sec. 36-704. Land Use Certificate Required for Vending on Private Property. A. Vending on Private Property - Zones. Food vending vehicles shall be allowed on private property in conjunction with a Land Use Certificate and/or special event permit for activities on property in commercial, manufacturing, or planned development zones designated for commercial or manufacturing uses. Food vending vehicles operating on private property must obtain the consent of the person who is in Ordinance No. NS-XXXX Page 5 11 B-7 legal control of the property and subject to the provisions of Chapter 41 of the City of Santa Ana Municipal Code. B. Vending on Private Property - Activities. Food vending vehicles shall be allowed on private property in conjunction with a Land Use Certificate and/or special event permit for activities such as filming for movies, a party, fair, or carnival. Food vending vehicles operating on private property must obtain the consent of the person who is in legal control of the property and subject to the provisions of Chapter 41 of the City of Santa Ana Municipal Code. C. Pursuant to this section, the following restrictions apply to vending on private property: 1. A food vending vehicle may only vend and remain parked on private property for the period of time noted in the Land Use Certificate and/or special event permit. 2. All food vending vehicles are required to have a City of Santa Ana business license conspicuously displayed when vending. Nothing in this section shall be construed to excuse food vending vehicles from complying with all other provisions of this chapter. Sec. 36-705. Penalty for Violation. Every violation of the provisions of this article shall be addressed through the use of an administrative citation as set forth in sections 1-21.1 through 1-21.9 of this Code. Each day any violation of any said provision of this article shall continue shall constitute a separate offense. Use of an administrative citation shall not prevent or preclude the City from seeking additional criminal, civil or other legal remedy established by law. Section 4. If any section, subsection, sentence, clause or 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 or phrase or portion thereof irrespective of the fact that any one or more section, subsection, sentence, clause or phrase or portions be declared invalid or unconstitutional. Ordinance No. NS-XXXX Page 6 11 B-8 ADOPTED this day of APPROVED AS TO FORM: Sonia Carvalho, City Attorney By:�rU L/! Lisa Storck Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers 2017. Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXXX to be the original ordinance adopted by the City Council of the City of Santa Ana on 2017, 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 Ordinance No. NS-XXXX Page 7 11 B-9 11B-10 REQUEST FOR COUNCIL ACTION [di1-kW*16111k,Is] INirtl=14#1KC] "114 SEPTEMBER 19, 2017 TITLE: STRATEGIC PLAN MONTHLY REPORT FOR AUGUST 2017 {STRATEGIC PLAN NO. 5, 1} FFA RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1a' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the Strategic Plan Monthly Report for August 2017. DISCUSSION The August 2017 monthly report provides departmental activity in alignment with the stated goals of the Strategic Plan. The report includes tasks, next steps, outcomes and percentage completed for each strategy. The Strategic Plan Monthly Reports are available on the City's website at: hhtt ://www.santa-ana.orq/strategic-PIanninq/ 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. 19C-1 19C-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: AUTHORIZE SUBMISSION OF THE CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT (STRATEGIC PLAN NO 4, 1) INTE CITY MANA 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 Authorize the submission of the Consolidated Annual Performance and Evaluation Report to the U. S. Department of Housing and Urban Development. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting Redevelopment and submission of the Cc Department of Housing DISCUSSION m August 23, 2017, by a vote of 8:0 lousing Commission recommended ,isolidated Annual Performance and and Urban Development. (Santana absent), the Community that the City Council authorize Evaluation Report to the U. S. The Consolidated Five -Year Plan (Plan) is a comprehensive planning and application document that covers the three entitlement grants that the City receives annually from the U. S. Department of Housing and Urban Development (HUD). The Five -Year Plan outlines a strategy for using the three grants and other resources to meet community needs as they were identified in the Plan. These three entitlement grants are Community Development Block Grant (CDBG), Emergency Solutions Grant (ESG), and HOME Investment Partnerships Program (HOME). The Five -Year Plan also identifies five-year numeric goals for meeting the identified community needs that Santa Ana will work toward during the period covered. As part of the Consolidated Plan process, the City is required to annually submit a Consolidated Annual Performance and Evaluation Report (CAPER) (Exhibit 1). The CAPER describes the activities and accomplishments for these federal entitlement grants during Fiscal Year 2016-2017. It also reports the City's success in achieving the five-year goals and objectives that are established in the Five -Year Plan. Fiscal Year 2016-2017 is the second year covered by the 2015/16 through 2019/20 Consolidated Five -Year Plan. 19D-1 Consolidated Annual Performance Evaluation Report September 19, 2017 Page 2 The following table highlights accomplishments achieved during Fiscal Year 2016-2017: Activity Accomplishments Patio and walkway improvements at Santa Anita Park New playground installations to replace deteriorated playgrounds at Thornton, Centennial, Delhi, Madison, Rosita, and Lillie King parks Capital Improvements • Residential Street Improvements in the Washington Square neighborhood Demolition of deteriorated structures for park development at 6"/Lacy Delhi Center Americans with Disabilities Act Im rovements Economic . Small Business Incentive Grants to three businesses Development Public Services • Funded 12 programs and served 3,454 persons Completed construction of Andalucia, a 70 -unit affordable rental housing project, of which 2 units are HOME -assisted units • Commencement of construction of the Orchard, a 71 unit affordable permanent supportive housing project for chronically homeless individuals, of which 9 units are HOME -assisted units • Construction is approximately 65% complete at the Depot at Housing Santiago, a 70 unit affordable housing, project of which 11 units are HOME -assisted units Increased the pre -commitment HOME loan amount to the Santa Ana Arts Collective, a 57 unit affordable rental housing project, to decrease the financial gap Rehabilitated three single family units and four mobile homes • Inspected 3,206 housing units and issued violations Code Enforcement enforcement violations estimated at $1,636,778 Correction of code Provided assistance to 1,170 persons through Street Outreach, Homeless Services Homeless Prevention, Rapid Re -housing or Shelter inlcuding 21 Veterans, 295 Victims of Domestic Violence, and 337 children HUD regulations require that the CAPER be available for a 15 -day public review and comment period prior to its submittal. On August 9, 2017, a public notice was published in the Orange County Register, La Opinion, and Nguoi Viet News indicating that the draft report would be available for review and public comment beginning August 21 through Septmber 5, 2017. The draft CAPER was also available for public review on the City's website. All comments received in written form and at the above-mentioned public hearing will be included in the final document submitted to HUD, which is due no later than September 28, 2017. Due to the timeframe for submission, the final document may include minor revisions, pending final activity and expenditure reports. 1901-2 Consolidated Annual Performance Evaluation Report September 19, 2017 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #4 - Fiscal Sustainability, Objective #1 (maintain a stable, efficient and transparent financial environment). The CAPER reports the City's accomplishments and expenditures during the 2016-2017 fiscal year associated with the following HUD entitlement grants: Community Development Block Grant (CDBG), Emergency Solutions Grant (ESG), and HOME Investment Partnerships Program (HOME.) FISCAL IMPACT There is no fiscal impact associated with this action. z�;k - Z. q� Robert M. Zur �miee' Interim Executive Director Community Development Agency Exhibit: 1. Draft Consolidated Annual Performance and Evaluation Report 19D-3 19D-4 CITY OF SANTA�ANA lATED ANNUAL & EVALUATION REPORT July 1, 2016 - June 30, 2017 Exhibit 1 19D-5 CITY OF SANTA ANA CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT 2016/2017 TABLE OF CONTENTS CR -05 - Goals and Outcomes - 91.520(a)...................................................................................... 1 CR -10 Racial and Ethnic composition of (person/households/families) assisted ........................ 7 CR -15 Resources and Investments 91.520(a) ............................................................................... 8 CR -20 Affordable Housing 91.520(b) ............................................. ............................................. I13 CR -25 Homeless and Other Special Needs 91.220(d, e); 91.320(d /); 91.520(c) ....................... 14 CR -30 Public Housing 91.220(h); 91.320(1)...........................li`\............................................ 16 CR -35 Other actions 91.220(1)-(k); 91.320(i)-(1) ............... V.....�\........................................ 17 CR -40 Monitoring 91.220(d, e); 91.520(c) .................. !............... .................................. 22 CR -45 CDBG 91.520(c) ............................................ zz......?.............................................. 23 CR -50 HOME 91.520(d)...........................................�\...Z ..................................................... 24 CR -60 ESG Subrecipient Information ............r ............:........................................................ 27 CR -65 Persons Assisted ESG 91.520(g).......�...��.�......�� ................................................... 31 CR -70 Assistance Provided and Outcomes ...................... 32 CR75 Expenditures ......................,..... V.;........;.......................................................................... 33 ATTACHMENTS CDBG Activity Sum mary,Report PR03 �I ................................................................... Attachment 1 Actions to Address Impedimentsto%Fai.� Housing Choice ......................................... Attachment 2 Program Income Detail\Report PR09ti........................................................................ Attachment 3 ESG Financial Summary Data,PR91/.......................................................................... Attachment 4 eCartData........................�\//.............................................................................. Attachment 5 19D-6 CR -05 - Goals and Outcomes Progress the jurisdiction has made in carrying out its strategic plan and its action plan. 91.520(a) This could be an overview that includes major initiatives and highlights that were proposed and executed throughout the program year. The City's Consolidated Plan for FY 2015 through 2019 identifies high-priority needs with quantifiable outcomes. Our progress to meet these high-priority needs includes the following activities: Affordable Housing Opportunities - Efforts to increase affordable housing include committing HOME, Project -Based Vouchers, Inclusionary Housing, and Housing Successor Agency funds for new construction and rehabilitation of affordable housing. The 70 -unit Andalucia affordable rental housing project was completed during this fiscal year and it is now fully leased. Three affordable housing projects are under construction, and will provide 143 affordable rental unit and 5 affordable single- family homes for sale. Five affordable housing projects are in the pipeline, anvare estimated to provide 308 affordable rental units. The City also provides resources tough the following programs: Rental Housing Rehabilitation; Owner -Occupied Housing Rehabitatibn and Down Payment Assistance. Additionally, the City's Housing Authority provide\.` 9 Housing ,Choice Vouchers to very -low income households. Code Enforcement - Community perserve the City's aging housing Economic Development - microenterprise startup,[ c, c includes workforce devel Homeless Activities - Emerge City. Our goal to reduce hon e in deteriorated and deteriorating areas to allocated to provide technical support and grants to the City's economic development efforts that attraction and retention. ms Grant funding was used to reduce homelessness in the in Santa Ana brought forth several initiatives including: 1) a Regional Convening on Homelessness to initiate efforts toward a regional approach to reduce homelessness; 2) unspent ESG funding in the amount of $50,000 was reallocated to funds a Housing Navigator position to work with owners and property managers to increase rental units available to homeless individuals residing in the Civic Center; 3) a permanent supportive housing project is half -way complete which will provide 71 units of housing for chronically homeless individuals; and 4) two additional permanent supportive housing projects were approved in this fiscal year. Public Facilities/Infrastructure - Efforts targeted at improving public infrastructure remain in place. A total of nine capital improvmenet projects were completed and an additional six are underway. Projects include residential street repaving, park improvements, facility improvements, and construction of two new parks and a community center. CAPER OMB Control No: 2506-0117 (exp. 06/30/2018) 19D-7 Public Service Programs - The City continued to address the human service needs of the community via public services. Public services funded by the City during the report period were aimed at assisting low to moderate -income households. A total of ten non -profits and two City programs received public service funds to assist homeless, seniors, youth and families through a variety of programs. Support of Fair Housing -To affirmatively further Fair Housing, the City continues to provide CDBG funds to the Fair Housing Council of Orange County to provide fair housing outreach. Services include fair housing outreach to tenants, landlords, property owners, realtors, and property management companies. Outreach is conducted via informational booths, presentations, staff trainings and distribution of multi-lingual fair housing literature. Our Housing Authority staff also attended a Fair Housing training. OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 1901-8 C t0 u C f0 m v a v d � m 4 Ma O VI � w u y o r Op Y & O j N p N O �U VI E � .p 3 V E = 0 0 Gl u O L Y 7 O0 L � -p O m d C R E y m E E f0 U.? 0 V CA U c_ w O +' n w w o w t d \ y U E w w O O y t 0 0 0 Y d i+ O O p M c u u m = w E ° p 0 O 10 c c v 7 0 O y u O aj — f03 N wt W O dN 0 C d O t w O 3 o w O v d w p O ,0 c a w w C O E" w w U p w u ClJ n�� �- E p w � u Ol n m Y 7 n 0 v O o a o 0 \ 00 o o v o o E o o ry o a u E m CD OL O u y a 6} r N n m m w E u � O V1 N iy w C d o m ^ e C o IV a E m ry m m o m o w 0 N a u v co o N u •m N w N t=0 Q VI d N N� M m c -I \"� N O II1 O V m o a m c o 0 x b m �m o o m o N N � � m � w \ m .� N � l^J� U L m t GO �S m t "O 0 L "O t to -O N ,N�VI yVl O y A d QJ s VI N 0 O i VI VI Iw/1 VI IYII VI VI O O C 0 C h C y cI00 O O C � O O C _ =��%ice O OAC w� O m 0 �� a O in = a 0 vi J _ c 4 in -O Y C U! \ 0 C (0 0) N N N ate+ w y N\ N/ w N _ O% H L C V CY w O m w N E t O O w w !C �n 10 w �!y/ O /O C H 0 _ O C u K 2 2 m❑ a\i H m C 2 w O m w .� v� w \ w an uT 'O 0 0 0 m O m m m 0 m m 0 m m m ' E ❑ x ❑ _ ❑ x ❑ x ❑ _ ❑ x ❑ ❑ N a U\ S/} U\ �/? 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O N OD m i w Ul N h0 w C N�ccO/ i, G/m �� u i-` O w 0� L �N 7:1�0 L W m F- m z O > x O 0 w x a O O x x O a+ O > u O a m s mK ua u m a/o m O w l9 m 0 a m O m O m w w w w •N v N � N d N N y N 'U=' VI V1 v VI VI m VI N v VI N v N V1 v :Lc 7 C E o 0• 0 E V1 w o z 'o 0- E E E w o z o a o n E 0 m m E o m m E o E o E E E E E c 0 x 0 x 0 x 0 x 0 x 0 Z u 0 x Z v0 Z u 0 x Z v0 Z u o Z u 0 N 01 d U1 (D Nw G! N vl W N y�j N v W N N N W N VI d N V LL 2 N � E VI ,� E LL � m o u x¢ 0 u x Q 0 u x Q o x¢ 0 u x Q w a ° a s Q a s 00 n x 19D-10 a Q u k Assess how the jurisdiction's use of funds, particularly CDBG, addresses the priorities and specific objectives identified in the plan, giving special attention to the highest priority activities identified. The City used HUD funding to meet the high priority needs identified in the Consolidated Plan. The following lists specific accomplishments for the Program Year 2016-2017 that demonstrate the use of funds to meet our community's priority needs: Affordable Housing Opportunities • Construction of the 70 -unit Andaluca affordable rental housing project of which 2 units are HOME - assisted units • Rehabbed three single family units with CDBG funds and four mobile homes with HOME funds Code Enforcement • Inspected 3,206 housing units and issued violations/J r, • Correction of code enforcement violations Homeless Activities • Provided assistance to 1,902 Rehousing or Shelter includir individuals with physical disa diagnosed with HIV/AIDS Capital Improvements :Outreach, Homeless Prevention, Rapid dividuals with developmental disabilities, 450 with mental health problems and 20 people • Patio and walkway impPoQements�at Santa Anita Park • New playground instaIlations�to replace deteriorated playgrounds at Thornton, Centennial, Delhi, Madison, Rosita, and Lillie King parks • Residential Street Improvements in the Washington Square neighborhood • Demolition of deteriorated structures for park development at 6th/Lacy • Delhi Center ADA Improvements Economic Development • Provided technical support and grants to 3 startup microenterprises CAPER OMB Control No: 2506-0117 (exp. 06/30/2018) 19D-11 CDBG Public Services • Youth services provided by the City of Santa Ana Police Department, City of Santa Ana Public Library, America on Track, Boys & Girls Club of Santa Ana and OC Children's Therapeutic Arts Center included tutoring, education, recreation, fitness, and a classical music program • Youth and family services provided by KidWorks, The Cambodian Family and Human Options included tutoring, education, leadership, community beautification, parent workshops, and anti - bullying workshops • Senior Services provided by the City of Santa Ana, Community SeniorSery and Council on Aging included congregate meals at community centers, home delivered meals to homebound seniors, and benefits enrollment assistance • Tennant/landlord counseling provided by the Public Law Center included legal assistance to resolve tenant/landlord disputes • Homeless Services provided by WISEPlace included shelter annd/supportive services to homeless women Please see attached CDBG Activity Summary Report PR03 for'a,listing,o all CDtivities and accomplishments. OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-12 CR -10 - Racial and Ethnic composition of families assisted Describe the families assisted (including the racial and ethnic status of families assisted). 91.520(a) Table 2 -Table of assistance to racial and ethnic populations by sour[ oEoff cls Narrative HUD requires the City to indicate if resources wereutiliz.dt areas with racial/ethnic minority concentrations. Based on the Census Bur -ea 78.7%Hispanic/Latino. This in Santa Ana is Asian, which OMB Control No: 2506-0117 (exp. 06/30/2018) /race esimates, Santa Ana is approximately the City. The second largest minority population CAPER 19D-13 of the City's population. CDBG HOME ESG White 2,740 4 1,336 Black or African American 27 0 393 Asian 192 1 109 American Indian or American Native 7 0 464 Native Hawaiian or Other Pacific Islander 3 0 41 Total 2,969, 5 2,343 Hispanic 2,563 4 923 Not Hispanic //470 1 1,347 Table 2 -Table of assistance to racial and ethnic populations by sour[ oEoff cls Narrative HUD requires the City to indicate if resources wereutiliz.dt areas with racial/ethnic minority concentrations. Based on the Census Bur -ea 78.7%Hispanic/Latino. This in Santa Ana is Asian, which OMB Control No: 2506-0117 (exp. 06/30/2018) /race esimates, Santa Ana is approximately the City. The second largest minority population CAPER 19D-13 of the City's population. CR -15 - Resources and Investments 91.520(a) Identify the resources made available Source of Funds Source Resources Made Available Amount Expended During Program Year CDBG CDBG 6,706,263 5,338,563 HOME HOME 2,829,594 1,731,622 HOPWA HOPWA -and Moderate -Income ESG ESG 489,202 311,036 Other Other Table 3 - Resources Made Available Narrative �//� Amounts are preliminary based on the PR07 Drawdown Report �o//f 8/3/17. Amounts will be updated to include the latest report information in the final submission t l u% Identify geographic the distribution and location o 'n� nts Target Area Planned Percentage Act al Percentage of Narrative Description of Allocations Alloealtion Citywide 100 ` 53�\�" Citywide Low -and Moderate -Low -and Moderate -Income Income area // I 1 X47 area Table 4— Identify the geogfaPhic,distribbtion and location of investments Narrative Capital projects and cod' enf�efforts were targeted to low- and moderate- income areas. All P P 1 � � other services, incuding publi�ervi6es, economic development, and housing are targeted to serving low- and moderate- income clienitele citywide. OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-14 Leveraging Explain how federal funds leveraged additional resources (private, state and local funds), including a description of how matching requirements were satisfied, as well as how any publicly owned land or property located within the jurisdiction that were used to address the needs identified in the plan. Cities receiving HOME Program funds are generally required to provide a HOME match of 25% of their annual allocation. The City of Santa Ana has qualified for a HOME match reduction of 100%, therefore not requiring the City to provide any match as part of the HOME Program. The ESG program requires a dollar -for -dollar match requirement. However, the City requires the match requirement to be met through its funded agencies. There is no match requirement for the CDBG program. In addition, the City of Santa Ana's local inclusionary housing generated funds that were matched HOME and CDBG funds for the develo M nt of the Sana Ana Arts Collective, a 58 -unit multi -family affordable housing project. Fiscal Year, Sum)ma'ry —HOME Match 1. Excess match from prior Federal,16cal y'aP 0 2. Match contributed during current\Feflejal-ftscalyear 0 3. Total match available forcurrent-Fedkral fiscal year (Line 1 plus Line 2) 0 4. Match liability for curien't Fed'etalfiscal year 0 5. Excess match car ried'ower to nextiFederal fiscal year (Line 3 minus Line 4) 0 Tabl_ e 5 -Fiscal Year Summary - HOME Match Report OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-15 U d C � t L 00 0 a C m N y d > a p u G d Q E c a 7 d O Q r Y n i cY C u1 O A an o 'a m 0 H y LL dl kD W ,O C V m to C O C y a C m C V LL \ CC O a O'O v m C O M � E E d$ a m m � tkaC N C a u 0 0 (p d d a � � d u i N 0• N w 10 C d a d LL C, d y `u aL+ K a d a G Q O 1+ 7 L d UO 0 LL m U O X V LL cN C L d N N d V VLL C O O N O _ �O d a c � Q V 0 C 0 Z L oO a U d C � t L 00 0 a C m N y d > a p u G d Q E c a 7 d O Q 19D-16 'm O N d Y n i C a u1 O v an o 'a m a v y LL V a kD W m to ca y a C V L p in \ a m C O E E d$ tkaC N C 0 a` m 'c 2 19D-16 'm O N Minority Business Enterprises and Women Business Enterprises — Indicate the number and dollar value of contracts for HOME projects completed during the reporting period Total Total Minority Business Enterprises White Non - White Non - Alaskan Asian or Black Non- Hispanic Hispanic Hispanic Native or Pacific Hispanic Pacific Hispanic American Islander American Islander Indian Indian Contracts Dollar Number 0 0 0 0 0 Amount 0 0 0 0 0 0 Number 0 0 0 0 0 0 Sub -Contracts Number 19 0 0 0 4 15 Dollar Amount 7,955,350 0 0� 0 1,457,377 6,497,973 Total Women Male Business f Enterprises Contracts �\ Dollar Amount 0 0 \\\\ 0 Number 0 0 Sub -Contracts Number 19 18 Dollar Amount 7,955,350 06,344 7,849,006 Table 8 - Minority Business and �m\,Busin Enterprises Minority Owners of Re%taI Property- Indicate the number of HOME assisted rental property owners and the total amount of F�OME fundsi.n these rental properties assisted Total Minority Property Owners White Non - Alaskan Asian or Black Non- Hispanic Hispanic Native or Pacific Hispanic American Islander Indian Number 0 0 0 0 0 0 Dollar Amount 0 0 1 0 1 0 0 0 fable 9— Minority Owners of Rental Property OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-17 11 Relocation and Real Property Acquisition — Indicate the number of persons displaced, the cost of relocation payments, the number of parcels acquired, and the cost of acquisition Parcels Acquired 0 0 Businesses Displaced 0 0 Nonprofit Organizations Displaced 0 0 Households Temporarily Relocated, not Displaced 0 0 Households Total Minority Property Enterprises White Non - Alaskan Asian or Black Non- Hispanic Displaced Hispanic Native or Pacific Hispanic American Islander Indian /7 Number 0 0 0 //\\O 0 0 Cost 0 0 0/>- 0 0 Table 10 —Relocation and RealPio"p�cquisitiob J OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-18 12 CR -20 - Affordable Housing 91.520(b) Evaluation of the jurisdiction's progress in providing affordable housing, including the number and types of families served, the number of extremely low-income, low-income, moderate -income, and middle-income persons served. Table 31— Number of Households V' 1'w One -Year Goal Actual Number of Homeless households to be provided affordable housing units 50 37 Number of Non -Homeless households to be provided affordable housing units 0 70 Number of Special -Needs households to be provided affordable housing units 0 0 Number of households'supported through n Total, 50 107 Table 31— Number of Households V' 1'w Table 12 — Number of Households Supported Discuss how these outcomes will impact future annual action plans. The City has a number of projects currently in the pipeline, which are anticipated to meet these goals in future annual action plans. Currently, three new construction projects are being developed including the Depot at Santiago , First Street Apartments and the Santa Ana Arts Collective. Together, these projects will yield over 190 new affordable units. In addition, the Orchard Permanent Supportive Housing project once complete will provide 71 units with wrap-around supportive services for chronically homeless individuals. This projects currently provides housing for approximately half this number during the rehabilitation. CAPER OMB Control No: 2506-0117 (exp. 06/30/2018) 19D-19 13 l\'<,One_Year,`Goal Actual Number of households supported through Rental Assistance \V 0 0 Number of households supported,fhfrough The Production of New Units � �" 0 70 Number of households supported throtfgh Rehab of Existing Units//�_�\ 10 44 Number of households'supported through Acquisition of Existing Units �✓ 8 0 Total 18 114 Table 12 — Number of Households Supported Discuss how these outcomes will impact future annual action plans. The City has a number of projects currently in the pipeline, which are anticipated to meet these goals in future annual action plans. Currently, three new construction projects are being developed including the Depot at Santiago , First Street Apartments and the Santa Ana Arts Collective. Together, these projects will yield over 190 new affordable units. In addition, the Orchard Permanent Supportive Housing project once complete will provide 71 units with wrap-around supportive services for chronically homeless individuals. This projects currently provides housing for approximately half this number during the rehabilitation. CAPER OMB Control No: 2506-0117 (exp. 06/30/2018) 19D-19 13 CR -25 - Homeless and Other Special Needs 91.220(d, e); 91.320(d, e); 91.520(c) Evaluate the jurisdiction's progress in meeting its specific objectives for reducing and ending homelessness through: Reaching out to homeless persons (especially unsheltered persons) and assessing their individual needs In 2016-2017, the City of Santa Ana continued working closely with non-profit homeless service providers funded with ESG dollars, and actively participated in various community groups and committees to reduce homelessness. These organizations ranged from faith -based groups, grass-roots organizations, Continuum of Care housing forums, and community dialogues. In August of 2016, staff participated in the Orange County Civic Center Homeless survey and count. On January 28, 2017, staff members additionally participated in the annual Point -in -Time count and survey in the City. Both of these surveys provided opportunities to reach out to those expel n ng homelessness and provided information on the types of services needed for indi iduals expe Ir encing homelessness. Through the ESG program, the City provided assistance to'homeJLrss special needs persons which included 116 Veterans, 279 individuals with developmental•d`abilities, 450 individuals with physical disabilities, 586 individuals with mental health problems and 2 people with HIV/AIDS. Addressing the emergency shelter Providing ESG grant fundung to City addressed the emergency_ fiscal year. Staff were available The City of Santa Ana also provides a safe sleep for 4 funded by the County, the needs of homeless persons (vice providers for shelter is one way that the housing needs of homeless individuals in this ncerns of individuals as situations arose. ,st host city for the County's year-round transitional shelter that and services for 600 persons each day. Although the shelter is in this shelter, especially the Santa Ana Police Department. The high need for this shelter has resulted in an overflow and those who are unable to stay at the shelter come to the Civic Center where Street Outreach Teams provide outreach and assistance. OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-20 14 Helping low-income individuals and families avoid becoming homeless, especially extremely low-income individuals and families and those who are: likely to become homeless after being discharged from publicly funded institutions and systems of care (such as health care facilities, mental health facilities, foster care and other youth facilities, and corrections programs and institutions); and, receiving assistance from public or private agencies that address housing, health, social services, employment, education, or youth needs The City provided funding to several non-profit groups who work directly with individuals on the verge of becoming homeless. These organizations were able to provide a wide -range of services including recuperative care as well as other discharge services. Homeless prevention funding was provided to non -profits to keep individuals from becoming homelessness by providing utility or rental assistance. The City works closely with the Continuum of Care and Coordinated Entry whose philosophy is Housing First. With this model, individuals or families are prioritized using thel/I-SPDAT survey and then assisted to become document -ready before being provided with rapid re;ho Helping homeless persons (especially chronically with children, veterans and their families, and ur permanent housing and independent living, incls individuals and families experience homeless 'es and families to affordable housing units, and�tre recently homeless from becoming homeless aga1 In March 2016, the City awarded Supportive Housing project. Wra of the individuals to permanent Additional approved in FY 16-17 for Outreach, Shelter, Rapid living. services. lividdalnd families, families I youth) make the transition to ing the period of time that access for homeless individuals iduals and families who were ers for the Orchard Permanent services are provided to ease the transition idHUD-VASH (for homeless U.S. Military Veterans) vouchers were anent supportive housing projects. The City also provided Street and Homeless Prevention funding to organizations who work closely with the Continuum of Care's Coordinated Entry system. It is through this system of care that individuals or families are prioritized using the VI-SPDAT survey and then assisted to become document - ready before being provided with housing. Shortening the period of time that individuals and families experience homelessness is a goal of the City and the Continuum of Care. While California struggles with high costs of rent, Housing First programs are being put into place to provide permanent housing for homeless persons. OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-21 1s CR -30 - Public Housing 91.220(h); 91.320(j) Actions taken to address the needs of public housing NA -The City does not have any public housing. Actions taken to encourage public housing residents to become more involved in management and participate in homeownership NA - The City does not have any public housing. Actions taken to provide assistance to troubled PHAs N/A -The City's PHA is not troubled. However, the City utilized both tlie,HOME and CDBG program to support affordable housing projects which have been combinedwith,pro�ased vouchers in an effort to increase affordable housing in the City. ■ 0 OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-22 16 CR -35 - Other Actions 91.2200)-(k); 91.320(i) -(j) Actions taken to remove or ameliorate the negative effects of public policies that serve as barriers to affordable housing such as land use controls, tax policies affecting land, zoning ordinances, building codes, fees and charges, growth limitations, and policies affecting the return on residential investment. 91.220 Q); 91.320 (i) The 2015-2019 Consolidated Plan identified several barriers to the development of affordable housing including the following: • Limited funding sources, financial costs, and the costs of development. • Market constraints primarily the availability, cost, and competition for land. • Available land in the City mostly consists of small parcels that ust be assembled for significant 'new construction projects. Relocation costs and housing replacement requirements for redeveloping improved properties also presents barriers to the d velopment of affordable housing. • The region's rents have continued to increase. Higher rents limited the bility of some lower income households to obtain decent and history are severely impacted. In an effort to mitigate these barriers, Santa Ana period: • Continued to enforce thed meet the specified criteria sale, then a mini.� 1. to Low Income,7 ehold: of 15% of the uni8,shall be households; 3) D\\ve p fee in lieu of constructinR,s Households with no or poor credit actions during the report in which new residential projects that the new Residential Project consists of units for f,hle total number of units in the project shall be sold or rented If the new Residential Project consist of rental units, a minimum ted to low income households, or 10% rented to very low income elect to satisfy the requirements for the project by payment of a or all of the affordable units. • Awarded loan agreement commitments to be funded with the in lieu fees to the Santa Ana Arts Collective, a 58 -unit adaptive reuse project. Actions taken to address obstacles to meeting underserved needs. 91.220(k); 91.320(j) Based on the 2017 Point in Time Count and Survey, there are 4,792 individuals experiencing homelessness in the County, with 1,392 in the Central part of the County in which Santa Ana sits. While the exact number for individuals experiencing homelessness in Santa Ana is unknown, we do know that a large concentration of individuals experiencing homelessness do reside in the Civic Center. A survey conducted by the OC Mental Health Association, in August of 2016, showed 461 individuals residing in just the Civic Center area of Santa Ana, this number has increased from the 2015 count. A large number of individuals also reside in the Santa Ana Riverbed. Because many of these individuals move from city CAPER OMB Control No: 2506-0117 (exp. 06/30/2018) 19D-23 FVl to city, conversations with community and faithbased groups, other municipalities and the County have been held to provide a more coordinated and regional effort to address homelessness throughout the County. The City of Santa Ana is the hosts the County's transitional homeless shelter that provides a safe sleep for 400 individuals each evening and services to over 600 individuals each day. Numerous programs were funded with CDBG and ESG funds to assist these individuals. The number of persons assisted during the report period is highlighted throughout this report. Actions taken to reduce lead-based paint hazards. 91.220(k); Lead -paint hazards are typically found in buildings constructed was banned in the United States. Until 2012, children were id@ concern" if blood tests resulted in 10 or more micrograms ole reference level of 5 micrograms per deciliter to identiVc4ld e than most children's levels. Although many children remain at; blood lead levels greater than the CDC recommended.level of,! blood), the CDC reported a decline in blood levels in c Ali drree-a phase-out of leaded gasoline and efforts.by: ederal,, ssttaaCe, and in housing. \/)�V the year lead based paint to a blood lead "level of deciliter�Experts now use a [h blood levels that are much higher exposure to harmful lead levels (i.e., of lead per deciliter of ue and younger, largely a result of the I agencies to limit lead paint hazards All owner -occupied housing units rea�bili£ated during the report period that were constructed prior to 1978 were inspected for ead paint hazy rds. If the inspection found potential lead-based paint hazards, the subject property was tesfed —the average cost per test is $600. Program staff indicates that procedures to comply with Title X has added approximately 45 days to the typical housing rehabilitation project, but more importantly, staff reports that at least some potential program participants may have chosen not to pursue City funds for rehabilitation because of the additional scope of work required to mitigate the lead hazards even though the cost for said work is forgiven. Actions taken to reduce the number of poverty -level families. 91.220(k); 91.320(j) Santa Ana's anti -poverty strategy includes expanding housing opportunities and support services for low-income residents, and coordinating public and private resources to address their specific needs. Services and activities supported by the City during the report period included: • Housing rehabilitation, rental assistance, and creation of new affordable housing opportunities via new construction and acquisition/rehabilitation activities OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-24 • Homeless assistance including prevention activities, emergency shelter, transitional housing, and access to permanent housing opportunities; appropriate support services were blended with these activities • Public facility improvements to improve the overall infrastructure of the City, but more specifically for older and/or lower income neighborhoods • Job training, job -search skills and job placement to provide those living in poverty with new employment opportunities that pay higher wages • Food/nutrition programs for the elderly • Youth recreation and diversion services to provide youth living in poverty with alternatives to gang and crime activities Actions taken to develop institutional structure. 91.220(k); The City worked closely with local institutions to initiate programs.that link economic incentives with neighborhood and community development objectives. These efforrts inclt{ded building relationships with neighborhood associations, community-based Iending.aRencies, nonpr6 iit, and educational institutions. The City also supported programs aimed atephttanclgg.coordination among various City departments. Examples of actions undertaken during the, eport p riod to overcome gaps and enhance coordination included the following: • The City's Workforce Development Board�l d.a•key ole in developing employment opportunities for lower income^San-ta Ana Pesidents. The WDB is comprised of various community leaders repres n ing privle e payment, education, social services and government. This diversity.i\the boards vp esentation ensures that the community's workforce needs arre.identifiect,\nd addressed through a variety of public and private resources. This advisory boa also brings keycommunity contacts together resulting in enhanced coordination of program delivery and resource utilization. • The City participated.in severaWhomeless forums and the Orange County Continuum of Care. Through this partici\Pat�ionA/he City can ensure barriers created by regional institutional structures that address the needs of the homeless are identified and addressed through the coordinated use of limited funds. • The City sought to encourage home ownership opportunities to promote neighborhood stability. With a high median purchase price of homes, homeownership remains a challenge for households earning less than 80% of county median income. Recent increases in housing costs have exacerbated this situation. • The City linked rehabilitation incentives with coordinated Code Enforcement efforts. The City made resources available to existing or prospective rental property owners to eliminate building code deficiencies. Once improved, these units will expand the supply of standard housing in the City. • Neighborhood residents were encouraged to participate in the preparation and implementation of neighborhood assessments and plans. Santa Ana's Neighborhood Initiatives Program CAPER OMB Control No: 2506-0117 (exp. 06/30/2018) 19D-25 19 provided the means to facilitate this participation. City staff members (i.e., District Managers) are assigned to one of two geographic areas of the City. This staff is responsible for coordinating the implementation of housing and community projects within their district and interacting with the City's 64 neighborhood associations. This coordination includes working with other city departments, public utilities, property owners, tenants, nonprofit agencies and the school district. Actions taken to enhance coordination between public and private housing and social service agencies. 91.220(k); 91.3200) As in past years, Santa Ana made an effort to leverage federal funds with local and state funds to increase and preserve the City's supply of affordable rental housing. Afterthe dissolution of Redevelopment Agencies in California, obtaining affordable housing resources has become more challenging; however, the City continues to seek resources that can be used to further affordable housing opportunities. Several affordable housing projects are ��mov nig �rwward currently in the City and two projects for homeless individuals and homeless veteransate in the pipeliee. These are examples of how the City is coordinating with private developers anCdrsoc_ ial se ice agencies to create affordable housing opportunities in Santa Ana. �# `\'�f`/� The City's owner -occupied housing rehabilitatiopiprograms have been instrumental in preserving housing units occupied by lower income households. Furthermore homeownership opportunities for t\%/ v low- and moderate -income homebuyers were available via the City's participation in the Neighborhood Stabilization Program and the imple entat bri of the City's Down Payment Assistance Program. In addition, during the reporting periodth���uti„Mize DOME funds to develop the Orchard, a 72 -unit permanent supportive housing.pro)ectior chronically homeless individuals, and the Santa Ana Arts \ `\ Collective, a 58 -unit ad7tiv a reuse`pr�o)ect�,fjr low-income artists. Additionally, the Santa Ana Housing Authority provided rental assistance vouchers to very -low income households. Participants in the Housing Authority's Family Self-SufficieIhcy (FSS) program were also referred to classes (available in English, Spanish and Vietnamese),or how to prepare for homeownership. City staff meet regularly with public and private organizations to coordinate efforts. The City's relationship with nonprofit organizations in the community allows for an integrated approach for funding requests from local, state and federal agencies. The City will continue to work with nonprofits as they apply for funds for activities consistent with the objectives in the Consolidated Plan. The City also communicates with other public institutions to facilitate the exchange of information and strategies of providing benefits and housing services. Homeless needs and priorities continue to be identified through the County's CoC system. In 2012, the City began consultating with the County and local ESG grantees specifically in regard to the use of new ESG funds. The City also consulted with the CoC Coordinator to consider potential ways to allocate ESG funds for eligible activities. On-going meetings are held to coordinate the development of eligibility criteria, performance standards and outcome measurements, as well as to establish funding, policies, OMB Control No: 2506-0117 (exp. 06/30/2015) NIMP 19D-26 20 and procedures for the operation and administration of the Homeless Management Information System (HMIS). Identify actions taken to overcome the effects of any impediments identified in the jurisdictions analysis of impediments to fair housing choice. 91.520(a) A Regional Analysis of Impediments (AI) that covers program years 2015-2016 through 2019-2020 identified impediments to fair housing choice on a regional basis. It outlines strategies for regional partners to address identified fair housing impediments. During the 2016-2017 report period the City of Santa Ana took the following actions (on its own or in cooperation with regional partners and the Fair Housing Council of Orange County (FHCOC)) to overcome impediments to fair housing choice identified in the regional Al: provided 59 community outreach events, 3 landlord trainings, 13 fair housing workshops; investigated 17 fair housing cases; conducted 9 systematie'tests for discriminatory rental housing practices; and assisted 823 households with housing disput s Please see the Actions to Address Impediments to Fair Housing Choice attachment for detailed information•- on the 2016-2017 actions. 0 OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-27 21 CR -40 - Monitoring 91.220 and 91.230 Describe the standards and procedures used to monitor activities carried out in furtherance of the plan and used to ensure long-term compliance with requirements of the programs involved, including minority business outreach and the comprehensive planning requirements To ensure program compliance all CDBG and ESG activities are reviewed for eligibility prior to having funds committed. Activities by subrecipients are monitored through quarterly desk audits of invoices, a review of the subrecipient's Single Audits, and a risk assessment is activities to perform on-site monitoring. Activities by City depart of quarterly reports, inspection of completed projects, and review documentation prior to authorizing project delivery p monitoring plan has been developed and implements a regular review of project finances, tenant eligibility, Quality Standards (HQS) compliance. An annual rete` The City is required to report HOME resources avJ-ard Women Business Enterprises (WBE) via contracts�and com ed to identify high risk monitored through a review rement or other pertinent nsive HOME project - t(,projects, this plan calls for ;oinF,FiO'ME program compliance, and Housing aYlb�of\CHDOs has also been implemented. o Minb V Business Enterprises (MBE) and )contracts in the CAPER. In addition, CDBG requires that an effort be made to a ard. \r Bement, s -to MBE/WBE. Procurement advertisments state that MBE and WEE firms are encoura- ed to apply. \\V\ Citizen Participation,Plan 9�); 991..'15(d) Describe the efforts \t provide citizens with reasonable notice and an opportunity to comment on performance The City publishes a notice that its CAPER is available for review so the public will have sufficient opportunity to review and comment on the report in English, Spanish, and Vietnamese newspapers of general circulation. There is a 15 -day public comment period prior to the submission of the CAPER to HUD. The CAPER is made available for review at the Santa Ana Main Library, Office of the Clerk of the Council, Community Development Agency 6th Floor Reception Area, and on the City's website. In addition, a public hearing is held by the Community Redevelopment and Housing Commission to obtain public comments, with the City Council authorizing the submission of the report to HUD. The City will consider all comments received from residents, public agencies and other interested parties. A summary of public comments will be included with the final submission. The summary of public comments will include a synopsis of the City's response to written public comments, and an explanation of public comments not accepted, including the reasons why these comments were not accepted.</p> OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-28 22 CR -45 - CDBG 91.520(c) Specify the nature of, and reasons for, any changes in the jurisdiction's program objectives and indications of how the jurisdiction would change its programs as a result of its experiences. The City's program objectives remain in place. No changes to the objectives are currently planned. Does this Jurisdiction have any open Brownfields Economic Development Initiative (BEDI) grants? Ikir [BEDI grantees] Describe accomplishments and program outco es during the last year. RON OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-29 23 CR -50 - HOME 91.520(d) Include the results of on-site inspections of affordable rental housing assisted under the program to determine compliance with housing codes and other applicable regulations Please list those projects that should have been inspected on-site this program year based upon the schedule in §92.504(d). Indicate which of these were inspected and a summary of issues that were detected during the inspection. For those that were not inspected, please indicate the reason and how you will remedy the situation. The City of Santa Ana conducts onsite inspections of HOME -assisted rental units during the required affordability period to determine compliance with HUD property standards in accordance with 24 CFR 92.251. HOME -assisted rental projects with one to four units are inspeFted every three years, projects with five to 25 units are inspected every two years, and projects wi N 26or more units are inspected annually. For the 2016-17 fiscal year, 174 units out of 829 units ere�ispected. Of those units inspected, a total of 9 units had deficiencies observed, of which 5 units corrected the deficiencies prior to the conclusion of the inspection, and 4 units corrected•the deficiencies atreinsertion. Provide an assessment of the jurisdiction's 92.351(b) The City's affirmative marketing containing 5 or more HOME or ( to families with Section 8 tenant assistance provided with HOME Methods to inform th actions for HOME units. ly to rental and homebuyer projects These procedures and requirements do not apply assistance or families with tenant -based rental include: housing laws: • The City displays the Equal Hbusing logo or slogan in housing -related press releases and solicitations for own res ,pd on the website page for the City's Housing and Neighborhood Development Division. • The City requests the County of Orange to include information on the City's HOME and CDBG- assisted rental units in its countywide Affordable Housing List maintained by the County. Requirements and practices owners must adhere to: Owners must display the Equal Housing Opportunity logo or slogan in all correspondence with current or potential tenants, on lease agreements, and display the fair housing poster in their leasing offices, and develop written procedures for selecting tenants. Procedures for owners: OMB Control No: 2506-0117 (exp. 06/30/2018) W-11UG 1901-30 24 • The City will require owners of City HOME- and CDBG-assisted rental units to continuously review the demographic makeup of their tenants. If and when such review indicates that their tenants no longer reflect the City's minority population, they will be required to inform the City of that fact and request City review and approval of steps they will take to correct that deficiency. • Compliance with the City's affirmative marketing requirements and procedures will be made an obligation of all rental property owners receiving HOME or CDBG assistance from the City of Santa Ana, and will be enforceable by means of appropriate actions described in loan documents recorded through the County of Orange. Record keeping: • The City will require owners of its HOME- and CDBG- marketing plan to make an annual report to the City comply with this Program. They will also be required as well as rents, income levels, and other he form that is acceptable to the City of Santa ) it needs to evaluate owner compliance with • The City will maintain records on owner rep of not less than ten years after regulations. Annual assessment: d rental units covered under this ghe steps they have taken to ^ irton the ethnicity of their tenants, erisUcs'Reports will be made on a II enable the City to capture the data 3tion of those reports for a period period required by applicable HUD • Upon receipt of owner repo'rtsfhe City will evaluate the ethnic and racial characteristics of tenants being served' termin\elif they reflect the City's housing market. If they do not, the City will directcfhe wnerto t; ke further affirmative marketing steps to correct the imbalance. The City will track�nd evalu , , the steps taken to insure they have the desired effect. Refer to IDIS reports to describe the amount and use of program income for projects, including the number of projects and owner and tenant characteristics Refer to IDIS reports PR09 — Program Income Summary and PR 23- Summary of Accomplishments for information regarding the amount and use of program income for projects, including the number of projects and owner and tenant characteristics. Describe other actions taken to foster and maintain affordable housing. 91.220(k) (STATES ONLY: Including the coordination of LIHTC with the development of affordable housing). 91.3200) During FY 2016-2017, the City of Santa Ana approved awards of 100 project -based vouchers to develop two permanent supportive housing projects with wrap-around supportive services for homeless OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 1901-31 25 veterans and chronically homeless individuals. The first project, Santa Ana Veteran's Village to be developed by Jamboree Housing Corporation, was awarded 75 HUD-VASH project -based vouchers to develop 75 units of permanent supportive housing for homeless military veterans. The design will feature two three-story buildings including a multipurpose space, a private meeting office for the service provider, property management offices, a central laundry facility, a fitness room, a community kitchen, a community garden, and barbeque grills. Jamboree Housing Corporation has partnered with Step Up on Second Inc. (Step Up) to offer a variety of on-site resident service programs tailored to the needs of the residents. Case management services, employment assistance, psychological services, Veterans Affairs services, and pro-bono legal services are among the range of supportive services that will be provided on-site. The second project, Aqua Housing to be developed by Community Development Partners, is an acquisition and rehabilitation of the existing site of the Aqua Motel will provide 58 units of permanent supportive housing for chronically homeless individuals. The project 'll'serve chronically homeless individuals residing in Santa Ana referred through the Continuum of Care Coordinated Entry system. Community Development Partners has partnered with f cyHous >e for this; l bject to provide wrap- around supportive services and expertise for serving the,chLoniyally homeless population. Both projects will apply a Housing First model veterans and chronically homeless individuals In addition, the City provided HOM was secured for the acquisition ani affordable permanent supportive h homeless individuals. Construction Fall of 2017. The second project, tl and $500,000 in CDBG funds to acqu who are artists and worki g,artist's.f 2017. supportive services to homeless projects. A loan of $1,199,869 in HOME funds Orchard, a former motel, yielding 71 units of hind supportive services for chronically ced in January 2017 and is targeted for completion in the na Arts Collective was awarded, $2,219,760 in HOME funds develop 57 affordable units with a preference for applicants within Santa Ana. Construction will commence in August Finally, the Andalucia project completed construction of a 69 -unit affordable rental housing project, of which 2 units are HOME -assisted units and construction is approximately 65% complete for the Depot at Santiago, which is an affordable housing project consisting of 69 affordable units of which 11 will be HOME -assisted units. OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-32 FM CR -60 - ESG 91.520(g) (ESG Recipients only) ESG Supplement to the CAPER in a -snaps For Paperwork Reduction Act 1. Recipient Information—All Recipients Complete Basic Grant Information Recipient Name SANTA ANA Organizational DUNS Number 083153247 EIN/TIN Number 956000785 Indentify the Field Office Identify CoC(s) in which the recipient or subrecipient(s) will provide ESG assistance ESG Contact Name Prefix First Name Middle Name Last Name Suffix Title ESG Contact Address Street Address 1 Street Address 2 City State ZIP Code Phone Number Extension Fax Number Email Address ESG Secondary Contact Prefix First Name Last Name Suffix Title Phone Number Extension Email Address LOS ANGELES Santa Ana/Anaheim/Orange County CoC Mr Judson J Brown nOusingotymanager Ci220 Civic Center Plaza, M-26 Santa Ana CA 92701- 7146672241 0 7146476549 jbrown@santa-ana.org 2. Reporting Period—All Recipients Complete OMB Control No: 2506-0117 (exp. 06/30/2018) X110 1901-33 27 Program Year Start Date 07/01/2016 Program Year End Date 06/30/2017 3a. Subrecipient Form —Complete one form for each subrecipient Subrecipient or Contractor Name: INTERVAL HOUSE City: Long Beach State: CA Zip Code: 90803, 4221 DUNS Number: 113510176 Is subrecipient a victim services provider: Y Subrecipient Organization Type: Other Non -Profit Organization ESG Subgrant or Contract Award Amount: 42160.83 Subrecipient or Contractor Name: MERCY HOUSE City: Santa Ana State: CA Zip Code: 92702, 1905 DUNS Number: 879797165 Is subrecipient a victim services provider: N \\\\\ Subrecipient Organization Type: Other Non -Prof il ESG Subgrant or Contract Award Amount:x80354i Subrecipient or Contractor Name ,THO(MKS-HOUSETEMPORARY SHELTER City: Garden Grove State: CA Zip Code: 92842, 2737 DUNS Number: 07539 82` Is subrecipient a victim services provider: N Subrecipient Organization Type: Other Non -Profit Organization ESG Subgrant or Contract Award Amount: 12000 Subrecipient or Contractor Name: WISEPLACE City: Santa Ana State: CA Zip Code: 92706, 3904 DUNS Number: 002322894 Is subrecipient a victim services provider: N Subrecipient Organization Type: Other Non -Profit Organization ESG Subgrant or Contract Award Amount: 23654 OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-34 Subrecipient or Contractor Name: WOMEN'S TRANSITIONAL LIVING CENTER, INC. City: Orange State: CA Zip Code: 92863, 6103 DUNS Number: 627226723 Is subrecipient a victim services provider: Y Subrecipient Organization Type: Other Non -Profit Organization ESG Subgrant or Contract Award Amount: 14000 Subrecipient or Contractor Name: Grandma's House of Hope City: Santa Ana State: CA Zip Code: 92705, 8520 DUNS Number: 969463293 Is subrecipient a victim services provider: Y Subrecipient Organization Type: Other Non -Profit Organiz� ioion^ ESG Subgrant or Contract Award Amount: 25000 ff// Subrecipient or Contractor Name: Illumination Foundation4 City: Irvine State: CA Zip Code: 92606, 5124 DUNS Number: 829919047 Is subrecipient a victim services provider/: N Subrecipient Organization Type: Other Non -Profit Organization ESG Subgrant or Contrac'a d AmouR :,146154 Subrecipient or Contract&,Na- me: People for Irvine DBA 211 OC City: Santa Ana V State: CA Zip Code: 92705, 8506 DUNS Number: 884339003 Is subrecipient a victim services provider: N Subrecipient Organization Type: Other Non -Profit Organization ESG Subgrant or Contract Award Amount: 14277 CAPER OMB Control No: 25G6-0117 (exp. 06/30/2018) 19D-35 29 Subrecipient or Contractor Name: Public Law Center City: Santa Ana State: CA Zip Code: 92701, 4002 DUNS Number: 802874971 Is subrecipient a victim services provider: N Subrecipient Organization Type: Other Non -Profit Organization ESG Subgrant or Contract Award Amount: 36500 Subrecipient or Contractor Name: Kingdom Causes, DBA City Net City: Long Beach State: CA Zip Code: 90809, 0243 DUNS Number: 361759140 Is subrecipient a victim services provider: N Subrecipient Organization Type: Other Non -Profit Organization ESG Subgrant or Contract Award Amount: 46 P 154 Subreci lent or Contractor Name: Santa Ana Police Dpit-Heart City: Santa Ana State: CA Zip Code: 92701, 4058 DUNS Number: Is subrecipient a victim services provider: N: Subrecipient Organization Type: Unit o�Government ESG Subgrant or Contract�Award.Ambnt:,45154 OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-36 30 CR -65 - Persons Assisted Refer to eCart Data Attachment 5 for section CR -65. eCart is a Microsoft Excel spreadsheet that is configured to load report level, aggregate information from a Homeless Management Information System (HMIS) and produce all statistical information required by HUD on program participants served in ESG-funded projects. The information in eCart replaces all data previously collected on screen CR -65 in the eCon Planning Suite. MA CAPER OMB Control No: 2505-0117 (exp. 06/30/2018) 19D-37 31 CR -70 — ESG 91.520(8) - Assistance Provided and Outcomes 30. Shelter Utilization Number of New Units - Rehabbed 0 Number of New Units - Conversion 0 Total Number of bed -nights available 98,792 Total Number of bed -nights provided 63,254 Capacity Utilization 64.03% Table 24 —Shelter Capacity 11. Project Outcomes Data measured under the perform east ndards developed in consultation with the CoC(s) /j 7 City staff along with other the cities of Anaheim, Garden/Goveandthe County of Orange have formed the Orange County ESG Collaborative to discuss policies a as well as a variety of program and homeless continues to use mutually agreed upon form for monitoring and evaluating project and of consistency and streamlining the procq regular basis, attends OMB Control No: 2506-0117 (exp. 06/30/2018) how best to allocate ESG funds, ita Ana along with this Collaborative participation agreements, checklists :e, and reimbursement forms for purposes parties. Staff consults with the CoC on a the in involved in the Continuum of Care. CAPER 1901-38 32 CR -75 — Expenditures 11. Expenditures 11a. ESG Expenditures for Homelessness Prevention Table 25 — ESG Expenditures for Homele'ssness Prevention v 11b. ESG Expenditures for Rapid Re -Housing /^\ V Dollar Amount of Expenditures in Program Year 2014 2015 2016 Expenditures for Rental Assistance 53,466 50,420 30,012 Expenditures for Housing Relocation and Stabilization Services - Financial Assistance 0 0 0 Expenditures for Housing Relocation & Stabilization Services - Services 30,194 47,662 15,516 Expenditures for Homeless Prevention under Emergency Shelter Grants Program A 0 0 Subtotal Homelessness Prevention 83;660 98,082 45,528 Table 25 — ESG Expenditures for Homele'ssness Prevention v 11b. ESG Expenditures for Rapid Re -Housing /^\ V tDollar Amount of Expenditures in Program Year ,/2014 2015 2016 Expenditures for Rental Assistance 86,321 51,300 12,270 Expenditures for Housing Relocation'and 11 78,693 68,025 39,972 Stabilization Services - Financial Fissistance---� 0 0 0 Expenditures for HoujneRel_ n & 0 0 0 Stabilization Services -Services \\ \\»> 27,260 70,028 18,235 Expenditures for Home `ss ssistanceNunder Emergency Shelter Gran ts,Program1) 160,193 143,045 89,762 0 0 0 Subtotal Rapid Re -Housing 113,581 121,328 30,505 Table 26 — ESG Expenditures for Rapid Re -Housing 11c. ESG Expenditures for Emergency Shelter Table 27— ESG Expenditures for Emergency Shelter CAPER OMB Control No: 2506-0117 (exp. 06/30/2018) 19D-39 33 Dollar Amount of Expenditures in Program Year 2014 2015 2016 Essential Services 81,500 75,020 49,790 Operations 78,693 68,025 39,972 Renovation 0 0 0 Major Rehab 0 0 0 Conversion 0 0 0 Subtotal 160,193 143,045 89,762 Table 27— ESG Expenditures for Emergency Shelter CAPER OMB Control No: 2506-0117 (exp. 06/30/2018) 19D-39 33 11d. Other Grant Expenditures Table 28 - Other Grant Expenditures 13e. Total ESG Grant Funds Total ESG Funds Expended Dollar Amount of Expenditures in Program Year 1 2015 2014 2015 2016 Street Outreach 61,870 125,734 85,993 HMIS 7,700 30,000 22,562 Administration 34,622 35,500 36,690 Table 28 - Other Grant Expenditures 13e. Total ESG Grant Funds Total ESG Funds Expended 2014 1 2015 1 2016 2016 461,626 553;689 311,040 Table 29 -Total ESG Funds Expended 11f. Match Source \ Table 30 - Other Funds Expended on Eligible ESG Activities 11g. Total Total Amount of Funds 2014 2014 2015 2016 Other Non-ESG HUD Funds \85;318 10,000 46,512 Other Federal Funds , \ �� 0 0 70,000 State Government 72,624 0 Local Government F `\/� `69,222 221,433 87,124 Private Funds 425,064 195,445 187,809 Other �� /: _ v 52,000 49,015 95,675 Fees �✓�/ 0 0 0 Program Income�'� `� �� 0 0 0 Total Match Amount/t 783,298 548,517 487,120 Table 30 - Other Funds Expended on Eligible ESG Activities 11g. Total Total Amount of Funds 2014 2015 2016 Expended on ESG Activities 1,244,924 1,102,206 798,160 Table 31 -Total Amount of Funds Expended on ESG Activities OMB Control No: 2506-0117 (exp. 06/30/2018) CAPER 19D-40 34 Attachment 1 CDBG Activity Sum a Repo t PR03 19D-41 .-I 0 y, N Qj E `a E E m } v 0 ii E N o 61 ❑ N O N ❑ E � m c a.z Z3 d N a Z 0 N ) C vl J L E u ❑ E J m o w CL w W V O ❑ � N T+ ui O S J (D m ❑ U U J Z W W U L LL W U O Q R a CL d Y Y Q Q a a M M O O m m ❑ ❑ U U M N m o JS%NG 1N3 N oo m �Oh�0 > Y T } i Q aaSn PNo A } N d d ❑ c W a0 ON 4*I `m Z d C Q } d E 0 Z 0 O U 0 O U U U d W W O O O CL` a` a` om��o d OfA N N A } � E t0 O) vi ci t0 of @ N O A W m o a` L 3 m 0 0 0 0 0 0 0 0 0 0 00 0 0 0 d fA FA fA w M } E @ m 0 a` C N O N r Evi Q / w a f d LL \•1 c m U U N_ M_ m m �fl N M @ N N N d c a` n H a c d ll w a CD 1190-42d 4*I `m Z d C Q } d E 0 Z 0 O U 0 O U U U d W W O O O CL` a` a` ¢ J 0 O m c 0 6 z w C N LL M O H r - n 1 � C w > 0\0 I N � o m w n i N x `\ J v ¢ a V m fA M N O) f0 ¢ f Z ¢ U i r O N .ti ti N K a a N E W rn � O O F E ¢ J 0 O m c 0 6 z w C N LL M O H O C w > 0\0 I N � rn m w n W Q x `\ J v ¢ a V w a w U N U C 00 :3 Y ar l .q m 2 0 w 0 m a m d O U d O m c N Y m 'o N N C t.. 3 w T N � N SC r 3 c 0 a � w w � w w O h �o w a w U E a � U C U � O mow, a w C � U N R O E osZ v ma ui O a m C O C ¢ E p N c O N N n - mO E W a s an dna a) O O Q of a N TO ¢ E m c w� c m U ? a N 0 c w O C f0 ow C w t 'tit c O E > w w o 0 n N O O' O a ❑ U E U M Q f0 m O O O O N N N N H O F- Z v r-: rn m W Q 0 fA M N O) f0 > Z ¢ U N r O N < O K a a C o ¢ p N O a` Y Y m m ti 2 FL - (L a N 3 h m rn 0 m w CD :7 C ❑ m m ❑U o U) I U 0 � jy fa M N O E Z 0 N 0 fp O fA O fA O [V O C! 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F 19D-143 Attachment Z Actions to Impediments to `Fair \ 19D-144 dress Choice Actions to Address Impediments to Fair Housing Choice During the 2016-2017 report period the City of Santa Ana took the following actions (on its own or in cooperation with regional partners and the Fair Housing Council of Orange County (FHCOC)) to overcome impediments to fair housing choice identified in the regional Al: • Fair Housing Community Education — During 2016-17, the FHCOC regionally conducted or participated in 151 education and/or outreach activities, reaching a culturally and ethnically diverse audience, in which they made participants aware of fair housing laws and counseling services (including services to help households improve their readiness for a home purchase). Fifty-nine of these activities took place in the city of Santa Ana. Regionally, over 4,700 people were served by these activities. Through its various regional outreach efforts FHCOC distributed over 37,250 pieces of literature on fair housing, its services and other housing -related topics, in either English, Spanish or Vietnamese. Additionally, throughout Orange County FHCOC held 8 training sessions for rental property owners/managers, with 3 occurring in Santa Ana, including 1 presented in Spanish. FHCOC presented 2 fair housing seminars for housing providers in cooperation with the Apartment Association of Orange County (AAOC), at AAOC's Santa Ana office. Twenty-seven general fair housing workshops intended for attendance by both housing consumers and providers were held throughout Orange County, with 13 occufrring Santa Ana. • Fair Housing Enforcement — On a regional basis, discrimination and opened 63 cases where the al further investigation and/or action. Thirty-one (31 involved housing in the City of Santa Ana. On a rel site, systemic tests for discriminatory rental housing -G • Housing Dispute Evaluation & Resolution — On assisting 1,741 unduplicated household as ddres unduplicated households, involving 2,559 issues staff rbdelved 119 allegations of housing �emed sufficiently meritorious to warrant is arose from Santa Ana, and 17 cases s, FHCOC also conducted 104 paired, on - 4th 9 occurring in Santa Ana. ional.6asis, activities provided by FHCOC included 145 issues, disputes and/or inquires. Of these, 823 from Santa Ana. • Reasonable Accommodations On`a`regional basis, 12 inquiries regarding reasonable accommodations and modifications were receive -by,FHGO ethat resulted in casework beyond basic counseling. Three of the inquiries arose fromiSanta Anawith .,all proceeding to accommodation requests, which were all granted. Overall, 4 clients requested and received a reasonable accommodation, while a fifth request ended when the client ch o a not to proceed. One more recent client's accommodation request, received in June, 2017, was effectively denie '. OC will be assisting the denied client in filing an administrative housing discrimination complaint with the Fair Housing and Equal Opportunity (FHEO) Office of the U.S. Department of Housing and Urban Development. • Web -based Outreach — FHCOC's website currently has an on-line housing discrimination complaint - reporting tool that generates an email to FHCOC. It is also used for other, non-discrimination, housing - related issues. • Monitoring On-line Advertising — Orange County rentals listed on Craigslist were monitored by FHCOC for discriminatory content (as permitted by staffing limitations). Discriminatory advertisements were flagged and FHCOC responded to these ads in order to inform the poster of possible discriminatory content. FHCOC also brought these ads to the attention of Craigslist to hasten their removal. In some cases, the ad was referred to FHCOC's investigators for possible enforcement action. Other on-line rental sites (e.g., OC Register, LA Times, Westside Rentals, etc.) were sporadically monitored; however, the lack of an efficient 19D-145 text search function on these sites made monitoring them less practical. Without exception, among the 'apt / housing' Craigslist rental listings, the identified problematic postings indicated restrictions with regard to children under the age of 18 or improper preference for seniors or 'older adults' for housing opportunities that did not appear to qualify as housing for older persons (age 55 and over) Overt racial or national origin discrimination was not observed. Advertising in the 'rooms / shared' area of Craigslist were observed to have a higher incidence of stated preferences that violated fair housing law. However due practical aspects of resource limitations and case law considerations of shared housing situations, most were not acted upon. • Monitor Home Mortgage Disclosure Act Data — Ongoing monitoring of Home Mortgage Disclosure Act (HMDA) data continues to be infeasible due to limited resources at FHCOC. FHCOC last was able to conduct such analysis using 2008 data (then the latest available) in conjunction with the preparation of the 2010-2015 Regional Al. Analysis of updated HMDA data from 2008 to 2013, as well as other mortgage lending practices, was included part of the 16 Orange County Cities Regional Analysis of Impediments to Fair Housing Choice (2016), in which the City of Santa Ana was a participant. • During 2016-17, FHCOC continued efforts to promote housinf ffordability within Orange County. It provided services and outreach to organizations involved inthe creation and preservation of affordable housing. These groups included the Kennedy Commission, Mental`Health Association of Orange County, Aids Services Foundation, Affordable Housing Clearinghouse, Jamboee\Housing Corporation, Orange County Congregations Community Organizations, and,,Orange County Community Housing Corporation. • During the 2016-17 report period, FHCOC continued to offer'fair housing training sessions that were open to all local government staff. Staff attending training.could receive certification of their attendance. For the City of Santa Ana, training was provided in Augusst 22016,t staff from the Santa Ana Housing Authority and other City staff members. V r��wn The FHCOC produced and providten fai ousing related materials in English, Spanish and Vietnamese to the City of SantaAmk/Materials-were placed in public areas of City Hall and widely distributed at education and outrea h.activities within the city. FHCOC also undertook specific outreach efforts to immigrant populations in low -i cn ome neighborhoods. On a regional basis, an estimated 1,350 limited English proficien y�householdw re ejserved during the 2016-17 period, through a combination of telephonic contact and in per�n education and outreach activities. FHCOC also continued to implement activities under HUD Fair 4bu ing/Initiatives Program grants, for both education and outreach and fair housing enforcement. These program efforts specifically targeted fair housing services to persons with disabilities, minority groups and immigrant communities, especially immigrants with limited English proficiency. Program efforts included a fair housing testing program that sought to involve members of immigrant populations with limited English proficiency, both for purposes of enforcing fair housing laws as testers and as a vehicle to increase outreach to these populations. • Through its status as a HUD -approved housing counseling agency, FHCOC assisted individuals, including those with limited English proficiency, with various housing related problems. This included being available to assist those who had received loans with documents, all prepared in English, which had terms that were different from what they believed or were informed they were obtaining, or of which they had less than a full understanding. 19D-146 Me Attachment 3 19D-147 C6 r�z m C) oF=a 3 cli O . ❑a` E. n m o+ v � CL U X W Ln U; M ti O to �. N ❑ 0 0 Q, 0 .O: M N � r -I N u n: a C \O v; CD n N V m/ > m rn Ln M- C. o; F� O a o v '� o w: W N• 8: W F-; U :3. O uZ; U H u C: Q @ ti C7; m cn m Ua, c c;^ a O, 10 o N 0 ti o 0�v1 O Vl ,4 Cl : ^ N O .-4 7 r� O O� m Ln m m m 00 v Oi W 'i V ai c a3'n y v m .. ❑ a a v m a 'u u ' A u rn m m a a 0�ca orn00000 9 QC =L V of 1 + 10 ,a M M M m M m M O N y N N F O: ow C a a a a a a a Co V D V � b jS Ot N O O N 0 0 0 0 0 0 0 M M S lfl N N N 0 0 0 0 0 0 0 0 0 \ N 6 6 6 6 6 �:MMMMWN m rn rn rn rn rn 19D-148 0 N z v E m E c m o E 0 o v o c ❑ w � m m E � � c o > cE a M C C w z Ot vm oo.2rE z m = c 'j2u a C E a co o M 0 o 0 U D u p O 0 N C: o N L° E ., M O ❑ E U OC v O O 0- o C a 0 v 0- w M M ai W E 0 F- a m >❑U O E a E > 00 rn o a m � tf In o 0 3 cli O . ❑a` E. n m o+ v � CL U X W Ln U; M ti O to �. N ❑ 0 0 Q, 0 .O: M N � r -I N u n: a C \O v; CD n N V m/ > m rn Ln M- C. o; F� O a o v '� o w: W N• 8: W F-; U :3. O uZ; U H u C: Q @ ti C7; m cn m Ua, c c;^ a O, 10 o N 0 ti o 0�v1 O Vl ,4 Cl : ^ N O .-4 7 r� O O� m Ln m m m 00 v Oi W 'i V ai c a3'n y v m .. ❑ a a v m a 'u u ' A u rn m m a a 0�ca orn00000 9 QC =L V of 1 + 10 ,a M M M m M m M O N y N N F O: ow C a a a a a a a Co V D V � b jS Ot N O O N 0 0 0 0 0 0 0 M M S lfl N N N 0 0 0 0 0 0 0 0 0 \ N 6 6 6 6 6 �:MMMMWN m rn rn rn rn rn 19D-148 0 N z VI N N m w M t0 N t0'^ CO � Ln M O M M N O O m N Ln .-I OJ O cY W N n 7 N ;00 '{ 000% .-1 O O M N 0) O O N <D M V• 01 l0 W V' l0 O �6^ 4 .- N Ln uj tr F W f4 In .4 W m O Ln O m .-I V' N M N �n ^ •-I .ti M I� O Ol N Qt V' (t O O rl .-I l0 Ot O N .-1 N;M M N .-I V' V. 0) O .-� w Ln N Ln O LA Ot ti ti W .�-1` .7 M N V` M ti N 0 ti L6 M '-I t0 N O ' b ah H u ay N d am m c a3 C LLQQu �QtLQ�LLQ o ti .�-� o o o o o O CD C) 0) NNNN N C 0OJ000) W O W OO co 7 u O V u Q � V co co M N co W N m Ip O M. -� .-I N M .-I M +--I M M OJ OV tO .-I .i .-I l0 .-i t0 .-i a0 tD .ti J J r � aaaaaaa o F ~ to to to to to to to to to to to to to to to w to 1, r� 01 01 M M rhM LA ti Qi ck ti ti Cb pl N N M r� n N N O O O O N %.-1 O O r2 M Ot 01 ti ff .ti tiNti O O ti ti N N N c o 0 0 0 0 0 0�, 0 0 0 0 0 0 0 0 0 0 0 O o 0 0 0 0 0 0 0 0 0 oh .4 cb di m m m W -dm" K W m y V' " ko VM �+ M V' O O M M M M c-� n n 01 Ol CD . -� . -� rl M M '-I .--� V' V• " . -� CO W OJ O] co O O O O M M \ � O O N N to t0 0) m O t0 l0 Lto tO 0 0 W co W V' O O O o 0 N N N Ln m N Ln m � /.�// M N N N N N N N N N N L(1 Ln l!] In Ln fA Ln L!1 111 In ll/ r' Ln I ! o j % o f ! Q a a 19b-149 N 1 G y,,, �� 1p d- p� �• p n .--i M Dl M W M u] O Q1 n �--� O O O n� 'V' O O '.-� O O 3? lD O N W O n 01 O n In N O O O 01 O OJ f\ In Ol Ol O Ol O O O n O O Ip O, n t\ n O M Ill O V' k6 IIl 7 U1 d' O Ol V1 Ill 6 V' O N C\ M N LD lf1 O 00Lri In b p �- Ol N V' M O m N O N r, � m n N .-I Ol N V' M N M N N lD OJ M N O W N OJ M O E. lD N M M O v O M r\ N V' "I C\ t0 Dl N N Ot �O Q; W ti 0: lD to .--i '-i O N ti N Go M Ol t0 m Ill O M O to to Qj ~O N r, O N M IT n a N V X N: m LL vl m Q In Il] In Q lL W Q Q J J Y u" LL M y O M O M O .-I M .-I .-I .-+ .i .-� �"� 111 0 Q ti ti 0 0 0 O O O H O .-i O O N O N 111 n In M n In M n In M n M l0 O N N O N N N C 'D n M 'D O M W W M En n n n t\ m n n O t\ n Ol n Ol r1 .-I n n n n n n n m Ol Ol l0 Ill Ol N M O OJ O co W O co co O W O O W O m 0 0 0 0 0 0 0 Ol Ol T m O O Ol O O N N N N N N N .-I .ti •-+ �'-I N N . -I N N Q; O� D O kD 0 O � � N 1p rl N lO .--� N ID N N lD N N '-I N rl H H .--I '-I '-I H .-� N a; a CL a a a aa. a o_ a s o_ a a a a a o_ o. o F: r,^r, r, to aj�--1, L w: N N O O O Ifl Vl I!l m m T .�-I ti t0 .-� O N 4 n N M M t\ n n n C\ n n n n N N �--I +-I �"I N N N N N N M M .i M N N ti N N .-I N N N N N N N N N O N M M V' V' IA lil In l0 lD l0 n C\ W W O .�-I N N M V' l0 lD t0 t0 l0 tD t0 > U. 0 0 0 0 0 0 O� O/O O O O O /O^) O M r, Dl N N m r -I .ti N M V- Vl 0 000000000�0�000 000000.-+.-��000000000 O o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 L r� n'l rV ib b .l+ rL di b\cL/r+l/� Ih r+l r'l ib d+ Ih cb b rV ryl c+1 r� rV cL cL c� r� M M V' V' M M M lD n n n n Ol\lD Ol N M n n n 0 0 0 0 0 0 0 0 0 7; T Ol ti .� .-1 W W W rl N ti/[{ l 0`^ V's:--� ti O t0 Ol 01 IA Vl If1 Vl V1 Ill Vl Ill Ill O' N m .-I N .--I 7 -Ir co OJ Q] O O � '01-M lD N B M O O IPI Ill m Ill In N Itl Ill m >; .i .ti N N N N N N N N N M Al Ifl lALini r, t '-I N M M Ill Vl Il) VI Ill Ill Ill Ill V1 N N N N N N N N N N N N N m m (n m m 0 0 0 0 0 0 0 0 0 0 0 0 0 O Ln r0 N �: W U1' O: V: C' aNr CL; L F ; N' 'V Z; O a„ C7; E; O: d: E o > 19D-150 a M N Ln O M O LO O O N O of N W m W m N O N V' w N M In m N V' V O M of N O N O N o o w N Ln o0 . -� N n O� W Ln n N n O tD .--I N w co I IJ'1 N M LD N to O O V• O N V' of .4 of N M ci W Ln o; O M V• to D) L(1 n ^:O N M LD co N r� N O Ln N Ln M N 0) I, M of N O V. O M M00 00 V' 0 O O' 00 (n Ln %D tD Ln LD M V• N N M M N .-I .ti '-I pt 0% N N V- O M V' M ^ N LD tp M of Oi 0 LD ko N LD of N lD ti ti O M MID Ln CD N N N N' N N; N N� ~ O O O O O O 0 7 V .Q+ .Q•1 ti .�-i 0 VQ' C M M In Ln Ln L!] O o Ln Ln M M M O O .-I .-I N O O O O LOM d w W o w w W LD m N N O N N N O w l0 D1 M l0 01 d 0 0 a- 00 0 0 0 0 0 0 0a 0 0 0 o rn o 0 0 00 0 o Orn o a N N N N N N N N N N N N N N N N .+ N N N N N N N N N M V' LD LD ID tD LO to LD LD w w 0 N n O N N V' to LO W 0 0 0 0 a a a a a i a a a a a a a a a a aa.. a a a a a a a a a a N�NfN N N N N N O O O O O O O O O O O O tD Lo to Lo tD LD tD l0 l0 ko t0 6 LD kb LD W O 07 00 W 00 00 ob W W 00 06 0 0 0 0 0 0 0 0 C44 C441 fel 00000000 Ln Ln Ln Ln Ln Ln Ln Ln Ln Ln Ln Ln Ln M M M 0 Ln Ln 00 Ln Ln m 00 0 0 0 0 0 0 0 0 V' In Lo N W .ti .-y LO 0 0 0 0 0 0 0 0 O O O O O o 0 0 aMMMM(D oOooM Lo lD LD LD O W W O a 0 0 0 0 0 0 0 0 0 0 0 19D-151 y• ,a Go T tD of m M M N t0 N Vl O to N N m O N N M t0 Ill N 01 N C 0 m m C V' N O O V' O Q? O to O V' fA C! to 06 O In M 01 M .-y O m m In tll m 01 n N tD M v. N .--i lD p O, P I4 O m u'1 M m N m In N w to tD N Ill N to V' w m l0 N M tD O N W of O O 11'1 M V- •'-� Ln E: 00 O O M w V. N O M m. lO m N .-i V' N t\ O •"� N N N O �--� '"� Lr N y N N (rN] a N N l u N N K X p; b 0. aE amu: y d aau c (D d m to m tD In in to In N m V) A m to M 0 Ih 0 tD 0 w 0 to 0 to 0 lD 0 m 0 M 0 If1 0 >• Q0 O: 0= N N N N N N N N N N N 9 C ¢• m C u Im" v M m v m m v m m M m _m D O, _L y 41 N N .-i N .-I .ti N .-I •--� N .--i a' h f°-3aui a a t . c � r r r r r r r r r r r a oFCJ --, mQ aaaaaaaaao- > c u u Y w 'D%to w�o N N N N N N N w to n N N N N r, N m O 'i N O m O O n M Ot m Dt .tiob !T Ol Ll V' N N N I� tD t0 l0 M M L F O MSN N �--i 0 0 0" N O N .H " N N N ti •" �" •--� N N N: 6/W 006 OOOt O ti N ti N M V' 'C lO tD, .�-I N N N N M Ill Lr Ill tD lD O L; > U O .-� •--i .-� 0 0 0 0 0 0 0 �"� �'-� 0 0 0 0 0 0 0 0 0 N /� .--I\� •-� V0,15, �.i111 N l0 M V' Ln . -� N 0 a) 0 0 0 0 0 0 0 0// 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 A 0 0 A 0 0 A 0 0 0 0 0 0 0 0 0 0 0 V; + A tb`4ti, +,'Lh M bl rh M Ih T A t b In Ih m of Qi of Ih N kb N tD N kb N rV N tL N u, n N to t0 O n M V1 O ti m, v/Ill\m t M .--i TSN n�lT .--I N to V' to m to O rl n n M M O N v I, M O M Ill r, ti'Nm m M N v IT V. N• O O O N O N •--i N ti�.--I N N�N�N rl� NDN N N NTN N m Ol Dt Ol 0 0 0 0 0 0 0 0 0 N V1 N N In In N V'1 Ill 111 to IA u1 ul t0 t0 t0 tD tD tD to tD tD •lA..11�ul �lfl p: , N' W LU E } LU W W a)' O; u. C• p a); CL a (L m � M v O u Z. u H C C7; � m OY u 0 o`: E to m a1):N r; N N 19D-152 a m Ln7 N %0 Ln N -� V l0 M Ln .-I .-1 In O L!1 Ln M O l O V O 10 It O 0 . M 0) m m rn m N W .--i m m O m W; N O 1� N V r� Ln Il Ln m V .ti m U1 V l0 N N L1; a0 N V , C) l0 OJ O V O a7 V O w O V O M. t0 V V a0IN M I, M In Ln O N N m V N N N N m M a0 ; kc a' N N ti Lr ti M n n t0 N M W N .-i :7 00 N b N M.H N M N O N M M y ammc N Uf u H h 41 a3c .0 L L 10 'y v 10 Q 0 0rn0rn 000000000 aam ID �' cm 000000 N 00000000 o s+ N N N N N N N N N N N N N N C V u � ¢ u 00 V m 07 V w N N N N N N N N N U j0 r-1 N '-I N N •-I J O O J J A y � o_ o_ n. o_ o_ o_ o_ a o_ o_ a a F F Nr,N .r.r, kokoNonrlNNN M M M M O O tD M/O M v N N l0 M O N N N N rl O!/[V •--i N .ti H N .--i t0 l� LD lfl M OlHO cn ti N N M Ln �D N O O O O O O . -i .-i O O O O O Ln 0 0 0 0 V. 0 O LM v v v rn rn o 0 0 0 0 0 0 lD LO t0 to t0 LO m 1 19D-153 O co co 0 M N Ln W U I 0 Qa a L M N H M O N O 0 o U U O N � W w f E O 0 2 = 0 vii Ln V, NOa 0 0 of :-+ 0 0; N N;O N N tD O fA y u a c_a 3 U N L N N •d L M u �aam CO c C 7 u 0 Q u aua u J O J J 10 0 � f O Ln M N 0 0 0 cu L FE W i O x 19D-154 0 N OJ m a Attachment 4 ESG Financial Summary DatzPRgi 19D-155 rm 0 0 1 U C1 N = O 0 O) � G O .0 e U) N O� � N O G � LL M 3 1 L O e0 LL N � 0 � U) m e c r D N N > = O 0 C IL = Q U R m U O E IO N O� R O n Lo r Mm v v 3 2' li O a a LAE a a am d d a c� d U C W d d d Edo c d d H C l0 L d JLL d V%J mwa .. FO c m dN U d C d ❑ d0_ OI J7a d o U=d d N p a 9 O d � d d tCp D7 h c �a y dL n c Oi X d C L d n E 3 o 3m m E aEu d ❑in c cry .d. 4 m nda n de o r O E d O y d E N N m V yo n ) @ E m d JC N N� a ON« 0 U \C O w J d E!'O Qd•vi - LLE L d \ R d 00 d H L W\ d O 2 CE c m�N C L ❑�\ Lam' d O U j //N r> QQ U L\d h � U d�cr aEiEE `��`° N� Ou d.« tp Q � 0j u L p d N =� .i�•`. � c iT ¢ N w0�7 'p cm H 6 Vd E N I �1 ¢ Som LU �. d` N W 21,o d ` N SPE d.. d d `o v ;E E Z5 m �/ NUd C O OU p=dam La« and am o aF E m0 Nv N O d O❑ U a N odm ❑ cc CN «O 0 2 07 d W O .. TQ =F - .>do m V d d N O d N O ,o—O= ❑ O ❑ N} 9L O �OI y N 0 Cdr .. V N N C .m vSo in N Hm E: i» o'd m V yi% E5 .0 d o mC 'Q. 0 d p 10 y'ONC ❑ A I U_.. N as}O V �= d d O L a%ioLL� o L ow EN rd d cc N U% c � Q a u N c dJwcdiLL c E - o d E o f d d `o o X TM, o o o A a N C 5 ❑ d w V ip - d CC W t0 EM » v._dF- .. o... E_ 'ncd c v m G m`o 0 L �mC�� wm o E c EE � p .Lo..�W m Q 2 U U mm d N aoN5 0 f7_ W f�0 FL -o 57 IW6.11 N\ V. 69't6i1411. CF9'MZS I ess'9ep C 0 0 0 0 0 0 0 0 m 19D--158 A � G 1° O o o] Yu co N 0 Y] n «a N N O 1p 9 W �o �p O W rn Cl w� CN,4 cY 3 l Cl o` e o � N rn rn m o r s o ❑ o ff ovm � A o m w r` rn o n ' os rn n $ O t0 t0 (") as d O a c w la Ya r r r y 0 N 0 N 0 N 0 N 0 N m M M M M n d o�000 O N N N YOl V O O O O S T a -q O O O p N N r t00 t00 V O M n V O) y m t` 0 C r O O C 0 0 0 ci eD V N r h < n< n C O O W l0 of t0 f9 O M I� t7 r t0 N A th O N O N N O O �O N O [7 O O to i0 �O V �O t0 M O O W t0 m N 3 N 1p N h to Oi ap N N N M t7 t0 O O) m O h h n ' ' W N N 1� N'6 N N N O o w o 0 0 0 o in in o O o 0 o O o O O o O o O rn rn o O o O o .= .= 0 0 0 0 o 0 0 0 0 0 0 0 0 0- o 0 0 0 o Z O f0 (O O O .: . O O O 10 H_ O 0 O 0 N 0 w 0 O 0 O 0 O 0 O 0 O 0 O 0 O 0 O E N M( f0 h I[1 l7 �O; l7 N m Yl Uf f0 N lh fIl V 1 MQN O E vi I»w ...vi I»w i»�»vI in fa ww inw No �Nw U . /1V J E A A A Sn 5 a "'3 a Ei. 'no" 0 O .o O O / oC Q, ,p� p'� 0 .o. D o c c c o a c o a c o� o .� .a .� o � •� oma O c 'm 2 U C y H C y C y 7 C y y y y N p• C K o R K �C / / J �C C •C C 'C y C y C T O O N N S •A d •O N O- C E N G, .� 5d' / 1 C N K N •N K O .m y N N d C N y u O O a. W O d O N W O 0 0 W O N A N O O K N A O '> ' y E aci E a F° aci c; aci ?3 m v d ?.' v ?? —y c `d, K c O m :° a 1° E m .^ 1° E v E 1° �^ E m E w m m E m m m m w E }° m m a m 0 0 0 d O O O O L O O N L O O O N L O O O L O O N L O O N L O O d G O O N t0 a F- a x i-• a s rn x t- a i-• t- a m a f- t- a s in S f- a❑ U) w Oz z — U x W Z Z J > = U U) (7 Q Z Z zi O U t < O Zo Z 0- O SLU G N m U) w W U p = w j c v N 7 = O c a x O 2 W w 2 LL Z y 3 = Q U 9) P5 U K U Z E d H a W m 1 D�15 2 E ' o W Z 3 O a 10 0 ►-160 m y n tp e O m I� m r n N� e r N n N m r e a r 0 r 0 m A e Ot O 0 0 0 0 0 0 0 o in o 0 0 0 . o Adm o 0 00 E� �w 0 U > o ❑` o 8 a a E 5 n � 3 o E o g ❑` o° a` o m m c c m m e m m e m m e 'm c E C y> d 0 'm m a E m E m m x m m m ~ m w y m y m d y m y `m `o o o d o 0 0 o m U Z U N ¢ O m ❑ N ❑ m N �C N C Z U O c m m n 3 J E m m U O p ►-160 i 4 61 j wz w. .. wcr w! !� U (t W U Z J w Z J } Z Z ZO -� ZO U \g .a. F- O 4 0 F O 4 C Q Z ¢ IL W p H, O Z C o C o N a m Cl Cl' W ~ 0 O m A fD ¢ C O ¢ O LL N 0 2 (n 7 D O W !- 2 (n 7 C (n d Z U J 0 S U N �^ S _ ?� 2 co z y 1a- . 0 w U W w E U E u U c a F O rn E a E o Z N fan Y C 1� U k o � L c > c 2 N C N T O •� v v E - � ¢ m rcn = 61 Attachment 5 eCart Data 19D-162 Combined Report Q5. HMIS DQ & Participation Sa. HMIS or Comparable Database Data Quality Q5a Q6. Persons Served CTM 1,63 Page 1 Client Doesn't Data Element Know or Data not collected Client Refused First name 0 0 Last name 0 1 SSN 219 45 Date of Birth 4 0 Race 50 7 Ethnicity 10 6 Gender 0 2 Veteran Status 3 2 Disabling condition 2 2 Living situation (Head of Household and Adults) 1 5 Relationship to Head of Household 0 5 Destination 11 15 Client location for 0 ! project entry p Q6. Persons Served CTM 1,63 Page 1 6a. Report Validations Table Q6a a. Total number o persons served 1170 . umeroadults (age 18 or over) 829 c. Number ot children b. With (under age 18) 337 d. Number o persons Total with unknown age 4 e. Total number o household leavers 922 t. Number ot adult leavers 577 g. I otal number o stayers 280 h. Number oadult type stayers 252 I. Number of veterans 21 j. Number of chronically 252 homeless persons 337 k. Number oadult 320 heads of household 724 1. Number oci eas 4 of household 1 m. Number o 3 unaccompanied youth 41 underage 25 0 n. Number of parenting 0 youth under age 25 with 1170 ELM !/!/ Combined Report IK 6b. Number of Persons e....... a. Without c. With only A Q6b� Q7a. Households Served 1 1U_ � rt Page 2 b. With d. Unknown Total children and household children children adults type a. Adults 829 589 239 0 1 b. Children 337 0 320 17 0 c. Don't know / refused 4 0 1 0 3 d. Information missing 0 0 0 0 0 e. Total 1170 5891 5601 17 4 Q7a. Households Served 1 1U_ � rt Page 2 Combined Report 7a. Number of Households Served Q7a 7b. Point -in -Time Count of Households on the Last Wednesday Q7b a. Without b. With c With only d. Unknown Total children children and children household at a'p ace adults at a type Total Households 736 569 159 7 1 7b. Point -in -Time Count of Households on the Last Wednesday Q7b Q9. Contacts and Engagements 9a. Number of Persons Contacted Q9a a. Without b. With c. With only d. Unknown Total children childrenadultand children household YP at a'p ace at a non- at a contact January 114 80 32 2 0 April 127 115 10 /I2 0 July 94 81 9 ��✓ 4\\ 0 October 1141 981 121// 3 \7� 1 Q9. Contacts and Engagements 9a. Number of Persons Contacted Q9a 9b. Number of Persons Engaged Q9b rOV 1615 Page 3 a. First bhFirst/� —c�'First contact.was contact was contact was d. First at a'p ace at a non- at a contact Total not�meant� residential residential place was / � uman- fonh .' ice' "�servire service missing ln --io setting setting al. Contacted once? 0'\�� �� 0 0 0 0 \} a2. Contacted 2-5 times? y<\ 0 0 0 0 0 t � 1 a3. Contacted 6-9 times? X10 0 o 0 0 0 a4. Contacted 10 or " more times? 0 0 0 0 0 az. Total persons contacted 0 0 0 0 0 9b. Number of Persons Engaged Q9b rOV 1615 Page 3 Combined Report Q10.Gender t na. Gander of Adults Q10a a. First b. First c. First Total children contact was contact was contact was d. First adults at a place at a non- at a contact `�- Total not meant residential residential place was �' v 1 c. Transgender male to for human habitation service gettintz service setting missing bl. Engaged after 1 0 0 0 0 0 contact? �l �0v \ 0 0 to male b2. Engaged after 2-5 0 0 0 0 0 contacts? 0 �1� B. Engaged after 6-9 0 0 0 0 0 contacts? \�0 /� 0 0 0 g. Information missing b4. Engaged after 10 or 0 0 0 0 0 more contacts? 239 1 bz. Total persons 0 0 0 0 0 en a ed c. Rate of engagement N/A N/A N/A N/A fi/ N/A Q10.Gender t na. Gander of Adults Q10a 10b. Gender of Children Q10b 11-Qr�„_4 66rt Page 4 a. Without b. WitT4XqXO Total children children a adults a. Male 299 235 `�- b. Female 526 350�\� 11'5. �' v 1 c. Transgender male to 1 /'; \�(0 0 female /� d. Transgender female 0 �l �0v \ 0 0 to male e. Doesn't identify as male, female, or 0 0 �1� trans ender l\l f. Don't know/refused \�0 /� 0 0 0 g. Information missing 2 ✓ 2 0 0 h. Subtotal 829 589 239 1 10b. Gender of Children Q10b 11-Qr�„_4 66rt Page 4 Combined Report 10c. Gender of Persons Missing Age Information Q10c a. With b. With only c. Unknown d. Unknown Total children and children household \ r children household children <adults cl `. adults a. Male tvne a. Male 169 163 6 0 b. Female 167 156 11 0 c. Transgender male to 0 0 0 female 0 0 0 0 d. Transgender female d. Transgender female `` // to male 0 0 0 0 e. Doesn't identify as 0 0 0 e.Doesn't identify as male, female, or male, female, or 0 0 0 0 trans ender � 0 0 f. Don't know / refused 0 0 0 0 g. Information missing 1 1 0 0 h. Subtotal 3371 3201 17 0. 10c. Gender of Persons Missing Age Information Q10c 10d. Gender by Age Ranges Q10d C"[Y— 19" Page 5 a. Without b. With ,c With only d. Unknown Total children children and \ r children household <adults cl `. type a. Male 2 0 �i �0 \� 0 2 b. Female 2 /^0 "�1 0 1 c. Transgender male to 0 0 0 0 female </�� % d. Transgender female `` // - �✓ to male j —1 \; 0 0 0 0 e.Doesn't identify as male, female, or < <y�' 0 `� 0 � 0 0 0 trans ender f. Don't know / refused �\0 , `�/ 0 0 0 0 ;. g. Information missing 0 0 0 0 0 h. Subtotal 4 0 1 0 3 10d. Gender by Age Ranges Q10d C"[Y— 19" Page 5 Combined Report nil Aae Q11 //,> Total a. Without children b. With children and' adults c. With.only \ / children d. Unknown household type e. Client 118 0 \\�i14 a. Under age 0 b. 5- 12 d. Age 62 Doesn't f. Data not �7 9 Total 18 b. Age 18-24 c. Age 25-61 and over Know/Client collected d. 18 - 24 89 // 44 J \'45 0 0 Refused 199 a. Male 470 169 23 256 20 2 0 b. Female 695 167 66 432 28 2 0 c. Transgender male to 1 0 0 1 01 0 0 female 0 0 0 j. Don't know / refused �4 0 1 d. Transgender female 0 0 0 0 0 0 0 to male 1170 589 560 17 4 e. Doesn't identify as male, female, or 1 0 0 1 0 0 0 trans ender f. Don't know/ refused 0 0 0 0 0 0 0 g Information missing 3 1 0 1 0 0 h.Total 1170 319 86 0 f681 471 4 0 nil Aae Q11 //,> Q12. Race & Ethnicity 17 Li _ I tv rt Page 6 Total a. Without children b. With children and' adults c. With.only \ / children d. Unknown household type a. Under 5 118 0 \\�i14 �,,, \ 4 0 b. 5- 12 162 0 \ \ 153 �7 9 0 c. 13 - 17 57 `�—Q \ \ (53 4 0 d. 18 - 24 89 // 44 J \'45 0 0 e. 25 - 34 199 �� ,1i8 80 0 1 f.35-44 1209 \ 131 78 0 0 g. 45 - 54 //193�� 165 28 0 0 h. 55 - 61 ` \ 90 \ 82 8 0 0 i. 62+ �\49 % 49 0 0 0 j. Don't know / refused �4 0 1 0 3 k. Information missing 0 0 0 0 0 I. Total 1170 589 560 17 4 Q12. Race & Ethnicity 17 Li _ I tv rt Page 6 Combined Report 12a. Race Q12a 12b. Ethnicity Q32b a. Without b. With c With only d. Unknown Total children children and children household Total children adults Al children type a. White 663 423 230 10 0 b. Black or African- /. American 189 85 104 0 0 c. Asian 51 18 28 5 0 d. American Indian or 10 `�+,/0 i -710 0 0 Alaska Native 120 27 93 0 0 e. Native Hawaiian or /J \ 9 Other Pacific Islander 12 4 8 0 0 f. Multiple races 78 18 58 2 0 g. Don't know/ refused 50 7 39 01/,, 4 h. Information missing 7 7 0 ,.^ 0 0 i. Total 1170 589 560 ,,�`✓ 17 •\\, 4 12b. Ethnicity Q32b Q13. Physical and Mental Health Conditions Ciined�7 Page 7 a. Without b. With \'// c\With only d. Unknown Total children children and La4dults- Al children household � �, V type a. Non-Hispanic/non- /. Latino 448 /-2 \ \'r191 0 0 b. Hispanic/Latino 697 ; moi' 337 f \357 9 q c. Don't know/refused 10 `�+,/0 i -710 0 0 d. Information missing6'., `� 6 0 0 0 /J \ 9 e. Total •+,•\1161 ,i ', 590 558 9 4 Q13. Physical and Mental Health Conditions Ciined�7 Page 7 Combined Report 13a1. Physical and Mental Health _ _ Q13a1 CU:IUILIUIIi OL LIILI �W�th� WIYh d. Unknown Total a. Without b. With .c. only �- d. Unknown Total a. Without children and c. With only household a. Mental illness persons children adults children type a. Mental illness 275 221 54 0 0 b. Alcohol abuse 46 46 0 0 0 c. Drug abuse 1081 106 2 0 0 d. Both alcohol and drug 62 61 1 0 0 abuse �` �.� 96 65 31 0 0 e. Chronic health 233 171 62 0 0 condition y`,5 jf 2 3 0 0 f. HIV/AIDS and related 9 7 2 0 0 diseases 49 28 21 0 0 g. Developmental 141 90 51 / 0 disability�� 61 43 18 0 0 h. Physical disability 1441 1141 30 , �./° 0 0 13b1. Physical and/� Mental Health `\`�'j r.....1:L ..e I n Q13b1 / 13c1. Physical and Mental Health Conditions of Stayers Q13c1 1�3r1 - TU R�Wrt Page 8 �W�th� WIYh d. Unknown Total a. Without children and .c. only �- household persons children /� adults' u .� ,children type a. Mental illness 130 j � 1o6 \24 0 0 b. Alcohol abuse 31 (t 34 0 0 0 c. Drug abuse 64 4 0 0 0 d. Both alcohol and drug /45 \��\ `t44 1 0 0 abuse > e. Chronic health �` �.� 96 65 31 0 0 condition O f. HIV/AIDS and related y`,5 jf 2 3 0 0 diseases ; g. Developmental 49 28 21 0 0 disability h. Physical disability 61 43 18 0 0 13c1. Physical and Mental Health Conditions of Stayers Q13c1 1�3r1 - TU R�Wrt Page 8 Combined Report Q14. Domestic Violence Persons with Domestic Violence History Q14a Total a. Without b. With c With only d. Unknown persons children children and children household adults �,\ �,+ type a. Mental illness 105 105 0 0 0 b. Alcohol abuse 16 16 0 0 0 c. Drug abuse 35 351 0 0 0 d. Both alcohol and drug /48 {f3 � X42 \ \589 5 1 0 abuse 24 24 0 0 0 e. Chronic health condition 89 89 0 0 0 f. HIV/AIDS and related diseases 3 3 0 0 0 g. Developmental disability 48 48 0 0 0 h. Physical disability 661 661 01 0 0 Q14. Domestic Violence Persons with Domestic Violence History Q14a 14b. Persons Fleeing Domestic Violence Q14b a. Without b. With \J c:`With only d. Unknown Total children chililren,and t �- \ hi dr childrenadults-,� household adults �,\ �,+ type a. Yes 295 1175 t \/119 0 1 b. No 501 //-369 132 0 0 c. Don't know /refused 4\\ 2 LU 1 / 0 0 d. Information missing /48 {f3 � X42 \ \589 5 1 0 e. Total / ( 848 �\ 1 ' 2571 11 1 14b. Persons Fleeing Domestic Violence Q14b Q15. Living Situation Q15 C i V IPN Page 9 a. Without b. With c With only d. Unknown Total children children and children household adults type a. Yes 86 251 61 0 0 b. No 198 141 56 0 1 c. Don't know / refused 2 2 0 0 0 d. Information missing 8 6 2 0 0 e. Total 1 294 174 119 01 1 Q15. Living Situation Q15 C i V IPN Page 9 Combined Report 1WA-el � rt Page 10 Total a. Without b. With children and c. With only d. Unknown household children adults children type a. Homeless situations al. Emergency shelter .121 104 17 0 0 a2. Transitional housing 10 y 1 0 0 for homeless persons a3. Place not meant for 448 371 76 1 0 human habitation A. Safe haven 7 7 0 0 0 a5. Interim housing 3 3 0 0 0 az. Total 583 488 94 1 0 b. Institutional settings I /j bl. Psychiatric facility 2 2 0 Xd 0 b2. Substance abuse or 31 30 1 0 0 detox center b3. Hospital (non- 8 1 <�7 0 V 0 psychiatric) \\ \ b4. Jail, prison or g 8 0 0 0 iuvenile detention b5. Foster care home or 0 0 \�'r \ 0� 0 0 foster care group home �. ^1} \\\ �' b6. Long-term care facility home 0 `/\J 0/ 0 0 0 or nursing `. \ �i, b7. Residential project\�\� or halfway house with < 1 1 > 0 0 0 no homeless criteria `\(\ �\ \i bz. Total '48 40 81 0 0 1WA-el � rt Page 10 Combined Report c. Other locations f�///// At Lates�, ) c01. PH for homeless At entr Annual At Exit for persons 1 1 0 0 0 c02. Owned by client, no a. Supplemental subsidy 0 0 0 0 0 c03. Owned by client, b. WIC 25 1 22 with subsidy 14 1 13 0 0 c04. Rental by client, no 3 services subsidy 44 9 34 0 1 c05. Rental by client, 6 services with VASH subsidy 0 0 0 0 0 c06. Rental by client, 3 services with GPD TIP subsidy 0 0 0 0 0 c07. Rental by client, with other subsidy 6 2 4 0 0 c08. Hotel or motel paid by client 66 8 58 0 s /, 0 c09. Staying or living / s with friend(s)42 16 26 /�0 0 c10. Staying or living with family 33 14 19 0 \\ 0 cll. Don't know/ 0 0 1 0 V 0 refused • c12. Information missing 5 5 /�.0 \\ 0 0 cz. Total 212 56 155 �.� V 0 1 d. Total 8471 X588 \ \i257 -77 1 1 Q20. Non -Cash Benefits 20a. Type of Non -Cash Benefit Sources Q20a Q21. Health Insurance Q21 CM -111" Page 11 f�///// At Lates�, ) At entr Annual At Exit for \ Assessment Leavers �,fc�Stayers a. Supplemental Nutritional Assistance 421 17 299 Program b. WIC 25 1 22 C. TANF Child Care 4 1 3 services d. TANF transportation 9 0 6 services e. Other TAN F -funded 5 0 3 services f. Other source 88 31 66 Q21. Health Insurance Q21 CM -111" Page 11 Combined Report 11-1 / trt Page 12 At Latest Annual At Exit for At entry Assessment Leavers for Stayers a. MEDICAID health 809 27 629 insurance b. MEDICARE health 51 5 34 insurance c. State Children's 4 0 3 Health Insurance d. VA Medical Services 6 0 4 e. Employer-provided 16 0 9 health insurance f. Health insurance 1 0 1 through COBRA g. Private pay health 18 1 18 insurance h. State Health 4 0 3 Insurance for Adults I. Indian Health Services 1 0 Program j.Other 7 0 4 ( k. No health insurance 324 11 \ 2331 I. Client doesn't 8 0 \�/�8 know Client refused m. Data not collected 4 n of yet req stayers not yet required avers not 0 \\\\/2\/� 0 to have an annual assessment o. 1 source of health 18 \ 1 29 638 insurance \\\ p. More than 1 source of \31 health insurance 11-1 / trt Page 12 Combined Report Q22. Length of Participation Q22a2.Length of Participation—ESG Droiects Q22a2 Q22c. RRH Length of Time between Project Entry Date and Residential Move -in Date Q22c \'\ Total Leavers Stayers a. 0 to 7 days 354 351 3 b. 8 to 14 days 92 83 9 c. 15 to 21 days 49 42 7 d. 22 to 30 days 59 55 4 e. 31 to 60 days 215 178 37 f. 61 to 90 days 85 60 25 g. 91 to 180 days 113 73 40 h. 181 to 365 days 46 22 24 i. 366 to 730 days (1-2 0 0 0 yrs.) 56 16 40 j. 731 to 1095 days (2-3 0 0 0 yrs.) 5 5 0 k. 1096 to 1460 days (3- 0 i. Data Not Collected 291 4 Vrs.) 1 1 0 f I. 1461 to 1825 days (4-5 391 21 171 yrs.) 0 0 0 m. More than 1825 days 0 0 >5 rs. `\�0 n.Information missing 95 <:-8\ U87 o. Total 1 1170 i./ 894 f \ 276 Q22c. RRH Length of Time between Project Entry Date and Residential Move -in Date Q22c \'\ C'I toll Rlpe� Page 13 Total 1a: Without children b. With children and adults c. With only children d. Unknown household type a. 0-7 days 10 2 8 0 0 b. 8-14 days 0 0 0 0 0 c. 15-21 days 0 0 01 0 0 d. 22 to 30 days 0 0 0 0 0 e. 31 to 60 days 0 0 0 0 0 f. 61 to 180 days 0 0 0 0 0 g. 181 to 365 days 0 0 0 0 0 h. 366 to 730 days (1-2 rs. 0 0 0 0 0 i. Data Not Collected 291 201 91 01 0 j. Total 391 21 171 01 0 C'I toll Rlpe� Page 13 Combined Report Q22d. Length of Participation by Q22d nousenum LVWC Total a. Without b. With children and c. With only d. Unknown household children adults children type a. 0 to 7 days 354 179 175 0 0 b. 8 to 14 days 92 24 68 0 0 c. 15 to 21 days 49 27 22 0 0 d. 22 to 30 days 59 13 46 0 0 e. 31 to 60 days 215 63 147 1 1 f. 61 to 90 days 85 46 39 0 0 g. 91 to 180 days 113 78 32 3 ,., 0 h. 181 to 365 days 46 30 13 ,�3 0 i. 366 to 730 days (1-2 56 41 105 0 VIS.) j. 731 to 1095 days (2-3 5 0 0 5 0 yrs.) w k. 1096 to 1460 days (3- 1 1 �0 0 0 4 rs. I. 1461 to 1825 days (4-5 0 0 A\ n \ 0 0 rs.) m. More than 1825 days 0 \ % \ �0 0 0 >5 rs. n. Information missing 95//87) \\8 0 0 o. Total 1170 \\,589-----Xt60 171 4 I\T 10-1716 Page 14 Combined Report Q23. Exit Destination — More than 90 Das Q23 C"TY— l / 7 Page 15 Total a. Without b. With children and c With only d. Unknown household children adults children type a. Permanent destinations a01. Moved from one HOPWA funded project 0 0 0 0 0 to HOPWA PH a02. Owned by client, no ongoing subsidy 0 0 0 0 0 a03. Owned by client, with ongoing subsidy 1 1 0 0 0 a04. Rental by client, no 37 17 9 ,1 / ongoing subsidy 0 a05. Rental by client, 2 2 t VASH subsidv 0 n 0 0 a06. Rental by client, GPD TIP housing `\\` with 00 0 0 0 subsidy Rentalbyclient, other other ongoing subsidy 22 12 ^� , \\ "�:� 0 0 a08. Permanent housing 12 7 55 0 0 for homeless persons a09. Staying or living family, C �,2 with permanent 2 0 0 tenure r a10. Staying or living\` with friends, permanent </ 0 1� 0' 0 0 0 tenure \\\\ J C"TY— l / 7 Page 15 Combined Report az. Total 76 41 241 11 0 b. Temporary destinations bi. Emergency shelter 5 0 51 0 0 b2. Moved from one HOPWA funded project 0 0 0 0 0 to HOPWATH b3. Transitional housing 10 10 0 0 0 for homeless persons b4. Staying with family, 4 4 0 0 0 temporary tenure b5. Staying with friends, 1 1 0 0 0 temporary tenure b6. Place not meant for 2 2 0 0'� 0 human habitation �` V. Safe Haven 0 0 0 O N 0 b8. Hotel or motel paid 8 1 5�� 2� 0 b client bz. Total 30 18 Jpk 2 0 c. Institutional settings \ \ cl. Foster care home or 0 -5 5 �� 0 0 group foster care home \\ c2. Psychiatric hospital Af or other psychiatric 0 // /0 f_ 0 --�„��jj 0 0 facili c3. Substance abuse treatment facility or f/0 `\ \ 0 0 0 0 detox center �� �� � > c4. Hospital or other residential non- \\O / 0 0 0 0 psychiatric medical facilit c5. Jail, prison or juvenile detention0 0 0 0 0 facili c6. Long term care 0 0 0 0 0 facility or nursing home 1 ��I�ITU Page 16 Combined Report cz. Total 0 0 0 0 0 d. Other destinations d1. Residential project or halfway house with no homeless criteria 0 0 0 0 0 d2. Deceased 01 01 0 0 d3. Other 4 4 0 0 0 d4. Don't know/ refused 4 4 0 0 0 d5. Information missing 3 3 0 0 0 dz. Total 11 111 0 0 0 e. Total 117 70 34 13 0 c" V 179 Page 17 Combined Report Q23a. Exit Destination—All Q23a ersons Total a. Without b. With children and c. With only d. Unknown household children adults children type a. Permanent destinations a01. Moved from one HOPWA funded project 1 1 0 0 0 to HOPWA PH a02. Owned by client, no 1 1 0 0 0 ongoing subsid a03. Owned by client, 6 3 2 1 0 with ongoing subsidy a04. Rental by client, no 187 35 128 / /�7� 4 ongoing subsidy aOS. Rental by client, 6 2 4 �j 0 0 VASH subsid /� a06. Rental by client, e_ with GPD TIP housing 0 0 `0 0 0 subsid a07. Rental by client, 51 22 29 `\� 0 0 other ongoing subsidy a08. Permanent housing 16 / � � /�9 ` i 7 0 0 for homeless persons !/</ /J \ a09. Staying or living �/<1 —'�✓ with family, permanent /� ��'� 13 0 0 tenure a10. Staying or living f\ with friends, permanent \ 5 5 0 0 0 tenure \\ I / 1 r��l_]z..rt Page 18 Combined Report az. Total 288 89 183 12 4 b. Temporary destinations b1. Emergency shelter 70 19 51 0 0 b2. Moved from one HOPWA funded project 0 0 0 0 0 to HOPWA TH b3. Transitional housing for homeless persons 112 30 82 0 0 b4. Staying with family, temporary tenure 39 8 31 0 0 b5. Staying with friends, temporary tenure 17 3 14 0 0 b6. Place not meant for human habitation 19 6 13 p b7. Safe Haven 0 0 0 (% 0 �� 0 b8. Hotel or motel paid by client 44 3 39 2 0 » bz. Total 301 69 2j�() f,� 2 0 c. Institutional settings \� f\ r. Foster care home or foster 69 18 \\7;�, � 0 0group g care home c2. Psychiatric hospital or other psychiatric 1� 1� 0 0 0 facility c3. Substance abuse treatment facility or //9 \ \'9 '�� 0 0 0 detox center �,.,'' \ > c4. Hospital or other residential non-/+ �1 psychiatric medical 1 0 0 0 facility c5. Jail, prison or juvenile detention 2 2 0 0 0 facility c6. Long term care facility or nursing home 0 01 0 0 1 0 CCR%1�e�lD R� Page 19 Combined Report cz. Total 13 13 0 0 0 d. other destinations dl. Residential project or halfway house with no homeless criteria 2 2 0 0 0 U. Deceased 2 0 C. d3. Other 264 0 0 d4. Don't know / refused 11 V152112 0 0 d5. Information missing 13 0 0 dz. Total 292 0 0 e. Total 903 345 528 14 4 INA 1 ��'�Jap�rt Page 20 Combined Report Q23b. Homeless Prevention Housing Assessment at Exit Q23b Corbin RM Page 21 Total a. Without b. With children and c With only d. Unknown household children adults children type a. Able to maintain the housing they had at project entry—Without a 19 3 7 0 0 subsid b. Able to maintain the housing they had at project entry --With the 22 1 17 0 q subsidy they had at L"Lent c. Ab a to maintain the housing they had at project entry --With an on-going subsidy 1 1 O 0 acquired since project entry !� > d. Able to maintain the housing they had at project entry --Only with 119 119 0 0 0 financial assistance other than a subsidy �r \ l e. Moved to new housing unit --With on- 0 ✓ `\\\\ 0 0 0 going subsidy f. Moved to new housing \ > unit --Without an on- \ 2 0 2 0 0 going subsidy\. g. Moved in with family/friends on a 0 �✓' 0 0 0 0 orar basis L h. Moved in with family/friends on a 0 0 0 0 0 ermanentbasis i. Moved to a transitional or temporary housing 0 0 0 0 0 facilltv or oroeram j. Client became homeless -moving to a shelter or other place 0 0 0 0 0 unfit for human habitation Corbin RM Page 21 Combined Report k. Client went to 0 0 0 0 0 'ail/orison I. Client died 1 1 0 0 0 m. Client doesn't 0 0 0 0 0 know Client refused n. Data not collected (no exit interview 23 1 22 0 0 completed) o. Total 1 187 1261 48 0 4 1 IIJi_ T pert Page 22 Combined Report Q24. Exit Destination — 90 Davs or Less Q24 XV Cc %7 L J RIrfC Page 23 Total a. Without b. With children and c With only d. Unknown household children adults children type a. Permanent destinations a01. Moved from one HOPWA funded project 1 1 0 0 0 to HOPWA PH a02. Owned by client, no on oin subsid 1 1 0 0 0 a03. Owned by client, with ongoing subsidy 5 2 2 1 0 a04. Rental by client, no 103 18 81 ongoing subsidv �0 4 a05. Rental by client, VASH subsid 4 0 4 r 1, 0 a06. Rental by client, with GPD TIP housing /� 0 0 0/ 0 0 subsidy <` a07. Rental by client, other ongoing subsidy 10 10 (�.,� p \ 0 0 a08. Permanent housing for homeless 4 /-- V//��' 2 0 0 persons �2 ( a09. Staying or living with family, permanent 20 9 11 0 0 tenure 1i -A a10. Staying or living with friends, permanent( 5 \� 5> 0 0 0 tenure \ ))) ))) XV Cc %7 L J RIrfC Page 23 Combined Report az. Total 153 48 100 1 4 b. Temporary destinations b1. Emergency shelter 65 19 46 0 0 b2. Moved from one HOPWA funded project 0 0 0 0 0 to HOPWA TH b3. Transitional housing 96 20 76 0 0 for homeless persons b4. Staying with family, 35 q 31 0 0 temporary tenure B. Staying with friends, 16 2 14 0 0 temporary tenure b6. Place not meant for 17 q 13 /0 0 human habitation 0 O N 0 b7. Safe Haven 0 0 b8. Hotel or motel paid 36 2 34 0 0 by client bz. Total 265 51 21,4 �% 0 0 c. Institutional settings cl. Foster care home or 64 18\� 46 �''^ 0 0 group foster care home c2. Psychiatric hospital other psychiatric 1 1/ ex, _ 0 1or 0 0 facili \\ _` c3. Substance abuse treatment facility or //y \ \\ `, 0 0 0 detox center Hospital or other residential non- re �1 1 0 0 0 psychiatric medical \✓/////) facilit c5. Jail, prison or juvenile detention 2 2 0 0 0 facilit c6. Long term care 0 i 0 0 I 0 0 facility or nursing home 1 ICi_n�tort Page 24 Combined Report cz. Total 13 13 0 0 0 d. Other destinations children children and household dl. Residential project or halfway house with no homeless criteria 2 2 0 0 0 d2. Deceased 2 2 0 0 0 d3. Other 253 148 105 0 0 d4. Don't know / refused 7 7 0 0 0 d5. Information missing 10 7 3 0 0 dz. Total 1 274 166 108 0 0 e. Total 1 705 2781 422 1 4 25a. Number of Veterans Q25a Q26b. Number of Chronically Homeless Persons by Household Q26b \\� b. With d. Unknown Total a. Without b. With c. Unkno � Total children children and household adults type a. Chronically homeless 12 10 �2 /} /.! 0 veteran children and household b. Non -chronically 9 9 children 0 homeless veteran io � 'w c. Not a veteran 1 8031 5671 235 �� �' 1 d. Client Doesn't 3 b. Not chronically F V (2 0 Know Client Refused „/ \ 879 e. Data Not Collected 2 /% 2 \ \ 0 1---,72391 0 f. Total 829 '\,\ ,5$9 1 Q26b. Number of Chronically Homeless Persons by Household Q26b \\� b. With d. Unknown Total ldl 0 / Page 25 \Z/1thout c. With only children children and household children adults type a. Chronically homeless 250 191 59 0 0 b. Not chronically homeless 879 386 472 51 11 c. Client Doesn't Know Client Refused 29 0 2 0 0 d. Data Not Collected 5 51 01 0 0 ldl 0 / Page 25 19D-188 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE DESTRUCTION OF OBSOLETE CITY RECORDS {STRATEGIC PLAN NO. 5, 1} NE W& RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: rt1,2:Le2 :4 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve the request for the destruction of obsolete records from the Clerk of the Council Office in accordance with the retention schedule outlined in City Council Resolution 2013-014. 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 513 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. Request for Destruction of Records — Clerk of the Council Office 19E-1 19E-2 7017 SEP 13 AM 11: 55 CITY Or SANTA. AHA CLERK OF COU iU !_ To: Sonia R. Carvalho, City Attorney Date: September 7 2017 From Maria D. Huizar, Clerk of the Council Subject: REQUEST FOR DESTRUCTION OF RECORDS The Clerk of the Council requests your approval to destroy City records on the attached listing, in accordance with the retention schedule outlined in the City Council Resolution 2013-014. Thank you. Attachments: Clerk of the Council Destruction Schedule September 2017 14RECORDS, RETENTION B DESTRUCTIOMCLE K 2017VAEM0 DEFT RECORDS DESTR_REDUETSE 037-09-19ADC 19E-4 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE CLERK OF THE COUNCIL OFFICE SEPTEMBER 2017 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD START DATE RETENTION PERIOD REMARKS CUSTODIAN AGREEMENT City Council - Original contracts and Agreement T+4 Years CCP 337.2, COTC (AGMT) Approved (A- agreements and back-up Date 343; GC Series materials. Includes *2012 34090 leases, equipment, services, licenses or supplies, services/maintenance, medical, dental and long- term disability contracts ; may contain attachments such as deeds, insurance certificates and RFCAs AGREEMENT City Manager- Up to $25, 000 - Original Agreement T+4 Years CCP 337.21 COTC (AGMT) Approved (N- contracts and agreements and Date 343; GC Series) back-up materials. Includes *2012 34090 leases, equipment, services, licenses or supplies, services/maintenence, medical, dental and long-term disability contracts; may contain attachments such as deeds, insurance certificates, and RFCAs *Department Destruction Authorization Year 2012 PREPARED BY: CONSENT BY: Norma Mitre ' Date Ma is D. Huizar Date Sr. Deputy Clerk of the Council Clerk of the Council RECORDS DESTROYED: APPROVED BY: Number of Boxes : , G ' — Sonia R. Carvalho Date 4� City Attorney 19E-5 19E-6 ti r C N O� U L O 70 ^U) Q) W rp 0 O U L- O� Q) Q) O a) cu N Z r a O cucu N _a n N C W m z z m w U K w N z Z CLEnU 0 5 z z of w zo Zo W O O � U O �n O m 0 0 (7 W Z I n p N N m m z cl W n O 0 m iLLI U N I z ',.. w ¢ w ¢ pr 2 F z 1 p I z� Q W z ¢~w y� Q LU Z 2 N a E `w U N N : Z N tF I n N N N N i I o z n O N N N I N I F¢- I U LU Z O Z 0 a w ❑ Uz F- z w w i '.. > Y w F w ''.. 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D �Q np N A 1 x T D u m m T m » o m m o c m z m = » a co w o o 0 o m m V 0 V n ax • d A < z Ad D z E O N C �O p m a5 4 m N d X f0 d N J 10 d � C O m' 3 • d 0 m C �V N C d mD ca o �m m 0 f �n y Fo0 zy A 3 m0 m � rn� n oz 3 m z d o0 � O m O � C < d m m d cn m O 3 ti a O o d 1 ' N x O m a m p '^ m O c N m ;a V A 0 N p 3 z c » p ry N o N N CMM C V N 0 O z � N d K 0 C m ON a p� A n moa " 0 z 19E-32 REQUEST FOR COUNCIL ACTION ,CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: AWARD A PURCHASE ORDER CONTRACT AWARD TO WEST COAST SAND & GRAVEL, INC., FOR ROCK, SAND, AND GRAVEL (SPEC. NO. 17-085) (STAT IC PLAN NO. 6 1C) CRY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: r3lazlZromwil, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a purchase order contract to West Coast Sand & Gravel, Inc., for rock, sand, and gravel for a one-year period beginning October 1, 2017, and expiring September 30, 2018, with provisions for three one-year renewals exercisable by the City Manager, in an annual aggregate amount not to exceed $78,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. The Public Works Agency performs maintenance and repair on the City's streets. To perform these duties, the agency requires an assortment of road materials, including rock, sand, and gravel. These base materials are used when repairing any asphalted surface. The contract for rock, sand, and gravel is designed to provide quality product at significant savings based on quantity pricing. These base materials are purchased through Central Stores and stocked at the City Yard to ensure they are available when required. The notice inviting bids was advertised on July 31, 2017, on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 273 Vendors were notified 2 Santa Ana Vendors were notified 17 Vendors downloaded the bid packet 5 Bids received 0 Bids received from Santa Ana vendors Bids received were opened on August 21, 2017, and evaluated (Exhibit 1). The lowest bid was received from West Coast Sand & Gravel, Inc., and is responsive to the specifications and meets the City's requirements. The annual amount is based on staffs projection for the next year. 22A-1 Contract Award for Rock, Sand, and Gravel September 19, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Strategic Plan Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). FISCAL IMPACT Funds in the amount of $78,000 are available in FY 2017-18 the Sanitary Sewer Service account (05617640-63001 — 50%) and in the Water Systems Maintenance account (06017641-63001 — 50%). Subsequent funding in the amount of $78,000 will be budgeted and made available in FY 2018-19, 2019-20, and 2020-21. Fred Mousavipour Executive Director Public Works Agency FM/SM Exhibit: 1. Abstract of Bids APPROVED AS TO FUNDS AND ACCOUNTS: i Francisco Gutierrez Executive Director 11114 Finance & Management Services Agency 22A-2 ABSTRACT OF BIDS ROCK SAND AND GRAVEL (17-085) FST Sand & Gravel, Inc. Harris Transfer Inc. P.T.I. Sand & Gravel, Inc. Robert R. Ford Trucking, Inc. West Coast Sand & Gravel, Inc LOCATION TOTAL Corona $85,534.11 Grand Terrace $95,849.01 Corona $86,019.52 Chino $88,920.69 Buena Park $77,951.74 EXHIBIT 1 22A-3 22A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: AWARD PURCHASE ORDER TO NIC PARTNERS, INC. FOR CISCO NETWORK EQUIPMENT (SPEC. NO. 17-091) (STRATEGIC PLAN NO. 6,1) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 9_ JJ-0617PIC ❑ As Recommended ❑ As Amended ❑ Ordinance on 1''Reading ❑ Ordinance on 2ndReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize a one-time purchase and payment of purchase order to NIC Partners, Inc. for the purchase of Cisco network equipment in the total amount of $578,000, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Reject the bid from Charity IT as nonresponsive. DISCUSSION The City's computing environment (i.e. technology hardware, software and services) is critically dependent on the underlying network infrastructure. This complex set of equipment connects technology devices, application systems and services together. The City's network serves the business operations of all agencies and departments providing connectivity between every City location. In addition, the network connects the City to the internet and external entities. A critical piece of equipment within the citywide network is the network switches. The City network -switching core performs as a switching computer used on the main connection links (backbone) of the City Hall portion of the City network. This switching computer is very powerful and is specialized to transfer large data volumes over the information highway. The present City Hall core switch supports over 300 server class computers, which host critical computing functions including the Infor financial system and the payroll system. The current switches supporting the entire City are over ten years old and are in need of replacement. The replacement of these components has been deferred over the years; thus, tripling the manufacturer's useful life expectancy and are now past their end -of -life and 2213-1 Contract Award for Cisco Network Equipment September 19, 2017 Page 2 manufacturer's support period. Neither replacement parts nor support for this equipment is available from the manufacturer. It is vital to upgrade the infrastructure making the network more resilient, faster, reliable and secure while ensuring the integrity of the network for the coming years. This particular network equipment connects user computers in City Hall, the Ross Annex, Council Chambers and 24 remote locations including: Recreation Centers, Library's, Police Department and the Jail back to the City's core services and Internet. This purchase will resolve end -of -life obsolescence and provide enhanced network capabilities. The notice inviting bids was advertised on August 8, 2017 and offers were solicited. A summary of the bid invitations and bids received is as follows: 309 Vendors were notified 32 Vendors downloaded the bid 0 Bids received from a Santa Ana vendor 8 Bids received Bids were received and opened on August 21, 2017. The bid received from NIC Partners, 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). FISCAL IMPACT Council Special Projects — Network -Outdated Equipment Jac Ciulla Chi f Technology Innovations Officer Information Technology Department Exhibit: 1. Abstract of Bids 0501 Fiscal Year Amount 7-18 $578,000 APPROVED AS TO FUNDS AND ACCOUNTS: Francist,o Gutierrez pp Executive Director Finance and Management Services Agency 228-2 ABSTRACT OF BIDS CONTRACT AWARD FOR CISCO NETWORK EQUIPMENT (17-091) VENDOR NIC Partners Inc. OzNet Systems Inc. AAA Network Solutions LOCATION Ranch Cucamonga, CA Altadena, CA Buena Park, CA OFFER $577,962.86 $598,169.76 $624,862.53 VENDOR NetXperts Aprisa Technology Llc Tec -Refresh, Inc. LOCATION Walnut Creek, CA Rosyln, NY OFFER $655,350.35 $659,900.12 VENDOR Howard Industries Inc. 'Charity IT LOCATION Ellisville, MS OFFER $925,540. 'Nonresponsive: Charity IT bid is incomplete Long Beach, CA $392,263 EXHIBIT 1 22B-3 Ontario, CA $707,402.80 22B-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE REVISED COST ANALYSIS FOR THE GRANT -FUNDED BISHOP/ PACIFICISHELTON BICYCLE BOULEVARDS PROJECT (PROJECT NO. 15-6848) (STRATEGIC PLAN NOS. 6, 1B 8/1 G) ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 16' Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve a revised Project Cost Analysis for the grant -funded Bishop/Pacific/Shelton Bicycle Boulevards project that redirects $95,000 in cost savings achieved through efficiencies in administration, inspection, and testing to the contingency, and increases the scope of work to include the Pacific Avenue/Myrtle Street intersection, resulting in a net zero change in the original approved construction delivery cost of $1,095,140. DISCUSSION On November 15, 2016, City Council awarded a contract to Excel Paving Company, the lowest responsive bidder, in the amount of $876,111, with a contingency of $87,612, to construct the grant -funded Bishop/Pacific/Shelton Bicycle Boulevards project. Adding other ancillary costs for contract administration, inspection, and testing resulted in an approved total delivery cost of $1,095,140. The project improves safety for bicyclists and pedestrians by installing Class III bicycle lanes on BishopNVillits Street from Raitt Street to Flower Street, on Pacific Avenue from McFadden Avenue to First Street, and on Shelton Street from McFadden Avenue to First Street (Exhibit 1). Due to limited funding, the original scope of work did not include the proposed improvements at the intersection of Pacific Avenue at Myrtle Street, identified as "Alternate 1" on the bid documents. However, now that the approved base bid work has been completed and a cost savings of $95,000 has been realized, there are sufficient funds remaining to complete the Pacific/Myrtle intersection without exceeding the original approved total delivery cost or changing the construction contract. Approval of this recommended action is required to revise the approved Cost Analysis and redistribute the project budget accordingly (Exhibit 2). 23A-1 Revised Cost Analysis for the Bishop/Pacific/Shelton Bicycle Boulevards Project September 19, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B (equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe, and aesthetically pleasing for all users); and Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment Plan). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. 2017-028 was filed for these projects. FISCAL IMPACT Funds are budgeted in the Active Transportation Program (ATP) Fund (Account No. 14817613- 66220 Project 156848) and Measure M2 Local Fair Share Fund (Account No. 03217662-66220, Project 156848) for expenditure in Fiscal Year 2017-18 Zrin-be F- ;,-P7. Fred Mousavipour Executive Director Public Works Agency FM/EWG/TC/MO Exhibits: 1. Location Map 2. Revised Cost Analysis APPROVED 4 TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management. Services Agency 23A-2 WL'.. EXbWIT31 1.2" WO K� UU U0 LL P1 23A-4 COST ANALYSIS CONSTRUCTION OF THE PROJECT NO.15-6848: BISHOP-PACIFIC-SH ELTON BICYCLE BOULEVARDS Project Cost Analysis Approved 11/15/2016 Net Chane Recommended 09/19/2017 Construction Contract $876,111 $0 $876,111 Contract Administration $48,350 -$40,000 $8,350 Inspection and Testing $83,067 -$55,000 $28,067 Contingencies 10% $87,612 +$95,000 20.8% $182,612 TOTAL ESTIMATED CONSTRUCTION $1,095,140 $0 $1,095,140 EXHIBIT 2 23A-5 23A-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE A MEMORANDUM OF UNDERSTANDING WITH THE CITY OF GARDEN GROVE RELATED TO THE WILLOWICK GOLF COURSE LOCATED AT 3017 W 5T" STREET CI NAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$' Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve a Memorandum of Understanding between the City of Santa Ana and the City of Garden Grove related to the Willowick Golf Course property located at 3017 W 5th Street. DISCUSSION The City of Garden Grove owns the property at 3017 W 5th Street in the City of Santa Ana. Currently that property is utilized as a municipal golf course known as Willowick Golf Course. Over the years, the cities of Garden Grove and Santa Ana has discussed various redevelopment options for the site. The proposed Memorandum of Understanding would formalize the mutual interest of both entities to discuss redevelopment options for the site and does not create a contractual obligation for either party. FISCAL IMPACT There is no fiscal impact associated with the item. 25A-1 25A-2 MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA AND CITY OF GARDEN GROVE WHEREAS, the City of Garden Grove (Garden Grove) owns the Willowick Golf Course property ("Property"), which is comprised of approximately 101.5 acres located at 3017 W 5th Street, within the jurisdictional boundaries of the City of Santa Ana (Santa Ana); and WHEREAS, Garden Grove and Santa Ana wish to jointly explore and evaluate the potential for the redevelopment of the Property. NOW, THEREFORE, it is agreed, 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, and the City of Garden Grove, a municipal corporation duly organized and existing under the Constitution and laws of the State of California as follows: 1. Santa Ana and Garden Grove agree to explore the potential for redevelopment of the Property. 2. This Memorandum of Understanding may be amended by mutual agreement between the parties or may be terminated by mutual agreement. Signatories may terminate individual participation for any reason or no reason upon a 30 -day written notice. 3. The undersigned parties further agree and acknowledge that this Memorandum of Understanding constitutes only a mutual statement of interest to be used solely for discussion purposes. It does not create any contractual rights or impose any contractual obligations whatsoever, unless and until a further agreement is executed, if ever. The undersigned parties each agree that approval and acknowledgement of the non-binding, voluntary Memorandum of Understanding shall not impose upon each other any duty whatsoever to continue negotiations in good faith or otherwise, and that each party shall continue to have the absolute right to propose different terms or to unilaterally terminate negotiations altogether. Neither party shall have any expectations that any subsequent agreement will be executed, nor that any entitlements or permits will be granted. 4. The parties agree to schedule a joint meeting of City Staff, or study session of their legislative bodies, to discuss the next steps to be taken by the parties to implement this MOU. [SIGNATURE PAGE FOLLOWS] 25A-3 IN WITNESS THEREOF, THIS MEMORANDUM OF UNDERSTANDING has been executed on this day of 2017, and shall remain in effect for a period of years, unless this Memorandum of Understanding is earlier terminated or extended by a further writing executed by the undersigned parties. RECOMMENDED FOR APPROVAL CITY OF GARDEN GROVE By: By: Rob Zur Schmiede Acting Community Development Agency Director CITY OF SANTA ANA By: Miguel A. Pulido Mayor Cynthia J. Kurtz Interim City Manager APPROVED AS TO FORM: Sonia R. Carvalho City Attorney IC Ryan O. Hodge Assistant City Attorney Attest: IC Maria D. Huizar Clerk of the Council Steven R. Jones Mayor Attest: By: [NAME] City Clerk Approved as to Form: By: [NAME] [TITLE] Approved as to Form: By: [NAME] [TITLE 25A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE A FIRST AMENDMENT TO THE AGREEMENT WITH SELECTRON TECHNOLOGIES, INC., FOR INTERACTIVE VOICE RESPONSE SYSTEM MAINTENANCE, SERVICES, AND SOFTWARE {STRATEGIC PLAN NOS. 7, 2D 5E) ITY 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 the Clerk of the Council to execute an amendment to the agreement with Selectron Technologies, Inc., for Interactive Voice Response System maintenance, services, and software in an amount not to exceed $108,851.00 for a three year and eight-month period from November 1, 2017 — June 30, 2021, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On October 21, 2014, the City Council authorized the City to enter into an agreement with Selectron Technologies, Inc., to provide an Interactive Voice Response (IVR) system to provide enhanced telephone voice service for the Municipal Utility Services (MUS), Dog License, and City Attorney business functions. Staff recommended Selectron Technologies, Inc., to provide this solution as the responsive bidder to the City's Request for Proposal 14-025. The IVR system expands and enhances service delivery by providing 24 hour, 7 -days per week (24/7) access to general information, customer account information and allow payments to be made via telephone in English, Spanish, and Vietnamese. The implementation of this system is a multi -phase project and has already been implemented in the City Attorney's Office and Municipal Utility Services, and will be implemented for Dog Licensing once that system is upgraded. The system has benefited both the City as well as the public. The system receives an average of 260 calls per weekday, and around 40% are handled without transferring to a live operator. Also, the system on average processes utility payments of $5,000 per day. Callers are able to obtain the information they seek and make payments in an easy and efficient manner regardless of City Hall operating hours. For the City Attorney's Office, the system has allowed callers to be routed directly to the staff desired as well as provide information on common legal questions. The City Attorney's Office was able to eliminate their need for a telephone receptionist as a result of this system. 2513-1 Agreement Amendment with Selectron Technologies, Inc., for Interactive Voice Response System Maintenance, Services, & Software September 19, 2017 Page 2 Staff recommends amending the agreement to extend the term to provide continued support and maintenance, implement the Dog License IVR application pack, implement Speech Recognition functionality allowing MUS and Dog License callers to speak their menu choices in English and Spanish, align the support and maintenance renewals to the City's fiscal year cycle, and amend certain other agreement terms. The funding for the implementation of Dog License IVR pack and Speech Recognition is already included in the original agreement. The funding in this action is for new support and maintenance fees through the extended term. STRATEGIC PLAN ALIGNMENT Approval allows the City to meet Goal #7: Team Santa Ana; Strategy 2D - Invest in software / resources that will help streamline the flow of information to City staff and the public, and Strategy 5E - Identify best practices and opportunities for process improvement and automation across City departments in order to provide effective and efficient delivery of City services to the community. FISCAL IMPACT Funds are available in the Public Works Agency Water Enterprise Miscellaneous Operating Expenses Other Agency Services account 06017642-62251, Refuse Collection Enterprise Contractual Services account 06917640-62300, Sanitation Enterprise Contractual Services account 06817640-62300, Sanitary Sewer Services Enterprise Contractual Services account 05617640-62300, Finance and Management Services Agency Treasury and Customer Service Contractual Services account 01110130-62300, and City Attorney's Office Contractual Services account 01108032-62300 for FY 2017-18 and will be budgeted in subsequent fiscal years. The following is an estimate of the distribution, but the actual amounts and accounts may vary based on the timing of services delivered. Account FY17-18 FY18-19 FY19-20 FY20-21 Total PWA Water Enterprise $4,999.80 $12,008.75 $12,606.75 $13,237.25 $42,852.55 06017642-62251 PWA Refuse Enterprise $1,307.64 $3,140.75 $3,297.15 $3,462.05 $11,207.59 06917640-62300 PWA Sanitation Enterprise $846.12 $2,032.25 $2,133.45 $2,240.15 $7,251.97 06817640-62300 PWA Sewer Enterprise $538.44 $1,293.25 $1,347.65 $1,425.55 $4,604.89 05617640-62300 FMSA Treas. & Customer Svc $582.00 $5,410.00 $9,030.00 $9,480.00 $24,502.00 01110130-62300 CAO $2,522.00 $5,045.00 $5,295.00 $5,560.00 $18,422.00 01108032-62300 Total: $10,796.00 $28,930.00 $33,720.00 $35,405.00 $108,851.00 25B-2 Agreement Amendment with Selectron Technologies, Inc., for Interactive Voice Response System Maintenance, Services, & Software September 19, 2017 Page 3 JagyCiulla C f Technology Innovations Officer Information Technology Department Executive Director Public Works Agency EXHIBIT: 1. Agreement Amendment APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director /1/l Finance & Management Services Agency 25B-3 25B-4 Exhibit I FIRST AMENDMENT TO THE AGREEMENT BETWEEN THE CITY OF SANTA ANA AND SELECTRON TECHNOLOGIES, INC. THIS FIRST AMENDMENT to the above -referenced agreement is entered into this 15` day of November. 2017, by and between Selection Technologies, Inc. ("Consultant") and the City of Santa Ana, a charter city and municipal on organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The Parties entered into Agreement A-2014-274, dated October 21, 2014, ("Agreement"), for Consultant to install, implement, and maintain an integrated voice response ("IVR") system for the City; B. The initial term of the Agreement was for two years, from November 1, 2014, through October 31, 2016, with an option or a one year renewal. C. On October 31, 2016, the City renewed the Agreement, extending the term through October 31, 2017. D. The Agreement Scope of Services includes implementation of Consultant's IVR solution in the City Attorney's Office, Municipal Utilities, and Dog Licenses units. The City Attorney's Office and Municipal Utilities solutions have been implemented and are live. The Dog License solution has not yet been implemented. E. The Compensation of the Agreement includes a not -to -exceed amount of $232,680.00, of which, $174,885.00 has been spent as of this First Amendment, leaving an available balance of $57,795.00. F. The Compensation of the Agreement includes an additional Contingency amount of $95,000.00, of which, $2,500.00 has been spent as of this First Amendment, leaving an available balance of $92,500.00. G. The Parties now wish to amend the Agreement to extend the term for continued implementation and maintenance, implement Speech Recognition, include additional funds, and amend certain other terms. THE PARTIES THEREFORE AGREE: 1. Section 1. SCOPE OF SERVICES, is amended as follows: a. The City may swap the implementation of Dog License for Business License Tax IVR application pack for like functionality and scope at no additional cost. Consultant will implement the Dog License or Business License IVR application pack on a mutually agreeable schedule during the extended term of this First Agreement. 1 of 8 25B-5 b. Consultant will implement IVR Speech Recognition functionality as described in the Scope of Work, Speech Recognition, attached hereto as Exhibit A-1, during the extended term. Existing Contingency funds from Agreement will be used to pay for the Speech Recognition implementation. c. Contingency funds may be used for additional IVR services, functionality, software licenses, ports, and maintenance as well as to expand use to other departments, divisions, sections, or locations. Additional Scopes of Work or Change Requests for use of Contingency funds may be submitted by Consultant and approved by the City's Chief Technology Innovations Officer or his designee during the term. This amended term supersedes references to use of Contingency funds or Change Requests throughout the Agreement. 2. Section 3. COMPENSATION, is amended as follows: a. The compensation shall be increased in an amount not -to -exceed $108;851:00 --during the extended term. b. The City agrees to pay, and Consultant agrees to accept as total payment for its services, $25,955.00, as identified in Exhibit A-1, for the implementation of Speech Recognition functionality using Contingency funds provided in Agreement. The payment schedule is specified in Exhibit A-1. c. The City may elect to continue to renew the PremierPro Support and Maintenance Agreement as part of Agreement for all or some of the IVR applications packs. City agrees to pay Consultant support and maintenance fees estimated in the Support and Maintenance Fee Schedule attached hereto as Exhibit B-1 for any PremierPro Support and Maintenance renewals. This Schedule is based on implementation timing assumptions for Speech Recognition and Dog License as well as the continued use of the City Attorney's Office application pack specified in Exhibit B-1. The actual fees billed for each maintenance period will be for the actual IVR application packs and features live, in use, and covered under PremierPro Support and Maintenance. 3. Section 4. TERM, is amended to extend the term of the Agreement three (3) years and eight (8) months to June 30, 2021. 4. Exhibit A, Professional Services Agreement, Section 2. Hardware, is amended to state that the City will provide the server hardware to run Consultant's sofrivare. Consultant provided server hardware to City with the initial implementation of the City Attorney's Office IVR application pack, but, since then, the City has elected to implement its own servers and has returned Consultant -provided server hardware back to Consultant. Parties agree that there is no financial obligation to either party as a result of this change. This amended term supersedes all references to the source and ownership of Hardware throughout Agreement. 2of8 r 5. Exhibit D, PremierPro Support and Maintenance Agreement, Section 2. Renewal, is amended to state that the maintenance renewal cycle will be shifted to align with the City's fiscal year cycle of July 1 through June 30. This shift will begin in 2018 with a half-year renewal billing for January 1, 2618, through June 30, 2018. Thereafter, renewals will resume as one (1) year terns. Exhibit B-1 reflects this renewal cycle. 6. Except as hereinabove modified, the terms and conditions of said Agreement remain unchanged and in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR CYNTHIA KURTZ Clerk of the Council Interim City Manager APPROVED AS TO FORM: SONIA R. CARVALHO SELECTRON TECHNOLOGIES, INC. City Attorney Lisa Sto�rokTodd Johns in Assistant City Attorney President RECOMMENDED FOR APPROVAL A Jaciulla Chi Technology Innovations Officer 25B-7 3of8 Exhibit A-1 Scope of Work Speech Recognition 1. Speech Recognition Relay Application Pack Add -On Scope Relay enables a licensed agency to have a fully integrated, multi -channel customer service solution. All functionality is contingent on support of the data and business rules being available from the Application database. Relay applications include the following capabilities: Functionality: Speech Recognition capability in English & Spanish for City's current two (2) Application Packs (Relay Utility and Dog License) PBX/ACD Integration: No change to existing Analog Dialogic Media Gateway integration • Number of IVR Ports: 10 Total Ports (8 Inbound & 2 Outbound) Speech Recognition is NOT included in the City Attorney application pack. 2. Pricing RELAY APPLICATION PACK ADD ONS PRODUCTION LICENSES Add On LumenVox Tier 2 Speech Reco nition ^ 10 g $690 $6,900 10 0-9, yes/no, single word navigation (500 word grammar) Add On Speech Recognition Additional Language $138 $1,380 RELAY APPLICATION PACK ADD ONS SUBTOTAL $8,280 CONFIGURATION & CUSTOMIZATION SERVICES Base Configuration & Project Services Standard Project Management, Requirements, Design, Included Included Quality Assurance, Installation, Documentation, Training Professional Services: Speech Recognition for Dog License $7,175 $7,175 1 Professional Services: Speech Recognition for Relay Utility $10,500 $10,500 Pack CONFIGURATION & CUSTOMIZATION SERVICES SUBTOTAL $17,675 TOTAL BASE RELAY INVESTMENT MAINTENANCE ADJUSTMENT, After Next maintenance to r on added functionality $25,955 i 4of8 Pricing does not include additional application integration charges that may be required as part of this solution. This includes Application Vendor API, user, or implementation fees, additional licensing fees, or other surcharges directly or indirectly charged by or remitted to the Application Vendor. Software will be delivered electronically. Sales Tax or any other applicable taxes will not be invoiced. The City will be responsible to remit any taxes to a taxing authority as applicable. 3. Payment Schedule Consultant will invoice the City for the Speech Recognition add-on on the following schedule. a. Licenses. 100% Invoiced upon Agreement Execution b. Services. 50% Invoiced upon delivery of product for User Acceptance Testing for each Application Pack 50% Invoiced upon Go -Live or delivery of product for User Acceptance Testing plus 45 Days, whichever comes first, for each Application Pack c. PremierPro Support and Maintenance Fees. PremierPro Support and maintenance fees will be invoiced upon Go Live or delivery of product for User Acceptance Testing plus 45 Days, whichever comes first, for each Application Pack or Add-on and will be prorated for the then -current PremierPro Support and Maintenance term. 4. Payment Terms Terms are Net 30. 25B-9 5of8 EXHIBIT B-1 Support and Maintenance Fee Schedule 1. Support and Maintenance Fees Below is the estimated PremierPro Support and Maintenance Agreement fee schedule. This Schedule is based on the assumptions stated herein for implementation timing. The actual fees billed for each maintenance renewal period will be for the actual IVR application packs and features live, in use, and covered under PremierPro Support and Maintenance. Municipal Utility Services Item Dates covered Amount Payment Due Date Relay Utility January 1, 2018 to June 30, 2018 $7,692.00 December 15, 2017 Relay Utility July 1, 2018 to June 30, 2019 $18,475.00 June 15, 2018 Relay Utility July 1, 2019 to June 30, 2020 $19,395.00 June 15, 2019 Relay Utility July 1, 2020 to June 30, 2021 $20,365.00 June 15, 2020 Total $65,927.00 Dog License Item Dates covered Amount Payment Due Date Relay Dog License January 1, 2018 to June 30, 2018 $582.00 December 15, 2017 Relay Dog License July 1, 2018 to June 30, 2019 $5,410.00 June 15, 2018 Relay Dog License July 1, 2019 to June 30, 2020 $9,030.00 June 15, 2019 Relay Dog License July 1, 2020 to June 30, 2021 $9,480.00 June 15, 2020 Total $24,502.00 City Attorney's Office Item Dates covered Amount Payment Due Date Relay City Attorney January 1, 2018 to June 30, 2018 $2,522.00 December 15, 2017 Relay City Attorney July 1, 2018 to June 30, 2019 $5,045.00 June 15, 2018 Relay City Attorney July 1, 2019 to June 30, 2020 $5,295.00 June 15, 2019 Relay City Attorney July 1, 2020 to June 30, 2021 $5,560.00 June 15, 2020 Total $18,422.00 Total 1 $108,851.00 2. Assumptions and Other Terms The estimated support and maintenance fee schedule above are based on the following assumptions. a. The initial six (6) month renewal period of January 1, 2018 -June 30, 2018, is to align the PremierPro Support and Maintenance term with the City's fiscal year cycle of July 1 through June 30. Thereafter, renewals will be one (1) year terms. 6of8 25B-10 b. Speech Recognition: Go Live or delivery of product for User Acceptance Testing plus 45 days, whichever comes first, occurs in June 2018. c. Dog License application pack: Go Live or delivery of product for User Acceptance Testing plus 45 days, whichever comes first, occurs in December 2018. d. The amounts will be adjusted and prorated based upon the actual Go Live date or delivery of product for User Acceptance Testing plus 45 days, whichever comes first. e. Support and maintenance of all application packs are renewed. f. In the event the City Attorney's Office discontinues PremierPro Support and Maintenance, support and maintenance fees for its shared components, 46% of the support and maintenance fees for Relay City Attorney, will be reallocated proportionately to other application pack(s). g. Fee amounts in the schedule above for Renewal Terms are estimates, which may be increased or decreased. The future fee estimates do not include increases to reflect additional functionality purchased other than Speech Recognition. h. Future fee estimates for Renewal Terms are not a guarantee that Consultant will agree to automatic renewal of the PremierPro Support and Maintenance Agreement, and future fee estimates shall not affect Consultant's right to provide notice of non -renewal under Section 2 of the PremierPro Support and Maintenance Agreement. 3. PremierPro Support Covered Products and Licenses The following products and licenses are covered under the PremierPro Support and Maintenance Agreement. Municipal Utility Services Relay I)fility Pack Interactive Voice Response Solution Included Functionality: • Current Balance Owed • Partial Payment • Last Billing Date and Amount (Up to last 6) • Credit Card Payment • Next Billing Date ACH Payment • Last Payment Date and Amount (Up to last 6) Language Add -On (Spanish) Language Add-on (Vietnamese) Additional Project Services & Configuration Ports Estimate & Server Sharing Information Line Tools Outbound Notifications - 2 Ports Delinquency Notification Shut -Off Notification Speech Recognition Licenses — 8 inbound licenses (shared with Dog Licensing) and 2 outbound licenses Dog Licensing Relay Rog License Add -On Interactive Voice Response Solution Included Functionality: • Validate License 25B-11 Credit Card Payment 7of8 Renewal Timeframe & Due Date • ACH Payment Validate Discounts • Partial Payments Rabies Expiration Language Add -On (Spanish) Language Add-on (Vietnamese) Ports Estimate & Server Sharing Additional Project Services & Configuration Information Line Tools Speech Recognition Licenses — 8 inbound licenses (shared with Utility) City Attorney Relay City Attorney Information Line IVR Solution Included Functionality: • Information Line (Up to /0 Nodes/FAQs - English) • City Staff Transfers Language Add -On (Spanish) Language Add-on (Vietnamese) Additional Project Services Ports Estimate & Server Sharing Information Line Tools 25B-12 8of8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: AGREEMENT WITH SIGNATURE TECHNOLOGY GROUP, INC. FOR DATA CENTER MAINTENANCE & SUPPORT SERVICES {STRATEGIC PLAN NO. 61 1} � f, /--:i � /,� , . -4-1. qvfy MANAGER 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 1. Authorize the City Manager and the Clerk of the Council to execute an agreement with Signature Technology Group, Inc. (STG), to provide maintenance and support services and related equipment for the City and Police Department data centers for a three-year period beginning September 19, 2017 through September 18, 2020 with an option for two one-year renewals for an annual amount not to exceed $ $37,460 which is comprised of the sum of $35,676 and a 5% contingency of up to $1,784 for a total amount not to exceed $187,300 over the life of the agreement if all extensions are utilized, for services as may be performed at the sole discretion of the City, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Reject the bid from Converge One as nonresponsive. DISCUSSION System maintenance and support services for the City and Police Department data centers are essential in order to provide repair maintenance and support to server class computers, tape libraries, storage devices, and other related equipment. The server computer equipment in the Santa Ana Police department data center runs all Police department computerized systems including: computer aided dispatch, records management, jail management, crime scene investigation, special analysis, etc. The City Hall data center houses 40 physical computer servers and over 250 virtual computer servers. These servers host a number of enterprise and department applications such as the financial management system, payroll system, utility billing system, business tax system, IT service management system, content management system, the City website, and email system. On June 8, 2017, a Request for Proposal was posted on the City's website seeking a qualified firm to assist the City with data center maintenance and support for server -class computers, tape drives, console gear and network equipment. This support would cover existing legacy equipment and new purchases if necessary. 25C-1 Agreement for Data Center Maintenance & Support Service September 19, 2017 Page 2 Forty-six firms were proactively sent the RFP. A total of six proposal responses were received and evaluated by a team of specialist from the Information Technology Department. One of the proposals received was judged not responsive due to lack of support for the service level specified by the City. Evaluation Vendor Points Rank Signature Technology Group 268 1 Logix Services, Inc. 235 2 Top Ten USA 230 3 Insight Investments 213 4 Abtech Technologies, Inc. 206 5 The evaluation team unanimously ranked Signature Technology Group (STG), Inc. as the top vendor. STG is the best qualified to provide maintenance and support for the computer equipment in the City data center and the SAPID data center and recommends that Signature Technology Group, Inc. be awarded an agreement with an initial term of three years with an option for two one year renewals. Under terms of the agreement, the City may effectively end the agreement without penalty at any time with 30 -day written notice reference. In addition to Signature Technology Group's top scoring technical qualifications, strong reference recommendations and customer -driven service strategy, STG's cost proposal contained unique service commitments. STG will provide meaningful financial rebates if it fails to meet service level terms for on-site response time, and maximum elapsed time for returning equipment to full service, or continued periods of equipment outage beyond the service agreement. In addition STG offers premium maintenance service for critical equipment down at no additional cost to the City. For example, if the City declares a critical equipment outage, STG will respond with their fastest response and premium support without further charge to the City. The commitment to contract service levels by the recommended maintenance vendor is vital to sustain the City's computer operations under the information Technology Department's aggressive cost savings strategy to operate server -class computers two to three years beyond the industry standard. 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). FISCAL IMPACT Funds are available in the Information Technology Data Center Hardware Maintenance & Support account (no. 10920147-62307) as follows: 25C-2 Agreement for Data Center Maintenance & Support Service September 19, 2017 Page 3 FISCAL IMPACT Funds are available in the Information Technology Data Center Hardware Maintenance & Support account (no.10920147-62307) as follows: Fiscal Year Amount 2017-18 $31,217 2018-19 $37,460 2019-20 $37,460 2020-21 $37,460 2021-22 $37,460 2022-23 $6,243 Total $187,300 Jack iulla w� Chi Technology Innovations Officer Info mation Technology Department APPROVED AS TO FUNDS AND ACCOUNTS: FranciscGu 'errez 00 Executive Director Finance and Management Services Agency Exhibit 1. Agreement with Signature Technology Group, Inc. for Data Center Maintenance & Support Services 25C-3 25C-4 Exhibit 1 AGREEMENT TO PROVIDE DATA CENTER MAINTENANCE FOR THE CITY OF SANTA ANA AND THE SANTA ANA POLICE DEPARTMENT THIS AGREEMENT is made and entered into this 1 st day of September, 2017 by and between'Signature- Technology Group, Inc., ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On June 8, 2017, the City issued Request for Proposal ("RFP") No. 17-073, by which it sought proposals from qualified firms for data center maintenance and support for server -class computers, tape drives, console gear and network equipment. This support would cover existing legacy equipment and new purchases if necessary. B. Contractor submitted a responsive proposal that was selected by the City. Contractor represents that it is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall perform the data center maintenance and support services that are set forth in Exhibit A, attached hereto and incorporated by reference. Contractor's proposal is also incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B. The total amount to be expended under this Agreement shall not exceed $187,340 during the term of the Agreement, including any extension periods exercised under Section 3. The total yearly amount shall not exceed $37,460 which is comprised of the sum of $35,676 and a 5% contingency of up to $1,784 for services as may be performed at the sole discretion of the City. b. Payment by City shall be made within 45 days (forty-five) 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. 25C-5 3. TERM This Agreement shall commence on September 19, 2017 and terminate on September 18, 2020 with the option for the City to grant up to a two (2) one year renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment.insurance 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 Contractor under this Agreement ("Documents & Data"). Contractor 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. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor 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. 25C-6 INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor 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 Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: i. Contractor 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. iv. Contractor shall supply City with a fully executed additional insured endorsement. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives 25C-7 the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, 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 Contractor, its subcontractors, agents, employees, or other persons acting on its 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 Contractor 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. Notwithstanding the foregoing, to the extent Contractor'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 willful misconduct of the Contractor. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor 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 Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor 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 Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor 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. Contractor 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 Contractor under this Agreement. 25C-8 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior 25C-9 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 Contractors retained by City. 16. TERNIINATION This Agreement maybe terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Chief Technology Innovations Officer may require Contractor to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 17. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be "effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 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. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 20. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, 25C-10 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. 21. 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: Chief Technology and Information Officer, Information Technology Department City of Santa Ana 20 Civic Center Plaza (M-42) P.O. Box 1988 Santa Ana, California 92702 E-mail: jciulla@santa-ana.org To Contractor: Signature Technology Group Attn: Victoria Lopez 2424 W. Desert Cove Ave. Phoenix, AZ 85029 Fax: 602-427-4500 Sonia R. Carvalho City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax: 714-647-6515 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 25C-11 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. 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: Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: JACK CIULLA Chief Technology Innovations Officer Information TechnologyDepartment CITY OF SANTA ANA Cynthia J. Kurtz Interim City Manager SIGNATURE TECHNOLOGY GROUP, INC.: By: Title: 25C-12 EXHIBIT A SCOPE OF SERVICES 25C-13 EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable 25C-14 EXHIBIT A SCOPE OF SERVICES 25C-15 Exhibit A - Scope of Work Signature Technology Group P S I TCChDvta Equipment covered 1.1 The Vendor must disclose in its proposal any model of equipment identified by the City as part of its current inventory for which it will not provide the full range of services included in this RFP and/or would terminate all or part of service prior to end of the term of the agreement. In Agreement 1.2 The City may add and/or remove equipment from the coverage of the agreement with 15 days prior written notice (i.e. letter, fax, or email). In Agreement Break -Fix 2.1 Simply put, if something covered under the agreement breaks, the City expects the Vendor to return it to at least manufacturer's original equipment specifications within the time frame defined in the agreement. Except in the cases of acts of God or intentional abuse as are commonly defined by industry standards. STG will return the equipment to 100% functionality but there may be a charge if the root cause was one of the reasons listed above. These issues are extremely rare but we wanted to be thorough in our response. Support Services 3.1 Help desk phone support must be available 24x7x365 and not have a wait time over 15 minutes to speak to a support engineer. In agreement 3.2 Help desk assistance for the City's efforts in self-help. This consists of advice on new configurations, new hardware configurations and troubleshooting issues while waiting for an onsite engineer to arrive. In agreement 4 Service Requests 4.1 The City must be able to initiate a request for support 24x7x365. In agreement 4.2 Service requests can be submitted to the vendor via toll-free phone number and via web. 25C-16 STG TedID17ta Exhibit A- Scope of Work Signature Technology Group In agreement, STG has a Cloud Portal where requests can be submitted and an 900 number. 4.3 The City shall assign the level of severity to each service request. In agreement. STG encourages the City to assign a level of severity to each service request. It is STG standard practice to do the same. 4.4 The City shall determine when a service call has reached close-out. Only at this time can the ticket be deemed completed. In agreement Staffing 5.1 Vendor's staff to work on the City site must be able to pass a Santa Ana Police Department (SAPD) background check. In agreement 5.2 The City reserves the right to not accept or to have a service staffer removed for any reason. In agreement Parts 6.1 All parts must be new and built to original equipment specifications. Any exceptions require prior written approval from the City. In agreement 6.2 If it is the Proposer's intention to use remanufactured or recertified parts as part of their maintenance and service for City equipment, the Proposer must identify that parts replacement approach in their proposal In agreement. STG uses only new parts as long as they are available. The only case in which we would use remanufactured parts is if the parts are no longer being made because the City chooses to continue to operate some systems beyond the date when the OEM makes new parts. Only under those circumstances will STG use remanufactured parts. In that case. STG always requires the parts to be recertified and tests the parts before using them in a customer's equipment 6.3 Upon request, the City will make available to the Vendor on-site storage 25C-17 ® .5TY rechmta space for some Vendor spare parts storage. In agreement Exhibit A - Scope of work Signature Technology Group Invoicing 7.1 The Vendor must provide the City with a monthly invoice detailing specific services by specific equipment provided by the Vendor and for which the Vendor seeks payment under the terms of the agreement. In agreement 7.2 The format and details of the invoice will be agreed upon before any billable services can begin. In agreement 8 Sub -contracting 8.1 The Vendor may not subcontract any part of the services under this agreement or use non -employees to perform those services without the prior expressed written approval of the City. In agreement 1. Service Request Procedures 1.1 How would the City initiate a request for service? There are two ways to initial a service request: A simple call to our maintenance center will start the process, putting you in touch with our Dispatch Center. Our Dispatch Centers are staffed around the clock. We have two of them, both located in Phoenix, AZ. They provide redundancy so you are always able to place service calls and speak to a live dispatcher. We do not have a response tree that must be navigated (push 1 for this, or 2 for that...), instead our dispatcher answers the phone after only a few rings, and says, "STG, may I help you?". STG also offers multiple electronic methods to open a service request, including a web portal, email or fax. Another option is to open a service ticket via our online Cloud Portal. o Logon to the Portal o Open a Case o Required Fields include: o Asset 25C-18 Exhibit A - Scope of Work Signature Technology Group .5rV 7"Dita o Customer Incident Number o Status o Local Site Contact Information o Contact Name o Phone # o Address o Subject / Description Both of these options funnel into our Dispatch Center and the same approach is followed regardless of the method that our customers choose to open a service request. To open a service call only a few key pieces of information need to be communicated. We do not keep our customers on the phone for long, and our web portal has only a few mandatory fields that must be submitted. Our philosophy is that your technical team should be able to request service from STG in a very short period of time, and then get back to their core duties. Once you place a service call, STG will perform all of the activities from that point forward to resolve the problem. After the call is made, STG will contact the person designated in the service request within 15 minutes and establish an ETA for the on-site work that needs to be done. Our service technician will show up on time and perform all of the diagnostic efforts that are necessary and proceed with the repairs as quickly as possible. 1.2 How would a service request be closed out? When a call is completed, the technician will notify the appropriate/designated City of Santa Ana personnel via the approved method (you let us know whether that is via email, phone call or personal visit). When the City personnel agree that the problem has been resolved, then we will close the call in our system and with your Help Desk. If the City personnel to do not agree that a problem has been fixed to their satisfaction, then we continue to work on the issue until it is completely resolved. When the City approves, then our on-site technician will notify STG, detailing all of the work that was done and the parts used, so that our Dispatchers can enter the information in our Service Order records. In the event that the City of Santa Ana should decide in advance of work being done that it wishes to cancel a service request, a call to STG's service desk will be all that is necessary. 2 Help Desk 25C-19 Exhibit A- Scope of Work Signature Technology Group �T TechData 2.1 What is the expected wait time during regular business hours and after hours? The typical wait time is measured in seconds, not minutes. There is little difference in the wait time between peak hours and after hours because we have sized our staff appropriately. STG does operate our Service Desk on a priority triage basis so the higher severity calls get priority when needed. 2.2 Where is the help desk physically located? STG's Service Desk is virtual but all of the personnel are located within the US and their native language is English. Due to the virtual nature of our delivery model, no weather problem, power outage or phone issue can disrupt our ability quickly communicate with our customers when they need support. 2.3 What is the knowledge level of the help desk staff and are they certified? We believe that our Service Desk model is unique in the industry. The STG view is to make our most knowledgeable staff immediately available to our customers so service requests can be closed as quickly as possible. By taking this approach, STG is able to quickly assess each situation and expertly determine the most probable cause of the problem and the correct solution. As a result of this philosophy, STG has an extremely knowledgeable Service Desk staff that will be able to intelligently communicate with the City on each problem that is encountered and work through the issues quickly to the most appropriate resolution. 2.4 Does the help desk staff have access to HP bug logs, problem fix records and technical documents? Yes, completely. 1. STG has established an HP Partnership with an outlet ID of 03457300001. 2. With this HP partnership ID, we can tap into HP's Channel Services Network located at http://h30125.www3.hp.com/csn/?hpp, and get Bug Fixes, Resolutions, Software, Service Manuals and Configurations. 3. With this HP partnership ID, we also get access to HP's Business Center Operations (BCO) for HP Certifications under its Partner Portal located at http://h20375.www2.hp.com/portal/site/publicpartnerportal/menuitem.92adb l 14d98ecc7 8f24af950f8039e01/ 4. We can also call HP for limited phone support and HP will guide us to whether a particular Issue is software and/or hardware failure and email to us their analysis. 3 Escalation Procedures 3.1 What are the procedures for regular business hours and after-hours escalation? The STG escalation policy and procedures are outlined in the answer following this one, but the 25C-20 Exhibit A - Scope of Work Signature Technology Group TechCara procedure from the City's perspective is the same during regular business hours and afterD hours. STG operates around the clock and the operations management and executive managers at STG are all available to the City at any time of the day or night via their cell phones. The cell phone numbers will be given to the City shortly after contract award and you are free to contact the management team at any time that you feel the need to escalate a particulate issue. Twice daily, STG account and operations management meet to review all open service calls. Each call is reviewed for activity and resolution. Management is able to make real time decisions on any service calls that need special attention and determine if additional technical support is needed or if the call should be escalated to the next priority level. Each call received by STG is given a severity rating. STG applies a Sev1 0Sev3 rating to each call, Sev1 being the most severe. Under a Sevi rating, all STG technical and operational resources are applied. Upper operations management remains involved until the call is resolved. A Sev1 call may require transporting additional personnel and or parts to the City's site as well as escalation to the OEM. STG has many procedures in place to ensure that we repair your equipment as quickly as possible. We have a very rigorous escalation procedure that all of our support staff follows, to make sure that all calls are closed as quickly as humanly possible. 3.2 What level of Vendor's management are involved in escalations and how? If the cause of the problem/malfunction is not determined within two (2) hours or less after repairs begin, the assigned support specialist notifies his manager and an Incident Manager is assigned to help gather all of the resources that would be helpful on this particular issue. The Incident Manager is also responsible for effective and thorough communications between STG and the City of Santa Ana. If after an additional two (2) hours or less time has elapsed and the problem is still not resolved, the Centers of Expertise (COE) Platform Owner is notified of the problem and contributes their product specific expertise. The third level technical escalation point is to assign the Subject Matter Expert (SME) with the most experience on the failing device or piece of software, from the COE matrix. This individual typically has 10+ years on the exact software/device that needs repairs, so their contribution to the problem is extremely helpful. Should a Sev1 situation exist where a component or device is out of service a ("RED ALERT" situation), the STG Incident Manager will become actively involved. The Incident Manager will work with the site personnel, the SME, and the Director of Operations to formulate and implement an appropriate action plan to effectively resolve the problem. The Incident Manager is responsible for managing all information to and from all parties involved. 25C-21 Exhibit A- Scope of Work Signature Technology Group P STG Tectroata A'`RED ALERT" situation demands the attention of all STG resources necessary to solve the problem in the most efficient manner. This may include replacing the failing unit with an installation ready major unit. The major unit will be supplied by STG at no additional cost to the City of Santa Ana. Those familiar with the problem of getting the OEM to supply such replacements appreciate this service. Supplemental OnoSite Headquarters Support includes activating and transporting additional technical resources from corporate headquarters or from another field location to the site at no additional cost to the City of Santa Ana. OEM Technical Support includes obtaining and transporting needed OEM (HP) specialists to the site at no additional cost to you. The STG Incident Manager presents all action plans to the appropriate the City of Santa Ana personnel. The plan will be implemented in such a manner as to minimize the negative impact on customer's production schedule. 25C-22 Sl iJ 7EchDM Pricing Model Exhibit A- Scope of Work Signature Technology Group Model Description Proposed Monthly Pricing Each 6 Hour Call to Repair Proposed Monthly Pricing Each Next Business Day 262586-1321 IP Console Switch Box, 3x1x16 0 0 221546-001 Rackmount Flip -up KBD/Monitor TFT560ORKM $4.00 $1.80 J1470A 15" KVM Console LCD $3.30 190211-001 STORAGEWORKS 4354 ARM JBOD $58.30 $26.00 201203-001 PROLIANT DL580R02 X1600 2P $51.30 $22.80 301111-001 PROLIANT DL38OR03 SERVER $27.50 $12.20 349201-001 Proliant DL380 G3 X2.8 $27.50 $12.20 389831405 Proliant DL360 G4p $15.00 $6.80 418800-621 StorageWorks MSA70 Array $22.80 $10.20 AG115A STORAGEWORKS MSL2024 'LIBRARY $30.80 $13.80 AG771A Proliant DL380 G5 $48.50 $21.60 AJ750A MSA2000 3.5 -IN Dual 1/0 Encl $17.30 $7.60 AJ926A StorageWorks 20121 MSA $21.80 $9.80 AJ940A StorageWorks D2600 Disk Encl $22.80 $10.20 25C-23 Exhibit A- Scope or Work Signature Technology Group nchData BL460CG1 Proliant BL460C G1 $10.80 $4.80 BL460CG6 Proliant BL460C G6 $10.80 $4.80 DL360G5 PROLIANT DL360 G5 SERVER $16.50 $7.40 DL360G6 Proliant DL360 G6 $16.80 $7.60 DL380G3 PROLIANT DL380 G3 SERVER $27.50 $12.20 DL380G4 PROLIANT DL380 G4 SERVER $23.50 $10.60 DL380G5 PROLIANT DL380 G5 SERVER $23.50 $10.60 DL380G6 PROLIANT DL380 G6 SERVER $23.50 $10.60 MSL4048 MSL4048 Tape Library $56.30 $25.20 PE2950 POWEREDGE 2950 $34.30 $15.20 PER710 PowerEdge R710 $44.50 $19.80 AIR-WLC4402-25- K9 Aironet 4400 Ser WLAN Control $68.30 $30.40 ASA5505-UL-BUN- K9 ASA 5505 Security Appliance $4.00 $1.80 CISCO2811 CISCO 2811 ROUTER $25.00 $11.20 CISCO2911/K9 Cisco 2911 w/3 GEM EHWIC $26.50 $11.80 CISCO7204VXR/225 7204VXR SYS NPE-225 FE IOS $188.00 $83.80 WS-C2960-24LT-L Catalyst 2960 10/100 Mbps Switch $5.50 $2.40 WS-C2960G-24TC-L Catalyst 2960 24 -Port Gigabit $8.30 $3.80 WS-C2960G-48TC-L Catalyst 2960 48 -Port 10/100/1000 $26.80 $12.00 WS-C2960S-24TS-L Catalyst 2960S Stack 24 GIGE $19.80 $8.80 WS-C3560G-24TS-S Cat 3560 24 -Pt 4 SFPS TD Image $12.50 $5.60 25C-24 Exhibit A- Scope of Work Signature Technology Group .S V 7MMIa WS-C3750G-12S-S Catalyst 3750 12 SFP $44.50 $19.80 WS-C3750X-12S-E Catalyst 3750X 12 GE SFP $46.80 $20.80 WS-C3750X-48T-E Catalyst 3750-X Switch $51.30 $22.80 WS-C4507R-E Switch Catalyst 4500 E -Ser $164.30 $73.20 CISCO2921/K9 2921 Integrated Svc Router $32.80 $14.60 25C-25 COMPENSATION Fee Proposal including hourly rates if applicable 25C-26 25C-27 yya_ i N N r w r r r n r r r w w n w y y r n r r N n n r r N w y r n r ' CN y V V V C V C C C QQw 4 q ' tl Re� ¢'20i.�7t 88 AA gg S�2 O O3a a; ,�i A9 x .3 x A '. aN...g ee �O w3E Ou w'N 8 f Y n g s p U p$p 25C-27 yya_ i 25C-28 S sI F Y 8 8 R 4$ S 5 h �j t1L q � U m E �29i y„ i 9 g 9� gn gn gn gr F C F C K K K 20N= 03 U$ tpm : i 3s g S F a A A T. A X .L• o � OU W UW'CiY ` S S 3�ai a C � If it m n E a E 25C-28 S sI REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE AN AGREEMENT AMENDMENT WITH MIDORI GARDENS FOR LANDSCAPE SERVICES IN DISTRICT A {STRATEGIC PLAN NO. 6, 1B} C ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' 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 an amendment to the agreement with Midori Gardens to modify the scope of services for landscape maintenance in District A (Civic Center Area and Stadium) and increase the annual amount starting October 1, 2017 from $255,605 to $329,739, which includes a 15% contingency, for the original term of July 1, 2016 through June 30, 2018, and each of the two, one-year renewal options for a total amount not to exceed $1,226,289 over the total term of the agreement, including renewals, subject to non - substantive changes approved by the City Manager and City Attorney. On May 4, 2016, Parks, Recreation and Community Services Agency issued a Request for Proposal (RFP) for the landscape maintenance of District A (Civic Center Area and Stadium). An evaluation committee consisting of representatives from PRCSA reviewed and rated the proposals. The proposals were evaluated according to the criteria listed in the RFP, which includes firm/team experience, relevant project experience, scope understanding, references and fee. Midori Gardens received the highest score and on June 21, 2016 was awarded a two-year agreement from July 1, 2016 to June 30, 2018, with two, one-year renewal options. On September 20, 2016 the City approved the Civic Center Safety and Security Enhancement Program. As part of the plan the City is to increase the level of cleaning in the Civic Center Area. The Civic Center is undergoing major construction and the implementation of this aspect of the enhancement program has been delayed. The City is ready to proceed. In order to implement the service, City staff is requesting to add services and increase the contract amount to the existing agreement Midori Gardens. The change in scope includes: - Additional daily trash can collection around the Santa Ana Library in the evenings - Additional daily trash collection in the Plaza of the Flags & West Mall 2513-1 Agreement Amendment with Midori Gardens For Landscape Maintenance of District A September 19, 2017 Page 2 Two times a week cleanup of the Plaza of the Flags parking garage and once a month pressure washing STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (Establish and maintain a Community Investment Plan for all City assets), Strategy B (Equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe and aesthetically pleasing for all users). FISCAL IMPACT The increase in scope and cost will begin October 1, 2017, therefore the agreement amounts for the annual terms of the agreement are as follows: • July 1, 2016 -June 30, 2017 - $ 255,605 • July 1, 2017 to September 30, 2017 - $ 63,901 • October 1, 2017 to June 30, 2018 - $ 247,305 (Commencement of New Scope) • July 1, 2018 -June 30, 2019 - $ 329,739 • July 1, 2019 -June 30, 2020 - $ 329,739 Total - $1,226,289 Funds are available in the following accounts for the specified fiscal year: Stadium (no. 01113210-62320) $44,413 Civic Center (no. 07413250-62320) $266,793 If renewed funds will be budgeted in the following accounts for the specific years: Stadium (no. 01113210-62320) $44,413 $44,413 Civic Center (no. 07413250-62320) $285,326 $285,326 k -w GerarQlo Mouet Executive Director Parks, Recreation and Community Services Agency EXHIBIT: 1. Agreement Amendment APPROVED AS TO FUNDS AND ACCOUNTS: Fra&is%CDatierrez, Executive Director uxs q-) Finance and Management Services Agency 25D-2 FIRST AMENDMENT TO LANDSCAPE MAINTENANCE SERVICES AGREEMENT WITH MIDORI GARDENS (DISTRICT A) THIS FIRST AMENDMENT TO AGREEMENT is entered into this 19th day of September 2017, by and between Midori Gardens, Inc. ("Contractor"), and 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"), RECITALS A. On June 21, 2016, the City entered into Agreement #A-2016-151 with Contractor to provide landscape maintenance services in District A (the Civic Center and Stadium) for the term of July 1, 2016 through June 30, 2018. B. In accordance with the terms and conditions of the Agreement, the parties desire to amend the Scope of Services and the Compensation amount of the Agreement to reflect additional Civic Center daily maintenance services consisting of emptying trash bins daily at the Library and Plaza of the Flags, pressure washing the Plaza of the Flags parking garage twice a week, and emptying trash cans in the Plaza of the Flags parking garage twice a week THE PARTIES THEREFORE AGREE: 1. Section 1, SCOPE OF SERVICES, shall be amended to include additional services listed in the attached Proposal # 12332, described and set forth as Exhibit A-1 attached hereto, and incorporated by reference to this Agreement. 2. Section 2, COMPENSATION, shall be amended to increase the annual sum, as detailed in Exhibit A-1, to be expended under this agreement for the new landscape maintenance service by $74,133.60 consisting of an increase in the annual amount of the Agreement of $64,464 and an increase in the annual contingency of the Agreement by $9,669.60. The amended annual compensation reflected in the Agreement will not exceed $329,739.60 during the term of this Agreement. This annual amount is comprised of (1) to sum of $286,729 and (2) a 15% contingency of up to $43,009.60 for services as may be performed by the Contractor at the sole discretion of the City. Therefore, the total amount of the Agreement, including any optional renewals, shall not exceed $1,226,289. Except as hereinabove modified, the terms and conditions of said Agreement remain unchanged and in full force and effect. --signature page to follow -- Page 1 of IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the 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: Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: Gerardo Mouet Executive Director of Parks, Recreation and Community Services Agency CITY OF SANTA ANA CYNTHIA J. KURTZ Interim City Manager MIDORI GARDENS Naga Hamamoto President Page 2 of 2 E�WW 1 EXHIBIT A-1— First Amendment to Midori Gardens Agreement A-2016-151 dP nddori gardens 3231 S. Main St. Santa Ana, Ca. 92707 714.751.8792 July 26, 2017 City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Attn: Kevin Eaton Email: Keaton@santa-ana.org RE: Civic Center daily maintenance PROPOSAL #12332 1. Additional daily trash can collection around the Santa Ana Library in the evenings around 6:00pm...........................................................................................$1,354.00 2. Additional daily trash collection in the Plaza of the Flags, west mall.............$1,956.00 3. Two times a week cleanup of the Plaza of the Flags parking garage and once a month pressurewashing................................................................................$1,900.00 TOTAL..........................................................................................$5,210.00 TOTALW/BOND.............................................................................$5,372.00 NOTE: Item #1 empty trash cans only. Ne4o-n/Qood4l 4k SUBMITTED BY / SIGNATURE APPROVED BY / SIGNATURE Cmgty'act3 A nen .. 07/26/17 TITLE DATE TITLE FAX (714) 751-4167 La Tess DATE C-27 308373 / PCL 35527 EXHIBIT A -I — First Amendment to Midori Gardens Agreement A-2016-151 PLEASE SIGN, DATE, & RETURN TO: MIDORI GARDENS @ (714) 751-4167 OR EMAIL US AT MIDORISCAPE(a)SBCGLOBAL.NET - THANK YOU. FAX (714) 751-4167 La►[dsOF C-27 308373 / PCL 35527 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE SECOND AMENDMENT TO AGREEMENT WITH AON ESOLUTIONS FOR WORKERS' COMPENSATION AND LIABILITY CLAIMS SOFTWARE (STRATEGIC PLAN NO. 4, 3) MANAGE 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 Authorize the City Manager and Clerk of the Council to execute a second amendment to the agreement with Ventiv Technology, Inc., f/k/a AON eSolutions, Inc. to extend the term of the agreement for one year, ending on September 30, 2018, and to add an additional $43,124.49 to the agreement for a total not to exceed amount of $194,195.44, which includes the original compensation and the additional compensation provided by the first amendment to the agreement. DISCUSSION The City has utilized the services of Ventiv Technology Inc., f/k/a AON eSolutions, Inc. since March 16, 1999 for the processing of workers' compensation and liability claims. The agreement with AON expires September 30, 2017. This amendment extends the term of said agreement to September 30, 2018 and reaffirms the amount of annual maintenance fees, hourly rate of professional services, data conversion, custom development and training. Staff will conduct a Request for Proposals (RFP) during the term of the extension. This will allow sufficient time to solicit bids. If a new vendor is selected this will allow transition time to implement new software. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #4 - City Financial Stability; Objective #3 (Maintain a structurally balanced budget with appropriate reserve levels). 25E-1 Workers' Compensation September 19, 2017 Page 2 FISCAL IMPACT and Liability Claims Software Agreement Funds are budgeted in the 2017-18 Liability & Property account (account no. 08009051-62300) $97,097.72 and Workers' Compensation account (account no. 08209054-62300) $97,097.72. 40,vt ( l dward Raya Executive Director Personnel Services APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25E-2 SECOND AMENDMENT TO AGREEMENT BETWEEN CITY OF SANTA ANA AND VENTIV TECHNOLOGY INC. THIS SECOND AMENDMENT to the above -referenced agreement is entered into on September 19, 2017 by and between Ventiv Technology Inc. fWa Aon eSolutions, Inc. (hereinafter "Consultant") and the City of Santa Ana, a charter city and municipal corporation (hereinafter "City"). RECITALS A. The parties entered into Agreement #A-2014-241 dated September 16, 2014 ("Agreement"), by which Consultant agreed to provide continued upgrades, maintenance and support of the City's Personnel Services Agency's workers' compensation liability claims software program for a two (2) year period. The total compensation was not to exceed fifty-five thousand dollars ($55,000.00) per year during the initial term of this Agreement and a rate equal to the initial tern rate or at an increase not to exceed five (5%) during any extension period. B. The parties subsequently entered into a First Amendment to the Agreement (#A-2016-304) on September 30, 2016 to increase the total amount of the Agreement by $41,070.95 and extend the term for an additional one (1) year period through September 30, 2017. C. In accordance with the terms and conditions of the Agreement, the parties wish to further amend the Agreement to extend the term of the Agreement and provide additional compensation to the Consultant for those continued services. Now, therefore, in consideration of the mutual and respective promises, and subject to the terms and conditions of said Agreement, except those amended in the First Amendment to the Agreement, and except as herein modified, the parties agree as follows: Section 2(a), Compensation, shall be amended to add an additional—$,43,124.49 to the Agreement, such that the total sum to be expended shall not exceed $194,195.44 during the term of the Agreement which includes the original compensation and the additional compensation provided by the First Amendment to the Agreement. 2. Section 3, Term, shall be amended to extend the term of the Agreement for one (1) year until September 30, 2018. 3. Except as hereinabove modified in this Second Amendment, the terms of said Agreement and First Amendment shall remain in full force and effect. In the event of any conflict between the terns of this Second Amendment and the terms of said Agreement and First Amendment, the terms of this Second Amendment shall control. [Signature Page to Follow] 25E-3 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to the Agreement on the date and year first written above. ATTEST MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM CITY OF SANTA ANA SONIA R. CARVALHO City Attorney �K19�'lX1-i- LAURA A. ROSSINI Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: Ed Raya Executive Director of Personnel Services CITY OF SANTA ANA CYNTHIA J. KURTZ Interim City Manager VENTIV TECHNOLOGY INC. By: Douglas Wilson Title: VP, Operations & Admin TIN#68-0331363 25E-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE AN AGREEMENT WITH NAPHCARE, INC. FOR JAIL INMATE MEDICAL SERVICES {STRATEGIC PLAN NO. 1, 4A} w WAS 01 - - �` RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$' Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a two-year agreement, with three one-year options, with NaphCare, Inc. to provide basic and emergency health care services for Santa Ana Jail inmates, for the period of October 1, 2017 through September 30, 2019, in the amount of $4,991,486.78 (including a $100,000 contingency), subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION California's Board of State and Community Corrections (BSCC) requires agencies to provide basic and emergency health care services for all incarcerated individuals held within their custody. In addition, the City's federal contracts require that medical services be provided to contract detainees and inmates. On April 25, 2017 the Police Department issued a request for proposals (RFP #17-051) for inmate medical services. On May 10, 2017 a pre -proposal conference was conducted, and on June 30, 2017 the City received proposals from two firms. NaphCare, Inc. and Correctional Managed Care Medical Corporation (CMCMC) each submitted proposals for consideration. An evaluation committee consisting of representatives from the Santa Ana Jail and the Santa Ana Police Department Fiscal Section reviewed and rated the two proposals. The proposals were evaluated according to Responsiveness to RFP (20%), Experience of Firm and Personnel (40%), and Cost of Proposal (40%), as stated in the RFP. The results of the RFP evaluation are as follows: Vendor Score NaphCare, Inc. 350 CMCMC 282 400 point maximum 25F-1 Agreement for Jail Inmate Medical Services September 19, 2017 Page 2 NaphCare was the most responsive, capable and experienced respondent. The NaphCare proposal maintains efficiencies and modernization of the delivery of medical care and provides for robust preventive care measures, minimizing the need for outside or specialized medical care. Naphcare demonstrated significant recent experience providing full spectrum healthcare services to correctional facilities. Naphcare was the only respondent with ownership over its own pharmacy service, which significantly improves pharmaceutical delivery and dispensing times. NaphCare will provide routine and emergency inmate medical services, including but not limited to, providing prescription and over the counter medications, physical examinations, dental care and psychiatric services. NaphCare will also provide recurrent CPR training and Tuberculosis screening for Jail employees. The Police Department proposes to enter into a two-year agreement, with three one-year options, with NaphCare, Inc. beginning October 1, 2017 and ending September 31, 2019. A $50,000 annual contingency is included for services outside the base agreement, such as x-rays, dentures, and OB/GYN exams, for a total two-year agreement amount of $4,991,486.78. The proposed agreement contains a stepdown mechanism by which the contract value is reduced by approximately 11% should the inmate average daily population fall below 176. In addition, the agreement can be terminated by the City by providing a 30 day written notice of cancellation. Naphcare has been providing inmate medical services to the Santa Ana Jail since October 2014, and has significantly reduced the amount of inmate medical grievances. The reduction in medical inmate grievances is indicative of the higher level of care being provided to those in custody at the Santa Ana Jail. In addition, Naphcare has significantly reduced the need to transport inmates to outside medical facilities because of their ability to treat more medical conditions on- site. This reduction in medical transport has resulted in substantial time and cost savings for both Field Operations and Jail personnel. 25F-2 NaphCare Year 1 2,409,599.40 Year 2 2,481,887.38 4,891,486.78 Contingency 100,000.00 4,991,486.78 The proposed agreement contains a stepdown mechanism by which the contract value is reduced by approximately 11% should the inmate average daily population fall below 176. In addition, the agreement can be terminated by the City by providing a 30 day written notice of cancellation. Naphcare has been providing inmate medical services to the Santa Ana Jail since October 2014, and has significantly reduced the amount of inmate medical grievances. The reduction in medical inmate grievances is indicative of the higher level of care being provided to those in custody at the Santa Ana Jail. In addition, Naphcare has significantly reduced the need to transport inmates to outside medical facilities because of their ability to treat more medical conditions on- site. This reduction in medical transport has resulted in substantial time and cost savings for both Field Operations and Jail personnel. 25F-2 Agreements for Jail Inmate Medical Services September 19, 2017 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item assists the City in meeting Goal #1 Community Safety, Objective #4 (ensure a sound fiscal model for jail operations), Strategy A (modify the Santa Ana Jail business model and identify short- and long-term goals to effectively meet the needs of the community through contract negotiations with outside agencies, evaluation of staffing needs and increasing operational efficiency). FISCAL IMPACT Funds for this agreement are available in the Jail Operations Contract Services account (no. 01114475 62300) for the following fiscal years (including contingency in each Fiscal Year): entin Acting Chief of Police Santa Ana Police Department FY 2017-18 FY 2018-19 FY 2019-20 Total $1,840,199.55 $2,496,815.39 $ 654,471.85 $4,991,486.78 APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez, Executive Director Finance and Management Services Agency 25F-3 25F-4 AGREEMENT FOR THE PROVISION OF INMATE MEDICAL SERVICES BETWEEN CITY OF SANTA ANA, CALIFORNIA AND NAPHCARE, INC. THIS AGREEMENT is made and entered into this 19`x' day of September, 2017, by and between NaphCare, Inc., an Alabama corporation (hereinafter "Contractor"), and the City of Santa Ana, a -charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. On April 17, 2017, the City issued Request for Proposal ("RFP) No. 17-051 by which it sought proposals from qualified vendors for providingbasic and emergencyinmate medical services for the City. Two vendors responded to this RFP. B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. TERM This Agreement is for a two (2) year term and shall commence on October 1, 2017 and terminate on September 30, 2019, unless terminated earlier in accordance with Section 18, below. Said Agreement may be tenewed for three (3) one (1) year renewal years. 2. SCOPE OF SERVICES Contractor shall provide basic and emergency medical services to inmates at the Santa Ana Jail ("Jail") as outlined in Section five (5) and set forth in Contractor's proposal attached hereto and marked as Exhibit A, and incorporated herein by reference. Contractor's proposal is also incorporated by reference as though fully set forth herein. Contractor's responsibility shall only be applicable to inmates that are physically located and booked into the Jail. Said inmate must be part of the average daily population ("ADP") in order for Contractor to maintain any responsibility for basic and emergency medical services. 3. PERSONNEL A Staffing. Contractor will provide medical, mental health, dental, technical and support personnel necessary for the rendering of health care services to inmates as contemplated herein. The health care staff will be at levels consistent with those identified in Exhibit B to this Agreement. 25F-5 B. Licensure, Certification and Registration of Personnel. All personnel and contractors provided or made available by Contractor to render services hereunder will be licensed, certified or registered, as appropriate, in their respective areas of expertise pursuant to applicable California law. C Subcontracting and Delegation. In order to discharge its obligations hereunder, Contractor will engage certain health care providers, such as on-site physicians, as independent contractors rather than as employees, and may engage other persons and entities providing services as subcontractors. As the relationship between Contractor and those health care professionals and providers will be that of independent contractor, Contractor will not be considered or deemed to be engaged in the practice of medicine or other professions practiced by these professionals, and Contractor will not exercise control over the manner or means by which these independent contractors perform their professional duties. Contractor shall, however, remain fully liable and responsible for the services performed by its independent contractors and subcontractors. 4. COMPENSATION The total sum to be expended for this agreement shall not exceed $4,991,486.78. This amount is comprised of the totals for the Tier 1 costs for years one and two in the table below and includes a contingency in the amount of $100,000 for services as directed by the City. The annual sum to be expended under this Agreement for staffing, pharmaceuticals, supplies and other services shall be as below and is based on a two-tiered plan based on the Jail's ADP. Pricing for years one, two and three are as follows: Santa Ana, CA — Annual Pricing Tier 1 (ADP at or above 17 Tier 2 (ADP at or below 175 Year One $2,409,599.40 $2,154,301.56 Year Two $2,481,887.38 $2,218,930.61 In the event the parties agree to extend the contractual term beyond the initial two year term, compensation for any renewal period shall also be determined upon mutual agreement of the parties, subject to approval by the City Council, for an amount not to exceed the Consumer Price Index based on the Bureau of Labor Statistics for All Urban Areas, Los Angeles, Orange and Riverside Counties for September of that year, or as otherwise agreed to by the parties. In addition to the stated annual compensation, Contractor shall receive a monthly parking stipend in the amount of $1,500.00 to assist with staff parking expenses due to limited public parking in the immediate vicinity of the Jail. The following medical services are not included in the inmate medical services listed above and additional compensation shall be due and payable to Contractor in the event those services are rendered by Contractor: A Pharmacy Services: Contractor shall provide routine pharmaceutical care and routine prescription care for all inmates and will provide monthly invoicing to the City for reimbursement purposes to include average wholesale pricing (AWP) less 14% for branded medication and AWP less 30% for generic medications. 2 25F-6 B. Repair of dentures, dental plates and partial plates: $ 220.00 per repair C. Mobile X-ray Services: $ 90.00 per study D. Ophthalmology Services: $ 165.00 per patient visit R OB -GYN Services: $ 275.00 per patient visit F. Emergency Psychiatric Crisis: S 60.00 per patient visit 5. OFF-SITE SERVICES & ON-SITE SPECIALTY SERVICES Contractor shall assist in arranging off-site services for City inmates; however, Contractor shall have no responsibility for costs associated with off-site services provided to City inmates, as outlined in RFP # 17-051, page 18, and Contractor shall be responsible for billing the responsible contract agencies identified below for all off-site related costs, except for any California Department of Corrections and Rehabilitation (CDCR) inmates housed/detained within the jail. Contractor hereby understands that the City contracts with the U.S. Marshal Service, the Federal Bureau of Prison (BOP) ("contracting agency and/or agencies") for the housing/detaining of federal inmates. Said contracting agencies are financially responsible for their inmates' approved off-site treatment services. Pursuant to this Agreement, City requires that Contractor assist with scheduling off-site appointments for inmates housed on behalf of the contracting agencies within the Jail. The City shall supply Contractor with relevant classification information regarding the federal inmates of the contracting agencies and Contractor shall require the offsite providers to bill the contracting agencies directly for off-site services rendered. In the event the applicable contracting agency does not provide payment to offsite provider or Contractor for off-site services rendered, City shall be responsible for reimbursing Contractor. City shall provide payment to Contractor for services rendered and not reimbursed by any contracting agency as part of its normal monthly payment following notification by Contractor of non-payment by any agency. Contractor acknowledges that the City also provides housing for other non -contracting agency inmates. The non -contracting agencies include the City of Santa Ana and other cities within the area. For off-site services rendered by Contractor on behalf of any non -contracting agency inmate, Contractor shall be reimbursed 100% of all costs of off-site medical services for these inmates by the City. Contractor will bill the City for non -contracting agency imnates for these off- site services as well as services rendered off-site on behalf of City inmates. Contractor shall provide invoices on the 10th day of the month following the month service was rendered and the City shall reimburse Contractor within thirty (30) days of receipt of invoice. Should the City house/detain California Department of Corrections and Rehabilitation (CDCR) inmates, Contractor shall not be financially responsible for their off-site treatment services. Should Contractor process and pay claims for off-site services for CDCR inmates, Contractor shall be entitled to 100% of any reimbursement or credit from CDCR related to services rendered by Contractor on behalf of any CDCR innate housed/detained within the Jail. If reimbursement is not able to be collected from CDCR, City shall provide reimbursement to Contractor as part of its normal monthly payment following notification by Contractor of non- payment by any contracting agency. 25F-7 6. RECORDS A Medical Records. Contractor will cause to be maintained a comprehensive, accurate medical record for each inmate who has received health care services. This medical record will be maintained pursuant to applicable laws including but not limited to HIPAA and California privacy laws and will be kept separate from the inmate's confinement record. A summary of the applicable medical record will be available to accompany any inmate who is transferred from the Facility to another location for off-site services or who is committed permanently or temporarily to another correctional facility. Medical records will be kept confidential, and Contractor will follow the City's policy with regard to access by inmates and Facility staff to medical records, subject to applicable law regarding confidentiality of such records. No information contained in the medical records will be released by Contractor except as provided by the City's policy, by a court order, or otherwise in accordance with applicable law. The parties hereby agree that in the event a medical record must be released by Contractor to a requestor or inmate, Contractor may release said record via a secure electronic transmission that complies with HIPAA regulations. Inmate medical records are and will remain the property of the City. B. Electronic Health Record. Contractor will provide its proprietary electronic medical record software system, TechCare® for inmate medical record keeping usage in the Jail. Contractor shall maintain ownership of this software and the City shall be entitled to quantitative and select information as required by the City. At the termination or expiration of this Agreement, Contractor shall remove TechCare® (or Contractor's like -kind, updated EHR software system which may be referred to by a separate name) system with City maintaining no ownership rights to the software or data included within, with the exception of medical records pertaining to inmates. City shall keep this software and all information pertaining to it confidential at all times during the term of this contract and termination thereof. EXPENDITURE AND REVENUE REPORT No later than sixty (60) days following the end of the initial term, or any subsequent term of this Agreement, Contractor shall submit to City for informational purposes only, an Expenditure and Revenue Report for that period. Such report shall be prepared in accordance with the format that is provided by City. 8. SECURITY A General. The parties agree that adequate security services are necessary for the safety of the agents, employees and subcontractors of Contractor, as well as for the security of inmates and Jail staff. The City will provide security services satisfactory to Contractor and sufficient to enable Contractor and its personnel to safely provide the medical services called for hereunder. B. Transportation Off -Site. The City will provide security as necessary and appropriate in connection with the transportation of any inmate between the Jail and any other location for off-site services as contemplated herein. 25F-8 9. OFFICE SPACE AND EQUIPMENT A Office Space and Support, The City agrees to provide Contractor with office space, facilities, and utilities sufficient to enable Contractor to perform its obligations hereunder. Contractor shall be responsible for all telephone, facsimile lines and computer lines (including installation of new lines or movement of current lines) required for services at the Jail. B. Delivery of Possession. The City will deliver to Contractor on the date of commencement of this Agreement or the date the Agreement is fully executed whichever date is later, possession and control of all office equipment and supplies then in place at the Jail's health care facilities that are City's property. C. Supplies and Equipment Inventory upon Termination. Medical supply inventories remaining upon termination of this Agreement will become the property of the City. For continuity of care, Contractor will provide no less than a seven day supply of pharmaceutical inventory upon the termination of the Agreement. Office furniture purchased by Contractor during the term of this Agreement will remain the property of the City upon termination of this Agreement. All other equipment, supplies, and/or information technology components, hardware and servers purchased by Contractor during the term of this Agreement will remain the property of Contractor upon termination of this Agreement. D. General Services. The City will provide for each inmate receiving medical services no less than the full range of services and facilities provided for other inmates at the Jail including, but not limited to, daily housekeeping services, dietary services, personal hygiene supplies and services and linen supplies. The City will provide all necessary building maintenance services. 10. INSPECTIONS AND AUDITS A City, any authorized representative of City, any authorized representative of the State of California, the Secretary of the United States Department of Health and Human Services, the Comptroller General of the United States, or any of their authorized representatives, shall have access to any books, documents and records, including but not limited to medical and client records of Contractor which such person deems pertinent to this Agreement, for the purpose of conducting an audit, evaluation, examination or making transcripts during the periods of retention set forth in the Records section of Exhibit A to this Agreement. Such persons may at all reasonable times inspect or otherwise evaluate the services provided pursuant to this Agreement, and the premises in which they are provided. B. Contractor shall actively participate and cooperate with any person specified in subparagraph A above in any evaluation or monitoring of the services provided pursuant to this Agreement, and shall provide the above-mentioned persons adequate office space to conduct such evaluation or monitoring. 25F-9 C. Following an audit report, in the event of non-compliance with applicable laws and regulations governing funds provided through this Agreement, City may terminate this Agreement as provided for in the Termination paragraph or direct Contractor to immediately implement appropriate corrective action. A plan of correction shall be submitted to City in writing within thirty (30) days after receiving notice from City. D. Within fourteen (14) days of receipt by Contractor, Contractor shall forward to City a copy of any audit report. Such audit shall include, but not be limited to, management, financial, programmatic or any other type of audit of Contractor's operations, whether or not the cost of such operation or audit is reimbursed, in whole or in part, through this Agreement, 11. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: A Comprehensive General Liability Insurance. Contractor shall maintain comprehensive 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 there from and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting there from, and property damage, in the total amount of $2,000,000 per occurrence. Said amount may be secured through an excess insurance policy maintained by Contractor. The City hereby permits Contractor to maintain a self-insured retention in excess of $25,000. Contractor shall supply City with a fully executed additional insured endorsement on a form approved by the City Attorney at the time this Agreement is executed. B. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. C. Any person providing medical services pursuant to this Agreement shall maintain Professional liability (errors and omissions) insurance against medical malpractice with a combined single limit of not less than $1,000,000 per claim and $3,000,000, in the aggregate, per year. D. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. 25F-10 (d) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. E If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement, Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination, 12. INDEMNIFICATION Contractor agrees to and shall indemnify, defend, and hold harmless the City, its officers, agents, employees, Contractors, counsel, and representatives (collectively the "City") from any liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, arising from the direct or indirect medical operations of the Contractor or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the medical services described in section I of this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs related to the defense of the City, regarding any action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the direct or indirect medical operations of the Contractor. The parties hereby agree that Contractor shall not be responsible for, nor be required to provide a defense and/or indemnification to the City for any matters which are directly attributable to the actions, negligent acts and/or inactions of the City. 13. CONFIDENTIALITY A Contractor shall maintain the confidentiality of all records, including billings and any audio and/or video recordings, in accordance with all applicable State and Federal codes and regulations, as they now exist or may hereafter be amended or changed. a Prior to providing any services pursuant to this Agreement, all employees, subcontractors, and volunteer staff or interns of Contractor shall agree, in writing, with Contractor to maintain the confidentiality of any and all information and records which may be obtained in the course of providing such services. The agreement shall specify that it is effective irrespective of all subsequent terminations of Contractor's employees, subcontractors, volunteers or interns. 25F-11 C. All confidential information fiunished by Contractor to City hereunder will be kept confidential by City and shall not, without the prior written consent of Contractor, be disclosed by City, or by its representatives, contractors, or employees in any manner whatsoever, in whole or in part, and shall not be used by City or its representatives, contractors or employees who need to know the Confidential information. 14. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 15. NOTICE A Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Facsimile (714) 647-6956 With courtesy copies to: Chief of Police City of Santa Ana Santa Ana Police Department 60 Civic Center Plaza Santa Ana, California 92702 Facsimile (714) 245-8116 and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-6515 To Contractor: James S. McLane Chief Executive Officer NaphCare, Inc. 25F-12 2090 Columbiana Road, Suite 4000 Birmingham, AL 35216 Facsimile (205) 536-8404 NaphCare, Inc. Attn: Legal Department 2090 Columbiana Road, Suite 4000 Birmingham, AL 35216 Facsimile (205) 536-8404 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, City holidays shall be excluded. B. NOTIFICATION OF DEATH — Upon becoming aware of the death of any person receiving services hereunder, Contractor shall immediately, in person or by telephone, notify the on -premises Jail Administrator or his/her designee, the Orange County Coroner, and the Orange County District Attorney. In addition, Contractor shall, within sixteen (16) hours after such death, deliver in person or by facsimile machine, a Written Notification of Death to the above persons. The telephone report and Written Notification of Death shall contain the name of the deceased, the date and time of death, the nature and circumstances of death, and the name(s) of Contractor's officers or employees with knowledge of this matter. Upon request, and to the extent allowable by law, Contractor shall provide the Coroner, District Attorney, Jail Administrator or his designee with a complete copy of the deceased patient's medical record. C NOTIFICATION OF SPECIAL INCIDENTS —Immediately upon becoming aware of any occurrence of a serious nature which may expose either party to liability or disrupt the services hereunder, Contractor shall verbally notify the on -premises Jail Administrator or his designee. Such occurrences may include but are not limited to accidents, injuries or acts of negligence, or any incident or circumstance which adversely impacts the capacity of Contractor to provide the services hereunder. Such verbal notification shall be followed within twenty-four (24) hours, by written notification to City and the Jail Administrator or his designee. 16. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written 25F-13 instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party which is not embodied herein. 17. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer or delegate any interest herein and any such assignment, transfer or delegation shall be considered null and void. However, obligations undertaken by Contractor pursuant to this Agreement may be carried out by subcontracts, provided such subcontracts are approved in writing by City, meet the requirements of this Agreement as they relate to the service or activity under subcontract, and include any provisions that City may reasonably require. No subcontract shall terminate or alter the responsibilities of Contractor to City pursuant to this Agreement. 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 Contractors retained by City. 18. TERNIINATION A. This Agreement may be terminated by the City upon thirty (30) days written notice to the Contractor. Contractor may terminate this Agreement by providing the City with one hundred eighty (180) days' prior written notice. B. After receiving any Notice of Termination, Contractor shall continue to provide services and cooperate with City staff until the date of termination in a manner which is consistent with recognized standards of quality patient care and prudent business practice, and obtain irmnediate clarification from City of any unsettled issues of contract performance during the remaining contractterm. C. The right and remedies of City provided in this Termination paragraph shall not be exclusive, and are in addition to any other rights and remedies provided bylaw or this Agreement. D. Citymay terminate this Agreement immediately, upon written notice, on the occurrence of any of the following events: L The loss by Contractor oflegal capacity. H. Cessation of services. iii. Delegation or assignment of Contractor's services operation without written approval by City Of Santa Ana. iv. Neglect by any physician or licensed person employed by Contractor of any duty required pursuant to this Agreement. v. The loss of accreditation or any license required by the Licenses and Law paragraph of thisAgreernent. 10 25F-14 vi. The continued incapacity of any physician or licensed person to perform duties required pursuant to this Agreement. vii. Unethical conduct or malpractice by any physician or licensed person providing services pursuant to this Agreement; provided, however, City may waive this option if Contractor removes such physician or licensed person from serving anyone pursuant to this Agreement. E In the event of a material breach of the Agreement by City, Contractor will give City written notice of material breach and thirty (30) days from the date of the notice to cure the material breach. If said breach is not cured within thirty (30) days from the date of the notice, Contractor may terminate the Agreement immediately but will continue to provide services in a manner consistent with recognized standards of quality patient care and prudent business practice for an additional sixty (60) days or any additional time mutually agreed upon by the parties. Contractor will be entitled to be paid pursuant to the rates set forth in this Agreement any additional time worked after termination. Material breach shall be failure to pay for services rendered within sixty (60) days. F. Responsibility for Inmate Health Care. Upon termination of this Agreement, total responsibility for providing health care services to all inmates, including inmates receiving health care services at facilities off-site will be transferred from Contractor to the City or the City's designee and Contractor shall maintain no responsibility for same. 19. NONDISCRIMINATION A. Employment. Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. B. Services, Benefits and Facilities. Contractor shall not discriminate in the provision of services, the allocation of benefits or the accommodation in facilities on the basis of ethnic group identification, race, color, religion, ancestry, creed, sex, national origin, marital status, age, sexual preference, medical condition or physical or mental disability. For the purpose of this subparagraph B, "discrimination" means denying a client or potential client any service, benefit or accommodation that would be provided to another and includes, but is not limited to, the following: i. Denying a client any service or benefit or availability of a facility. ii. Providing any service or benefit to a client which is different or is provided in a different manner or a different time from that provided to other clients. iii. Restricting a client in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service or benefit. iv. Treating a client differently from another in satisfying any admission requirement or condition or eligibility requirement or condition, which individuals must meet 11 25F-15 in order to be provided any service or benefit. V. Assignment of terms or places for the provision of services on the basis of ethnic group identification, race, religion, ancestry, color, creed, sex, marital status, national origin, age, sexual preference, medical condition or physical or mental disability of the clients to be served. C. Persons with Disabilities. Contractor agrees to comply with the provisions of Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794 et seq., as implemented in Title 45 CFR, Section 84.1 et seq.) pertaining to the prohibition of discrimination against qualified persons with disabilities in all programs or activities, and the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) as they exist now or may be hereafter amended together with succeeding legislation. D. Retaliation. Neither Contractor nor its employees or agents shall intimidate, coerce or take adverse action against any person for the purpose of interfering with rights secured by Federal or State laws, or because such person has filed a complaint, certified, assisted or otherwise participated in an investigation, proceeding, hearing or any other activity undertaken to enforce rights secured by Federal or State law. 20. 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. 21. PROFESSIONAL LICENSES A Contractor and all of its employees and subcontractors providing services pursuant to this Agreement shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. B. Contractor warrants that all Contractor physicians providing services under this Agreement are and will continue to be as long as this Agreement remains in effect, the holders of currently valid unrestricted licenses to practice medicine in the State of California. 22. COMPLIANCE WITH ALL LAWS A Contractor shall cause all of its activities under this Agreement and all activities at the Santa Ana Detention Facility to be performed in compliance with all applicable federal, state, 12 25F-16 and local laws, ordinances, and regulations. B. All medical services will meet California Administrative Code (CAC), Title 15 - Minimum Standards for Local Detention Facilities, National Detention Standards of Immigration and Code Enforcement Bureau as well as all other applicable laws, regulations, codes and guidelines relating to health care services and programs in adult detention facilities in the State of California. 23. MISCELLANEOUS PROVISIONS A Contractor is, and shall at all times be deemed to be, an independent contractor, wholly responsible for the manner in which it performs the services hereunder. Contractor is entirely responsible for compensating staff and consultants employed by Contractor. This Agreement shall not be construed as creating the relationship of employer and employee, or principal and agent, between City and Contractor or any of Contractor's agents, employees or subcontractors. Contractor assumes exclusive responsibility for acts of its employees, agents or subcontractors as they relate to the services provided during the course and scope of their employment. Contractor's employees, agents or subcontractors shall not be entitled to any rights or privileges of City employees, nor be considered in anymanner to be City employees. B. Neither party intends that this Agreement shall create rights hereunder in third parties, including but not limited to any subcontractors or any clients provided services hereunder. C. 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 Cityin the event that such authority or power is not, in fact, held by the signatory or is withdrawn. D. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body ofthis Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY Or, SANTA ANA MARIA D. HUIZAR Cleric of the Council CYNTHIA J. KURTZ Interim City Manager 13 25F-17 APPROVED AS TO FORM: SONI R. CARVAL City t orney By: Tamara Bogosian Assistant City Attorney RECOMMENDED FOR APPROVAL: David A. Valentin Acting Chief of Police NAPHCARE, INC. James S. McLane Chief Executive Officer Tax ID# 58-1823464 14 25F-18 EXHIBIT "A' CONTRACTOR'S PROPOSAL IN RESPONSE TO RFP No. 17-051 15 25F-19 Exhibit A a h are Y. independent heolthcom choice. 5. Scope of Services Response A. INTRODUCTION NaphCare has reviewed the RFP in detail and through this request, as well as our experience in the Santa Ana Jail (SAJ), we understand the facility, the nature of its inmate population and the scope of services to be provided. We are pleased to offer our proposal to continue services for the SAL All our services will meet and/or exceed the SAJ's requirements, regulatory local, state and federal standards, including but not limited to National Standards of Detention, California Titles 15 & 24 - Minimum Standards for Adult facilities, Orange County Health Authority and all other requirements associated with the housing of inmates. Our response addresses each requirement outlined in the RFP in order to provide the SAJ with a clear understanding of the services we stand ready to offer. Our goal is to continue to meet and exceed all services requested in the RFP, collaborate with SAJ personnel, and work attentively to ensure the orderly and cost-efficient provision of services. Our approach proposes a proactive healthcare delivery model that emphasizes compliance, continuity of care, and partnership with the SAJ. B. MEDICAL SERVICES NaphCare understands that the Santa Ana Jail medical services call for properly licensed medical personnel to identify, evaluate, treat and monitor inmate medical conditions, including the prescreening of all incoming inmates to determine medical needs and ability to provide adequate care. NaphCare will continue to provide a comprehensive program of inmate health care to include the following services: 1. An on-site medical services program to meet the medical needs of inmate (e.g. initial physical assessments, ongoing evaluation and treatment of medical conditions, stabilization of urgent and emergency medical/psychiatric conditions, discharge planning, and medication management); 2. An on-site dental services program to meet the needs of inmates (e.g. initial assessment, extractions, examinations and emergency treatment); 3. Mobile on-site radiology (x-rays) services; 4. An on-site mental health care delivery program to meet the needs of inmates; and 5. An off-site preferred provider network of hospitals, physicians, and other ancillary MSPs to provide medically necessary services to inmates which cannot be provided onsite at SAL C. ON-SITE MEDICAL SERVICES As the Medical Services Provider (MSP), NaphCare will continue to provide an on-site program that focuses on cost containment without compromising the quality of services deemed medically necessary. 1. Treatment Protocols NaphCare's program includes techniques and treatment protocols for managing the following list of most prevalent medical conditions or diagnoses: a. Minor lacerations, bruises (suturing, administration of Tetanus Toxic, etc.) b. Respiratory and chest pain; c. Alteration of consciousness; d. Trauma injuries; e. Asthma; f. Abdominal pain/disorders; Inmate Medical Services City of Santa Ana 25F-20 RFP No. 17-051 21 qkcare your independent heohhmro ch6m. g. Cellulites (infection of the skin); h. Joint pain; i. Diabetes and complications; j. Aids and related; k. Venous insufficiency (blood vessel disorder); I. Hypertension; m. Drug psychoses; n. Tuberculosis; o. Pandemic Flu; p. MRSA; q. Epilepsy; r. Cirrhosis and liver disease NaphCare will deliver treatment protocols in a uniform, standardized manner across the SAI. Ourwell- coordinated model of healthcare is patient -centered and evidence -based, emphasizing prevention, continuity of care, and partnership with the City of Santa Ana. Our nursing services meet and exceed all constitutional and community standards, as well as NCCHC standards. Our technologies provide more efficient, accurate, and accountable methods for performing treatment protocols, while maintaining full compliance. Nursing Protocols We ensure that nurses who provide clinical services are trained and do so under specific guidelines. Nursing assessment protocols are used by nursing staff when providing clinical care. Nurses comply with relevant state practice acts, and conduct data gathering and treatments appropriate to the level of skill, training, and preparation of the nursing personnel who will carry them out (NCCHCJ-E-11, Nursing Assessment Protocols). We have developed nursing protocols that enable healthcare staff to readily deal with common ailments. This gives the mid-level providers more clinical time to effectively treat offenders with serious medical conditions. All nursing protocols are approved by our Chief Medical Officer and are reviewed annually by the Vice President of Operations, Health Services Administrator, and responsible physician. The protocols are available to each client facility in multiple forms—hard copy and electronic. They are also available through the NaphCare Operations website. Documentation of nurses' training in protocol use exists, including: • Evidence that all new nursing staff are trained; • Demonstration of knowledge and skills through competency testing; • Evidence of annual review of skills; and • Evidence of training when new protocols are introduced or revised. Healthcare staff can access the protocols while treating the patient through TechCore®. The "Nursing Protocol" tab allows healthcare staff to easily scroll through an alphabetic listing. The protocols ensure that patients are treated in an effective, efficient manner by the nursing staff, and they allow the nursing staff to more easily distinguish minor ailments from emergent medical needs. Inmate Medical Services City of Santa Ana 25F-21 RFP No. 17-051 22 a h ame Y. indepwdeM hmlthmm cWw. Personnel Efficiency — Nurse's Queue TechCore® also features a Nurse's Queue, which provides a daily workload for nurses. The Nurse's Queue provides a quick and complete clinical review of all the pertinent information that a nurse needs for the day or shift, all in one place. It electronically alerts staff of clinical issues that require immediate action, organizes services (e.g. sick call), and lists services that require the review of an advanced clinical provider. For example, the queue lists items awaiting review by the Charge Nurse or Nurse Manager, including Receiving Screens, TB reads, and utilization management requests. This queue also contains a Message Board which allows for inter -faculty communication. The Nurse's Queue ensures accountability through the ability to view reports quickly and the system of follow-ups it offers. iv, Nurses Qucue _ f flecemm9 S.g ReHm ;TB Read Needed: PhySicai Needed. Pmu9 Needed UM Rodes. �Dn+g Rtt dBffiw Qucometec, Didr Mo . Lab Odes _u l ?=21/201] �- { � 1 hm e]D Vu eNeme DaeOFBmh Cutodr%mii Nu Ev S" Nme_. .. SaV _ j 6 r i{{ t h I F I ( t ` -7- 2. 2. Minimum Equipment NaphCare will, at a minimum, have equipment, supplies, and treatment protocols in place to provide the following basic clinical assessment studies: a. Urine testing; b. Blood sugars; c. Electrocardiograms (EKG's) d. Cardiopulmonary resuscitation (CPR) e. Tuberculin PPD testing f. Pregnancy testing g. Gram stains h. Hemoccult testing and Hematocrit tests i. AED (automatic external defibrillator) j. On site X-ray capability (mobile) Inmate Medical Services City of Santa Ana 25F-22 RFP No. 17-051 23 a h are your indepeMd heallhmm choica. 3. Intake Screening An intake screening examination will be performed by a qualified health professional on all incoming inmates within two (2) hours of initial entry into the facility. This screening will identify those with mental disorders, inmates in need of segregation or close supervision due to medical reasons, as well as those individuals with suicidal tendencies. Screening examination will include assessment of suitability for housing and at a minimum, documentation of the following: a. Inquiry into current illnesses, health problems, and conditions, including any past history of tuberculosis or other infectious or communicable illness, or symptoms - e.g. chronic cough, hemoptysis (spitting up blood), lethargy, weakness, weight loss, loss of appetite, fever, night sweats - suggestive of illness b. Mental health problems including suicidal ideation c. Dental problems d. Allergies e. Medication taken and special health requirements f. For women, date of last menstrual period, current gynecological problems and pregnancy g. History of cerebral trauma or seizures h. Use of alcohol and other drugs i. Behavior, including state of consciousness j. Body deformities and ease of movement k. Identification of disabilities I. Persistent cough or lethargy m. Condition of skin n. Latest PPD test o. Any other medical history pertinent to the determination of housing suitability and on-going medical care p. Recording of height, weight, pulse, blood pressure and temperature NAPHCARE'S PROACTIVE INTAKE SCREENING FOR THE SAJ NaphCare's Proactive Care Model identifies, stabilizes, and monitors all health issues from day one of an inmate's incarceration. It is important to identify pre-existing illnesses up -front, so our care model provides the most thorough and aggressive up -front evaluation and assessment in the industry to meet and exceed your needs in this area. Using our Proactive Care Model, we identify inmates' medical and mental health issues as soon as they arrive at the SAJ. We have seen that this is the most ethical and cost-effective way of delivering correctional medicine. We use quality licensed staff to perform a thorough screening and assessment at intake that allows us to identify inmates' health needs up -front and then treat them throughout their stay. Experience has shown us that this proactive evaluation and management system provides better healthcare delivery and outcomes. TechCare® automates inmate healthcare processes, creating a paperless, efficient system for monitoring and tracking all medical encounters from intake to release. TechCare® allows healthcare staff to complete the intake screening electronically, which expedites the intake process. Reports for all intake services are readily available to the healthcare and SAJ personnel. Inmate Medical Services City of Santa Ana 25F-23 RFP No. 17-051 24 a h71 V7 your independent hecithwm choice. NaphCare's Intake Screening is NCCHC compliant and has been written to be proactive and to prioritize care based on need. NaphCare will perform the initial Intake Screening within two hours of an inmate's admittance, using an RN available 24/7 to detect urgent medical needs early. We assess the most urgent issues first and then, in a systematic way, assess the other important areas that will help determine both the inmate's need for services and the urgency of that need. The following list describes each area of assessment: • Urgent Assessments — Covers vital signs, acute health concerns, physical appearance and behavior, mental instability, substance intoxication or withdrawal, and suicidal thoughts. • General Medical Assessments — Reviews signs of illness or infection; current, past, and chronic health conditions; review of current medical treatments, and impairments in mobility. • Mental Health Assessments— Reviews current or past mental health treatment including medications and diagnosis; past psychiatric hospitalizations and suicide attempts; PREA assessment. • Female Assessments — Covers pregnancy issues, any recent deliveries, abortions, miscarriages. • Substance Use Assessments— Reviews use of illegal drugs, abuse of prescription meds, and alcohol use; if indicated by responses, an assessment tool to determine the need for detox is triggered. • Other Assessments — Reviews dental issues, insurance coverage, special medical requirements (adaptive devices, diet). • Disposition/Treatment Plan — Allows the interviewer to refer to any indicated services based on the above information in either urgent or routine time frame. Releases are obtained to access outside records; the inmate is educated on how to access medical and mental health care if needed in the future; and housing recommendations are made. Any inmate whose responses indicate a need for further medical or mental health intervention will have their record flagged electronically to indicate this. There are built-in prompts within TechCore® to assist the interviewer in taking appropriate action based on responses — such as placing an inmate on suicide precautions; urgently contacting medical, mental health, or security personnel; and any special housing recommendations. All Receiving Screens are included in the electronic health record for providers' review. Inmate Medical Services City of Santa Ana 25F-24 RFP No. 17-051 25 a h are your independent healthcare choice. Intake Screening Form in TechCareO '^y RECkP164G XAE08TA ..........�"rt,. Patient DOE, JANE s: 02510761805067f29d89d-tang:31d6(1234) AdStlenallnlo. 008: 4/8/1990 (Age=26) Sex: Female Race: p[OHSRE Housing: SSN: -' X DEN— NOT AYAR/IBLE Status: ACTIVE Booking Date: 4/8/2015 3:50:25 PM eP 120 ,'.86 TEDP 98.6 PULSE T5 . RESP 18 Seel 96 85 126. PAm� tttinl 6�., ,Htlwsneat 10 M 1d9 ON5 ItA .NAP 9].]l yl 4 T x gaga a Rewe a Ta ae aw R6s . R s mm+ -911 In n We*t .9ryo! Drasase Fdns Pasde Qsxea +� ' L. i _. _ i Ones NePea: i Alva fkxoy W Mown I 7 i. i Screenen: All questions in this form most be addressed. For question with a single checkbox; by leaving the the kbox unselected, you are documenting your conclusion that all parameter of the question are false. By selecting the checkbox. you are admowledging a positive rnsporre to the item and further documentation must be provided in the corresponding `y questions and teq boxes. i I ARRESTING OFFICER QUESTIONS -Saler and Document all Mat apply 4 Is the arresting officer aware of any of Me follovdng7: Ye b NA OMa Hkwxed0u9r m;ivtd �] �j t7J Cmbarce. Aaalvev6amwry '� � � 1- I Trtnmesbv Mebcd Po-xdadh6w by _ ©. ® n Proactive Health Assessment upon Intake A beneficial feature of NaphCare's Intake Screening process for the SAI is that we perform the Health Assessment up front, during intake. By performing this assessment at intake, we can identify urgent medical and mental health issues upon an inmate's arrival. This not only reduces costs for emergency and hospital transportation, but it also reduces the inmate movement required to provide the health assessment at 14 days. We propose to continue this model for the SAI as we have seen positive results in doing so — Our Proactive Care Model has significantly reduced ER trips by 98% for the SAI. Mental Health Screening This screening is NCCHC compliant and was created to be proactive in identifying and prioritizing inmates in need of mental health services. The following is a description of each section of the screening and the information it obtains: Inmate Medical Services City of Santa Ana 25F-25 RFP No. 17-051 26 a h JO your independent heolthcom choice. • Current Mental Health Symptoms — Reviews depressed mood, anxiety, psychosis, and mania. In addition, inquiries are made regarding current mental health treatment in the community, any suicidal thoughts, any recent losses, feelings about current situation, if they feel they have anything positive in their future, and allows the interviewer to comment on their feeling of suicide risk based on responses and appearance. • Past Mental Health History— Reviews past treatment for mental health issues including medications and hospitalizations; reviews history of self -injury behaviors and suicide attempts. • Substance Abuse — Inquires about alcohol, benzodiazepine, opiate, and other substance use issues, as well as history of substance use related treatment. • PREA/General Assessment — Reviews any history of abuse of any kind, in any setting; any convictions for sex or violent crimes; any history of special education or developmental disabilities; history of head injury or seizures. • Disposition/Treatment Plan —Allows the interviewer to refer to indicated mental health services, refer for detox services if indicated, and/or begin discharge planning with regard to need for mental health follow up. Any inmate who is determined to need additional mental health services is scheduled for further evaluation by higher level mental health professionals (up to and including psychiatric evaluation) in the clinically indicated time frame. The Mental Health Screening also contains prompts to assist the interviewer in taking any indicated actions such as suicide watch, or urgent mental health referral based on the inmate's responses. This screen is also included as part of the inmate's record. Tuberculosis Testing It is our policy to administer the tuberculin skin test during the Intake Screening and to schedule a follow-up appointment. Our TB screening follows guidelines issued by the American Thoracic Society and the Centers for Disease Control (CDC) for the management and treatment of Tuberculosis. The TB test is logged in the medical record and automatically flagged for follow-up. A list of inmates requiring a TB read is generated and results of the test can be read and recorded—this ensures that all inmates receive a TB read in a timely manner. Our healthcare personnel ensure that inmates are either medically cleared before they are sent to general population or referred to the appropriate healthcare service. Nursing staff can access TB reads and results electronically, which offers significant advantages such as: 1. Drastically reduces workload; no paper charts need to be pulled. 2. Generates list of inmates grouped by TB status (positive/negative, administered, read, results, follow-up). 3. Eliminates unnecessary duplication of healthcare services for re -admitted inmates. 4. Accesses the date the last TB test was administered, history of services available. 5. Reduces costs for staff time and test supplies. Inmate Medical Services City of Santa Ana 25F-26 RFP No. 17-051 27 a h are your independent healthcare choice. Prison Rape Elimination Act (PREA) In order to comply with PREA standards, and as an added service benefit to you, NaphCare provides PREA segment within the Intake Screening in TechCare®. The following PREA question is asked during the Intake Screening: Does the inmate have a history of sexual abuse, of sexually abusing another, or a conviction of a sex crime; or according to the interviewer, is at risk of victimization or victimizing another inmate? TechCare® automatically sets a PREA flag based on a positive response to the above question. A daily PREA report is automatically generated from TechCare® and sent to custody and NaphCare leadership at the site. In addition to this feature, the Informed Consent screen, which is also part of NaphCare's Intake Screening process, describes the PREA Announcement to ensure inmates are aware of the assistance that is available to them. These features are in place and operational at each of NaphCare's client facilities to ensure PREA compliance. Patient DOE, JANE is 02510761605067f29de9d--tatgn1d6.(1234) Medusa wo. DOD: 9/8)1999 (Age=35) Sei: Female Nage: p2l:fDRE i Housing: SSX: '-HIDDEN" NOTAYIDIAeLE Status: AC limiting Date: 0/8/20143:50:25 PM i 0 Mantel heahh hoapitalimdovi In the past year Please provide location, when and reason below rf Past suidde anemp%swung plans, of treatment for auempts UM when aU.ned. what method, and whare weated below of serval abuse; I ... ally abwing enotheA of conviction of a sea ndeu; m aocmding to Ne Intend., at dak of vicdm0adon e, victimizing ..other teat. Detail, pieass naNy rine rs dPO rdnW inmate C Sigtn of developmental dbaEOity (slow speeds, 0 DDitery sena. Intake Screening Quality Assurance NaphCare's corporate CQI staff will monitor the Intake Screening process to ensure full compliance with NCCHCstandards J -E -03,1-E-04, and J -E-05. The following proactive QA studies help prevent costly mistakes, medical emergencies, and expensive off-site care. ✓ Timely Intake Screening: We seek to provide a timely Intake Screening in accordance with the contract requirements. Using TechCare®, we audit the Intake Screening. TechCare® searches the Inmate Medical Services City of Santa Ana 25F-27 RFP No. 17-051 28 a hare your independem heahhcam choim. database of all active inmates with a bed assignment for completed Intake Screenings. Corporate staff then reviews the screening report Monday through Friday, and any missed screenings are reported to the site Health Services Administrator (HSA). The HSA follows up on all identified inmates, and these inmates receive an Intake Screening within 48 hours of site notification. ✓ Positive Mental Health Screenings: Per NCCHC standards, any inmate with a positive mental health screen must then be seen by a qualified mental health professional for a more in depth Mental Health Evaluation. Our CA department runs a weekly report that shows all active inmates who had a positive mental health screen, but have not yet had the mental health evaluation performed. This information is sent to the site HSA so that these inmates will not be missed. The site is responsible for reviewing the list of inmates, explaining why the evaluations have not been performed yet, and providing a report of resolution back to the CIA department within a few days. ✓ Daily TB Read Report: We identify any active inmate that does not have a TB read recorded in Tech Core®; this alert is then automatically generated and shown on the Nurses Dashboard. This quality assurance activity helps ensure that all active inmates have a completed TB testing process or other appropriate care, such as a chest x-ray or Isoniazid treatment. 4. Initial Health Assessment An initial health assessment will be completed by a licensed MD, PA, NP or RN for each inmate immediately upon intake, ensuring completion within fourteen (14) days upon arrival at the SAJ. The initial health assessment will include, at a minimum, the following: a. Review of intake screening results and the collection of additional data to complete the medical, dental and mental health histories b. Laboratory and/or diagnostic tests to detect communicable diseases, including sexually transmitted diseases and tuberculosis (PPD or x-ray as medically indicated) and other tests as determined by the responsible physician upon consultation with and approved by the local public health authority. c. A VDRL/RPR blood test is to be drawn on the inmate, if the inmate has not had such test performed at the transferring jail with the last ten (10) months of continuous incarceration, or it is not documented on the inmate medical transfer form and/or supporting medical records received from the referring facility. d. A physical examination including comments about mental status with appropriate referral as clinically indicated. e. Oral (Dental) screening Proactive Health Assessment upon Intake A beneficial feature of NaphCare's intake screening process forthe SAI is that we perform the health assessment upfront, during intake. By performing this screening at intake, we can identify urgent medical and mental health issues upon an inmate's arrival. This not only reduces costs for emergency and hospital transportation, but it also reduces the inmate movement required to provide health assessment at the 14 -day mark. Inmate Medical Services City of Santa Ana 25F-28 Naph Care exceeds NCCHC standards by performing the health assessment upon intake. Additionally, any inmates that have not had a Health Assessment by the 101 day will be flagged in TechCore"for immediate follow-up, ensuring compliance with the 14 -day requirement. RFP No. 17-051 29 a h ar your independent hea9h.r choice. NaphCare's healthcare personnel ensure that a comprehensive health assessment is completed for each inmate during the intake process, and no later than within 14 days of admission to the SAI. The health assessment record is reviewed and signed by a physician and entered in the patient's permanent medical record. The health assessment includes inquiries into the following: • Vital Signs, • Current Medications/Allergies, • Medical History, • TB risk factor and symptoms, • Substance Abuse, • Clinical Observations, • Physical Exam (HEENT, Dental, Cardiovascular, Respiratory, Abdominal, Musculoskeletal/Skin) • Pregnancy, • Laboratory Tests Ordered, • Clearances Issued, • Treatment Plan, • Housing Assignment. Inmates who are referred for follow-up are seen by the appropriate healthcare professional, and referrals are documented in TechCore®. Inmates are evaluated based on the medical information obtained during the Intake Screening as to the medical necessity of conducting a health assessment. S. Non -Emergency Medical Treatment of Inmates As the SAJ's current MSP, NaphCare already has established policies and procedures for handling and responding to each inmate request for medical treatment (aka Sick Call). We understand that all policies and procedures are subject to review and approval by the Jail Administrator or designee. a. Medical sick call requests initiated by inmates will be processed daily. NaphCare will be responsible for obtaining sick call forms from housing location on a daily basis and responding to requests within twenty-four (24) hours of receipt. b. NaphCare will conduct sick call line within the housing units on a daily basis. During this period, medical staff will dispense over-the-counter and prescribed medications. c. If medical services cannot be provided within inmate housing units, NaphCare will schedule inmates for evaluation and/or treatment in designated medical offices within the facility. d. The on-site primary care physician and/or medical director will determine the triage mechanism to be used for each inmate's chief complaint or symptoms. e. NaphCare will establish a system that tracks the non -emergency medical request from initial receipt to final disposition, including date of initial complaint and name and title of health care provider who provided treatment. f. NaphCare will maintain a log available to the Jail Administrator on all non- emergency medical requests received. g. Services requirements included, but are not limited to: I. Review Inmate Medical Request forms and provide appropriate medical care. ii. Prescribe and dispense approved medications (tablet, liquid and syringe). iii. Prescribe medical diets. iv. Conduct physical examinations. Inmate Medical Services City of Santa Ana 25F-29 RFP No. 17-051 30 a h 1009 are your ird.p dem h..11hmro cho+m. V. Provide first aid and treat injuries. Apply, monitor and remove sutures. vi. Provide weekly dental clinics. vii. Provide biweekly psych clinics. viii. Provide four (4) hours of annual jail staff training related to issues of infectious diseases, including universal precautions and proper training for cleanup and disposal of bio -hazardous materials. Training will be subject to approval by the Jail Administrator or designee. ix. Maintain detailed, accurate and confidential medical records, logs and files in accordance with California Department of Corrections and Rehabilitations, Title 15 and all other relevant regulatory requirements. X. Review and approve jail medical policies and procedures. xi. Timely and accurate reports to the Jail Administrator. xii. Approval of off-site medical care by responsible contracting agency of the inmate/detainee. DECENTRALIZED SICK CALL NaphCare will continue to operate a decentralized sick call schedule for the SAL Our EHR system makes this possible since nurses have access to all inmate medical records via a laptop. This type of model allows nursing personnel to provide care in the modules occupied by the patients, which reduces inmate movement and increases the amount of time allowed for sick call to occur. Another advantage is that nursing personnel can address routine sick call needs, such as a headache, immediately on the floor. Our clinicians essentially take the clinic to our patients on a daily basis. Proactive Care NophCore's sick call procedures ensure proactive action to prevent a delay in care. With the implementation of NaphCare's sick call protocol, patient sick call wait time decreased from an average period of 14 days to Access to care is a top priority for us, so we take extensive same-day or next -day service. steps to ensure that inmates are seen in a timely manner and that sick call days are prioritized by the severity of need. All inmates have a daily opportunity to request healthcare through our sick call system, which gives inmates unimpeded access to healthcare services. Our nursing personnel collect, triage, and respond to all inmate requests daily. For inmates who do not have access to the sick call boxes, alternative arrangements are made forfiling sick call requests. The frequency of sick call is consistent with NCCHC standards and the facility schedules, and we provide appropriate time forsick call at the correctional facility. Timeliness of the response to sick call requests is an important indicator of quality of care and NaphCare meets NCCHC standards for sick call response times. Sick call services, in compliance with NCCHC standards, are provided at sufficient levels to allow the healthcare staff to give same-day response to urgent inmate requests for healthcare services. Nursing sick call is conducted seven days a week, and physician sick call is conducted according to a set schedule agreed upon by NaphCare and the facility. If an inmate's custody status precludes attendance at sick call, then our staff consults with security staff to make access to healthcare services possible. Inmate Medical Services City of Santa Ana 25F-30 RFP No. 17-051 31 a h your independent heolthoo. choice. Our healthcare staff follows nursing protocols to facilitate the delivery of sick call services. The assessment protocols are appropriate for the level of skill and preparation of administering nursing personnel. Healthcare staff is trained to effectively triage the inmate's condition and implement these established protocols. If the treatment required is outside the nurse's scope of practice or the established nursing protocols, the inmate is referred to a mid-level practitioner or the on-site physician for evaluation and treatment within twenty-four (24) hours. Health services are provided in a manner that complies with state and federal privacy mandates within the scope of each facility. Triage Methods We scan all sick call requests into the TechCare® system, so the nursing staff can prioritize all requests on every shift and respond in a timely and appropriate manner. Through TechCare®, we create a sick call queue that provides a daily work log and makes the sick call process less time-consuming. The system automatically generates a list of inmates who have requested sick call, ensuring that no requests are overlooked. An inmate's multiple sick call requests are consolidated into one sick call appointment. Within this queue, all sick call requests are subdivided for disposition by the appropriate practitioner. Referrals: Requests are triaged and referred electronically to the appropriate mid-level clinical provider as necessary, which means the referral is completed immediately without the need for cumbersome paper logs. Priority sick calls supersede Routine sick call requests to efficiently maximize staff time and address the most acute needs quickly. The importance of categorizing sick call requests is to streamline the process and ensure all requests are documented and addressed. The nurse can click on an inmate's name to select it, and then click on an appointment and assign it to the appropriate category. This efficient process makes it easy to respond to requests quickly and ensures that medical staff does not fall behind in processing requests. The clear advantage of using an automated sick call system is that the sequence of the list creates a PRIORITY system based on important factors such as acuity and length of time waiting. Sick Call Quality Assurance NophCare's corporate CQI staff monitor the sick call process at the SAJ via TechCare®. They ensure that all inmate requests are documented and reviewed for urgency of need and any required intervention within 24 hours, and that sick call clinics are conducted on a timely basis by licensed medical staff in accordance with NCCHC Standard J -E-07, Nonemergency Healthcare Requests and Services. Inmate Medical Services City of Santa Ana 25F-31 RFP No. 17-051 32 a h arm your indeperdee heolfhmre dwim. 6. Emergency Medical Treatment of Inmates a. NaphCare has established and will continue to implement policies and procedures for responding to requests byjail staff to provide emergency medical treatment to inmates in an efficient and timely manner at all times. b. In the event of an emergency, first aid and cardiopulmonary resuscitation services are provided on-site as indicated. Medical services staff will provide on-site emergency intervention for staff, inmates and visitors when necessary. c. Naphcare will provide and have on-site two (2) or more Automatic External Defibrillators (AED) and all health care personnel will be certified as part of the annual CPR training. d. Naphcare will utilize the preferred provider network for all off-site emergency services. EMERGENCY RESPONSE NaphCare will continue to work side by side with all SAJ personnel to ensure the health, safety, and welfare of inmates, staff, and visitors are not jeopardized within the confines of the correctional institution during an emergency, and we will provide 24-hour emergency healthcare services (NCCHCJ- A-07, J -E-06). We take the following steps to ensure that NaphCare healthcare staff members are prepared to implement the health aspects of the SAJ's emergency response plan. Emergency Response Plan 1. Health aspects of the SAJ emergency plan will be approved by the responsible health authority and facility administrator, and will include: • Responsibilities of health care; • Procedures for triage; • Predetermination of the site for care; • Telephone numbers and procedures for calling health staff and the community emergency response system (e.g. hospitals, ambulances); • Procedures for evacuating patients, and • Alternate backups for each of the plan's elements. 2. At least one mass disaster drill is conducted annually in the SAJ so that over a three-year period each shift has participated. 3. A man -down drill is practiced annually per shift where health staff are regularly assigned. All training for these drills of our staff is documented on the Education Log. 4. All man -down drills will be documented using NaphCare's Medical Emergency Code Report. S. Critiques of each emergency response, drill, and tabletop exercise are conducted, reviewed, and documented on the Emergency Response Critique Form and shared with all healthcare staff. 6. Full-time healthcare staff not assigned to a particular shift are exempt from drills. Emergency Services 1) A written plan includes arrangements for the following, which are carried out when necessary: a) Emergency transport of the patient from the SAJ including emergency medical vehicle; Inmate Medical Services RFP No. 17-051 City of Santa Ana 33 25F-32 a h are Y. indeperdent hma hwre chaiw, b) The Emergency Contact Numbers form will be completed and updated as necessary by the Health Services Administrator; c) Use of one (1) or more designated hospital emergency rooms or other appropriate health facilities; d) Emergency on-call physician, dentist and/or mental health staff are available twenty-four (24) hours per day, when the emergency health facility is not located in a nearby community; e) Security procedures will be reviewed to ensure the immediate transfer of patients when appropriate; f) The Health Services Administrator will be notified of all emergency situations; and g) Emergency evacuation of the patient from the SAJ. 2) On-site emergency first aid and crisis intervention using emergency medication(s), supplies and medical equipment that are regularly maintained. Monthly inspections will be performed using the Emergency First Aid Kit Monthly Inspection form. Emergency Training for Correctional and Health Staff 1) Correctional and healthcare staff will be trained to immediately initiate a response to emergency health-related situations. The training program will be conducted on an annual basis and will be established by NaphCare in cooperation with the SAJ and will include instruction on the following: a) Recognition of signs/symptoms and knowledge of action that is required in potential emergency situations; b) Administration of basic first aid; c) Certification in cardiopulmonary resuscitation (CPR) in accordance with the recommendations of the certifying health organization; d) Methods of obtaining assistance; e) Signs and symptoms of mental illness, violent behavior, and acute chemical intoxication and withdrawal; f) Procedures for patient transfers to appropriate medical facilities or health care providers; and g) Suicide intervention. 2) Training provided by NaphCare to correctional staff will be documented on the Education Log. C.A.R.E. Ambulance Dedicated to patient care and customer service for over 47 years, C.A.R.E. Ambulance Service provides emergency and non -emergency service to the citizens of Orange, Los Angeles, and Riverside Counties. C.A.R.E. Ambulance Service provides integrated, high-quality, BLS, ALS services, and is at the forefront of EMS transportation. NaphCare will continue to coordinate emergent transportation services with C.A.R.E. Ambulance to meet the needs of the Santa Ana Jail. 7. Chronic Illness/Infectious Disease Protocols a. NaphCare has established and will continue to implement policy and procedures for the care and handling of inmates diagnosed with chronic illness/disease and for inmates diagnosed with an infectious disease subject to the approval of the Jail Administrator. b. NaphCare staff will immediately notify the Jail Administrator or designee of any inmate with an infectious disease diagnosis, which may require the screening of inmates (e.g. active TB, chicken pox, rubella, mumps, etc.). Inmate Medical Services City of Santa Ana 25F-33 RFP No. 17-051 34 a h are your independent h=11h=w choice. c. NaphCare will ensure policy and procedures adhere to guidelines established by the National Commission on Correctional Health Care (NCCHC), Orange County Health Authority and Title 15 and 24 regulations for adult facilities. PROACTIVE CHRONIC CARE MANAGEMENT NaphCare provides chronic care in a mannerthat incorporates principles of case and disease management for complex cases, and promotes maximum progress and healing. Inmates receive timely follow-up, evaluation, treatment, and education about the preventive activities available for those requiring chronic or convalescent care. Our policy ensures all inmates are screened, identified, and monitored in a manner consistent with national clinical guidelines established for the care and treatment of chronic illnesses. Our proactive approach and effective management of inmates with chronic diseases enables healthcare professionals to treat symptoms earlier, and more effectively, preventing costly hospitalizations. We take a proactive approach to the management of chronic care disease in order to minimize the development of any urgent or emergent conditions that might require off-site transportation. Our emphasis on preventive care begins at the point of intake (intake screening), where inmates are classified into the appropriate chronic care clinic and scheduled for follow-up treatment. Our extensive staff training, use of best practices based on nationally recognized guidelines, and innovative on-site diagnostic testing help us keep chronic care patients in a stable state throughout their incarceration. We schedule and track all chronic care clinic visits within TechCare®. This data will be available to the city at all times. At a minimum, the database will include the following: • Each inmate enrolled in a chronic care clinic. • Each occasion when an enrolled inmate is seen at a chronic care clinic. • Patient refusals for a chronic care visit. Using TechCare® helps ensure that chronic care patients are seen by a provider at appropriate intervals as clinically indicated. In the Chronic Disease Management section of TechCare®, the user can access/view inmates with certain chronic care illnesses. To see a specific chronic illness, simply select a chronic illness from the drop down list. The user can view previous notes, labs, and chronic care visits, or complete a chronic care visit. The amount of time until the next visit can also be reviewed from this screen. The patient's name turns red when the visit is past due. Inmate Medical Services City of Santa Ana 25F-34 RFP No. 17-051 35 1114Ware your independent health..,Jloice. Chronic Disease Management within TechCare® NaphCare has a proven history of reducing off-site costs through our proactive Chronic Care system within TechCare®. Using TechCoreO, we strive to enhance the level and quality of the care within the SAJ by scheduling inmates with chronic illnesses to be seen by a provider before they become acutely ill and require off-site transport or hospitalization. In addition, we greatly reduce liability by identifying this high-risk population during the intake process. Collection of Pertinent Healthcare Information Prior to incarceration, many inmates had limited contact with healthcare providers and may lack critical information about their illnesses. Our chronic care program aims to actively monitor, educate, and motivate patients to be responsible for their own health maintenance. We have established protocols and practice guidelines to provide guidance on the diagnosis, monitoring, and treatment of common chronic illnesses. Our process ensures compliance with standards established for the care and treatment of chronic illnesses. The first opportunity to identify, enroll, and refer an inmate to an advanced level provider is during the Intake Screening. If the inmate's responses during intake indicate that he or she requires additional medical care, then the inmate's medical record is electronically flagged for follow-up and, typically, their chronic issues are addressed by the provider during that initial health assessment. If a patient is on pharmacologic therapy, continuity will be maintained. If there is a patient whose chronic condition is unstable, he/she will be seen promptly. In the case where a patients' chronic disease is stable, he/she will be scheduled for a first chronic disease visit in approximately one month. NaphCare is flexible and will work on custody -related issues to reduce interruption of chronic care medications or appointments when patients with chronic disease are transferred between institutions or moved for housing, court or release issues. Before the appointment, we collect medical records and current diagnostic test results so an evidence - based treatment plan may be created. Patients enrolled in chronic care clinics will be seen by a qualified healthcare professional at appropriate intervals, or more frequently if clinically indicated. Inmate Medical Services City of Santa Ana 25F-35 RFP No. 17-051 36 Ae�": -. ('.�UdcBi Book Oan QQdH Bylttaoon ReWn4P :a ld1 NedP "�O:ckN .Pmt::',:.,. Pb�ert 2l _ laed:ua (epeeY. K:` Bad,OaP.. IaYIAm ,,.." Aman , ASB , KENNETH (.0659922) CA-ORMI-08 90 OAY 1689 days IVI&2012 9:08:37 AM due to be seen in 23 days O tabs V E] Pont A 14, MATTHEW (:0032272) 2QB-721-02 90 OAY= 1647 don'2/19/2013 8:28:36 Ani due W be seen in 86 days Notes ;,labs ViM.. ri Rfe! AIJ( ,JAMES (400036E1) 260C953-02 90 DAY -,= uus3 d.y. 2/19/2013 8:28:36 AM due to be seen in 86 days Np(es ,labs'. F,---]©72141 Ea#eq Zia '(II987667J 90 pAY _ _,__ __ ta88 day. 2/19/2013 6:28:37 AM due to be seen in 86 days NMe;, Wbs - . v: -_t I Q RYt BRNK , LUIS (40679399) 60 Bed -309-02 O MONTH -y 1498 day. 2/1912013 8:28:30 AM due to be seen in 85 days :,Notre Inbs Vint O At.t Bryan, Sheena (=987668) O MONiH., .. T, Iaeedaya W19120138:28:38 AM due N be seen in 85 days .:Notes: -tabs-: ,.:/wlt., El —t PONTTCEIIS , ERNESIO (.06]]063) 120A-130-01 O F last dan Iasi v sit information not avalaWe F--] F---7_Uvt . n Mnt i Powell, Michael (.99]66E)O tA88 day. faA vivt inrbrmad. not available ;Nates labs' -Vid_ [i J' wort Snide, Owen (.98765x) O -�' �,'14M days fast visit iNmmatien not availaNe ;NMes Labe^ Ym2. Mnt VEDA, AARON (S066aia3) 60 Bed -303-02 O�, lest dap tart vis6 ida .anon rot available ,Notes F-----] , s2., e] Mat ZOV,A (30067562) 1208-220.0t Ot393 tl.n Last nfarmabon rot available ,Nates �Labs_1Yiv(:'� Mnt NaphCare has a proven history of reducing off-site costs through our proactive Chronic Care system within TechCare®. Using TechCoreO, we strive to enhance the level and quality of the care within the SAJ by scheduling inmates with chronic illnesses to be seen by a provider before they become acutely ill and require off-site transport or hospitalization. In addition, we greatly reduce liability by identifying this high-risk population during the intake process. Collection of Pertinent Healthcare Information Prior to incarceration, many inmates had limited contact with healthcare providers and may lack critical information about their illnesses. Our chronic care program aims to actively monitor, educate, and motivate patients to be responsible for their own health maintenance. We have established protocols and practice guidelines to provide guidance on the diagnosis, monitoring, and treatment of common chronic illnesses. Our process ensures compliance with standards established for the care and treatment of chronic illnesses. The first opportunity to identify, enroll, and refer an inmate to an advanced level provider is during the Intake Screening. If the inmate's responses during intake indicate that he or she requires additional medical care, then the inmate's medical record is electronically flagged for follow-up and, typically, their chronic issues are addressed by the provider during that initial health assessment. If a patient is on pharmacologic therapy, continuity will be maintained. If there is a patient whose chronic condition is unstable, he/she will be seen promptly. In the case where a patients' chronic disease is stable, he/she will be scheduled for a first chronic disease visit in approximately one month. NaphCare is flexible and will work on custody -related issues to reduce interruption of chronic care medications or appointments when patients with chronic disease are transferred between institutions or moved for housing, court or release issues. Before the appointment, we collect medical records and current diagnostic test results so an evidence - based treatment plan may be created. Patients enrolled in chronic care clinics will be seen by a qualified healthcare professional at appropriate intervals, or more frequently if clinically indicated. Inmate Medical Services City of Santa Ana 25F-35 RFP No. 17-051 36 a h are your independent heahhm. ch6w. Newly diagnosed patients are seen for the first clinic within 45 days of diagnosis and then scheduled for follow-up as clinically appropriate. Chronic care clinics are built into the TechCare@ system, which creates consistent documentation and standardizes the provision of care. Inmates are placed into the correct chronic care clinic by diagnostic category "TechCare® provides a to ensure proper follow-up at their scheduled dates. TechCare® is designed for the classification of inmates with chronic diseases and allows the more efficient, effective following clinics to be easily scheduled: Heart Disease, Asthma, Cancer, High method of monitoring Blood Pressure, Diabetes, Hepatitis, Seizures, Sexually Transmitted Diseases the inmates. We can (STD), HIV, and Thyroid. Instantly accessible, TechCare® allows medical ensure that the inmate treatment to be monitored and ensures compliance with ACA and NCCHC requirements. Another benefit of the system is the "alert" feature, which has been placed in the prompts healthcare providers to schedule a follow-up for any missed inmate appropriate chronic screenings. care clinic, on appointment has been NaphCare has education about chronic diseases available for chronically ill inmates. Disease-specific information can be easily selected from a list in made with the TechCare® and printed to give the inmate the knowledge to help take care of appropriate provider, him or herself. blood sugar checks have been initiated, Another mode of identifying chronic care patients and ensuring their continued treatment is through NaphCare's internal pharmacy team. Using etc., all from looking at TechCare®, the pharmacy team analyzes profiles with chronic care the inmate's record in medications, identifies chronic care patients who may not have been the computer. " identified yet, and updates the patient medical record. If a patient has been incarcerated for more than 30 days and has been receiving a chronic care medication but has not been flagged as a chronic care patient, then the Dyni Brookshire, RN, pharmacy sends out a second request for the patient to be re -assessed. They Director of will enroll patients in need of chronic care in the proper clinic and make sure Accreditation and they receive the appropriate labs and scheduled followups. This is a quality Compliance assurance activity that NaphCare regularly provides as part of our Proactive Care Model. Individual Treatment Plans Individual treatment plans are developed by the responsible physician for inmates with special medical conditions requiring close medical supervision, including chronic care. The plan includes directions to healthcare personnel regarding their roles in the care and supervision of the patient. Before the treatment plan is implemented, it is approved by a physician. Individual treatment plans include, at a minimum: a. Frequency of follow-up for medical/mental health evaluation and adjustment of treatment modality; b. Type and frequency of diagnostic testing and therapeutic regimens; and when appropriate, instructions about diet, exercise, adaptation to the correctional environment, medication, etc; c. Reasonable accommodations for persons with diagnosed medical or mental health Inmate Medical Services City of Santa Ana 25F-36 RFP No. 17-051 37 4Whcalr�e y.., Wep.Mem heohhwm &6.. disabilities, as necessary. Management of Diabetic Inmates Diabetes is one of the most complicated chronic care diseases present in correctional settings. There are different types of diabetes, different kinds of medication management, and various, constant blood glucose testing. This has the potential to be a documentation nightmare, but NaphCare has the solution. We provide electronic devices (LifeScan OneTouch° Flexx Professional Blood Glucose Monitoring System) that store previous and current blood sugar levels by using an inmate's identification number. Electronic glucometers require healthcare professionals to perform control testing and include a fail-safe that prevents inaccurate testing of patients. The OneTouch' Flexx Professional Blood Glucose Monitoring System • Paperless; downloads information without the need for excessive charting. • All information is synced into TechCare® in each inmate's individual electronic health record. • Photometric technology delivers accurate and precise results. • Absorbent OneTouchPro Test Strips provide easier handling and application. • Unique off -meter dosing of the test strip minimizes risk of infection for patients and staff. o Removes need to bring meter to patient. o Helps reduce risk of transmission of blood-borne pathogens between patients. • TechCare® trends/graphs the results to demonstrate to the clinician how effectively current and past medications are managing blood sugar. INFECTION CONTROL PROGRAM NaphCare has an established Infection Control Program that is based on NCCHC standard J -B-01 and ACA Standards for Communicable Disease and Infection Control Program. Our Infection Control Program provides guidelines for the management of, and reduction of unnecessary exposure to, infectious and communicable diseases for inmates, institution and healthcare staff. It also offers guidelines to enact protection for health of inmates, staff and visitors through maintenance of a clean and orderly health unit. Our program is based on universal precautions recommended by the Centers for Disease Control (CDC), the Occupational Safety and Health Administration (OSHA), the Association for Practitioners in Infection Control, and other nationally recognized infection control organizations. The infection control program at the SAJ establishes a comprehensive system of programming for surveillance and treatment of infectious diseases within the correctional environment. This program also eliminates or minimizes the risk of infection and transmission of communicable diseases for inmates and employees, and provides forthe reporting of diseases as required by local, state and federal law. The HSA oversees and implements infection control measures to monitorthe incidence of infectious and communicable diseases, ensures proper handling and disposal of biological waste, and provides education to inmates, correctional staff, and clinical staff on control, treatment, and prevention of infection. Infection control activities are monitored by the CQI committee. At a minimum, our infection control program includes written policies, procedures, and practices to: • Define surveillance procedures for inmates identified with infectious/communicable disease; • Ensure appropriate testing and immunizations for staff; • Provide inmate immunizations as recommended by the SAJ Medical Director; Inmate Medical Services City of Santa Ana 25F-37 RFP No. 17-051 38 a h are yoar independent healihmro choice. • Provide care and treatment to inmates with communicable diseases, including the recommendation for special housing/isolation when medically indicated; • Implement Bloodborne Pathogen Program; • Monitor compliance with treatment regimens and continuity of care for inmates with communicable diseases; • Ensure confidentiality; • Define decontamination of medical equipment and proper disposal of sharp instruments and biohazard wastes; • Define strict adherence to universal precautions by all NaphCare staff to minimize the risk of exposure to blood and body fluids of inmates; and • Provide reports to designated authority of infectious diseases and nosocomial infections (infections that originate or occur in a hospital) in accordance with local, state, and federal laws and regulations. Meetings are held at least quarterly, or whenever an infection control issue requires immediate or continuing attention. A licensed healthcare provider is designated to serve as the Infection Control Coordinator. The infection control committee will consist of the following members: • Medical Director or Physician; • Dentist or representative, if applicable; • HSA; • Director of Nursing, if applicable; • Infection Control Coordinator; • Institutional Authority representative; and • Any other representatives, depending on issues for discussion as designated in conjunction with the HSA or our Corporate Office. Infectious disease reporting is achieved through the TechCore® system. An inmate diagnosed with an infectious disease is immediately enrolled in a chronic care clinic that will then provide the appropriate referrals and treatment plan. The inmate's care can be tracked through the chronic care clinic module in TechCore®. TechCore® maintains data in real time to ensure that appropriate care is provided. Infection Control Education All new hires receive a comprehensive introduction and overview of the infection control program during their orientation period via our training module, Relias Learning. In addition, we provide annual review and competency training of our infection control program for all site staff via Relias Learning as well as on-site in -services. Infectious disease education includes, but is not limited to blood-borne pathogens, air -borne pathogens, post -exposure management, proper hand washing technique, bio - hazardous waste handling, and MRSA. We also provide inmate patient education handouts that address MRSA, HIV/AIDS, and Hepatitis C for use in the facilities. Delousing Procedures As part of our policy and procedure for Infection Control, we implement delousing procedures in accordance with NCCHC standard 1-13-01. Inmates entering the Jail are examined and treated, if indicated, for ectoparasites in order to prevent possible institutional infestation. Disinfection includes the inmate, bedding, and clothing; Inmate Medical Services City of Santa Ana 25F-38 RFP No. 17-051 39 a�49r& your independent healthcare choiw. • Treatment given to infected inmates considers all conditions and is ordered by a clinician; and • Only over-the-counter medications are used for facilities which routinely delouse inmates. Pandemic Response We will prepare healthcare staff to implement the aspects of our response to a pandemic of infectious disease to ensure the health, safety, and welfare of inmates, staff, and visitors. It is our policy to work in conjunction with the City to ensure that the health, safety, and welfare of inmates, staff and visitors are not jeopardized within the confines of the correctional institution during a pandemic of infectious disease. The Pandemic Response Plan is based on guidelines established by the Center for Disease Control and Prevention (NCCHCJ-8-01a, ACA Communicable Disease and Infection Control). 8. Medication Management a. NaphCare will continue to provide routine over-the-counter pharmaceutical and routine prescription care for all inmates. Long-term medication for chronic care, including HIV and psychotropic medications will be the responsibility of the inmate's contracting agency. Please see Exhibit C Cost Proposal Narrative (under Required Forms). for pricing explanations. Inmate Medical Services City of Santa Ana NAPHCARE'S IN-HOUSE PHARMACY SERVICES Medication administration is a high-volume and high- risk process, and a responsibility that NaphCare takes very seriously. Safeguards are needed all along the delivery system. NaphCare's goal is to provide our clients with safe and efficient pharmaceutical services while also reducing their drug costs. We own and operate our pharmacy, which is dedicated solely to the correctional facilities we serve. The pharmacists are all employed by us and are highly qualified with degrees in Doctor of Pharmacy, Master of Administration, and Bachelor of Science, and possess multiple disciplines of pharmaceutical experience. NaphCare has provided pharmacy services for 28 years! Our in-house pharmacy is located in the same building as our corporate office and provides complete pharmacy services, including management, record keeping and a delivery system that stays in compliance with all regulatory policies and procedures. Safeguards for our pharmaceutical provision system ensure drugs are ordered by qualified providers. Pharmaceutical inventory controls ensure the availability of necessary and commonly prescribed drugs and protect against loss of product. NaphCare is certified and accredited by the National Association of Boards of Pharmacy® (NABP®), and is the first pharmacy in Alabama to receive this verification. The NABP® is G -O) an impartial professional organization that supports the state boards of pharmacy in protecting public health. 25F-39 RFP No. 17-051 40 a h are your independent heelth.. choice. A detailed description of our in-house pharmacy program is shown on the following pages. We will continue to ensure contract compliance in all our pharmaceutical services and strive to give you the finest pharmaceutical services while maximizing your cost -savings potential. We offer the following extra value benefits to facilities that utilize our in-house pharmacy services: • 27 years of correctional pharmacy experience. • Purchasing discounts & cost savings extend directly to you. _ • Drug ordering made simple through use of TechCore® and our eMAR services. • Automation streams prescriptions to pharmacists for efficient, accurate, & complete clinical review. • Improved communication between pharmacy & healthcare units, allowing for immediate access to new drug orders and simplified drug formulary management. • Pharmacist review of all new drug orders for duplicate therapy, drug interactions, allergies, dosingschedules, and appropriateness of therapy. - -. • National contracts with local major pharmacies for emergency back-up services, ensuring 24- hour access to prescription drugs. • Medications available 24 hours per day, 7 days perweek, 52 weeks peryear_ • Most prescriptions free of charge for NaphCare employees who elect our health insurance plan. NaphCare provides a total pharmaceutical system for prescription and non-prescription drugs and all intravenous solutions ordered by our physicians. Appropriate prescription drugs will be available to all patients at all times. Our pharmacists screen all drug orders for completeness and medical appropriateness, and then oversee order preparation, distribution, and control. NaphCare's pharmacy management policies and procedures help to ensure the following: • Efficient, accurate pharmaceutical ordering — ensures adequate and appropriate supplies & minimal use of emergency ordering; _ • Storage & security of drugs, syringes, needles, dispensing instruments, & instruments; _ • Close monitoring of drug prescnbmg patterns; • Maintenance of patient profiles at the pharmacy with drug allergies & drug interaction alerts noted; • Control inventory; • Renew prescriptions to avoid any interruption or delay in drug dispensing; • Develop and utilize qualityimprovement tools to monitor psychotropic drug usage and poly-' pharmacy issue s; _ • All prescriptions will be labeled in accordance with applicable state and federal regulations. We will provide for electronic submission and prescriptions tracking; • Routine reporting of current prescriptions that will ezpire,within five days, unless the prescription was specified as a one-tim-e prescription, and; • Proper disposal of all unused drugs. Inmate Medical Services RFP No. 17-051 City of Santa Ana 41 25F-40 Inmate Medical Services City of Santa Ana a h are yw,Wepende he khmreh.i.. Medication Review NaphCare pharmacists provide a thorough clinical review of drug orders as new prescriptions are electronically sent to the NaphCare Pharmacy. As a value-added service for the Jail, NaphCare's pharmacists review all orders for accuracy. They verify real-time prescriptions for safe dosage, allergies, specified length of time, need for drug, and duplications. By identifying duplications, we minimize the number of drugs a patient needs while still ensuring high quality care. Pharmacy Queue & Vital Signs Current vital signs, such as blood pressure and blood glucose levels, are shown on the Pharmacy Queue to alert pharmacists of any abnormal vital signs which may preclude use of the prescribed drug. Within this screen, it is easy for pharmacists to see when scheduled or appropriate vital signs have not been taken or properly recorded; they are then able to communicate with healthcare staff so that corrective action can betaken and negative outcomes can be prevented. Clinical Pharmacist Quality Assurance Management Process When inmates first enter the Jail, a Intake Screening is completed to gather important inmate physical and mental health information up front to prevent negative outcomes later. During this screening, we identify any current or needed medications. Medication orders are entered into the TechCare® eMAR, ensuring that all medication activities are tracked. Within our eMAR, all providers have the information they need to review and approve orders and make more informed decisions regarding patient care. At the time that our providers review and approve orders, our Pharmacy Quality Assurance Management Process begins. All of the above activities, which compose our Clinical Pharmacist Quality Assurance Management Process, are completed within 24 hours of an inmate entering your facility. Finally, when all medications are approved and our pharmacists have reviewed in detail all medication information, our nurses administer medications to your inmates in compliance with NCCHC standards for care and the manner which you have requested. When a provider reviews and approves orders in the TechCare® eMAR, our Pharmacy Quality Assurance Management Process begins. A chart outlining this process is shown below. 25F-41 RFP No. 17-051 42 your indepeadem healthcare choice. NaphCare's Pharmacy Quality Assurance Management Process Provider Revic%%&Approves Orders in ,Tech kxrc`s"c MAR: L Medication Order t Vital Signs. r. Monitored Daily. L htedicattgn - Reviewed. Psychotropic$• 1 Quality Chronic Disease Chronic Care Non -Formulary +;n, 9ssurdnceMediwtion :State& Clinical for Compliance. Requcst3. RevietP. Evalualien. hlanaecmenF. Deli L Medication Order t Vital Signs. r. Monitored Daily. i. Appropriate I. eMAR Reviewed. 2. Appropriate 2. Clinical Treatment Plan Monitored Daily 2. Duplicate Treatment Pharmacist 2.1'atient Compliance for Compliance. Therapy. 3. Evidence -based Recommendations. with Medication 2. Medication 3. Drug Interactions. Guidelines. 3 Clinicalovweight Therapy. Dispensed Based 4. Appropriate 4. Chrome Care by Medical Provider. g Ensure medication on Utilization Doses. Tracking 4. Verified treatment remains 3. Manage 5. Drug Allergies. 5. Medication Medications we current Pharmaceutical Compliance. continued. cost.. 6.labbfonitoring. 7. Adverse Reactions. Medication is dispensed. Electronic Prescription Ordering Prescriptions are electronically communicated directly from our physicians to NaphCare's pharmacy and are immediately recorded on the eMAR. Once new orders have been submitted, they are entered into the Pharmacist's Queue, allowing our pharmacists to follow-up with clinical or therapeutic advice for on-site personnel and re- evaluation is documented in your inmate's health record. All healthcare staff and pharmacists have access to one central location for medication information. Everyone sees the same data without the need to recreate illegible paper files or search for records. This saves time and eliminates the potential for human error. Automatic Reordering System As nurses administer drugs using our eMAR, we match refills with distribution. The result is that you only pay for what is used and avoid unnecessary drug costs. On-site staff and our pharmacy department access the same drug list, greatly reducing human error. Automatic Reordering also provides improved tracking of medications. Inmate Medical Services RFP No. 17-051 City of Santa Ana 43 25F-42 a h ON your independent healthmm choice. Within our eMAR, tracking renewals of maintenance medications is easy. For the Jail, we will ensure that renewals of maintenance medications are consistent and ongoing so as not to place an inmate's health at risk. Under no circumstances will maintenance medications or keep -on -person (KOP) medications lapse. Our pharmacists review all orders, verifying prescriptions for accuracy, safe dosage, allergies, specified length of time, need for drug, and duplications. Our providers review inmate records for medications near expiration and ensure that inmates assigned to regular chronic care check-ups have medications renewed on time. Within our eMAR, our pharmacists search for prescriptions which are nearing expiration and request appropriate refills. All of NaphCare's pharmaceutical operations comply with NCCHCJ-D-02 Medication Services, which mandates that medication services are clinically appropriate and provided in a timely, safe, and sufficient manner. Cost Containment Initiatives NaphCare's in-house pharmacy ensures maximum pharmaceutical savings for you. Since pharmacy services are not contracted out to a third party, you do not experience middle man expenses. We always look for opportunities for better or preferential pricing. One of the ways we save you money is in branded medications: the more generics we purchase, the higher your discounts are on branded medications. Another way our in-house pharmacists save you money is by reviewing all refills in TechCore®, ensuring inmate medication compliance within the medication administration record (MAR), and checking to ensure the inmate is active prior to filling. The result is reduced waste and buildup of unused medications. Within Tech Care®, we track and trend data on drug use and pricing to determine which drugs are most expensive. An inmate's active status is always verified before prescriptions are filled. An example of this process in action is in the administration of HIV medications at several of our sites. With our Quality Processes and Systems, we are able to dispense medications in seven-day supplies as opposed to the standard 30 -day supply used by other pharmacies. With the high turnover that jails see, and with average length of stay less than one month, our seven-day dispensing process has significantly reduced costs for our existing clients. b. Medications will be administered to inmate daily as prescribed, twenty-four (24) hours per day and seven (7) days each week by an individual authorized to administer medications by nature of training and licensure as required by law. Inmate Medical Services City of Santa Ana Electronic Medication Administration Record (eMAR) NaphCare's eMAR is specifically designed for use in correctional facilities. It is included within TechCore® and is not a separate system. This integration promotes consistency within records of care and does not cost the City additional money. It is also customizable to meet the unique needs of the SAI. 25F-43 RFP No. 17-051 44 Inmate Medical Services City of Santa Ana a h are your independent healthmm choice. We are committed to proactively reducing medication errors. Our eMAR ensures accountability at every level of the medication process, from the entry of the order to the administration to the patient. Inmate records/information can be retrieved using a unique inmate number, and documentation complies with federal and state legal requirements. TechCore® also has a user-friendly interface for accurate documentation that is immediately accessible and can be retrieved easily for reporting and tracking purposes. Also, vital signs, such as blood pressure and blood glucose levels, are shown in our eMAR and Pharmacy Queue to alert healthcare staff of abnormal vital signs that may require further attention. m The eMAR assists in developing an efficient, structured med pass process. With our eMAR, medication administration is structured and nurses organize medication carts in relation to inmate location, which greatly reduces time needed for medication administration and correctional staff oversight during this process. The Tech Core® eMAR screen allows nurses operating in your facilities to access all patient information during medication pass. t MMITIM-11IFT o Sick Call Scheduling Progress Note Documentation Blood Pressure Progress Note History Blood Glucose Review & Update of Vital Signs Medication Administration: including refusals, disbursement of KOP medications and re- ordering medications can all be accomplished from our eMAR. Tech Care® also generates a Missed Med Report that can be viewed and printed within the eMAR function. An additional, significant benefit for you is our ability to generate a Missed Medication Report (see figure (1) below). This report can be viewed and printed using our eMAR and identifies each patient and the medication missed. Our eMAR Drug Administration History Report (see figure (2) below) provides details on why medications were missed. Our report can be pulled at any time and ensures that all inmates with missed medications receive timely follow-up from nurses, which ensures no inmate medication need is unmet. Nurses review this report and provide follow-up with SAl patients who have refused medications to educate them on the importance of taking prescribed medications. 25F-44 RFP No. 17-051 45 (1) eMAR - Missed Medication Report acabon 0 MeO Na mus, DDrLVD Hmz=v Adam 4ered r 120k1360i 1 -Pdrandm-d �0 , Dru9 Nar. A Oral . Thier Gsw TEST, MATTHEW 2dOGTQ507 1 0 Fwsm&da Ural 0900 Owvwf,Nax Genad Paplationl 0 Asp86t Oral 09W Oaner,.Wex oenard PoµAiabrr 1 0 U�opi Ord 0900 Smut, Jdfny1 0 (3yaUR1OEOrd. MW Our Missed Medication Report shows Inmate name, housing, dosage, medication to be administered, 9 medications administered, and the time medication was administered. 4 A a�97re your independer0 heolthcnm choiw. y'vQ�- Tme2 'Time3 TM4 (2) eMAR -Drug Administration History— Reasons for Missed Medications —Detail Drug Administration History. -m.. Display last days- s,m ReFiesh�. `I Username .i Stamp Status eason / J Note I Within TechCareO the eMAR features the name of medication, dosage, frequency, date, and time ordered by the MD for each medication to be administered. In accordance with NCCHCJ-D-02, NaphCare's medication services are provided as clinically appropriate and in a safe, timely, and sufficient manner. For your reference, a screenshot of our eMAR is shown in below. Inmate Medical Services RFP No. 17-051 City of Santa Ana 46 25F-45 a h are your independent hechbcare choice. NaphCare's eMAR screen housed in TechCarell L40'Mcd;¢ton Adrninoi Lan Record - .. ... -••. _ • • l __ Y� v['� JM Rausn9 T eo,i i fmo Tures ❑.9; . Tore On,.. Sgs Wr by IbuuS �❑`` rr] 12 2M i7 2408 2wc • h 2400 woad '. Ho;rnv Mesas Pmort Nen meds iieood MivA Med Pmat I w Bed L 80&dU DONALD Patients: 5207497 Language: French Additinille. " 09 (Age=3) Sex: Male Race: Aslan pl�� ORICyf vaq i7-02 SSNS: 335-61-2555 NOT AYANABLE P` sY naoking Date: 9/22/200711:46;D4 AM Release: 8/22/2010 11:46:04 AM Voka1 I:Veke2 t� _Yoke 3 Al :. P.me DW Yfmn;mm :Pmt SekcteC - �._(nH _,j I poLegee -. -. :Lsa OP-2dayaego' IeBs-zdn aa j( pPy. dEH�malavma Nmmaw rawad S-onosisCoda ❑ e-Spocal Needs ❑ 20,70 02 Air. Prblem List ' 'HT3 FemTlmMta9crds _ ti E Chl«dazePDXI0EN00ral _ � - I n, laam,eavm FHtlmede Oral t �. hNartnmFm bd z-; r'f �n2z325fAG �� ( t TO MG Ca aeon dor 124W M /SM anon adav � TablaTwsea day j Admmi4eed_ - _ _. A isad __ .. .... I,.-. Abevvtaed - •- _• _.... ... —.dxt .. ... ._.. Mokl�a No A*,.w do Peart. I aekad-dsebrmdd aFaReld f=s221RU131 4305 PM ' Lim l�®� k aaoo 0-7-77 or 2300 _:._Crta ;. Ad;mzte Me6canva E. seed Tiemmt Ed Ofd-- Addw Inmate Medical Services City of Santa Ana Other benefits of our eMAR system include the following: • Ability to control costs by efficiently reducing the overstocking of medications • Formulary drugs are prescriber's default choice • Automatically updates inmate eMARs, ensuring no inmate misses medications, even if there is a change in housing/placement • Greater correctional officer awareness and control, less inmate frustration, and safer environment • Reduction of administrative paperwork and improved efficiency • All providers, regardless of discipline have instant access to all patient Information • Optimized regulatory compliance • Improved patient outcomes and staff satisfaction 25F-46 RFP No. 17-051 47 JwAn a g C your independem h mlthmm choice, c. In general, medications will be administered in the housing units during scheduled sick call unless medical circumstances or security protocol dictate otherwise. d. Medication will be administered to inmates in accordance with community standards. e. NaphCare will manage an on-site formulary of prescribed and over- the -counter. Formulary Drugs We adhere to a comprehensive drug formulary to allow medical practitioners and psychiatrists to follow generally accepted clinical practice patterns in their medical management of inmates. This formulary maximizes the use of cost-effective therapy. A formulary of drugs is available, subject to City approval, inclusive of psychiatric drugs and drugs for the treatment of HIV. We work closely with SAJ custody staff at intake to review the medical requirements of your inmates. Records of non -formulary requests and responses are maintained for the term of the contract for trending and analysis purposes. Formulary Management NaphCare will actively participate and assist in maintaining and enforcing drug formulary, protocols, policies & procedures and will work with the City to manage the formulary to control costs and ensure effective clinical care. Clinical experts share information regarding the 'best practices' in formulary management techniques based on experience with clients, healthcare organizations, and the State Department of Correction. By programming TechCare® with the approved formulary, we ensure that inmate medication orders are in strict compliance with approved formulary. To save you money, we always maintain a rigid formulary but consider lower price alternatives when purchasing medications and when medically appropriate. f. Formulary Our formulary is provided in the Appendix of our proposal, and our pharmaceutical pricing structure is included in Exhibit C under Required Forms. 9. Mental Health Services a. NaphCare will continue to provide inmates with the necessary mental health services. This includes the assessment and evaluation of mentally ill and suicidal inmates. NAPHCARE'S MENTAL HEALTH SERVICES As the mental health population in correctional facilities continues to increase, the burden of care, along with all associated costs, falls directly on facility staff, and treatment for the mentally ill impacts the community at large. Risk management is a priority, and NaphCare recognizes that a strong mental healthcare system is imperative. An inmate with mental health issues can pose a risk to themselves and other inmates, the staff, and can disrupt the facility with their behavior. We provide mental health services that are based on the identification and stabilization of inmates with mental health issues. Our clinical and administrative mental health Inmate Medical Services City of Santa Ana 25F-47 RFP No. 17-051 48 a h are your independem healthcare choiw. team works closely with local mental health agencies to effectively manage inmates and plan for their care after release. NaphCare's mental health services are built on a foundation of quality staff that focus on: ✓ Proactive identification of persons with behavioral health issues, ✓ Stabilization, ✓ Continued monitoring, ✓ Rapid crisis intervention, ✓ Effective programming, ✓ Constant, clear and effective communication with facility security leadership and staff, and ✓ Collaboration with community mental health providers at discharge. NaphCare's Chief Medical Officer, Dr. Steven Bonner, will continue to be available for clinical support and oversight of the SAJ's mental health program. He has over 16 years of clinical experience as a Board -Certified Psychiatrist. He serves as a member of NaphCare's Morbidity & Mortality Committee, and he chairs the Pharmacy & Therapeutics Committee. He also performs peer reviews, and provides provider oversight and clinical support to all NaphCare mental health programs. NaphCare will provide mental health training services to mental health professionals and correctional staff on such topics as symptom recognition, referral, and de-escalation techniques. Ourgoal is to reduce recidivism by collaborating with community mental health resources for effective discharge planning. Mental Health Preliminary Screening and Evaluation NaphCare's first opportunity to identify a patient with mental illness is during the Intake Screening. Our Receiving Screen asks about medical and mental health issues to proactively identify patients with these problems as soon as they arrive. Following the Receiving Screen, a Mental Health Screen is performed per NCCHCJ-E-05, Mental Health Screening and Evaluation, and NaphCare policy and procedure. All inmates will receive a mental health screening, to include a suicide risk assessment, by a trained nurse upon arrival. The following is a description of each section of NaphCare's Mental Health Screening and the information it obtains: • Current Mental Health Symptoms — Reviews depressed mood, anxiety, psychosis, and mania. In addition, inquiries are made regarding current mental health treatment in the community, any suicidal thoughts, any recent losses, feelings about current situation, if they feel they have anything positive in their future, and allows the interviewer to comment on their feeling of suicide risk based on responses and appearance. Inmate Medical Services City of Santa Ana Past Mental Health History— Reviews past treatment for mental health issues including medications and hospitalizations; reviews history of self -injury behaviors and suicide attempts. 25F-48 RFP No. 17-051 49 a h are your independent heolthcom choice. • Substance Abuse — Inquires about alcohol, benzodiazepine, opiate, and other substance use issues, as well as history of substance use related treatment. PREA/General Assessment— Reviews any history of abuse of any kind, in any setting; any convictions for sex or violent crimes; any history of special education or developmental disabilities; history of head injury or seizures. • Disposition/Treatment Plan — Allows the interviewerto refer to indicated mental health services, refer for detox services if indicated, and/or begin discharge planning with regard to need for mental health follow up. NaphCare is committed to identifying and meeting the acute and chronic mental health needs of patients admitted to the SAJ. Each patient who is identified by the screens as needing mental healthcare treatment will have action taken to ensure this care is provided. Any inmate who is determined to need additional mental health services will be scheduled for further evaluation by higher level mental health professionals (up to and including psychiatric evaluation) in the clinically indicated time frame. In TechCare® we electronically flag an inmate's health record if his/her responses during intake indicate the need for additional mental healthcare. All screenings and evaluations will identify inmates with suicidal and homicidal tendencies, as well as acute and chronic behavioral health issues. Alerts in the system prompt the clinical staff to take action, such as placing an inmate on suicide precautions, contacting custody about an issue, or assigning special housing. The Mental Health Screen also contains prompts to assist the interviewer in taking any indicated actions such as suicide watch, or urgent mental health referral based on the inmate's responses. All mental health encounters are documented electronically in the inmate's health record in TechCare®. The mental health provider can access the inmate's entire electronic health record when conducting an evaluation, or at any time the inmate is referred to the mental health program during his/her incarceration. Additionally, if or when an inmate is transferred to another facility, his or her health record, containing mental health information, will be instantly available in TechCare®. This ensures continuity of care for inmates with a mental illness. Proactive Quality Assurance Checks ✓ Using TechCare® we audit the initial mental health screenings. TechCare® searches the database of all active inmates with a bed assignment for completed mental health screenings. Corporate staff then reviews the screening report Monday through Friday, and any missed screenings are reported to the site Health Services Administrator (HSA). The HSA follows up on all identified inmates, and these inmates receive a mental health screening within 48 hours of site notification. ✓ Per NCCHC standards, any inmate with a positive mental health screening requires a mental health evaluation. Weekly, we run a TechCare® report showing all active inmates who had a positive mental health screening, and have not had a mental health evaluation yet. This quality assurance activity assists the mental health staff in tracking Inmate Medical Services City of Santa Ana 25F-49 RFP No. 17-051 50 a/� are your independent he lthmw choice. and following up with the inmates in need of mental health evaluation and potential treatment during their incarceration. TechCare® and Mental Health One of NaphCare's main tools for a successful mental health program is TechCare®. Our clients utilize TechCare's Mental/Behavioral Health Modules to maintain behavioral health records without the need for additional systems or paper records. It provides seamless communication between medical and mental health providers and iron -clad documentation of mental health services. The benefit of a centralized, coordinated EHR is that all providers, to include medical, mental health and dental, have simultaneous access to an inmate's record. Many correctional systems that use a paper medical record system battle access issues when an inmate is scheduled to see multiple providers/disciplines on a given day. This often forces providers to compete for records or make clinical decisions without a record present during an encounter. Other systems are forced to operate with dual records, creating clerical inefficiencies due to copying and filing redundancies. With a centralized EHR like TechCare®, providers also have real time access to the most current clinical information from all disciplines, thus ensuring that a patient's care is not provided in a polarized environment. This coordination and use ofTechCor0 between all vendors will prove to be valuable in the coordination and quality of patient care, ultimately reducing the need for expensive off-site care. With the use of TechCare®, mental health providers have the following capabilities: Inmate Medical Services City of Santa Ana • We electronically flag an inmate's health record if his/her responses during the Intake Screening indicate a need for additional mental healthcare. • All screenings and evaluations identify inmates with suicidal and homicidal tendencies, as well as acute and chronic behavioral health issues. Alerts in TechCare® prompt clinical staff to take action, such as placing an inmate on suicide precautions, contacting custody, or assigning special housing. • TechCare® has an effective alerting system that can be based on several triggers within behavioral health. As an example specifically for treatment planning, the system can alert if psychotropic medications are missed or refused, diagnostic values are out of range, documents have returned from an off-site visit and if a sick call has been missed. • Electronic medication administration records (eMAR) for prescriptions and review of patient medication history and current medication use. • Access to a patient's total chart, with both medical and mental health history, for comprehensive reviews of current and past care. • Mental Health screening and evaluation results are stored within the EHR for instant, easy access to this information. • Scheduling and coordination for referrals is performed through TechCare® and off- site data is stored within TechCare® for easy access to any off-site or referral information. • All mental health activities are recorded in TechCare® and available for review at any time. 25F-50 RFP No. 17-051 51 q P a�are your independent healthcare choice. In addition, TechCare® is certified by the Office of the National Coordinator for Health Information Technology as a Complete Behavioral and Medical EHR System. "NaphCare understands. that behavioral healthcare is the cornerstone to reducing recidivism and enablingindividuals to maintain their own health needs within the community upon release.' Further; ,we understand that this area demandsspecific functionaltty'that is typically reserved for EHRs solely focused on behavioral healthcare. In my current role as NaphCare's Chief Medical officer, I have seen °:TechCare® evolve°into a complete EHR to serve our Proactive;Care Model for both medical and mental health. TechCare® has been crafted to meet (and often exceeds) the guidelines and standards set out by the NCCHC regarding mental health information gathering and reporting. Working in the private community sector as a Board -Certified Psychiatristfor over 16 years and now managing NaphCare's s ; 'behavioral health services across 26 states, theTechCdre®systems emphasis on immediate identification and stabilization of mental health conditions while, maintaining iqerop erability with county/state reporting requirements truly sets it apart. 1 urge you to directly contact our customers to gauge their level of satisfaction with'this systerri." Dr. Steven Bonner, MD, CCHP NaphCare Chief Medical Officer Telepsychiatry NaphCare will continue to provide telepsychiatry services to the SAL We currently provide telepsych twice a week in four-hour sessions. This not only enhances regular mental health care at the SAJ, but it also allows providers to remotely examine an inmate with a mental health emergency during an after-hours situation, while simultaneously having total access to the inmate's health record. NaphCare's Suicide Prevention Plan NaphCare is an experienced provider of correctional mental health services, and suicide prevention figures predominantly in this experience. We take our responsibility seriously, and have devoted time and resources to creating a proactive suicide prevention plan that addresses the current state of corrections and correctional healthcare. We believe our proactive approach and use of technology figure largely into our plan and its success at our client facilities. Our low suicide rates are some of the best in the industry. Inmate Medical Services City of Santa Ana 25F-51 RFP No. 17-051 52 National Average 50 per 100,000 inmates Clark County Detention Center Average, prior to NaphCare 3-5 annually NaphCare Average 32 per 100,000 inmates CCDC Average with NaphCare .5 per year a h are Y -u Wcpe dem h.hhmm ch.;.. NaphCare's Suicide Prevention Plan is consistent with NCCHC and ACA standards. We work closely with corrections staff to maintain clear and consistent communication in dealing with suicidal inmates. We have specific policies and procedures in place with the goal being to reduce the potential for suicide, minimize harm when attempts occur, and to minimize the number of suicide completions. The key components of the plan are as follows: Staff Training— intensive training of all medical, mental health, and correctional staff on: o Signs and symptoms to recognize o Risk Factors o Management of suicidal inmates o Review of policies and procedures in dealing with suicidal inmates o Ongoing training and annual review of training to keep up to date Screening and Identification of High Risk Inmates o Most suicide attempts occur soon after incarceration, so proactive and thorough assessment through the Receiving and Mental Health Screens is vital and is also the cornerstone of NaphCare's proactive approach. o Alerts in TechCore® assist the evaluator in decision making and notifying corrections and mental health personnel of an inmate in need of urgent services. Referral, Evaluation, Housing o Inmates at risk of suicide are quickly referred to appropriate housing and mental health services. o They will be placed on Suicide Watch in appropriate housing located within the facility and will be monitored as clinically indicated based on their level of acuity. o Once discharged from watch they remain in the mental health caseload and have regular follow up until released from custody. • Review of Policies and Procedures o At the onset of the contract we will review current policies and procedures, work with correctional staff and tailor a program that fits the needs of the facility. o All policies and procedures will be reviewed regularly to keep them up to date. o Staff will be trained for any changes that occur. • Effective Communication Inmate Medical Services City of Santa Ana o Clear and consistent communication among all parties — corrections, medical, mental health, and inmates - is vital to the success of the prevention plan. o Our CA program monitors and provides feedback to ensure success of the plan. 25F-52 RFP No. 17-051 53 a h are Y. iadapandeN heahhca- chdco. Critical Incident Review o Morbidity and Mortality Committee reviews occur both locally and at the corporate level. They analyze and review critical incidents and develop corrective actions plans when necessary. o The committee is made up of clinical, administrative, and legal personnel. o The site receives and implements the action plan and provides feedback to the corporate level. • Critical Incident Debriefing — Any staff who have been negatively affected by the self -harm or suicidal act will be provided assistance by trained mental health professionals in a timely manner Alerts for Suicide Risks Our initial Receiving Screen and Mental Health Screen include automatic prompts to assist healthcare staff in the decision making process when an inmate is identified or reports a potential for suicidal behavior. At intake, each inmate is asked a standard set of comprehensive questions about the possibility of suicidal thoughts. The interviewer is guided through the questions and prompted to select the appropriate referral and triage for the suicidal inmate. The mental health screening questionnaire has been carefully researched by mental health experts and is based on the latest research regarding suicide riskfactors. A positive response to specific questions automatically alerts the healthcare staff of the need for an immediate referral to mental health services, communication and coordination with security staff, and a requirement for special housing. This process provides easy, quick, and legible documentation of suicidal risks and behaviors. Clear communication between medical, mental health, and correctional staff keeps the program effective. We maintain open verbal and written communication with the inmates, medical and mental health staff, and the correctional staff. Any difficulties in communication are addressed immediately. Suicide Watch Tracking Our innovative EHR system includes a feature called the Admissions Management Module. One portion of this module is devoted to Suicide Watch tracking and documentation. Once a patient is placed on suicide watch, their name is electronically entered ("admitted") into this tracking module. The module keeps track of all patients who are on Suicide Watch and also manages their documentation. This assists mental health clinicians and providers by telling them exactly who is on watch, what their status is, and provides thorough electronic forms for proper documentation of Suicide Watch monitoring. When a patient is ready to be released from Suicide Watch the proper documentation is readily available, and once released, the patient's name is removed ("discharged") from this list. Through the use of this module the entire mental health staff is kept aware of all patients on Suicide Watch. In addition, it provides the site management (HSA, etc.) with the ability to also monitor these high acuity patients and ensure their care is being delivered in a manner consistent with NaphCare expectations. NaphCare does not use other inmates to substitute for staff in supervising suicidal patients. Inmate Medical Services City of Santa Ana 25F-53 RFP No. 17-051 54 a h aye your independent heoithco choice. Suicide Watch Policy and Procedures NaphCare's policy and procedure for Suicide Prevention addresses Suicide Watch and complies with NCCHC Standard.1-G-05, Suicide Prevention, and ACA Standard 4-ALDF-4C-32, Suicide Prevention and Intervention. Any inmate that screens positive for suicidal ideation during the initial mental health screen (upon intake) will be placed on Suicide Watch and kept under close or constant observation until evaluated by mental health staff, which will occur as soon as possible. A potentially suicidal inmate will be housed in a safe cell or other secure housing. The following procedures for Suicide Watch are from NaphCare's complete policy and procedure for Suicide Prevention. Inmate Medical Services City of Santa Ana 1. Per correctional policies and procedures, the shift commander will ensure that appropriate correctional staff is properly informed of the status of each inmate placed on a Suicide Watch. The shift commander will be responsible for briefing the incoming shift commander on the status of all inmates on a Suicide Watch. 2. Inmates placed on a Suicide Watch may be strip-searched prior to being placed in a safe cell according to the correctional facility's Policies and Procedures. 3. Inmates on a Suicide Watch may be provided with a suicide resistant gown and blanket, if applicable. Removal of clothing may only be utilized as a last resort and only for periods in which the inmate is in eminent danger of engaging in self- destructive behavior. 4. The use of physical restraints may only be utilized as a last resort for periods in which the inmate is physically engaging in self-destructive behavior. The decision to utilize physical restraints for suicidal inmates are only to be made by Mental Health Staff in conjunction with the appropriate corrections staff, according to the facility's Policies and Procedures. 5. All inmates placed on Suicide Watch will receive a face-to-face evaluation by Mental Health Staff within 24 hours of initiation of the Suicide Watch. Referral s for follow- up with a qualified Mental Health Professional is to be made as clinically indicated. 6. The inmate who is on Suicide Watch will be assessed at least once every 24 hours by Mental Health Staff. These assessments will be recorded in TechCare®. 7. Only a mental health professional has the ability to remove an inmate from suicide watch. 8. The inmate will be reassessed within 24 hours of being discharged from Suicide Watch by Mental Health Staff. Periodic follow-up assessments will continue as deemed clinically appropriate. 9. Where appropriate, interdisciplinary team meetings, to include correctional, mental health, and medical staff will be conducted to discuss suicidal inmates that require closer supervision and planning. 10. Treatment plans for the suicidal inmate are developed with follow-up as clinically indicated. 11. NaphCare will not use other inmates in any way (e.g. companions, cell -mates, suicide prevention aides) to substitute for staff supervision of a suicidal inmate. 25F-54 RFP No. 17-051 55 a �Rre your independent heolihmm choice. Mental Health Referral Plan NaphCare will provide a rapid response to any need for an evaluation or mental health intervention. The mental health team will be on-call and available 24 hours a day to provide a rapid response to an emergent need for an evaluation or mental health intervention. Inmates may request mental health services via sick call; additionally, correctional, medical, or mental health staff can recommend mental health services for inmates at any time. NaphCare has established detailed policies and procedures for both the on-site and off-site treatment of such inmates and for referrals to the mental health provider for continued treatment when medically necessary. The psychiatric provider and mental health professional will coordinate with the facility leadership on recommendations regarding placement of housing, monitoring, and other operational issues. Mental health referrals will be received, documented, and processed through the scheduling system in TechCare®, which provides instant, up-to-date information that is accessible to all providers. Crisis Management Plan Mental health staff provide immediate evaluation during a psychiatric crisis to address housing placement, monitoring, medications, and any possible referral to an outside mental health facility. Inmates placed in a mental health protective status are only released following a thorough evaluation by a mental health professional. We understand that a mental health crisis can occur during all hours. Our policies and procedures address emergent situations 24 hours a day; medical staff is trained to assess situations and intervene appropriately, and mental health providers are on-call. Mental Health crisis management will also be a component of ongoing training provided by the NaphCare mental health team for SAI security staff. Continuous Quality Improvement (CQI) NaphCare will conduct regular studies, identify opportunities for improvement, and develop effective corrective action plans for our mental health services as part of our larger CQI efforts at the SAJ. Ongoing improvement activities will focus on patient care areas to include: • Timely mental health screening • Effectiveness of the referral process • Timely psychiatric evaluation • Suicide policy compliance • Medical services provided for those on medical confinement status • Discharge planning • Emergency mental health response • Involuntary medication administration b. A licensed mental health specialist will be available on-site four (4) hours per week. c. All health care staff are properly trained on the symptoms and treatment of the inmates who are at risk or suicidal and/or homicidal acts. Inmate Medical Services City of Santa Ana 25F-55 RFP No. 17-051 56 a�8,re your independent heoBhmre choke. We provide suicide prevention training to all on-site correctional and medical staff employees who regularly interact with inmates. Staff undergoes an 8 -hour initial training that includes the following topics: • Signs and symptoms of predisposing factors of potentially suicidal inmates • Risk factors in the evaluation of suicide potential • Management of suicidal inmates • Review of institutional procedures regarding suicide prevention We provide annual updates and additional training to keep all staff aware of changes in suicide policies and to update staff on the latest advances in the care of suicidal inmates. NaphCare stands ready to implement a correctional -based Crisis Intervention Team Training Program for the SAJ to enhance the awareness of mental illness and intervention skills for all staff. d. NaphCare has detailed policies and procedures in place for the on-site treatment and handling of these inmates. Policy and procedures will be coordinated with the Jail Administrator or designee. 10. Medical Records Management a. NaphCare acknowledges that the SAJ is the sole owner of all inmate medical records. Ownership and Access to EHR Data In the event that leadership decides to switch healthcare vendors, NaphCare provides clients with the option to continue the use of TechCare® or to transfer electronic records from TechCare® to another EHR system. The City of Santa Ana will maintain ownership of ALL EHR DATA throughout and following the contract's end date. Upon contract end, we can provide electronic health records to the facility in one of the following three formats: 1. Electronic Bridge: NaphCare can provide the City of Santa Ana or the incoming provider with access to an electronic bridge for secure data transfer from NaphCare's EHR to another software system selected by the facility. 2. Purchase Option: NaphCare, at its discretion, can provide the City with an EHR Service Agreement that provides usage rights and support for the TechCare® application even without NaphCare providing comprehensive services. 3. Paper Export: NaphCare can provide a paper-based export of medical records as requested. b. NaphCare will continue to be responsible for the maintenance and retention of a complete, standardized medical record for all inmates in accordance with prevailing medical regulation for confidentially, retention, and access. Inmate Medical Services City of Santa Ana 25F-56 RFP No. 17-051 57 a h aye] your indepeMen heclthwm choice. c. NaphCare will continue to implement our established policies and procedure regarding inmate medical files and access subject to the approval of the Jail Administrator or designee. Access/Disclosure We understand the importance of ensuring security and privacy in the protection of inmate records as well as restricting unauthorized user access to these records. TechCare® controls access to and within the system at multiple levels (User, Role, Patient and Chart Section/Area) through a consistent method of identification and authentication of all users in accordance with the NIST developed, Role Based Access Control (RBAC), standard. Examples include the following: • If doctors are the only users who are allowed to prescribe medications, then no user Role except for Doctors have access to the Drug Order section of TechCare°. • If policy restricts access to the charts of family members, User X can be restricted completely from their brothers entire chart. • Users such as Security Technicians should never view PHI, so their Role can be set to only access the Reports section of TechCore®. • The role Administrative Assistants can be granted view only access to TechCare® for Quality Assurance purposes. d. NaphCare will continue to maintain inmate records using our electronic health record system, TechCare®, which we implemented upon our initial transition to NaphCare in 2014. NaphCare scanned and attached all existing active files in medical records office into TechCare® to improve the overall continuity of care provided to patients. This process has also reduced the risk involved in managing medical paper charting systems. We will ensure continued compatibility with the SAJ's existing jail management system (ATIMS). The following pages provide a detailed description of the TechCare® EHR system. Inmate Medical Services City of Santa Ana 25F-57 RFP No. 17-051 58 TECHCARE®, NAPHCARE'S ELECTRONIC HEALTH RECORD SYSTEM NaphCare's Proactive Care Model is delivered by Quality People, Quality Processes, and Quality Systems working in unity. An integral part of this model is NaphCare's comprehensive electronic health record (EHR) system, TechCare®. Beyond providing electronic health records, TechCare® is a corrections -specific operational system that automates, standardizes, and enforces proactive inmate care. It also connects NaphCare, our on-site staff, and our clients in a way that no other system can, providing on -demand, transparent information and communication regarding healthcare services. TechCare® is currently functional at ALL of NaphCare's client facilities, including the Santa Ana Jail. 471 G7 yaar independeM hedthmm &,im. A Comprehensive System Most correctional healthcare providers propose to use an EHR system. With NaphCare, you receive proven, more advanced technology in a comprehensive operating system tailored specifically to the needs of correctional health care. Electronic records are one of many TechCare® features, but there is much more. TechCare® is NaphCare's operational system and helps NaphCare to be the best provider of correctional healthcare possible. It tracks the healthcare activities of each inmate upon incarceration, creating standardized treatment processes (with the appropriate documentation) from intake through discharge. It identifies inmates' critical medical needs and ensures timely intervention with appropriate care. The TechCare® system includes the following components: • Electronic Health Records • Customizable Reports • Off-site Medical Scheduling • CIWA-Ar Detoxification Tool • Chronic Care Management • Grievance Tracking • Quality Assurance • Screening Tools (Intake, TB, Mental Health) • Dental (Screening, Evaluation) • Mental Health (Screening, Evaluation, Suicide Alerts) ONC Certified HIT 2014 EDITION COMPLETE EHR • Pharmacy (Electronic Drug Orders, Electronic Medication Administration Records) • Off -Site Medical Services Tracking • Discharge/Re-Entry Support and Documentation • Transfer Support and Documentation for inmates • Interface Connections with Ancillary Services (X -Ray, Laboratory) & JMS • Medication Administration Record/Electronic Medication Administration Record • Sick Call • Flags • Queues/Dashboards (Doctor, Nurse, Pharmacy) • Alerts • Detailed, Compliance Supporting, Logging TechCare® was designed by correctional healthcare professionals, not software developers, and it makes providing excellent care faster, not slower. TechCare® training is also provided by correctional healthcare providers, and this helps to make the daily experience of using TechCare® easier. Inmate Medical Services City of Santa Ana 25F-58 RFP No. 17-051 59 Dedicated IT Team TechCore® is the only proprietary EHR system offered by a correctional healthcare company. While others use third - party software companies that do not understand corrections, TechCare® is managed and maintained in-house with our full-time developers and clinically trained support team. As a result, the SAJ receives dedicated service and support from our technology experts, whose goal is to understand your site and provide fast support and complete understanding of correctional healthcare; we commit to never outsourcing this critical piece of your healthcare operation. TechCare® Advantages for the Santa Ana Jail a h are your independeM heallhwm choice. • Versatile— TechCare® is highly versatile and maintains nationwide standard levels of interoperability, ensuring continuity of care across other electronic systems. It is custom-built to meet all correctional healthcare accreditation standards. • ONC Meaningful Use Certified System — NaphCare is proud to state that 4014 ED TechCare® achieved certification by the Drummond Group, an ONC-ACB, in Drummonn d accordance with the applicable 2014 certification criteria adopted by the > > > certified,. Secretary of Health and Human Services. TechCore® is certified as a complete EHR product that does not rely on any third -party software. • HIPAA Compliance— NaphCare upholds HIPAA compliance and is supported by tools such as TechCare'. TechCare® maintains centralized, secure storage of inmate information with processes and procedures automated to protect data. • Large -Scale Capacity — TechCare® is used to successfully manage thousands of inmates. It is more than capable of handling all intakes and medical records that exist at the SAJ and is able to grow as needed. • Electronic Tracking of On and Oft Site Appointments — TechCare® features a robust scheduling system to manage all off-site appointments and on-site clinics. The system provides information on any inmate and their medical services, as well as allows the viewing and printing of medical records for each appointment or medical service provided. By tracking off-site care, we can analyze trends to save on future costs. Clark County realized a 27% reduction in Off- site costs with the use of NaphCore's Proactive Care Model in conjunction with the TechCare' system. Clark County Detention Center, NV Automatic Scheduling — Once an inmate is registered in TechCare®, the system automatically schedules all medical encounters, including but not limited to, mental health screenings and evaluations, follow-up exams, chronic care clinics, and physician appointments. Medical staff are also kept up-to-date and alerted to any potential health concerns of each inmate. Inmate Medical Services City of Santa Ana 25F-59 RFP No. 17-051 RE a h are your independent heal!hmm choice. Contract Monitor Access to TechCare®— If your site has a Contract Monitor or outside auditing team, this team or the Contract Monitor will have access to off-site referral data during the term of the agreement in order to monitor contract compliance. This data is readily available in a web -based format that can be viewed instantly. The Contract Monitor is notified of all inmates who are receiving off-site care. Suffolk County, Massachusetts achieved a 100% score during a recent Massachusetts DOCSurvey in addition to passing an NCCHC audit in the same year. The use of TechCare® was a major factor in both assessments. 2014 ACA Ready— As an ONC-certified EHR, TechCare® is fully compatible with State Health Information Exchanges and State Medicaid systems across the country. We will implement connectivity to these systems for the SAJ in order to support greater continuity of care for your inmates. NaphCare successfully utilizes state Medicaid systems across the nation to pre -determine inmate eligibility and bill the proper party for off-site encounters, automatically. • Ease of Use —TechCare® was designed by correctional health clinicians, not software developers. It was developed on the basis of improving care while reducing risk. TechCare® makes providing care in correctional institutions faster, more efficient, and more accurate. Proven System — TechCare® has been chosen to manage healthcare services at some of the largest self -op correctional systems in the country. It was selected by two of the five largest counties in the country — Maricopa County, Arizona, and Orange County, California. Fully implemented in these self -op correctional systems, TechCare® is more than a technology initiative — it's a proven system. Risk Management and Quality Assurance TechCare® provides the highest level of quality assurance and risk management for your correctional facility. It not only maintains consistent, iron -clad documentation, but also tracks all healthcare encounters (on-site and off-site) and allows NaphCare to constantly monitor for any irregularities and improve care. Standards and Certifications —TechCare® meets or exceeds all NCCHC, and ACA requirements, which will allow the SAJ to achieve these certifications as a correctional institution. Our client facilities across the country have used TechCare® countless times to meet these accreditations. Strict Documentation —TechCare® has a solid platform for quality charting that ensures detailed logging and documentation without loopholes, thereby supporting chart audit and litigation activities seamlessly and instantly. • Staffing Management— TechCore's built-in tools help our professionals manage staffing requirements and make more efficient decisions to reduce clerical time, increase clinical care, and improve the quality of care. Inmate Medical Services City of Santa Ana 25F-60 RFP No. 17-051 61 a h are your Independent hWthram cholm. Alerts & Dashboards — TechCare® alerts on-site healthcare professionals and corporate leadership of inmate quality assurance exceptions. Simply put, our system sends warnings to the charge nurse when inmate care parameters are out of bounds. Meaningful Reporting & Tracking — TechCare® provides centralized storage for data that can be easily aggregated and reported using built-in search tools. In addition, this data can be used to track aspects of inmate care, i.e. checking that all inmates with hypertension have completed a chronic care management encounter within the last six months. These activities assure quality of care and provide detailed documentation. Centralized Care TechCare® maintains nationwide standard levels of interoperability and provides centralized storage for all inmate healthcare activities. NaphCare interfaces, or connects, TechCare® to a number of different systems that allow the SAJ and our team members to have a full view of an inmate's medical data. Examples of interfaces that NaphCare will set up include the following: • Jail Management System: TechCare® builds upon the existing system of inmate demographic files that are currently maintained by the jail management system (JMS). We implement a bi-directional, real time interface with the JMS to gather this information in addition to getting instantly updated on inmate locations and movement. • Lab System: We have successfully interfaced with the BioReference for the SAJ, allowing an inmate's laboratory results to be viewed instantly. Having a direct link between the lab vendor and our EHR allows us to instantly alert the physician of critical lab values through physician dashboards. • Additional Internal Systems: o Diagnostics: Integrated access to add-on systems (i.e. radiology) o Kiosk: Sick call request submission and resolution documentation o Food Service: Diets, allergies, etc. communicated automatically • Public Systems: o Health Information Exchange: Gather inmates' "free -world" medical history o Hospitals and Off -Site Providers: Maintain documentation for off-site encounters o State Medicaid: Verification and eligibility for off-site encounters Inmate Medical Services City of Santa Ana 25F-61 RFP No. 17-051 62 a h ifp are your independent heolthcoro &oiw. Reliability and Support TechCare® is only as good as the team that backs it. NaphCare realizes this and has built a robust IT operations group that completely manages the IT resources needed for the TechCore® operational system. We place NO requirements on the City's IT resources or personnel while implementing the necessary infrastructure to run TechCare®. Computers, Servers, etc. - NaphCare provides all hardware and configuration services at NO additional cost. We have a team of highly trained individuals that are strictly dedicated to installing and supporting jail IT system infrastructure. We will not put additional strain on your IT department and will work as a fully dedicated unit to implement the servers, computers, and networking systems that are needed for TechCare® to run efficiently. • 24/7 Support - NaphCare maintains an in-house, 24/7/365 IT Helpdesk team. If inmate care is impacted or jobs are made any more difficult by poor -performing IT resources, we are there to correct it. To ensure a strong and prompt response to issues, NaphCare guarantees a strict Service Level Agreement (SLA) with our response times averaging 15 minutes, no matter the time of day. No other correctional EHR can do this, nor do they have the dedicated IT support needed to keep the infrastructure and application at peak performance. We regularly test these scenarios and have seen TechCare® perform flawlessly countless times. Always On, Redundant System -TechCore® is designed for correctional facilities and will continue to operate when other EHRs cannot. As the following diagram outlines, NaphCare installs redundant servers and redundant network/Internet connections at your facility that support an automated J. ver system. In the event that local resources become unavailable, the. application will re -direct to servers at NaphCare's corporate datacenter. Inmate Medical Services City of Santa Ana 25F-62 RFP No. 17-051 63 a h Am your indeperdeM heehhcoro dwirn. Tech Care® Hybrid -Cloud Infrastructure Our redundant systems & data backup process, using the cloud, ensures that critical healthcare information is always available to the City of Santa Ana. F �' -- 0-i Redundant On -Site Servers As on additional back up measure, we supply redundant Servers in your facility.. Laptops/Desktops/Tablets EHR information can be accessed at all times via Desktop/Laptop/Tablet, even disconnected from the network. RedundaritServers & Network Data stored at facility and NaphCare Datacenter Real Time Replication With 24/7 Monitoring & Support from our IT experts Automatic Full -over NaphCare DataCenter Our Cloud Datacenter is located at NaphCare Corporate, where we ensure that you can access information at all times by way of redundant \_ � Internet connections. , When Hurricane Ike struck the coast of Texas in 2008, a NaphCare client facility had to completely mobilize and move off site. The Tech Care® application and infrastructure, managed by NaphCare, remained fully operational. All medical activities and documentation continued without Inmate Medical Services City of Santa Ana network connectivity. 25F-63 RFP No. 17-051 64 Proven Solution We believe that technology creates a better environment in which our staff can focus on hands- on inmate care, rather than charts and paperwork. NaphCare's correctional operational system, TechCare®, does just that by centralizing inmate care into a highly evolved, proven system that is backed by NaphCare operations, development, and support staff. Client and Practitioner Testimonials "Sick call is twice as fast with TechCare®, which allows more inmates to be seen in less time." � h a your independent healthcare choice. We invite you to visit the TechCare® website at www. techcareehr. com. —Tony Dressler, LPN, Montgomery County Jail "TechCare® has improved organization of patient care; patients are seen and followed more promptly. Records are readily available, which is especially helpful when they move back and forth between our two facilities." —Janice Hall, Nurse Practitioner, Essex County Correctional Facility "NaphCare's medical record system, TechCare®, has enhanced the operation of the Clark County Detention Center by streamlining the management of medical records. NaphCare's focus on continuity of care has allowed us to develop and maintain strong partnerships in the community—especially in the area of mental health. As our operational needs expand and change, we are confident that our partnership with NaphCare will continue to assist us with any challenges in the future." —Sheriff Doug Gillespie, Clark County Detention Center "We were introduced to TechCare®, an electronic medical records system that is simple and time saving. It allows all members of the healthcare team to be on the same page. I can see how the nurses, dentist, mental health professionals and other providers have interacted with and treated the patient. This program also allows corporate members to monitor and guide our daily activities. Although NaphCare has not been here long, I have been quite impressed with what they have brought to the Richmond City Justice Center. I look forward to growth and development with this company." —Khairul Emran, MD, Richmond City Justice Center, VA "Implementation of an Electronic Health Record (EHR) is a complex and challenging undertaking. The Orange County Health Care Agency (HCA) - Correctional Health Services division (CHS) implemented an EHR within the five adult jails and five juvenile detention facilities earlier this year. The facilities collectively house nearly 7500 adults and juveniles on a typical day. With 14 vendors responding to the original RFP, Orange County selected NaphCare as our chosen vendor for this project. Their EHR, TechCare', was developed specifically for correctional settings. NaphCare truly understands correctional workflow, challenges, and needs. Given the size and complexity of our system, it was critical we find a system allowing us to accurately record all care provided to our patients, and interface with multiple systems Inmate Medical Services City of Santa Ana 25F-64 RFP No. 17-051 65 � h ire Y. independent h.fihm. choim. providing patient demographics, including current housing and custody status, diagnostic results, medication administration records, and care provided in other county programs also serving this population. The implementation process went as smoothly as one could hope! Personally, I have been involved in several EHR implementations in my 30 -year career, and I can confidently state this was the most well executed and managed implementation I have experienced. The NaphCare team was incredibly accommodating ranging from flexibility with on-site staff and Super User training sessions ---to on-site implementation support ---to immediate troubleshooting during the implementation process. Having NaphCare staff on-site during "go live" was invaluable. Their presence provided great energy, decreased staff anxiety, and provided rapid resolution of staff questions/concerns. We are currently six months into the project, and the support from the NaphCare team has not wavered. They are as responsive today as they have been throughout the entire process. Their commitment to a successful implementation for Orange County has been exceedingly evident. We truly have a partnership with NaphCare for many years to come." —Kim Pearson, Deputy Agency Director, CHS "Our journey is just beginning, but so far our impression of the [TechCoreol system's ease of use and comprehensive reporting capabilities is positive and we are excited to achieve full implementation by year's end. Our interactions with NaphCare personnel have been a favorable and collaborative process, and their understanding of the correctional healthcare field has helped us to make system change decisions that will allow us to streamline our delivery system as we move forward with this project." —Kathy Wild, Deputy Agency Director 'TechCore' has made a huge impact on how we see patients. Even our most skeptical providers prior to implementation would never go back to paper again 1 1 think the most valuable part of selecting NaphCare as a vendor is their family approach to business. As a client, they treat you just as if you were part of the NaphCare family. Most other EHR vendors are just that-EHR vendors only. NaphCare understands healthcare, which shows in the product they sell." —Jeffrey Alvarez, Medical Director Inmate Medical Services City of Santa Ana 25F-65 RFP No. 17-051 TO �;Bgrg* your independent h.1thmm alone. e. NaphCare will adhere to HIPAA standards and requirements. HIPAA Compliance NaphCare's EHR system, TechCore®, meets all of the U.S. Department of Health Services requirements for HIPAA compliance. We understand the importance of ensuring security and privacy in the protection of inmate records as well as restricting unauthorized user access to these records. We have established HIPAA protocols to be utilized by our staff members in order to ensure that protected health information is kept confidential and only disclosed in compliance with applicable HIPAA regulations and/or California State law requirements. 11. Nutritional Services NaphCare will continue to coordinate with the established food service contractor to ensure the provision of medically necessary clinical diets. The following are examples of diets that may be ordered from food service: i. Cardiac diet ii. Diabetic/caloric controlled diet iii. Gastric soft diet iv. Pregnancy diet V. High protein/high caloric diet vi. Clear liquid diet vii. Restricted protein. sodium and/or potassium diet b. NaphCare staff will evaluate the medical special diet list weekly to determine the necessity of the special diets. c. A report consisting of special diets needs will be generated weekly and submitted to the Security Supervisor. d. Coordination and ordering of special diets will be documented in inmates' medical files. NUTRITIONAL SERVICES NaphCare provides a system for managing the nutritional needs of inmates and improving continuity of care. We collaborate with the established food service provider to ensure the provision of medically necessary diets. Our physician will prescribe the following medical diets when necessary: • Pregnancy • Clear Liquid • Full Liquid • Pureed • NPO • 2,400 Cal Diabetic ADA with HS Snacks • 2,000 Cal Diabetic ADA with HS Snacks • Lactose Intolerance • Allergy Alert • Low Salt • Regular Diet with HS Snacks • 2,500 Cal Diabetic ADA - No Snack • Cardiac Inmate Medical Services City of Santa Ana 25F-66 r TechCore° is incorporated with multiple levels of security to ensure the confidentiality of medical records and comply with current HIPAA standards. RFP No. 17-051 67 a h are your independent healthcare choice. • 2,800 Cal Diabetic ADA with HS Snacks • HS Snacks • Renal • Low -Fat • Regular • Bland Our healthcare providers and staff will work with the client to develop optimal diets to meet the specific nutritional needs of inmates. We have protocols for the prescription of optimal diets. NaphCare will only provide supplements, i.e. Ensure, when our healthcare providers deem it medically necessary. NaphCare provides a system for managing the nutritional needs of inmates and improving continuity of care. Information on inmate diets is recorded within TechCare° and available for reports and review at any time. Diet: 120DO Cal Diabetic ADAwdh HS Snacks Start 12400 Cal Diabetic ADA with HS Snacks 12800 Cal Diabetic ADA with HS Snacks F—Allergy Aled IBland Snacks Intolerance Renal Users can easily enter an inmate's medical diet needs into TechCare®, including diet start and end dates. 12. Dental Care a. Dental clinics provide a range of dental care including but not limited to x- rays, extraction, teeth cleaning and gum care. Dental clinics will not be required to provide oral surgery, orthodontic services or devices. b. NaphCare will provide an on-site dental care program that staffs license dental practitioners a minimum of four (4) hours per week. c. The dental clinic will be staffed and operated on a set schedule. d. NaphCare will provide all supplies (e.g. dental tools, lead covers, etc.) Inmate Medical Services City of Santa Ana 25F-67 RFP No. 17-051 68 a h are your independent heolthmm cho;m. e. Minimum staffing for the dental clinic will consist of a licensed Dentist and one (1) dental assistant. f. NaphCare will provide oral screenings by a dentist or certified dental assistant no later than fourteen (14) days from the inmate's date of admission. DENTALCARE NaphCare's dental program complies with NCCHC and ACA standards by which inmates receive dental treatment, not limited to extractions, when the health of the inmate would otherwise be adversely affected. Treatments include any otherservices deemed necessary by the contracted dentist. Additionally, we ensure that inmate's serious dental needs are met following NCCHC standards. We provide dental services in accordance with established guidelines for dental evaluation and treatment. An established priority system is used to guide treatment decisions and proper infection control procedures are utilized for all oral treatment procedures. Documentation is standardized in the health record to better document dental health conditions and treatment in order to enhance communication among healthcare staff. The dental program begins with the Intake Screening, administered by a healthcare professional specifically trained by the contracted dentist. The results of this assessment are relayed to the dentist for review and referral, if indicated. At any time during incarceration an inmate can be referred to the dentist. Treatment services provided by the on-site dentist reflect contracted services identified by the Jail. We provide emergency and medically required dental care for inmates with an emphasis on relieving pain and attending to urgent or emergent dental needs. Dental services, except for urgent or emergent care, are provided during regular clinic hours. Emergency dental services are available on a 24 hour a day basis. We institute periodic performance measurements to ensure that inmates have timely access to dental care. NaphCare provides the following dental services for inmates: • Health Assessment, which includes a Dental Screening and Hygiene Examination • Dental assessments for inmates who request dental services for urgent/emergent needs • Emergency and routine dental care • Temporary fillings • Incision and drainage • Control of bleeding • Necessary emergency surgery • Clinically indicated extractions • Referral to dental specialist if needed • Medically necessary dental -related prescriptions Our services do not limit dental treatment to extractions. We provide an appropriate and timely response to requests for dental services. Dental emergencies are addressed immediately. Inmates with urgent dental needs are seen at the initial sick call, and we currently fulfill all non -emergent dental Inmate Medical Services City of Santa Ana 25F-68 RFP No. 17-051 69 oqj&hare your independent healthcare choice. requests within 2 weeks or less of the initial sick call. We coordinate appropriate off-site referrals for inmates requiring dental care outside the capabilities of the facility. All dental services are delivered according to proper Universal Precaution measures and are documented in the inmate's medical record. We do not perform cosmetic dental services. The following screenshot shows the Dental Screening form used in TechCare®. Dental Screening Form O: Reviewed Medial / Dental Nx Allergies SlgniRcanl Med. Nx: [j None _ 77 IA i r XRaylst: Limited Pram /X-rays reveal Caries Patient: TEST, DONALD Patient*: 5207497 Language: French Aacmonannro Fistula DOB: 6/13/2009 (Age=3) Sex: Male Race: Asian 'Bone loss 240A-657-02 SSNY: 335-61-2555 =P=REL,Housing: Status: ACTIVE Booking Date: 8/22/2007 11:46:04 AM Release: 8/22/2010 11:46:04 AM S:Patient ComplainaoE r O: Reviewed Medial / Dental Nx Allergies SlgniRcanl Med. Nx: [j None _ 77 IA i r XRaylst: Inmate Medical Services City of Santa Ana 25F-69 RFP No. 17-051 70 Limited Pram /X-rays reveal Caries swelling e J tbl Radiolucency Fistula Suppuration Mobility 'Bone loss Inmate Medical Services City of Santa Ana 25F-69 RFP No. 17-051 70 a h are your independent hcallhmro �oi�e. 13. Eye Care a. NaphCare will provide eye examinations and medically necessary treatment. b. Corrective lenses, when determined necessary, will be provided at the expense of the contracting agency. NaphCare will obtain approval from the responsible contracting agency prior to supplying corrective lenses. 14. Psych Clinic a. NaphCare understands that the Santa Ana Jail medical services plan requires NaphCare to provide psychiatric services in the form of one (1) psych clinic every week, and we will comply. b. Each clinic will last no less than four (4) hours, unless there are an insufficient number of patients in need of care. c. Psych clinics will provide a range of services including psych evaluations, counseling and prescription of psychotropic medications. 15. First Aid Kits a. NaphCare will provide one (1) basic first aid kit for each housing module, intake screening area, booking, laundry and transfer hold. b. Contents of the first aid kits will comply with NCCHC guidelines. c. NaphCare will provide a list of required contents to the Jail Administrator. d. Monthly inspection of the first aid kits will be conducted by Jail staff. 16. Inmate Complaint/Grievance Procedure a. NaphCare will follow the Jail's established policies and procedures for processing and responding to inmate complaints and grievances regarding medical treatment. b. NaphCare will abide by Jail policies and procedure regarding responses to complaints and grievances, within established policy requirements. NaphCare has a fully electronic system for tracking complaints from receipt to resolution. Our proprietary TechCare® Grievance Tracker provides automated daily mail notifications to multiple key operations and risk management staff, including our General Counsel. This innovative daily alert feature ensures that urgent issues receive immediate attention, from the right people. NaphCare encourages inmate issues be resolved on an informal basis without the need for filing a formal complaint. NaphCare's complaints and grievances policy includes an informal process: 1. Inmates shall always be encouraged to discuss healthcare concerns with the appropriate member of the health care staff. 2. The Health Services Administrator, when possible, will encourage and make available informed mechanisms for the communication of, and potential resolution of, inmate health care concerns. 3. The Health Services Administrator is encouraged to meet informally with representatives of the department (e.g., chaplain) who may have input on the adequacy of health care delivery. NaphCare's grievance process begins by ensuring that inmates have an open forum to voice their complaints and that no inmate will be denied access to the grievance process. Our personnel are trained to seek resolution to inmate concerns before they escalate into grievances. Once an inmate files a grievance, a systematic process is triggered that is fully compliant with all relevant NCCHC and ACA Inmate Medical Services City of Santa Ana 25F-70 RFP No. 17-051 71 a h are your independent healthco o choice. guidelines. This process is overseen by our Chief Medical Officer and our General Counsel. Any grievances that we are unable to successfully address will be escalated to an appeal process. Below is an outline of our grievance process: • Upon entrance into the facility, each inmate receives information about the grievance procedure and how to file a grievance form. • All NaphCare personnel are required to attend training regarding the grievance procedure. • Inmates with special needs (such as impaired vision, hearing problems, language barriers, etc.) who request special assistance in completing a grievance form receive assistance. • No inmate will be denied access to the grievance process. • Grievance notification alerts are emailed automatically to key staff daily. • Grievances are reviewed and responded to by healthcare staff daily. • Our grievance process complies with all relevant NCCHC and ACA guidelines. • Our grievance process includes electronic tracking of all medical grievances and concerns, along with our healthcare staff's response. • NaphCare personnel receive ongoing corporate support and education pertaining to grievance management. NaphCare will generate a monthly report of complaints received and provide it to the City. The report includes: inmate name, identification number, date the complaint was received, complaint description, date of response, and a brief description of the resolution. NaphCare's Grievance Tracker system is a fully data -minable electronic database. As a result, grievances can be filtered by inmate or type of grievance, therefore allowing tracking of similar type issues. NaphCare regularly creates and reviews reports of grievances and their disposition to help identify and resolve problem trends. We view grievances as an instrument for helping us identify ways to continually improve our care and processes. In keeping with this philosophy, NaphCare prepares a corrective action plan for substantiated grievances. This methodical approach to grievance tracking has produced a 72% reduction in medically related grievances at the SAJ. Inmate Medical Services City of Santa Ana 25F-71 RFP No. 17-051 72 Inmate Grievance Grievances are scanned directly into TechCare's — Grievance Tracldng Module scanned Categorized in a h are you/ independera heehbmm choice. Daily, an RN reviews and investigates grievances. Category Category 11 Category IIl Ca[egaryN Ca[egoryV CategoryVI CategorvVlI Healthcare �ss e s Routine Issues Issues Immediately by Action Taken, if Appropriate xopriate Personnel Action Taken I Written Response Provided to Inmate and Entered Into Proactive Care Mlodel Written Response Provided GrievanceTracking Module to Inmate and Entered Into Communication: TechCareT" 4 TechCareT" generates daily grievance response information for correctional staff TechCare TM emails daily grievance report to Corporate 4 Operations staff and legal department review the report. for process improvement opportunities Inmate Medical Services City of Santa Ana 25F-72 RFP No. 17-051 73 StatiConduct elCess Delay: to to Care Dental Care Medical Care Fee Issue Mental Duplicate Healthcare Grievance �ss e s Routine Issues Issues Immediately by Action Taken, if Appropriate xopriate Personnel Action Taken I Written Response Provided to Inmate and Entered Into Proactive Care Mlodel Written Response Provided GrievanceTracking Module to Inmate and Entered Into Communication: TechCareT" 4 TechCareT" generates daily grievance response information for correctional staff TechCare TM emails daily grievance report to Corporate 4 Operations staff and legal department review the report. for process improvement opportunities Inmate Medical Services City of Santa Ana 25F-72 RFP No. 17-051 73 a h a%IA2 your independent hmAhmro choice. 17. Exclusions a. NaphCare will be under no obligations to provide or pay for the following types of services: i. Cosmetic surgery ii. Sex change surgery iii. Elective vasectomy, tubal ligation, hysterectomy and other elective care which forthe purposes of this contract will mean care which if not provided would not cause the inmate's health to deteriorate or cause definite harm to the inmate's well-being. iv. Care, treatment or surgery determined to be experimental in accordance with accepted medical standards V. Neonatal or newborn care (prenatal and obstetric services will be provided when required) vi. Contraceptive devices and medications D. OFF-SITE REFERRALS TO PREFERRED PROVIDERS 1. NaphCare will determine the medical necessity of all off-site medical services and obtain approval from the responsibility contract agency. UTILIZATION MANAGEMENT We are proud to say that NaphCare's Utilization Management Program has the distinction of being URAC accredited. URAC is _ an independent health management accreditation organization which requires extensive conditions to be met before accreditation can be received. As an independent, nonprofit UC organization, URAC is a well-known leader in promoting healthcare quality through its accreditation, education, and measurement programs. URAC offers a wide range of quality benchmarking programs and services that model the rapid changes in the healthcare system and provide a symbol of ACCREDITED excellence for organizations to validate their commitment to quality and accountability. Health Utilization Management Expires 11/0112018 URAC's mission is to promote continuous improvement in the quality and efficiency of healthcare management through processes of accreditation, education, and measurement. The URAC accreditation process demonstrates a commitment to quality services and serves as a framework to improve business processes through benchmarking organizations against nationally recognized standards. "By applying for and receiving URAC accreditation, NaphCare has demonstrated a commitment to quality healthcare. NaphCare should be commended for meeting strict quality standards", said URAC President and CEO Kylanne Green. "It is critically important for healthcare organizations to make a commitment to quality and accountability. URAC accreditation is a demonstration of that commitment." Inmate Medical Services City of Santa Ana 25F-73 RFP No. 17-051 74 ah are yoer independent heahhcare choice. When off-site care is required, NaphCare's utilization team collaborates daily with health services staff and off-site providers to ensure appropriate usage of healthcare services. Always watchful, NaphCare is poised to adjust to each day's demands. We review all cases prospectively; ER visits retrospectively; and hospitalizations concurrently, ensuring the correct allocation of off-site services for our clients. NaphCare's experienced Utilization Management nurses are trained to monitor off-site services allowing them to determine the best possible outcome for patients, healthcare providers, and correctional facilities. NaphCare realizes that high quality care does not have to be expensive; expensive care does not guarantee high quality; and preventive care saves money long-term. Our Utilization Management program follows a simple formula: match intensity of service with severity of illness. We consider the following factors during the review process: • Medical necessity using Milliman criteria • Appropriateness and efficiency of medical services, procedures, and facilities on all requests • Off-site service delivery— inpatient and outpatient setting • Length of stay using Milliman criteria • Maximization of on-site infirmary capabilities • Care consistent with community standards, contractual, or legal mandates • Coordination of on-site and off-site care — eliminates duplication of services Off-site Requests Information needed to determine approval or deferral of services is available within TechCorel , allowing NaphCare's nurses to make reliable and informed decisions in a timely manner. The following screenshot shows an off-site request in TechCareO. n � �Off. 777 ,° Patient:- DOE, JANE • 02510761805067f29d89d:tang:l ids (1234) AGNiwnalkia BOB: 4/811990 (Age=26) S : Female Race: PICNRE i Housing: SSN: "HIDDEN•' NOT AYAIIABLE Status: ACTIVE Booking Date: 4/8/2015 3:50:25 PM Omen Type lwdz_ _. C+Aeercee Inmate Medical Services City of Santa Ana Oninb Nod - Inmate d - 25F-74 RFP No. 17-051 75 a h are your independent health.. choice. Inmate Tracking We use TechCare® to track all off-site requests throughout the Utilization Management process. On average, NaphCare's corporate Utilization Management nurses review off-site requests in less than one day, and when appropriate, approve requests. Requests referred to the physician are reviewed within one business day. The average time frame for approved service scheduling with community based providers is one day. Emergency cases are immediately referred off-site and are reviewed retrospectively. For continuity of care, the Health Services Administrator or designee submits a notification immediately. Upon return from an emergency room visit, including psychiatric visits, the appropriate Advanced Clinical Provider or designated staff will see the inmate, review the discharge information and treatment recommendations, and issue follow-up orders as clinically indicated. Documentation of ER visits is tracked and monitored via TechCare® to identify outliers and further ensure continuity of care. At NaphCare, our goal is to provide inmates with the care they need when they need it; care is not delayed within our Utilization Management process. In most cases, NaphCare completes the process—from the time of the initial request to the scheduling of the appointment—in less than two days. Utilization Management Key Interactive Components We control costs by performing the following types of review: 1. PROSPECTIVE REVIEW -Occurs prior to delivery of care and establishes medical necessity, ensuring appropriate and cost-effective care within the correct timeframe. The following services are reviewed for all requests: • Hospitalizations—scheduled inpatient and observation Outcomes May Include ✓ Request for additional information for proper • Outpatient surgical or non-surgical determination procedures ✓ Nurse or physician review • Specialty office visits and procedures ✓ Nurse or physician approval • Diagnostics, durable medical equipment and ✓ Alternate plan of care prosthetics • Course of outpatient treatment—physical therapy, dialysis, chemo, radiation NaphCare's site Medical Director, designated site staff, Chief Medical Officer or designee, and a dedicated utilization nurse review and discuss proposed non -emergent services to determine the most appropriate and medically sound approach to care. Resulting outcomes and planned courses of action are shared with the site Medical Director or designee and progress notes are documented in TechCare®. Prospective review can produce multiple outcomes, all of which are tracked by TechCare®. In our approach to correctional UR, we do not "deny' a provider's recommendation for off-site care, but rather, discuss the case physician -to -physician and develop alternate plans of care as appropriate. Our UR process takes less than 24 hours on routine cases when all necessary clinical information is provided. Requests for care within 14 days are reviewed and processed the same business day. Inmate Medical Services City of Santa Ana 25F-75 RFP No. 17-051 76 a h arm your indeprnd.H hrnfth.m ch im. High Acuity Notifications: NaphCare's Utilization and Case Management team closely monitors inmates diagnosed with chronic and complex illness. TechCare® aids staff in this process by tracking the number of off-site visits by way of a watch list. Inmate acuity level is based on the severity of illness and subsequent off-site treatments. When our nurse anticipates that an inmate's care will require a wide range of resources, multiple off-site trips, or extended hospitalizations and treatments, a high acuity notification is sent to the appropriate leadership and jail personnel. NaphCare ensures that high acuity inmates are closely monitored, which reduces readmission, prolonged length of stay, and repeat surgery, as well as other medical expenses. Pre -Procedure Instructions to Inmates: With the goal of educating inmates on scheduled procedures, NaphCare's clinical support staff provides inmates with medical instructions and information priorto these procedures. Through this process, inmates receive evidence -based answers to clinical questions at the point of care. Informed of their procedures, inmates are prepared to ask questions and engage in conversations with clinical staff regarding course By following our policies, we are able to shorten the length of stay, preserve quality of care, and enhance discharge planning for return to the facility. of treatment. Inmates have the tools necessary to improve treatment prognosis and minimize recidivism through self-care. 2. CONCURRENT REVIEW —Begins immediately after admission and continues throughout hospital stay, ensuring that an appropriate treatment plan, efficient delivery of services, and timely preparation for discharge are established. For health concerns requiring inpatient admission, Utilization Management nurses remain in daily contact with hospital case managers and the attending physician to ensure that the length of stay is no longer than medically appropriate. Regular communication helps NaphCare develop appropriate discharge plans and maximize on-site infirmary capabilities. RETROSPECTIVE REVIEW —Occurs on all ER trips and for any questions or concerns that may arise regarding the quality and appropriateness of an inmate's care. As part of our quality initiative, our UR nurses and Chief Medical Officer review all emergency room visits and monitor the site Medical Directors appropriate use of the on-site facilities. Utilization Management Reports NaphCare has unlimited reporting capabilities based on the data captured in TechCare®. We analyze costs, trends, and provide reports in any format you request. In addition to providing the above services, we study statistics that aid you in improving your utilization of off-site care. Our sophisticated reporting capabilities, combined with our strong correctional operations experience, creates highly satisfied clients. NaphCare offers: Daily Hospitalization Report—including admissions by diagnosis (DRG) & length of stay Detailed monthly utilization report—including detailed time frames for each process of the review Inmate Medical Services City of Santa Ana 25F-76 RFP No. 17-051 77 a h are your independent healthcare choice, • Inpatient & outpatient statistical report—by service and location • Specialty services—consults, procedures, and diagnostic services • ER trips—by service and location • Utilization Review—by disease classification • Reports of all catastrophic claims incurred—any amount greater than $25,000 Case Management NaphCare provides Case Management and Utilization Review efforts for hospitalized inmates. We recognize the value of on-site nurses in the facilitation of care in the hospital setting; our nurses are dedicated to and have extensive expertise in the above areas. Responsibilities for on-site nurses in the hospital setting inlcude the following: • Assistance with direct admissions—prevents lengthy & costly emergency room visits • Discharge planning—ensures that all medical needs are met prior to discharge • Increased communication between medical disciplines during complex hospital stays • Establishment of collaborative long & short term goals for treatment • Discharge planning—use of formulary drugs • Optimization of infirmary beds—ensures proper assignment & level of care for inmates NaphCare's discharge and release team has the off-site healthcare experience needed to best meet inmates' needs. At the onset of care for each hospitalization, our utilization nurses prepare a customized plan. NaphCare's nurses are well informed of all available infirmary services and health service units within the prison system, as well as community resources in your region, allowing our personnel to optimize internal resources while simultaneously minimizing off-site trips. For provision of continuity of care, discharge summary information and instructions are provided to inmate healthcare staff. Following off-site treatment, inmates returning to the correctional facility return with documentation of treatment received in the form of a discharge summary, consult follow-up, or other progress note. All patients returning from an inpatient hospital stay are evaluated by a registered nurse prior to placement in the general population. In addition to this evaluation, inmates meet with an on- site provider who ensures appropriate orders and follow-up. Quality Initiatives NaphCare's Utilization Management Department conducts a monthly Utilization Management Committee Meeting to identify and implement quality inititatives such as the readmission review process. Research is performed and shared with the committee, resulting in implementation of quality improvement processes. When necessary, cases are referred backto the Chief Medical Officer for peer review and further recommendations for quality improvement. Utilization Management education is an ongoing process throughout the life of the contract. CENTRALIZED MEDICAL SCHEDULING We coordinate off-site appointments for the SAJ through the Medical Scheduling Department at our corporate office. By using TechCore®, we facilitate the exchange of important healthcare and financial information between the correctional facility and NaphCare. This system has several key features that are beneficial to Santa Ana: • Customized reporting • Ability to track inmate healthcare (off-site specialty appointment by type) Inmate Medical Services City of Santa Ana 25F-77 RFP No. 17-051 78 a h 971F G7 your independent he l4rcnm cheim. • Electronic calendar system • Ability to view all off-site appointments and on-site clinics • Inpatient stay status • View and print medical records for off-site appointments • Information packet for security to schedule transportation of inmates An Organized and Efficient Process Our process for off-site requests ensures seamless preparation and performance of inmate off-site care. From our central office, our expert Medical Scheduling Department organizes and executes every step of the process with the priority on full communication and cooperation for the most organized, cost- efficient, and safe results. Approved requests are sent to the Medical Scheduling Department where they schedule the appointment, noting such details as inmate insurance and special instructions. Appointments classified as urgent or routine and appointment requests are addressed and scheduled within the required time frames. The Medical Scheduling Department generates and maintains an off-site calendar of appointments that is visible to any authorized on-site personnel and security officers. Medical Schedulers at the central office communicate necessary information (date, time, location) so the correctional officers responsible for the transport are prepared for the inmate's appointment. The medical schedulers also communicate any pre -appointment needs to the correctional facility, such as food and drink requirements, medication instructions, labs needed, or any other special instructions that relate to the inmate's care. An example of our Off-site Calendar that is used to summarize off-site scheduled appointments is shown on the following page. We understand the issue of security and transportation costs and we work closely with custody to consolidate patient transfers. An Off-site Referral Form is completed for inmates who require specialty care services. This form accompanies the inmate during transport from the correctional facility to the provider for treatment. Each off-site referral results in a consultation/treatment report created by the off-site provider, which is reviewed and filed in the inmate's medical record. Responsible Follow -Up Individuals returning to the SAJ following off-site treatment encounters return with documentation of the treatment received, in the form of a discharge summary, consult follow-up or other progress note. A registered nurse evaluates all patients returning from an inpatient hospital stay prior to placement in the general population. These inmates also see an on-site provider as soon as possible to ensure appropriate orders and follow-up. In addition to the vast functionality that exists within the calendar and scheduling system, NaphCare can track and trend all cancelled appointments. Missed or cancelled appointments are often unavoidable, but they create a drain on facility resources. Our goal is to work with each client to minimize cancellations whenever possible. We record every cancelled appointment with the following information so we can track and trend the data to reduce cancellations and ensure new appointments are scheduled: Inmate Medical Services City of Santa Ana 25F-78 RFP No. 17-051 79 a h are your independem healdicore dioiw. • Inmate name, Date of Birth, Inmate Number • Original date of service • Who cancelled the appointment • Why the appointment was cancelled — inmate released from custody, refused treatment, security issues, provider cancelled, or other reasons 2. NaphCare will ensure that each off-site referral to a preferred provider results in a legible consultation/treatment report in the inmate's medical record within forty-eight (48) hours of the appointment. MEDICAL RECORDS DEPARTMENT Our Medical Records Department supports NaphCare's coordination of off-site services. On behalf of the SAJ, we obtain copies of all diagnosis, treatments, treatment plans, final medical records, discharge summaries, and other information related to the off-site referral in a very timely manner. Our Medical Records Department has direct access to many hospital's EHR systems (where they exist and appropriate access has been granted) to obtain records immediately upon completion of service which greatly adds to the continuity of care of the inmates. When the records are received, they are filed in the inmate's electronic health record in TechCare®. Appropriate personnel can view medical records and print a hard copy for each appointment or medical service provided. As a quality assurance measure, the records also stay on the site Medical Director's TechCare®'Doctor's Queue' until they are reviewed by the ordering physician. This service greatly aids continuity of care and the ease with which services are coordinated. In addition, the timely distribution of hospital reports, discharge summaries, and consult reports ensures compliance with program review requirements. NaphCare's Medical Record Department is also available to assist our clients in securing medical records for care that is delivered in the community prior to incarceration. Determining the appropriate course of treatment inside the facility is difficult if current outside medical records are not available. NaphCare assumes the responsibility of securing these records for on-site providers so that appropriate intervention and care can be delivered quickly and efficiently. Securing outside medical records also reduces on-site healthcare costs by eliminating the need to repeat costly tests that may have been provided prior to incarceration. TechCare® stores all outside medical record information and ensures all medical records and documentation are protected. TechCare® ensures security and HIPAA compliance by utilizing industry standards of security. 3. The report will contain, at a minimum: a. Reason for consult b. Appropriate exam/lab findings c. Diagnosis d.. Discharge Plan e. Follow-up Appointment (if necessary) Inmate Medical Services City of Santa Ana 25F-79 RFP No. 17-051 80 a h ar`e your independent heolthwm choice. 4. NaphCare will continue to be responsible for billing the responsible contract agency for off-site treatment. CLAIMS ADJUDICATION Our Claims Department has the latest technology available in the market today. This enables our staff to handle your claims in the most efficient manner. The accurate and rapid processing of claims is a fundamental part of keeping costs down, and it also maintains our positive relationships with community providers, hospitals, and specialists. We ensure timely payments, accurate evaluation of claims based on approved services, and payments on claims only for inmates that are eligible at the time of service. ✓ NaphCare's Claims Department adjudicates "clean claims' within an average of 48 hours. ✓ Average cost savings on re -priced claims are 60% off usual and customary charges. ✓ Prompt turnaround time with non - electronically received claims keyed within 24 hours. Our Director of the Claims Department, Cathy Sherbet, has over 20 years of experience in claims management, including 7 years with McKesson, where she managed a department that processed over 400,000 claims per year. Cathy currently manages NaphCare's claim's department of over 30 employees. Claims Processing System Our methods for processing claims and hospital/provider discounts focus on listening to clients' needs. We adhere to high standards of accountability and quality that set us apart from the competition. All claims are reviewed for accuracy and proper treatment, as well as correct coding and billing. Claims are adjudicated using the software system McKesson, Managed Care Optimization (MCO), specifically designed for the managed care industry. We pay claims promptly and accurately by applying all applicable payment rules. The provider's contract, fee schedules, negotiated rates, and terms and conditions are all loaded in the MCO system at the time of agreement, ensuring providers are paid according to agreement. The system does not allow for payment of a global rate and additional codes charged for the same service, known as bundling of codes. Through this system, the submitted claims are correctly analyzed for accuracy. This software also provides healthcare claim DRG calculation, APC assignment, Medicare/Medicaid reimbursement calculation, data editing, and validation to set specifications. MCO, linked with TechCare®, is the perfect combination to manage inmate eligibility and ensure that only claims on eligible inmates are paid. Information from the client's inmate management system goes through the EHR system to MCO. The integration of MCO and TechCare® also allows the flow of information obtained from healthcare claims back to TechCare®. The on-site clinical team will have real- time access to off-site provider information, which dramatically improves continuity of care. Claims Administration Our claims examiners work closely with your staff to support the SAJ. From claims processing to bill payment, our streamlined administrative services will provide you with valuable benefits. Each claim received by the claims department is reviewed for accuracy and adherence to community standards. Inmate Medical Services RFP No. 17-051 City of Santa Ana 81 25F-80 your independent health.. choice. NaphCare assigns an authorization number to each off-site occurrence that includes a scenario detailing the approved services integrated with service classes and procedural codes. Only approved services are reimbursed. We review claims to determine that charges are not in excess of the appropriate Usual and Customary Charges. We also review claims for prior payment to prevent duplicate billing. In addition, we review for accuracy to include valid dates of service, CPT and ICD-9 codes, and bundling and unbundling of codes. Any claims that are not valid will be returned to the provider as a denial and a corrected claim will be resubmitted for payment. The following criteria will be used in these reviews: • Eligible Patients • Usual and Customary Charges • Prior Payment • Accuracy Services that support our clients' efforts to stay current and compliant in a dynamic environment include: • Optimize productivity for correctional facilities through automated essential operations • Identify correct payments for providers • Direct contracts with providers • Flexible managed care software that allows for a wide range of date -sensitive fee schedules associated with contracts, including integrated DRG and APC processing • Referral/authorization component to facilitate case management and utilization management • Eligibility, submission/receipt of electronic claim files, and HIPAA standards • Customer service • Facilitate daily transactions • Allow providers to look up a member's eligibility and check claim status • Provide clients a comprehensive, line -by-line bill audit and analysis, ensuring they are charged a reasonable amount forthe appropriate services • Match facility and/or physician bills to itemized statements to identify errors and unbundling of services E. OFF-SITE PREFERRED PROVIDER NETWORK 1. NaphCare has recruited and will continue to develop a Preferred Provider Network to provide all covered medical treatment and services that cannot be provided on-site. A complete description of our network for the SAJ is provided within this section. 1. We have provided written letters of intent from providers willing to participate in the Preferred Network. We have included letters of intent from the following providers in the Appendix: • Prime Healthcare (includes Garden Grove Hospital Medical Center, Huntington Beach Hospital, and West Anaheim Medical Center) • KPC Healthcare, Inc. • Image Orthopedic Lab, Inc. • New Image Dentistry & Implants • Diagnostic Laboratories and Radiology • BioReference Inmate Medical Services City of Santa Ana 25F-81 RFP No. 17-051 82 a h are your independent h.1thw. &.im, • San Pedro Eye Care • Alcam Medical0&P • Range Medical Homecare Supplies 2. NaphCare will ensure that all preferred providers recruited are fully credentialed. Please see Section G, tit for a detailed description of NaphCare's credentialing process. 3. Contracts for the preferred provider network will be between the health care provider and NaphCare. 4. To support the delivery of comprehensive health services, the preferred provider network will include the following medical specialty services/providers: a. A hospital facility to provide treatment for those inmates requiring medical/surgical emergency services (e.g. inpatient and outpatient health care services). NAPHCARE'S HOSPITAL NETWORKS FOR THE SAJ NaphCare is an experienced provider and administrator of off-site care and preferred provider networks. Our experienced network management department focuses on development that is based on partnerships with the community's finest hospitals, balancing proximity to the Jails and a wide range of available medical services. Since serving as the healthcare service provider for the City of Santa Ana, we have worked diligently to establish relationships with the providers below to provide emergency and off-site care to SAJ inmates. 1. KPC Healthcare, Inc. (KPC Health) KPC Health has successfully established a group KPC of integrated healthcare delivery systems Healthcare, Inc. consisting of acute care hospitals, Independent Physicians Associations (IPAs), medical groups, urgent care facilities, and various fully integrated multi -specialty medical facilities throughout the western United States. Two of KPC Health's acute care facilities, Anaheim Global Medical Center (AGMC) and Orange County Global Medical Center (OCGMC) have provided quality, professional, and compassionate healthcare services to the Orange County community for decades. AGMC, formerly Western Medical Center Anaheim, is a 189 -bed medical center located less than 7 miles from the Santa Ana Jail. In addition to its cardiac institute, inpatient, outpatient, surgical, maternity, and behavioral services, AGMC has a 24-hour full service emergency department designated as a cardiac receiving center; and the hospital has partnered with CEP America to continue to improve emergency department wait times. The Behavioral Health program at Anaheim Global Medical Center provides behavioral health services for emotional and behavioral health illnesses such as depression, anxiety, bipolar disorder, and chemical dependency related disorders. Delivery Land is AGMC's newest and most exciting addition to their comprehensive maternal child health services. The inmates at the SAJ will continue to access the OB/GYN services offered through Delivery Land at AGMC. NaphCare is familiar with AGMC's secure unit, as well as the use of the physician clinics. Inmate Medical Services City of Santa Ana 25F-82 RFP No. 17-051 83 a h a�ie Y. independent healthcare choim With more than 1,500 highly -trained physicians, nurses, and hospital staff, and a full range of specialty services that serve both inpatients and outpatients, OCGMC ensures each patient has a dedicated team that provides them the highest quality of care. OCGMC is one of only two Level Two Trauma Centers serving Orange County's 3.5 million residents. NaphCare is working with Estela Martinez, KPC Corporate Contract Director, and Elizabeth Gutierrez, Contract Management Analyst, to make certain the hospital's excellent health care and innovative treatments continue to be made available to the Santa Ana Jail inmates. It is NaphCare's intent to continue utilizing Anaheim Global Medical Center and Orange County Global Medical Center as primary access points for emergent, inpatient, outpatient, and psychiatric services for the Santa Ana inmates. A Letter of Intent is included in the Appendix. 2. Prime Healthcare Services, Inc. As another option, we continue to offer an offsite network prime Healthcare with Prime Healthcare Services, Inc., one of the nation's leading hospital systems that operates Garden Grove Hospital Medical Center (GGHMC), West Anaheim Medical Center (WAMC), and Huntington Beach Hospital (HBH). Named the "fastest growing hospital system" in the country by Modern Healthcare, Prime Healthcare facilities offer Santa Ana a broad range of inpatient, outpatient, emergency, laboratory, and radiology services. Offered at each hospital are interpreters for many languages; specifically, Spanish and Vietnamese translators are available to ensure that the patient and their family are fully informed about their treatment options. It is the position of NaphCare and Prime Healthcare Services that Garden Grove Hospital is able to serve as a primary access point for the Santa Ana inmates. Located approximately 4 miles from the Santa Ana Jail, GGHMC is a 167 bed community hospital that provides a full spectrum of acute care services. The hospital offers inpatient and outpatient services that include maternity care, a wound center, diagnostic imaging, an emergency department, respiratory therapy, and pediatric services. The hospital has designated one of the floors as a secure unit for SAJ offenders, and we have secured a commitment that all necessary physician specialties will be made available under the direction of Dr. Hassan Alkhouli. West Anaheim Medical Center is approximately 10 miles from the Santa Ana Jail. Founded in 1964, WAMC is a 219 -bed acute-care hospital with a long history of serving the community's healthcare needs. Every day, the facility endeavors to provide comprehensive, quality healthcare in a convenient, compassionate and cost effective manner. With 131 beds and only 9 miles from the Santa Ana Jail, Huntington Beach Hospital offers comprehensive emergency, inpatient, and outpatient services. Recognized as a "Top Performer" by The Joint Commission, HBH's mature adult psychiatric services provide comprehensive treatment programs for adults in need of specialized behavioral healthcare. Physician supervised inpatient, partial hospitalization, and outpatient programs are available to meet the individual needs of each patient. It is NaphCare's intent for HBH to serve as the primary hospital for Santa Ana inmates in need of psychiatric care, and as a safety net for inpatient or outpatient care. Inmate Medical Services City of Santa Ana 25F-83 RFP No. 17-051 84 4Ware your indep.ndem h.fth.. choice. NaphCare has a strong working relationship with Prime Healthcare Services leadership, including Dan Merel, Corporate Director of Health Plan Operations; Alan Smith, Regional COO/CFO; and Dr. Hassan Alkhouli, Medical Director at West Anaheim Medical Center and Chief Medical Officer of Physician Operations for Prime Healthcare Services. A signed letter of intent is included in the Appendix. b. A psychiatric hospital facility to provide treatment for those inmates requiring inpatient psychiatric services. NaphCare will use Huntington Beach Hospital, part of the Prime Healthcare Services, Inc. network, as our primary hospital for inmates in need of psychiatric care. The behavioral health programs at Huntington Beach Hospital are designed to relieve emotional and personal distress for adults exhibiting acute behavioral symptoms. The inpatient hospitalization program includes physician supervised assessments, meetings, and case management services in a safe, supportive, and therapeutic environment; the services focus on the issues which lead to hospitalization. To assist with transitioning back into the community, the physician -led partial hospitalization program is provided five days a week and is tailored to meet the specific needs of the patient. Once a patient's symptoms are stabilized, the outpatient services program allows patients to attend therapeutic therapy sessions on an outpatient basis. NaphCare is an experienced provider of correctional mental health services, and we understand the solution for addressing and reducing the population of mentally ill inmates within the SAJ requires coordination, communication and cooperation with the mental health community. A signed letter of intent from Prime Healthcare Services, Inc. is included in the Appendix. c. Individual practitioners and/or Group Specialty Physician Practices to provide the following routine outpatient clinics and individual treatment as necessary for the following medical services: L Urology ii. Gastroenterology iii. Orthopedics iv. Ophthalmology/Optometry v. Internal Medicine vi. Dermatology vii. Ears/Nose/Throat viii. Allergy ix. Obstetrics/Gynecology x. Psychiatry We have secured a commitment that all needed physician specialties will be made available, under the direction of Dr. Hassan Alkhouli, Medical Director at West Anaheim Medical Center and Chief Medical Officer of Physician Operations for Prime Healthcare Services. We have provided a signed letter of intent for physician services from Dr. Alkhouli in the Appendix. Inmate Medical Services City of Santa Ana 25F-84 RFP No. 17-051 85 4Ware„] your independent heolthmm choice. We only hire highly qualified healthcare professionals who understand the City of Santa Ana's processes and who have strong California community partnerships. The full spectrum of specialties listed in the following chart among NaphCare's network of hospital partners are represented by hundreds of physicians who maintain staff privileges at the hospitals within our SAJ off-site network, helping to ensure that patients receive the specialty healthcare they need. ®. FOR SANTWANAJAIL Acute Care Neurology Allergy & Inflammation Neurosurgery Anesthesia Obstetrics and Gynecology Cardiology Occupational Medicine Cardiac Surgery / Cardiac Rehabilitation Ophthalmology Cardiovascular Disease Optometry Cardiothoracic Surgery Oral/Maxillofacial Surgery Colon & Rectal Surgery Orthopedics Critical Care Orthopaedic Surgery Dentistry Otolaryngology Dermatology Pain Management Diabetes Management and Treatment Pathology Emergency Medicine Physical Therapy Endocrinology Plastic & Reconstructive Surgery Family Medicine Podiatry Gastroenterology Psychiatry General Surgery Pulmonary Medicine Gerontology Radiation Oncology Hematology / Oncology Radiology Immunology Thoracic Oncology / Thoracic Surgery Infectious Disease Urology Internal Medicine Vascular Surgery Nephrology Wound Care Neonatology To ensure the inmates of the SAJ have access to a comprehensive network, we have established relationships with providers for the following ancillary services: 0 Ambulance Dialysis Dental Laboratory Services Durable Medical Equipment Diagnostic Imaging & Laboratory Orthotics & Prosthetics Inmate Medical Services City of Santa Ana 25F-85 RFP No. 17-051 86 a h are your independent heolthcum choice. d. A laboratory provider to provide all necessary routine tests. NaphCare will continue to use BioReference for laboratory needs. We have provided a signed letter of intent in the Appendix. e. A radiological provider to provide all necessary routine x-rays which cannot be accommodated by on-site mobile x-ray services. Diagnostic Labs and Radiology Diagnostic Laboratories and Radiology is the nation's leading provider of digital radiography, ultrasound, electrocardiogram and other Mobile Clinical Services, and has been serving patients in healthcare facilities and institutions for more than 50 years. For the past two years, NaphCare has successfully partnered with Diagnostic Laboratories and Radiology for the purpose of this contract. Diagnostic Labs and Radiology is dedicated to continuing a partnership with NaphCare in our shared interest to meet the radiological needs of the Santa Ana Jail inmates. A signed letter of intent is included in the Appendix. f. A pharmacy provider to provide all prescriptions and non-prescription medications. NaphCare proposes to continue using our in-house pharmacy to provide all prescription and non-prescription medications for SAJ inmates. In addition to providing medication, NaphCare offers many medication management services. Our in-house pharmacy program is described in detail in Section C, q8 — Medication Management. Our formulary is provided in the Appendix of our proposal, and our pharmaceutical pricing structure is included in Exhibit C under Required Forms. g. A durable medical equipment provider to provide all orthotic devices for inmates which are determined medically necessary. Image Orthopedic Lab Image Orthopedic Lab has provided quality footwear since its beginning in 2005. Creating custom -engineered orthotic devices for specific needs, Image Orthopedic Lab is able to provide functional and diabetic foot orthotics to the Santa Ana Jail inmates. Dennis Kause, President, is excited to be actively involved in the community and looks forward to partnering with NaphCare to meet the orthotic needs of the inmates at the SAJ. A signed letter of intent is included in the Appendix. Alcam Medical 0&P The Alcam Orthotics Program was developed to provide enhanced levels of care that promotes the highest levels of independence and function for patients of all ages and abilities. Alcam Medical is at the orthotic forefront offering 24 hour on-call services for post-operative and surgical orders, delivery 7 days a week, and on-site fabrication. NaphCare has reached out to Cameron Stewart, Clinic Director, to discuss partnering to address the orthotic and prosthetic needs of SAJ inmates. A signed letter of intent is included in the Appendix. Inmate Medical Services City of Santa Ana 25F-86 RFP No. 17-051 87 a h are your independem heolthmre choice. Range Medical Homecare Supplies Range Medical Homecare Supplies serves the residents in Orange County. Range Medical offers a wide range of services which include bath safety, mobility products, lift chairs, scooters, wound care, cushions, ADL's and more. NaphCare is working with Chris Helliesen, Owner and President, to discuss future opportunities for providing medical supplies to the offenders at the SAI. A signed letter of intent is included in the Appendix. F. MEDICAL SERVICE PROVIDER MINIMUM STAFFING Staffing Narrative for the Santa Ana jail NaphCare has offered the RFP's minimum staffing models to comply with the RFP and meet the unique needs of the Santa Ana Jail. It is our goal to always provide the necessary support to efficiently administer all medical, mental, and emergency healthcare services for SAJ detainees. We achieve this by blending a multi -disciplinary team with TechCore®, combining clinical talent with technology to yield a standard of care unequaled in the correctional healthcare industry. While current staffing at the SAJ has and continues to provide competent support forthe operation of our medical care program, we offer the City the RFP minimum, two-tiered plans based on the Jail's ADP. Each of these plans supports our Proactive Care Model, focusing on identifying critical medical issues up front in order to prevent more serious outcomes later. At the SAJ, our proactive strategy has significantly reduced ER trips by 98%, shortened sick call wait time from 14 days to one, and decreased medical grievances by 72%. In addition, NaphCare's staffing plan for both Tier 1 and Tier 2 includes a Health Services Administrator to lead, direct, manage, and evaluate operations at the SAL The HSA ensures all operations are in compliance with the contract and jail requirements, NCCHC, ACA, and professional nursing standards. The HSA also serves as the primary liaison between the SAJ and the corporate office. The HSA oversees operations for healthcare at the Jail and maintains consistent communication with the corporate office clinical and administrative personnel. Our HSA, in collaboration with corporate office staff, will be devoted to keeping Santa Ana administration informed of contracted healthcare services for inmates. NaphCare will perform the initial Intake Screening within two hours of an inmate's admittance, using an RN available 24/7 to detect urgent medical needs early. We identify any medical and mental health issues needing prompt attention. Then, we conduct a comprehensive Health Assessment up front, during the intake encounter, whereby a thorough history and physical examination is performed, vital signs are recorded, and the inmate's medical history is obtained, all of which is documented in TechCare®. Our system also streamlines the Jail's mental health program by focusing on early recognition and intervention. By devoting more attention to critical mental health needs, we stabilize your mental health and medical population quickly, allowing us to reduce suicide risks and improve the overall stability of your incarcerated population. Care is improved, grievances and movement within the Jail is reduced, and the probability of legal complications is minimized. NaphCare's proactive strategy works to identify, assess, and treat a detainee with mental illness as quickly as possible, and when necessary, in collaboration with the PET Team, Anaheim Global, and/or an appropriate provider. Inmate Medical Services City of Santa Ana 25F-87 RFP No. 17-051 88 < A ah are„> your independent heolth.. choice. NaphCare's medication administration will be provided by LPNs who are trained to review a patient's vital signs and think in a critical manner. Our staffing model also facilitates the continued use of telemedicine as an efficient means to treat inmates needing consults, follow-up care and certain mental health services. We intend to enhance our existing telemedicine program by having our STATCare team provide telemedicine service when needed. Playing a pivotal role in an inmate's transition back into the community, our team will continue to perform discharge planning, working closely with partner agencies to ensure that offenders are engaged and supported in services that include employment/training, housing, mentoring, counseling and other services. For staffing vacancy replacement, rather than using agency nurses, NaphCare has established and maintains an extensive pool of highly qualified clinical relief staff. Each medical professional has been pre -credentialed to confirm California licensing/certification compliance and is trained in advance to know TechCore®. This relief pool ensures the SAJ will always have consistent and familiar staff ready to work at a moment's notice. NaphCare's staffing matrix for Santa Ana Jail remains fully compliant with the RFP as well as ACA and NCCHC guidelines. We have developed our staffing plan based on our hands-on experience managing SAJ inmates since 2014, in addition to information obtained during the bidding process and always listening to your needs. Our tiered plans are shown below. We look forward to continuing our positive relationship with SAL Inmate Medical Services City of Santa Ana r•• RFP No. 17-051 89 a h are your independent healthmre choice. 1. TIER 1(ADP at or above 176): Medical staff will be present 24 hours daily, every day of the year. Our staffing reflects the following: a. Physician - One (1) on call 24 hours daily. b. NP - One (1); eight (8) hours per day, five (5) days per week. c. RN -Two (2); twenty-four (24) hour coverage, seven (7) days per week. (1 dayshift/1 nightshift) d. Psych RN - One (1); 12 hours per day, seven (7) days per week. e. LVN - Four (4); twenty-four (24) hour coverage, seven (7) days per week. (2 dayshift/2 nightshift) f. DDS-Four(4) hours per week. g. Dental Assistant- Four (4) hours per week, if necessary. h. Psychiatrist- Four (4) hours per week, if necessary. L Medical Records Clerk- One (1); forty (40) hours per week, five (5) days per week. j. One (1) physician will be on call twenty-four (24) hours daily for phone consultation and or response to the Jail. L A physician will be available by cell phone and will be required to telephone the jail within thirty (30) minutes of a call. ii. A physician will be required to arrive at the jail within two (2) hours of a request to respond. SantaAna, CA Tier 1 RFP Staffing - . ADP and, Up Mon Tues Wed Thurs, Fri Sat :Sun Hours FTE Position Title DayShift Health Services Administrator 8.00 8.00 8.00 1 8.00 8.00 40 1.000 Admin. Assistant/ Medical Records Clerk 8.00 8.00 8.00 8.00 8.00 40 1.000 Medical Director/Physician On Call 24 hours Daily PA/ NP 8.00 8.00 8.00 8.00 8.00 40 1.000 RN Charge - Intake/Sick Call 12.00 12.00 12.00 12.00 12.00 12.00 12.00 84 2.100 LVN - Med Pass 24.00 24.00 24.00 24.00 24.00 24.00 24.00 168 4.200 Psychiatrist 4.00 4 0.100 Psych RN /Social Worker 12.00 12.00 12.00 12.00 12.00 12.00 12.00 84 2.100 Dentist 4.00 4 0.100 Dental Assistant 4.00 4 0.100 Night Shift - RN Charge - Intake/Sick Call 12.00 12.00 12.00 12.00 12.00 12.00 112.00 84 2.100 LVN - Med Pass 1 24.00 24.00 24.00 24.00 24.00 24.00 1 24.00 1 168 4.200 Inmate Medical Services City of Santa Ana 25F-89 Total FTEs 18.000 RFP No. 17-051 90 a h are your independent heo0hmre choice. 2. TIER 2 (ADP at or below 175): Medical staff will be present 24 hours daily, every day of the year. We meet the following minimum staff requirements: a. Physician - One (1) on call 24 hours daily. b. NP - One (1); eight (8) hours per day, seven (5) days per week. c. RN -Two (2); twenty-four (24) hour coverage, seven (7) days per week. (1 dayshift/1 nightshift) d. Psych RN - One (1); 12 hours per day, seven (7) days per week. e. LVN -Three (3); twenty-four (24) hour coverage, seven (7) days per week. (2 dayshift/1 nightshift) f. DDS-Eight(8) hours per month, g. Dental Assistant- Eight (8) hours per month, if necessary. h. Psychiatrist- Four (8) hours per month, if necessary. i. Medical Records Clerk- One (1); forty (40) hours per week, five (5) days per week. j. One (1) physician will be on call twenty-four (24) hours daily for phone consultation and or response to the Jail. I. A physician will be available by cell phone and will be required to telephone the jail within thirty (30) minutes of a call. ii. A physician will be required to arrive at the jail within two (2) hours of a request to respond. SantaAna, CA Tier 2 RFP Staffing - 17S ADP and, Down Mon Tues Wed Thurs Fri Sat Sun. Hours FFE Position Title Day Shift Health Services Administrator 8.000 8.000 8.000 8.000 8.000 40 1.000 Admin. Assistant/ Medical Records Clerk 8.000 8.000 8.000 8.000 8.000 40 1.000 Medical Director/Physician On Call 24 hours Daily PA/ NP 8.000 8.000 8.000 8.000 8.000 1 40 1.000 RN Charge -Intake/Sick Call 12.000 12.000 12.000 12.000 12.000 12.000 12.000 84 2.100 LVN - Med Pass 24.000 24.000 24.000 24.000 24.000 24.000 24.000 168 4.200 Psychiatrist 2.000 2 0.050 Psych RN /Social Worker 12.000 12.000 12.000 12.000 12.000 12.000 12.000 84 2.100 Dentist 2.000 2 0.050 Dental Assistant 2.OD0 2 0.050 Night Shift RN Charge -Intake/Sick Call 12.000 12.000 12.000 12.000 12.000 12.000 12.000 84 2.100 LVN - Med Pass 12.000 12.000 12.000 12.000 12.000 12.000 12.000 84 2.100 Inmate Medical Services City of Santa Ana 25F-90 Total FTEs 15.750 RFP No. 17-051 91 hON your independent healthcare choice. 3. Responsible Physician/Health Authority a. NaphCare will appoint one (1) physician as the Responsible Physician for the Santa Ana Jail. The Responsible Physician for the jail will perform all duties and functions of the Responsible Physician as described and referred to in California Department of Corrections and Rehabilitations, Title 15 Standards and National Commission on Correctional Health Care (NCCHC). b. NaphCare will appoint one (1) physician or medical administrator as the Health Authority for the Santa Ana Jail. The Health Authority for the jail will perform all duties and functions of the Health Authority as described and referred to in California Department of Corrections and Rehabilitations, Title 15 Standards. c. We understand that the physician appointed as the Responsible Physician for the jail may also be appointed as the Health Authority for the jail. G. QUALIFICATIONS OF STAFF 1. Medical staff shall possess no less than three (3) years of correctional medical experience as a state licensed medical practitioner. NaphCare will strive to recruit medical staff that possess no less than three years of correctional medical experience as a state licensed medical practitioner. Additionally, we will consider all applicants of reasonable experience and skills who would be well suited for open positions at the Santa Ana Jail. 2. All medical staff will maintain current licensing from the State of California to practice medicine. CREDENTIALING All NaphCare staff providing medical, dental, or mental health treatment meet state licensure and/or certification requirements. To ensure that our medical professionals have the appropriate licensure and/or credentialing to provide the services required, we conduct a thorough interview and credentialing process, which includes the following steps: • Pre-screening applicants through phone interviews and the submission of credentials/licensure. • Interviewing of candidates at the Santa Ana Jail by our health services administrator (HSA) or another company representative. • Verifying references and licenses with the appropriate state and/or national agencies. • Extensive site visits to the Santa Ana Jail prior to making a formal employment decision. • Requiring prospective employees to undergo and pass a criminal background check. • Requiring prospective employees to undergo and pass a pre-employment drug screen. We ensure that all professional staff, including contract physicians working in the Santa Ana Jail has evidence of current licensure, certification, and/or registration as required by state or federal law on file with NaphCare. We verify our medical professionals' credentials initially upon hire and again before each individual's license expires. We maintain appropriate records of these credential verifications. These records are maintained by our corporate office and stored securely online, so sites have access to any needed documentation. Copies of all current nursing and physician licenses are also kept on file in Inmate Medical Services City of Santa Ana 25F-91 RFP No. 17-051 92 a h are y.v, Wepa d.N heaBhmre choles, the health administrator's office. We make credentialing, profiling, privileges, competency reviews, licensure, disciplinary and other regulatory data available to the City upon request. We check for primary source verification with the American Medical Association, National Practitioner Data Bank and the state licensing web site, and credential all physicians and mid-level practitioners. We verify licenses, education and any disciplinary actions taken against the potential employee. Our nursing and ancillary staff are all credentialed according to their license or certificate and verified on the corresponding verification website. NaphCare not only maintains a system for verifying op that our staff's licenses remain current and unexpired, we also subscribe to the National Practitioner's Data Bank Continuous Query service. Continuous Query keeps us informed 24 hours a day, 365 days a year about any adverse licensure, privileging, Medicare/Medicaid exclusions, civil and criminal convictions, and medical malpractice payments on our enrolled practitioners. As a result, we are notified Credentialing Support Saves Time Our unique process far exceeds the competition in organization and saves on-site staff countless hours in accreditation preparation. electronically within 24 hours of a report received by the Data Bank and have continuous access to check the credentials of our enrolled practitioners. Our credentialing files are always available for review, as these files are maintained by our corporate Human Resources Department and can be viewed electronically at any time. Each NaphCare employee has an electronic personnel file that includes an accreditation specific file so that with the click of a button everything you need for an accreditation audit can be accessed. H. ADDITIONAL SERVICES 1. All services contained in this section will be called for and paid for on a per -use basis. These services will not be connected to or billed together with any other services in this RFP. 2. NaphCare will provide each of these services, either internally or via subcontractor. We have detailed our plan for the provision of each of these services. 3. Repair of dentures, dental plates and partial plates. This service will be available on an as -needed basis and billed one flat rate per repair. New Image Dentistry & Implants Dr. Inna Bosh provides high quality general and cosmetic dental care to patients throughout Santa Ana and Orange County. New Image Dentistry & Implants offers a wide range of preventive, restorative and cosmetic procedures. NaphCare has reached out to Dr. Bosh to discuss a partnership to address the general and restorative dental needs of the inmates at the SAL A signed letter of intent is included in the Appendix. Inmate Medical Services City of Santa Ana 25F-92 RFP No. 17-051 93 a�,qre your Independent heohhcnre choice. 4. Mobile X-ray services. This service will be available on an as -needed basis and billed one flat rate per study. Diagnostic Labs and Radiology is capable of responding to the jail to provide service and is capable of providing x-ray study, technical component, radiologist interpretation, transcription and delivery on the same day when necessary. Diagnostic Labs and Radiology NaphCare will continue to use Diagnostic Laboratories and Radiology to provide mobile X-ray services. For the past two years, NaphCare has successfully partnered with Diagnostic Laboratories and Radiology for the purpose of this contract. Diagnostic Labs and Radiology is dedicated to continuing a partnership with NaphCare in our shared interest to meet the radiological needs of the Santa Ana Jail inmates. S. Ophthalmology services. This service will be available on an as -needed basis and billed one flat rate per patient visit. San Pedro Eye Care With the experience of Board Certified Ophthalmologists and Optometrists, and the equipment necessary to provide treatment, San Pedro Eye Care offers a number of cutting-edge vision care services and products for vision correction procedures and surgeries. San Pedro Eye Care will continue to partner with NaphCare to provide eyewear and eye care services to the offenders at the Santa Ana Jail. A signed letter of intent is included in the Appendix. 6. OB -GYN services. This service will be available on an as -needed basis and billed one flat rate per patient visit. NaphCare will continue to utilize the Anaheim Global Medical Center (AGMC) for OB/GYN services. The inmates at the SAJ will continue to access the OB/GYN services offered through Delivery Land at AGMC. 7. Emergency Psychiatric Crisis Intervention and Evaluation. This service will be on an as -needed basis for inmate in psychiatric distress, i.e. severe depression (suicidal ideation) and psychotic disorders (schizophrenia). Upon completion of evaluation, a finding and suggested disposition for safe care of the inmate will be provided. Services will be provided with a response time of 30-45 minutes and will be billed one flat rate per visit. The PET Team comes onsite for those patients that do not stay onsite more than 12 hours. They are evaluated and it is determined if the patient can be released out of custody or needs to be 5150 hold at a hospital for further evaluation. Contracted patients are evaluated onsite by NaphCare's Psychiatrist and are sent to Anaheim Global for further evaluation if the patient needs emergency psychiatric crisis intervention and evaluation offsite. 8. Billing services for off-site emergency medical care. NaphCare will provide billing services, which include a complete accounting of all services performed in addition to a detailed report of the cost of such services. Billing services will include a monthly administrative fee. Billing for off-site care is included in NaphCare's baseline medical services price. Inmate Medical Services City of Santa Ana 25F-93 RFP No. 17-051 94 a 9i An your independent heolthmre choice. I. JAIL STAFF SERVICES 1. NaphCare will provide baseline tuberculosis testing to all Santa Ana Jail personnel every six months and immediately after any exposure incident. Baseline skin test will be via the Mantoux technique: intradermal injection of 0. 1 ml of purified protein derivative (PPD) containing five (5) tuberculin units. 2. NaphCare will provide a three (3) injection hepatitis immunization series to all Santa Ana Jail personnel (unless already done). Immunization series will be Recombivax HB' manufactured by Merck, Sharpe & Dohme or as stated by the most current regulations. NaphCare will provide a blood test to all immunized employees three (3) years after initial immunization and will administer a booster to those employees that have diminished immunity. 3. NaphCare will maintain accurate and detailed records of all employees' immunization and baseline history. 4. NaphCare will provide four (4) hours of annual training to Santa Ana Jail personnel. Training consists of two (2) hours of blood-borne pathogens training and two (2) hours of tuberculosis awareness training in accordance with State mandate. J. MEDICAL SERVICE PROVIDER REQUIRED QUALIFICATIONS 1. NaphCare is eligible to submit a proposal in response to this RFP. We were organized for the purpose of providing contractual health care services. 2. NaphCare possesses 28 years of experience providing correctional health care services with proven effectiveness. 3. NaphCare possesses prior experience providing health care services to correctional facilities of similar size, and we have provided health care services to the Santa Ana Jail for almost three years. 4. NaphCare is able to satisfactorily meet all requirements of this RFP. Please see Section 1. Statement of Qualifications, for detailed information about NaphCare and the qualifications we have to continue to provide inmate medical services forthe City of Santa Ana. K. SOLE CONTRACTOR NaphCare understands that should a contract be executed as a result of this RFP, it will be with a single contractor. NaphCare will be responsible for all of our business issues including but not limited to, subcontractor affairs, salaries, licensing, training, administration and management, bookkeeping and benefits. L. EQUIPMENT AND SUPPLIES Contractor shall purchase, own, and maintain all medical equipment and consumable supplies. Contractor shall ensure that adequate supplies of pharmaceuticals and consumable medical supplies are maintained at all times. Inmate Medical Services City of Santa Ana 25F-94 RFP No. 17-051 95 1,)R Shnta Ana, CA sta FP . ADI ' infd Up y� .f ry,rr un 'w� �L{*�U¢S-:-S&rh 2dhtud"{.�l�tlU[S2�t�'-�R'�r Y�$8 Health Services Administrator 8.000 8.000 8.000 8.000 8.000 8.000 8.000 40 1,000 Administrative Assistant/ Medical Records Clerk 8.000 8.000 8.000 8.000 8.000 8.000 8.000 40 1,000 Medical Director/Physician On Call 24 hours Daily PA/NP 8.000 8.000 8.000 8.000 8.000 40 1.000 RN Charge - Intake/Sick call 12.00 12.00 12.00 12.00 12.00 12.00 12.00 84 2.100 LVN - Med Pass 24.00 24.00 24.00 24.00 24.00 24.00 24.00 163 4.200 Psychiatrist 4.00 4 0.100 Psych RN / Social Worker 12.00 12.00 12.00 12.00 12.00 12.00 12.00 84 2.100 Dentist 4.00 4 0.100 Dental Assistant 4.00 4 0.100 t ''a-4 Y x „r?z4.}-x.,: 2.00 2 0.050 RN Charge - Intake/Sick call 12.00 12.00 12.00 12.00 12.00 12.00 12.00 84 2.100 LVN -Med Pass 24.00 24.00 24.00 24.00 24.00 24.00 24.00 168 4.200 Total FTEs 18.000 Santa Ana, CA Tier 2 ' ADP and Pow{ , 1�.C.trivy4ekx as �T `.�J`+�ri',"(-s.�l�'ioU,! 'w� �L{*�U¢S-:-S&rh 2dhtud"{.�l�tlU[S2�t�'-�R'�r Y�$8 �E`osition�l'rtletTM*.��.'-.a t''s;� r`�u�`��et� �'�?4��7 ��',�c�>✓;'be i���.�'�{`:`'`z�»r.',7."�'�d'"M�,t s a,.•ax., 1��lalla: ;Shif aro, 3. <...:�.. ��y r. , `s. �'�'` e.,y , Health Services Administrator 8.000 8.000 8.000 8.000 8.000 40 1.000 Administrative Assistant/ Medical Records Clerk 8.000 8.000 8.000 8.000 8.000 40 1.000 Medical Director/Physician On Call 24 hours Daily PA/NP 8.000 8.000 8.000 8.000 3,000 40 1,000 RN Charge - Intake/Sick call 12.00 12.00 12.00 12.00 12.00 12.00 12.00 84 2.100 LVN - Med Pass 24.00 24.00 24.00 24.00 24.00 24.00 24.00 168 4.200 Psychiatrist 2.00 2 0.050 Psych RN/ Social Worker 12.00 12.00 12.00 12.00 12.00 12.00 12.00 84 2.100 Dendst 2.00 2 0.050 Dental Assistant 2.00 2 0.050 MSr 4f.K.�. �^,_ .. .. S. A�4b. lY rrd1�1..A 4. P.;1.jn W.i' !Y,4,� %a�2J +a ,..}f-. Y" ri "s..�1N1 4t;Sillft. v {{: lJnr `t `� .0 fib) � .tw•e`kln"R�hJ RN Charge - Intake/Sick call 12.00 12.00 12.00 12.00 12.00 12.00 12.00 84 2.100 LVN - Med Pass 12.00 12.00 12.00 12.00 12.00 12.00 12.00 84 2.100 Total FTEs 15.750 16 25F-95 25F-96 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE AN AMENDMENT TO AGREEMENT WITH AECOM TECHNOLOGY CORPORATION FOR THE SANTA ANA DELHI CHANNEL DIVERSION PROJECT (PROJECT NO. 16-6467) (STRATEGIC PLAN NO. 5,2) Cin MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to amend the agreement with AECOM Technology Corporation to provide engineering services for the Delhi Channel Diversion project by extending the term through December 16, 2019, and increasing the compensation by an amount not to exceed $278,321, for a total agreement amount not to exceed $750,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Delhi Diversion (Delhi) project is a multi -jurisdiction collaboration to establish a diversion facility to mitigate current and future Total Maximum Daily Loads (TMDLs) into the Newport Bay. Pollutants are regulated by the State Water Quality Control Board using TMDLs to measure metals, bacteria, toxics, trash, and nutrients. The facility will be located in the downstream portion of the Santa Ana Delhi Channel near the intersection of Mesa Drive and Irvine Avenue adjacent to the Newport Beach Golf Course (Exhibit 1). The proposed project would remove all pollutant loads transported by non-stormwater discharges in the Delhi and Santa Ana Gardens channels. The diversion would remove solids and trash, and then it will divert the flow to the sanitary sewer system for further treatment. As an alternative, the flow may be diverted to the adjacent golf course reservoir for irrigation or redirected into the channel. The project is under construction. On December 16, 2014, the City entered into a two-year agreement with URS Corporation, to provide design, environmental work, permitting, and construction support for an amount not to exceed $471,679. URS Corporation was subsequently acquired by AECOM Technology Corporation. The original agreement was extended for an additional two-year period, through December 16, 2018, by letter extension as permitted by the terms of the agreement. However, the total compensation amount remained unchanged and is nearly expended. 25G-1 Agreement with AECOM Technology Corporation for Santa Ana Delhi Diversion Project September 19, 2017 Page 2 AECOM is currently providing construction support for the Delhi project. Permits from several regulatory agencies, such as U.S. Army Corps of Engineers, California Department of Fish and Game, and Orange County Flood Control District, are required for the project. Due to the permit provisions, the complexity of the work, and the need for continuity of construction support to complete the project, staff is requesting that the AECOM agreement be amended to extend the term for an additional year, through December 16, 2019, and increase the total compensation by $278,321, for a total agreement amount not to exceed $750,000. STRATEGIC PLAN Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #2 (expand opportunities for conservation and environmental sustainability. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds in the amount of $278,321 for the agreement amendment are available in the Federal Clean Water Protection Enterprise account (No. 05717640-62300) for estimated expenditure as follows: FISCAL YEAR AMOUNT 2017/18 $250,321.00 2018/19 $28,000.00 TOTAL: $278,321.00 APPROVED AS TO FUNDS AND ACCOUNTS: f q, - Fred Mousavipour Francisco Gutierrez ,o Executive Director Executive Director Public Works Agency Finance & Management. Services Agency FM/EWG/TC Exhibits: 1. Location Map 2. Amendment to Agreement 25G-2 PAULARINO Av Proposed Pipeline/Sewer =� Connection O R BAKER ST C - z: R MAR?NO CHANNEL {F03) aaaunuuanmaaa.aaua... JIM ` ��.`{� �; •.•••4,y� P %hn 4 O •�5 0 500 1,000 / Feet O�0 •/ 4� O ARLINGTON DR yS� �• •�� �'!xy %' ��`•% ; sjQ JOHN • l / SANTAANA?t 0�. rs A RAPORT c� I COUNTRY CLUB �i�� 'PA / `•` �.l ti?)).:fYld:?33!!x'#'+'('��/� � : ;<:'. i. QQ' C'. • e',�i,'.;J,%'7 i'.'r a.`P; 'rlPrigp: � Jr9 PROPOSED Legend •� DIVERSION PJ EVEN Proposed Diversion Pipeline •� STRUCTURE MEN ExistingSeweriine auaaa OCFCD Drainage Facilitles•,• `-�`B: CO •— City Boundaries .r Location Map EXHIBIT 1 SANTA ANA City Council Amendment to Agreement with AECOM PWuA Agenda Date Technology Corporation for the Santa PUBLIC- September 19 2017 Ana Delhi Channel Diversion Project 25G-3 25G-4 EXHIBIT 2 FIRST AMENDMENT TO AGREEMENT TO PROVIDE ENGINEERING SERVICES FOR THE DELHI CHANNEL DIVERSION PROJECT THIS FIRST AMENDMENT to the above -referenced agreement is entered into on September 19, 2017, by and between AECOM Technology 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-2014-357, dated December 16, 2014 ("Agreement"), by which Consultant agreed to provide civil, hydraulic, geotechnical, structural, electrical engineering, environmental and surveying services for the Delhi Channel Diversion Project. The original parties to the Agreement were URS Corporation and the City, though URS Corporation was subsequently acquired by Consultant. B. The original term of the Agreement was from December 16, 2014 through December 16, 2016, and was extended for an additional two-year period through December 16, 2018 by letter extension #A-2014-357-1, as permitted by the terms of the Agreement. C. Due to the overall complexity of the project, which includes multi jurisdictional collaboration to divert and remove pollutants from storm water, the parties wish to amend the Agreement to include additional funds for the required engineering services to be provided by Consultant and extend the term of the Agreement for an additional year. The Parties therefore agree: 1. Term, is amended to extend the term of the Agreement through December 161-2019. 2. Section 3, Compensation, is amended to include an additional $278,321 for services to be performed by Consultant during the remaining term of the Agreement so that the total sum to be expended under the Agreement shall not exceed $750,000. The amount is comprised of 1) $471,679 provided in the rates and costs detailed in the Table 1 -Budget Proposal attached to the original Agreement, and incorporated by reference into this Amendment; and 2) $278,321 for services to be performed by the Consultant during the remaining term of the Agreement. 3. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect. Page I of 2 25G-5 IN WITNESS WHEREOF, the parties hereto have executed this First 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 By: 1b/D/W l N' F.'t JGMN M. FUNK Assistant City Attorney FOR APPROVAL FRED MOUSIVAPOUR Executive Director, Public Works Agency CITY OF SANTA ANA CYNTHIA J. KURTZ Interim City Manager CONSULTANT Name: Title: Page 2 of 2 25G-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: AGREEMENT WITH MGT OF AMERICA, INC., FOR CONSULTANT SERVICES RELATED TO THE INDIRECT COST RATE PROPOSAL {STRATEGIC PLAN NO. 6, 1G} CWf MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with MGT of America, Inc., for the term beginning September 19, 2017, and expiring on September 18, 2018, with provision for a one-year extension exercisable by the City Manager and the City Attorney, to complete preparation of Indirect Cost Rate Proposal as described in Agreement No. A-2016-199, for a total amount not to exceed the original $45,125, subject to nonsubstantive changes approved by the City Manager and City Attorney. Most of the grants awarded to the Public Works Agency from Caltrans and the Orange County Transportation Authority (OCTA) Comprehensive Transportation Funding Program for the City's Capital Improvement Program (CIP) projects are distributed on a reimbursement basis. To receive the grant funds, Public Works staff must submit detailed reimbursement documentation, as required by the respective funding agencies. However, because the reimbursement requests include both direct and indirect City employee labor costs, an approved Cost Allocation Plan is required that calculates the appropriate Indirect Cost Rate percentage that can be used. Since OCTA requested a third -party review of the annual Indirect Cost Rate Proposal (ICRP) calculations, a consultant was needed to prepare the calculations, identify an appropriate approving agency, and establish a process for obtaining the approvals. On September 16, 2013, at the conclusion of a Request for Proposals (RFP) process, Council approval a three-year consultant agreement with MGT of America, Inc., to provide cost reimbursement services for the Finance & Management Services Agency. Because of pressing deadlines for capital project cost reimbursements, the Public Works Agency requested Council approval to enter into an agreement with MGT for cost reimbursement services related to the CIP. On August 2, 2016, Council approved a one-year agreement with MGT (Exhibit 1) to provide the following services for the Public Works Agency: 25H-1 Agreement with MGT of America, Inc., for Indirect Cost Rate Proposal September 19, 2017 Page 2 FY 2013/2014 ICRP & Cost Allocation Plan — Review and Reconciliation $19,125 FY 2014/2015 ICRP & Cost Allocation Plan — Development $13,500 FY 2015/2016 ICRP & Cost Allocation Plan — Development $12,500 TOTAL: $45,125 MGT has completed the data collection, budget and staffing reviews that will be the basis for the deliverables of this scope of work. There were delays in identifying an acceptable third -party organization. Having received OCTA's consent to accept Caltrans approval of the ICRP, MGT reached agreement with Caltrans and is now working with the Sacramento, California, office to complete the ICRP validation. Before the work could be completed, however, the agreement with MGT expired on August 1, 2017. Because the agreement has expired, staff is requesting Council approval to enter into a new agreement with MGT, to allow the consultant complete the work that was originally agreed upon in Agreement No. A-2016-199. Because this is the first time that Caltrans has validated an ICRP for the City, it is difficult to predict a completion schedule. Therefore, the agreement includes the option for a one-year renewal. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effor Infrastructure, Objective #1 (establish and mair assets), Strategy G (develop and implement coordination with the Community Investment and ENVIRONMENTAL IMPACT s to meet Goal #6 - Community Facilities & Iain a Community Investment Plan for all City the City's Capital Improvement Program in Deferred Maintenance Plans). There is no environmental impact associated with this action. FISCAL IMPACT The encumbrance balance of $25,068.92 from Agreement A-2016-199 is available in the Administrative Services Account (No. 10117601-62320) for expenditure in FY 2017-18. Fred Mousavipour Executive Director Public Works Agency APPROVED AS TO FUNDS AND ACCOUNTS: Executive Director Finance & Management Services Agency FM/MLM Exhibits: 1. Agreement with MGT of America, Inc. (August 2, 2016; A-2016-199) 2. Agreement with MGT of America, Inc. (September 19, 2017) 25H-2 INSURANCE ON FILE WORKMAY PROCEED UNTIL INSOfIA cE EXPIRES CLEFCOUNM DAT : [o—I3 oral lr�4- S AGREEMENT FOR STATE MANDATED COST REIMBURSEMENT SERVICES A-2016-199 This Agreement is effective as of the 2"d day of August, 2016 by the City of Santa Ana, a municipal corporation and charter City duly organized and existing under the constitution and laws of the State of California ("City") and MGT of America, Inc. ("Consultant"), a California Corporation. RECITALS A. The City desires to retain a Consultant having special skill and knowledge in the field of preparing applicable State Mandate Reimbursement claims in order to maximize revenue to City. B. The City issued a Request for Proposals for said services on July I8, 2013 (RFP 13-035) and based upon the proposals received, the City awarded Consultant contract #A-2013.154 which is still active. C. Insofar as the work sought herein is for the Public Works Agency specifically, a new separate agreement with Consultant in furtherance of capturing Public Works Agency funds is sought. D. Consultant represents that Consultant is an independent contractor that has the knowledge and experience to prepare and submit such State Mandate Reimbursement claims on behalf of City. 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 consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPEOFSERVICES Consultant shall perform those services and provide those products as set forth in Exhibit A to this Agreement as needed for reconciliation of the FY 2013/2014 Cost Allocation Plan and preparation of Cost Allocation Plans for FY 2014/2015 and FY 2015116, in accordance with 2 CFR Part 225 (formerly OMB A-87 2. TERM This Agreement shall commence on the date first written above and be effective for a one (1) year period. Exhibit 1 25H-3 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its set -vices, identified in Exhibit A, in accordance with the fixed fee schedule: Task Fixed Fee 2013/2014 Cost Allocation Plan Reconciliation $19,125 2014/2015 ICRP and Cost Allocation Plan $13,500 2015/2016 ICRP and Cost Allocation Plan $12,500 b. City shall be billed upon completion of each Task and payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 4. INSURANCE Consultant shall obtain and maintain for the entire term of this Agreement comprehensive general liability insurance, with companies acceptable to the City, authorized to issue such insurance in the State of California. Said insurance shall consist of the following: a. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. b. Professional Responsibility (Errors and Omissions) insurance with a combined single limit of not less than $1,000,000.00 per claim. c. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 25H-4 5. LIABILITY Consultant shall be responsible for performing the work pursuant to this Agreement in a professional manner and shall be responsible for the acts and omissions of its employees as related to this Agreement. Liability of Consultant to City with regard to all work and services performed or provided by Consultant for City under this Agreement shall be limited to the total fee actually paid by City to Consultant. Under no circumstances shalt Consultant have any liability to City in excess of the amount of such fees or compensation. City acknowledges and agrees that but for the above limitation of liability, Consultant would not be able to provide the services for City under this Agreement for the prices applicable to this Agreement, and that this limitation of liability is reasonable. 6. WORK COMPLETION IN A TIMELY MANNER City agrees to provide information needed to complete the claims two weeks prior to the established due date or two weeks after the data has been requested by the Consultant, whichever is first. If information has been received in a timely manner, Consultant agrees to complete and file the claim(s) on or before the date established for submitting such claims to the State of California. If data is not provided in a timely manner and Consultant is unable to complete the claims, the claims shall be submitted late, when allowed by the State. City understands that late claims are subject to a 10% or One Thousand Dollar ($1,000) per claim penalty (whichever amount is less) up to one year after the original due date. City understands that the State does not allow claims to be submitted more than one year alter the original due date. Consultant shall not be responsible for late penalties or for the loss of claiming opportunities. Consultant shall not be liable for any claims not filed due to incomplete, insufficient, or late information. Consultant shall be responsible for late penalties or failure to file claims if caused by mistake or negligence of its employees, officers and agents. 8. 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. 25H-5 9. ASSISTANCE IF AUDITED In the event an audit is conducted by the State Controller's Office and upon notification by City, Consultant shall assist City in defending its' claim(s). 10. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, 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. 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. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 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 mailed by first 25H-6 class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: 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 With courtesy copies to: Executive Director of Public Works City of Santa Ana 20 Civic Center Plaza (N[ 6) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-5635 and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647-6515 To Consultant: MGT of America California Office: MGT of America, hie, J. Bradley Burgess, Vice President 2001 P Street, Suite 200 Sacramento, CA 95811 Phone: 916-595-2646 bburgessC@mgtamer.eom Corporate Headquarters: MGT of America, Inc. 2123 Centre Pointe Blvd. Tallahassee, Florida 32308 Phone: 850-386-3191 Fax: 850-385-4501 www.mgtofaine.rica.com A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been 25H-7 deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, conununication 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 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, that terns and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein 15. 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. 16. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. a. 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 trade for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 17. 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, tennination or other 25H-8 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. 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. PROFESSIONAL LICENSES Consultant shall, throughout the tern of this Agreement, maaitain 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 her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 20. 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 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. [Signatures on following Page] 25H-9 IN WITNESS WHEREOT, the parties have executed this Agreement the date and year first above written. ATTEST: �� 4+,A e�, SIA D: HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney BOfAJoovalChistant City Attorney R END OR PROVAL: red ousavipo r Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager MGT of America C14 wrJTi 8 25H-10 TaxID# 59-1576733 EXHIBIT A 25H-11 Proposed Scope & Fees CSA Finance & Management Agency MGT OF AMERICA, INC. MGT of America, LLC— 2251 Harvard Street, Suite 134, Sacramento CA 95815 Brad Burgess, Exec. Vice President, MGT Financial Services - bbureess[Aimetamer.cont ph. 916-595-2646 Description of Scope/Services to be Performed by the Consultant A. Prepare and submit cost claims for FY 2015.2016 in accordance with the annual claiming instructions and deadlines provided bythe State (February 17, 2017). B. Prepare and submit cost claims for FY 2016-2017 In in accordance with the annual claiming instructions and deadlines provided bythe State (February15, 2018). C. Facilitate department interviews to document and understand howthe City complies with each eligible mandate reimbursement program. D. Prepare and submit other new or first-time cost claims pursuant to the State Controller's Office (SCO) claiming instructions which are Issued In accordance with parameters and guidelines received from the Commission on State Mandates and mailed to local agencies during the fiscal year. E. Prepare all eligible City claims that exceed the State minimum of$1,000.00. Review the claims for completeness, propriety and eligibility of costs. F. Prepare all necessary department -wide ICRPs in accordance with CFR Part 200 (formerly A-87) G. Perform internal quality assurance reviews of all claims and ICRPs. H. Discuss any edits with appropriate City member, provide completed claims to City far review and signature by no later than three weeks prior to State claiming deadlines. I. File/deliver the executed claims with the SCO priorto claiming deadline(s). J. Provide assistance to the City inrespondingtoInquiries about and/or defending the claims filed by the City that are audited or desk reviewed by the Office of the State Controller K. Monitor the general payment status of all claims submitted and still due on behalf of the City/County pursuant to SB 90 claims due from the State. L. Assist the City with any claims filed by MGT of America that are audited by the SCO. M. Provide on-going support and status updates related to the anticipated changes in the claiming process arena of state government. See original MGT Proposal for Services for the 2012-13, 2013-14, 2014-2015 Fiscal Years which Is an Integral part of this scope portion of Exhibit "A". 1IPage Exhibit 2 25H-12 June 21, 2016 MGT OF AMERICA, INC. City of Santa Ana - SB 90 Claims Proposed Professional Fees Claims Covered Proposed Fee Payment Terms 2015-2016 Annual Claims & Fixed Fee equal to New Claims issued $11,400.00 Billed Quarterly. during City's 2016- 2017 Fiscal Year 2016-2017 Annual Claims & Fixed Fee equal to New Claims issued $11,400.00 Billed Quarterly. during City's 2017- 2018 Fiscal Year This fee is all inclusive (no expenses will be charged to the City). There are no caps on number of claims, audit support, or on-site meetings/visits. Each new fiscal year outlined in this Exhibit is at the sole discretion of the City. MGT will only proceed with renewal year/period upon written approval from the City. 2 1 P a g e 25H-13 July 19, 2016 Mor saaram¢-4f 2251 H- Vardslreel- S9Z,t& 134 Satr",ewfc, GA 9ssii5 ry. 416.595.2646 w5vw:�xi.ca<eo�^.v July 11, 2016 MGT OF AMERICA, INC. Ms. Margaret Mercer Administrative Services Manager Public Works Agency — Admin. Svcs. City of Santa Ana (714)647-5050 Subject: PW Hourly Rate Calculation Services Dear Ms. Mercer. We appreciate the opportunity to provide you with our proposal to develop hourly billing rates for Public Works staff members. Below is a summary of our proposal: Project Description: Annually, prepare hourly billing rates for reimbursement for selected PW staff members (requires two steps: 1 - prepare an allocation of PW administrative costs from 601 to 611/612 and then analyze the indirect vs. direct hours of 611/612 staff members) and 2 - calculate billable hour rates for staff in 611 and 612. Part A: 2013!2014 Year: Project Budget - $11,000 1) Calculate an actual 13/14 Indirect Cost Rate for 611/612: $6,000 2) Calculate actual 13/14 billing rates for staff in 611/612: $5,000 Part B: 201412015 Year - Project Budget: $13,500 1) Meet/Train city PW staff on the methods of time keeping, billing and assumptions used in the development of the indirect rate and billing rates: ($1,000) 2) Calculate actual 14/15 Indirect Cost Rate for 611/612: $6,000 Also, meet with OCTA and discuss the project going forward 3) Calculate actual 14/15 billing rates for staff in 611/612; $5,000 plus actual travel expenses; Est $1,500 25H-14 MGT OF AMERICA. INC. Part C: Project Budget: 2016/2016 Year - $12,600 1) Calculate actual 15/16 Indirect Cost Rate for 611/612: $6,000 check in with staff to make sure data assumptions are correct 2) Calculate actual 15/16 billing rates for staff in 611/612: $5,000 plus actual travel expenses: Est $1,500 Please all me at 916.595.2646 if you have any questions. We look forward to working with you and your staff on this project Sincerely, 1 Bradley Burgess J. Bradley Burgess Executive Vice President MGT of America, LLC bbureess cDrngMmer.com 25H-15 CERTIFICATE OF LIABILITY INSURANCE 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 policy(ins) 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 PRODUCER Earl Bacon Agency, Inc. 3.0. Box 12039 Tallahassee FL 32317 INSURED MGT of America, LLC MGT of America Consulting, LLC 3800 Esplanade Way, Ste 210 Tallahassee FL 32311 MGTOF-1 COVERAGES CERTIFICATE NUMBER: 1424826367 REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO 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 IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. /NSR LTR TYPE OF INSURANCE b O POLICY NUMBER POLICY EFF IMMDDIYYYY) POL!CYEXP (MMMDNYYYI LIMITS A GENERAL LIABILrrY Y Y 5095130327 7/1/2016 7/112017 EACH OCCURRENCE $1,000,000 X COMMERCWL GENERAL LIABILITYE SE O U e $300,1100 MED EXP A one mauni $5,000 CLAIMS -MADE F1 OCCUR PERSONAL B ADV INJURY $1,000,000 GENERALAGGREGATE $2,000,000 GEN'LAGGREGATE LIMIT APPLIES PER: PRODUCTS - COMPIOPAGG 52.000,000 X POLICY PRO. LOC $ A AUTOMOBILELIABILITY Y Y 2093563501 7/112016 7/1/2017 'Fe acdtle r S1,D00,000 BODILY INJURY (Par person) $ ANY AUTO ALL OWNED SCHEDULED AUTOS AUTOS BODILY INJURY Pecdd erorn $ ( X X NON -OWNED HIRED AUTOS AUTOS PROPERTY DAMAGE Pe aiders/ $ IS A -XV Rafing I B UMBRELLA LIABOCCUR 2093563496 7/1/2016 7/1/2017 EACH OCCURRENCE S AGGREGATE S EXCESS LIAB CLAIMS -MADE DEO I I RETENTION $ 0 D WORKERS COMPENSATION AND EMPLOYERS' LIABILITY YIN y 3011086712-AII Other 3011085788 CA 7/1/2016 7/112016 7/9/2017 71112017 X I TWO 5TATU- OTN- CRY LIM E.L. EACH ACCI DEM $500,000 ANY PROPRIETORIPARTNERJEXECUTIVE❑ CFFICERMIEMBER EXCLUDED? NfA E.L. DISEASE - EA EMPLOYEE $500,000 (Ma,Watory in NHl Iryea, tleecdbe under DE SCRIPTION OF OPERATIONS Cab. E.L. DISEASE -POLICY LIMIT $500,000 E Professional Liability(E80) Clalms-Made Form 7/5/95 Retro Oate/A-XIV N N 105638880 7/1/2016 7/1/2017 Each Claim 2,500,000 Aggregate 3,000,000 DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (AUaeh ACORD 101, AddlUonel Remarks Schedule, If more space to required) Umbrella: A -XV Rating. All Other Workers' Comp & CA Workers' Comp: A -XV Rating. CA - Workers' Camp Employers Liability Limits: $1,000,000 Each Accident $1,000,000 Disease Policy Limit $1,000,000 Disease Each Employee e tie -vein �`1�r pLE Eula p ► 8 City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana CA 92702-1988 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. reserved, ACORD 25 (2010105) The ACORD name and logo are registered marks of ACORD 25H-16 CNA Blanket Additional Insured - Owners, Lessees or Contractors - with Products -Completed Operations Coverage Endorsement This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART It is understood and agreed as follows: I. The WHO IS AN INSURED section Is amended to add as an Insured any person or organization whom the Named Insured is required by written contract to add as an additional insured on this coverage part, Including any such person or organization, if any, specifically set forth on the Schedule attachment to this endorsement. However, such person or organization Is an Insured only with respect to such person or organization's liability for: A, unless paragraph B. below applies, 1. bodily injury, property damage, or personal and advertising Injury caused in whole or in part by the acts or omissions by or on behalf of the Named Insured and in the performance of such Named Insured's ongoing operations as specified in such written contract; or 2. bodily Injury or property damage caused in whole or in part by your work and included In the products completed operations hazard, and only if a. the written contract requires the Named Insured to provide the additional Insured such coverage; and b. this coverage partprovides such coverage. B. bodily injury, property damage, or personal and advertising Injury arising out of your work described in such written contract, but only if: 1, this coverage part provides coverage for bodily Injury or property damage Included within the products completed operations hazard; and 2. the written contract specifically requires the Named Insured to provide additional insured coverage under the 11-85 or 10-01 edition of CG2010 or the 10-01 edition of CG2037. ll. Subject always to the terms and conditions of this policy, Including the limits of insurance, the Insurer will not provide such additional Insured with: A. coverage broader than required by the written contract; or B. a higher limit of insurance than required by the written contract. III. The insurance granted by this endorsement to the additional Insured does not apply to bodily Injury, property damage, or personal and advertising injury arising out of: A. the rendering of, or the failure to render, any professional architectural, engineering, or surveying services, Including: 1, the preparing, approving, or failing to prepare or approve maps, shop drawings, opinions, reports, surveys, field orders, change orders or drawings and specifications; and 2. supervisory, Inspection, architectural or engineering activities; or B. any premises or work for Which the additional insured Is specifically listed as an additional insured on another endorsement attached to this coverage part. IV. Notwithstanding anything to the contrary in the section entitled COMMERCIAL GENERAL LIABILITY CONDITIONS, the Condition entitled Other Insurance, this insurance is excess of all other insurance available to the additional insured whether on a primary, excess, contingent or any other basis. However, if this Insurance CNA76079XX (1-15) Policy No: 5095130327 Page 1 of 2 Endorsement No; Effective Date: 07/01/2016 Insured Name: MGT of America Consulting, .LLC. Copyright CNA All Rights Reserved. Includes copyrighted material of Insurance Services Office, Inc., with its permission. 25f� b�'u.xcElE9c� Blanket Additional Insured - Owners, Lessees or Contractors - with Products -Completed Operations Coverage Endorsement Is required by written contract to be primary and non-contributory, this insurance will be primary and non- contributory relative solely to insurance on which the additional Insured is a named insured. V. Solety with respect to the insurance granted by this endorsement, the section entitled COMMERCIAL GENERAL LIABILITY CONDITIONS Is amended as follows: The Condition entitled Duties In The Event of Occurrence, Offense, Claim or Suit is amended with the addition of the following: Any additional insured pursuant to this endorsement will as soon as practicable: 1. give the Insurer written notice of any claim, or any occurrence or offense which may result in a claim; 2. except as provided in Paragraph IV, of this endorsement, agree to make available any other insurance the additional insured has for any loss covered under this coverage part; 3. send the Insurer copies of all legal papers received, and otherwise cooperate with the Insurer in the Investigation, defense, or settlement of the claim; and 4. tender the defense and indemnity of any claim to any other Insurer or self insurer whose policy or program applies to a loss that the Insurer covers under this coverage part. However, if the written contract requires this Insurance to be primary and non-contributory, this paragraph (4) does not apply to insurance on which the additional insured is a named insured, The Insurer has no duty to defend or indemnify an additional insured under this endorsement until the Insurer receives written notice of a claim from the additional insured. VI. Solely with respect to the insurance granted by this endorsement, the section entitled DEFINITIONS Is amended to add the following definition: Written contract means a written contract or written agreement that requires the Named Insured to make a person or organization an additional insured on this coverage part, provided the contract or agreement: A. Is currently In effect or becomes effective during the term of this policy; and B. was executed prior to: 1. the bodily Injury or property damage; or 2. the offense that caused the personal and advertising injury for which the additional insured seeks coverage. Any coverage granted by this endorsement shall apply solely to the extent permissible by law. All other terms and conditions of the Policy remain unchanged. This endorsement, which forms a part of and is for attachment to the Policy Issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated In said Policy, unless another effective date is shown below, and expires concurrently with said Policy. CNA75079.XX (1-15) Policy No: Page 2 of 2 Endorsement No: Effective_ Dale: Insured Name: Copyright CPIA All Rights Reserved. Includes copyrighted material of Insurance Services Office, Inc., with Its pormisslon. 4e-Gti,tt �� 3 ;z t) qx� General Liability Extension Endorsement It is understood and agreed that this endorsement amends the COMMERCIAL GENERAL LIABILITY COVERAGE PART as follows. If any other endorsement attached to this policy amends any provision also amended by this endorsement, then that other endorsement controls with respect to such provision, and the changes made by this endorsement with respect to such provision do not apply. TABLE OF CONTENTS 1. Additional Insureds 2. Additional Insured - Primary And Non -Contributory To Additional Insured's Insurance 3. Bodily Injury— Expanded Definition 4. Broad Knowledge of Occurrencel Notice of Occurrence 5. Broad Named Insured 6, Estates, Legal Representatives and Spouses 7- Expected Or Intended Injury — Exception for Reasonable Force S. In Rem Actions 9. Incidental Health Care Malpractice Coverage 10. Joint VentureslPartnershiplLimited Liability Companies 11. Legal Liability—Damage To Premises 12. Medical Payments ^� 13. Non -owned Aircraft Coverage 14, Non -owned Watercraft 15. Personal And Advertising Injury— Discrimination or Humiliation 16. Personal And Advertising Injury- Contractual Liability 17. Property Damage - Elevators 18. Supplementary Payments 19. Unintentional Failure To Disclose Hazards 20. Waiver of Subrogation — Blanket CNA74879XX (1-15) Policy No: 5095130327 Page 1 of 13 Endorsement No: Effective Date: 07/01/2016 Insured Name: MGT of America Consulting, LLC copyright CNA All Rights Reserved. Includes copyrighted material of Insurance Services Office, Inc., vdth Its permission. 25H-19 b,�, A 0A...itc,46- F6_v Ott+ ((ea q�11 CNA General Liability Extension Endorsement 1. ADDITIONAL INSUREDS a. WHO IS AN INSURED is amended to Include as an Insured any person or organization described in paragraphs A. through K. below whom a Named Insured is required to add as an additional insured on this Coverage Part under a written contract or written agreement, provided such contract or agreement: (1) is currently in effect or becomes effective during the term of this Coverage Part; and (2) was executed prior to: (a) the bodily Injury or property damage; or (b) the offense that caused the personal and advertising Injury, for which such additional Insured seeks coverage. b. However, subject always to the terms and conditions of this policy, Including the limits of insurance, the Insurer will not provide such additional Insured with: (1) a higher limit of Insurance than required by such contract or agreement; or (2) coverage broader than required by such contract or agreement, and In no event broader than that described by the applicable paragraph A. through K. below. Any coverage granted by this endorsement shall apply only to the extent permissible by law, A. Controlling Interest Any person or organization with a controlling interest in a Named Insured, but only with respect to such person or organization's liability for bodily injury, property damage or personal and advertising Injury arising out of'. 1. such person or organization's financial control of a Named Insured; or 2. premises such person or organization owns, maintains or controls while a Named Insured leases or occupies such premises; provided that the coverage granted by this paragraph does not apply to structural alterations, new construction or demolition operations performed by, on behalf of, or for such additional Insured. B. Co-owner of Insured Premises A co-owner of a premises cc -owned by a Named Insured and covered under this Insurance but only with respect to such co -owner's liability for bodily Injury, property damage or personal and advertising injury as co-owner of such premises. C. Grantor of Franchise Any person or organization that has granted a franchise to a Named Insured, but only with respect to such person or organization's liability for bodily injury, property damage or personal and advertising Injury as grantor of afranchise to the Named Insured. D. Lessorof Equipment Any person or organization from whom a Named Insured leases equipment, but only with respect to liability for bodily injury, property damage or personal and advertising injury caused, in whole or in part, by the Named Insured's maintenance, operation or use of such equipment, provided that the occurrence giving rise to such bodily Injury, property damage or the offense giving rise to such personal and advertising Injury takes place prior to the termination of such lease. E. Lessor of Land person or organization from whom a Named Insured leases land but only with respect to liability for (1-15) Page 2 of 13 dorsement No; Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes copyrighted material of Insurance Services Office, Inc., with its permisslen. CHS General Liability Extension Endorsement maintenance or use of such land, provided that the occurrence giving rise to such bodily injury or property damage, or the offense giving rise to such personal and advertising Injury, takes place prior to the termination of such lease. The coverage granted by this paragraph does not apply to structural alterations, new construction or demolition operations performed by, on behalf of, or for such additional Insured. F. Lessor of Premises An owner or lessor of premises leased to the Named insured, or such owner or lessor's real estate manager, but only with respect to liability for bodily injury, property damage or personal and advertising Injury arising out of the ownership, maintenance or use of such part of the premises leased to the Named Insured, and provided that the occurrence giving rise to such bodily Injury, property damage or the offense giving rise to such personal and advertising injury takes place prior to the termination of such lease. The coverage granted by this paragraph does not apply to structural alterations, new construction or demolition operations performed by, on behalf of, or for such additional Insured. G. Mortgagee, Assignee or Receiver A mortgagee, assignee or receiver of premises but only with respect to such mortgagee, assignee or receiver's liability for bodily Injury, property damage or personal and advertising injury arising out of the Named Insured's ownership, maintenance, or use of a premises by a Named Insured. The coverage granted by this paragraph does not apply to structural alterations, new construction or demolition operations performed by, on behalf of, or for such additional Insured. H. State or Governmental Agency or Subdivision or Political Subdivisions — Permits A state or governmental agency or subdivision or political subdivision that has issued a permit or authorization, but only with respect to such state or governmental agency or subdivision or political subdivision's liability for bodily injury, property damage or personal and advertising injury arising out of: 1. the following hazards in connection with premises a Named Insured owns, rents, or controls and to which this insurance applies: a, the existence, maintenance, repair, construction, erection, or removal of advertising signs, awnings, canopies, cellar entrances, coal holes, driveways, manholes, marquees, hoistaway openings, sidewalk vaults, street banners, or decorations and similar exposures; or b, the construction, erection, or removal of elevators; or c, the ownership, maintenance or use of any elevators covered by this insurance; or 2. the permitted or authorized operations performed by a Named Insured or on a Named Insured's behalf. The coverage granted by this paragraph does not apply to: a. Bodily injury, property damage or personal and advertising injury arising out of operations performed for the state or governmental agency or subdivision or political subdivision; or b. Bodily injury or property damage included within the products -completed operations hazard. With respect to this provision's requirement that additional insured status must be requested under a written contract or agreement, the Insurer will treat as a written contract any governmental permit that requires the Named Insured to add the governmental entity as an additional insured. I. Trade Show Event Lessor 1. With respect to a Named Insured's participation in a trade show event as an exhibitor, presenter or displayer, any person or organization whom the Named. Insured is required to Include as an additional insured, but only with respect to such person" or organization's liability for bodily injury, property damage or personal and advertising injury caused by: (1-15) 3 of 13 dorsement No:. Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes copyrighted mmatedal of Insurance. Servi�cesOffice, Inc., with its permission. r ,,2Zd &2 _ "!�k Ere uLtE— 7vq (PE, (y ot21) SHA General Liability Extension Endorsement a. the Named Insured's acts or omissions; or b. the acts or omisslons of those acting on the Named Insured's behalf, In the performance of the Named Insured's ongoing operations at the trade show event premises during the trade show event. 2. The coverage granted by this paragraph does not apply to bodily Injury or property damage included within the products -completed operations hazard. J. Vendor Any person or organization but only with respect to such person or organization's liability for bodily Injury or property damage arising out of your products which are distributed or sold In the regular course of such person or organization's business, provided that: 1. The coverage granted by this paragraph does not apply to: a. bodily Injury or property damage for which such person or organization is obligated to pay damages by reason of the assumption of liability in a contract or agreement unless such liability exists in the absence of the contract or agreement; b. any express warranty unauthorized by the Named Insured; c, any physical or chemical change in any product made Intentionally by such person or organization; d, repackaging, except when unpacked solely for the purpose of inspection, demonstration, testing, or the substitution of parts under instructions from the manufacturer, and then repackaged in the original container; e. any failure to make any inspections, adjustments, tests or servicing that such person or organization has agreed to make or normally undertakes to make in the usual course of business, in connection with the distribution or sale of the products; f. demonstration, installation, servicing or repair operations, except such operations performed at the such person or organization's premises in connection with the sale of a product; g. products which, after distribution or sale by the Named Insured, have been labeled or relabeled or used as a container, part or ingredient of any other thing or substance by or for such person or organization; or h. bodily Injury or property damage arising out of the sole negligence of such person or organization for its own acts or omissions or those of its employees or anyone else acting on its behalf. However, this exclusion does not apply to: (1) the exceptions contained in Subparagraphs d. or f.. above; or (2) such inspections, adjustments, tests or servicing as such person or organization has agreed with the Named Insured to make or normally undertakes to make In the usual course of business, in connection with the distribution or sale of the products. 2. This Paragraph J. does not apply to any insured person or organization, from whom the Named Insured has acquired such products, nor to any ingredient, part or container, entering Into, accompanying or containing such products. 3. This Paragraph J. also does not apply: a. to any vendor specifically scheduled as an additional Insured by endorsement to this Coverage Part; b. to any of your products for which coverage is excluded by endorsement to this Coverage Part; nor c. if bodily injury or property damage included within the products -completed operations. hazard is excluded by endorsement to this. Coverage Part. GNA74879XX (1-15) Page 4 of 13 Policy No: Endorsement No: Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes copyrighted material of Insurance Services Of m, Inc„ Win ffs pennission. CNA General Liability Extension Endorsement K. Other Person Or Organization Any person or organization who Is not an additional insured under Paragraphs A. through J. above. Such additional insured is an Insured solely for bodily injury, property damage or personal and advertising Injuryfor which such additional insured Is liable because of the Named Insured's acts or omissions. The coverage granted by this paragraph does not apply to any person or organization: 1. for bodily injury, property damage, or personal and advertising Injury arising out of the rendering or failure to render any professional service; 2. for bodily Injury or property damage included within the products -completed operations hazard; nor 3, who is specifically scheduled as an additional insured on another endorsement to this Coverage Part. 2. ADDITIONAL INSURED -PRIMARY AND NON-CONTRIBUTORY TO ADDITIONAL INSURED'S INSURANCE A. The Other Insurance Condition in the COMMERCIAL GENERAL LIABILITY CONDITIONS Section is amended to add the following paragraph: If the Named Insured has agreed in writing in a contract or agreement that this Insurance is primary and non-contributory relative to an additional Insured's own Insurance, then this Insurance Is primary, and the Insurer will not seek contribution from that other insurance. For the purpose of this Provision 2., the additional Insured's own Insurance means insurance on which the additional Insured Is a named insured. B. With respect to persons or organizations that qualify as additional Insureds pursuant to paragraph I.K. of this endorsement, the following sentence is added to the paragraph above: Otherwise, and notwithstanding anything to the contrary elsewhere In this Condition, the insurance provided to such person or organization is excess of any other insurance available to such person or organization. 3. BODILY INJURY— EXPANDED DEFINITION Under DEFINITIONS the definition of bodily injury is deleted and replaced by the following: Bodily Injury means physical injury, sickness or disease sustained by a person, including death, humiliation, shock, mental anguish or mental injury sustained by that person at any time which results as a consequence of the physical injury, sickness or disease. 4. BROAD KNOWLEDGE OF OCCURRENCE/ NOTICE OF OCCURRENCE Under CONDITIONS, the condition entitled Duties in The Event of Occurrence, Offense, Claim or Suit is amended to add the fallowing: A. BROAD KNOWLEDGE OF OCCURRENCE The Named Insured must give the Insurer or the Insurer's authorized representative notice of an occurrence, offense or claim only when the occurrence, offense or claim is known to a natural person Named Insured, to a partner, executive officer, manager or member of a Named Insured, or to an employee designated by any of the above to give such notice. B. NOTICE OF OCCURRENCE The Named Insured's rights under this Coverage Part will not be prejudiced if the Named Insured fails to give the Insurer notice of an occurrence, offense or claim and that failure is solely due to the Named insured's reasonable belief that the bodily Injury or property damage is not covered under this Coverage Part. However, the Named Insured shall give written notice of such occurrence, offense or claim to the Insurer as soon as the Named Insured is aware that this Insurance may apply to such occurrence, offense or claim. S. BROAD NAMED INSURED WHO IS AN INSURED is amended to delete its Paragraph 3. In Its entirety and replace it with the following CNA74879XX (1-15) Policy No: Page 5 of 13 Endorsement No; Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes copyrighted material or Insurance Services Office. Inc., with Its permission. � X33 9 il RWODt.nr "�� General Liability Extension Endorsement 3. Pursuant to the limitations described in Paragraph 4. below, any organization in which a Named Insured has management control: a. on the effective date of this Coverage Part; or b. by reason of a Named Insured creating or acquiring the organization during the policy period, qualifies as a Named Insured, provided that there is no other similar liability Insurance, whether primary, contributory, excess, contingent or otherwise, which provides coverage to such organization, or which would have provided coverage but for the exhaustion of Its limit, and without regard to whether its coverage Is broader or narrower than that provided by this insurance. But this BROAD NAMED INSURED provision does not apply to: (a) any partnership, limited liability company or joint venture; or (b) any organization for which coverage is excluded by another endorsement attached to this Coverage Part. For the purpose of this provision, management control means: A. owning interests representing more than 50% of the voting, appointment or designation power for the selection of a majority of the Board of Directors of a corporation; or B. having the right, pursuant to a written trust agreement, to protect, control the use of, encumber or transfer or sell property held by a trust. 4. With respect to organizations which qualify as Named Insureds by virtue of Paragraph 3, above, this insurance does not apply to: a. bodily Injury or property damage that first occurred prior to the date of management control, or that first occurs after management control ceases; nor b, personal or advertising Injury caused by an offense that first occurred prior to the date of management control or that first occurs after management control ceases. 5, The insurance provided by this Coverage Part applies to Named Insureds when trading under their own names or under such other trading names or doing -business -as names (dba) as any Named Insured should choose to employ. 6. ESTATES, LEGAL REPRESENTATIVES, AND SPOUSES The estates, heirs, legal representatives and spouses of any natural person Insured shall also be insured under this policy; provided, however, coverage is afforded to such estates, heirs, legal representatives, and spouses only for claims arising solely out of their capacity or status as such and, in the case of a spouse, where such claim seeks damages from marital community property, jointly held property or property transferred from such natural person Insured to such spouse. No coverage is provided for any act, error or omission of an estate, heir, legal representative, or spouse outside the scope of such person's capacity or status as such, provided however that the spouse of a natural person Named Insured and the spouses of members or partners of joint venture or partnership Named Insureds are Insureds with respect to such spouses' acts, errors or omissions in the conduct of the Named Insured's business. 7. EXPECTED OR INTENDED INJURY — EXCEPTION FOR REASONABLE FORCE Under COVERAGES, Coverage A — Bodily Injury And Property Damage Liability, the paragraph entitled Exclusions is amended to delete the exclusion entitled Expected or Intended Injury and replace it with the following: This insurance does not apply to: Expected or Intended Injury CNA74879XX (1-15) Policy No: Page 6 of 13 Endorsement No: Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes copyrighted material of Insurance Services office, Inc„ wlth Its pennisslon. ¢. 4 r�llnffr� (,�pf�fi �C �I o rail C/1/A General Liability Extension Endorsement Bodily injury or property damage expected or Intended from the standpoint of the Insured. This exclusion does not apply to bodily injury or property damage resulting from the use of reasonable force to protect persons or property. 8. IN REM ACTIONS A quasi In rem action against any vessel owned or operated by or for the Named Insured, or chartered by or for the Named Insured, will be treated In the same manner as though the action were In personam against the Named Insured. g. INCIDENTAL HEALTH CARE MALPRACTICE COVERAGE Solely with respect to bodily Injury that arises out of a health care Incident: A. Under COVERAGES, Coverage A — Bodily Injury And Property Damage Liability, the Insuring Agreement is amended to replace Paragraphs 1.b.(1) and 1,b.(2) with the following: b. This Insurance applies to bodily injury provided that the professional health care services are incidental to the Named Insured's primary business purpose, and only If: (1) such bodily injury is caused by an occurrence that takes place in the coverage territory. (2) the bodily Injury first occurs during the policy period. All bodily injury arising from an occurrence will be deemed to have occurred at the time of the first act, error, or omission that is part of the occurrence; and B. Under COVERAGES, Coverage A — Bodily Injury And Property Damage Liability, the paragraph entitled Exclusions is amended to: I. add the following to the Employers Liability exclusion: This exclusion applies only if the bodily injury arising from a health care incident Is covered by other liability Insurance available to the Insured (or which would have been available but for exhaustion of Its limits). it. delete the exclusion entitled Contractual Liability and replace it with the following: This insurance does not apply to: Contractual Liability the Insured's actual or alleged liability under any oral or written contract or agreement, including but not limited to express warranties or guarantees. iii, add the following additional exclusions. This insurance does not apply to: Discrimination any actual or alleged discrimination, humiliation or harassment, Including but not limited to claims based on an individual's race, creed, color, age, gender, national origin, religion, disability, marital status or sexual orientation, Dishonesty or Crime Any actual or alleged dishonest, criminal or malicious act, error or omission. MedicarelMedicaid Fraud any actual or alleged violation of law with respect to Medicare, Medicaid, Tricare or any similar federal, state or local governmental program. Services Excluded by Endorsement CNA7487OXX (1-15) Policy No: Page 7 of 13 Endorsement No: Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes copyrighted material ar Insurence services office. Inc., with Its permission. /\ �2—�54 MI-IAI LE At3goDI l- (1LS, rD �2t� CNA General Liability Extension Endorsement Any health care Incident for which coverage is excluded by endorsement. C. DEFINITIONS Is amended to: 1. add the following definitions: Health care incident means an act, error or omisslon by the Named Insured's employees or volunteer workers In the rendering of: a. professional health care services on behalf of the Named Insured or b. Good Samaritan services rendered in an emergency and for which no payment is demanded or received. Professional health care services means any health care services or the related furnishing of food, beverages, medical supplies or appliances by the following providers in their capacity as such but solely to the extent they are duly licensed as required: a. Physician; b. Nurse; c. Nurse practitioner; d. Emergency medical technician; e. Paramedic; f. Dentist; g. Physical therapist; h. Psychologist; 1. Speech therapist; j. Other allied health professional; or Professional health care services does not Include any services rendered in connection with human clinical trials or product testing. It. delete the definition of occurrence and replace It with the following: Occurrence means a health care incident. All acts, errors or omissions that are logically connected by any common fact, circumstance, situation, transaction, event, advice or decision will be considered to constitute a single occurrence; Ill. amend the definition of Insured to: a. add the following: • the Named Insured's employees are Insureds with respect to: (1) bodily injury to a co -employee while in the course of the co -employee's employment by the Named Insured or while performing duties related to the conduct of the Named Insured's business; and (2) bodily injury to a volunteer worker while performing duties related to the conduct of the Named Insured's business; when such bodily injury arises out of a health care incident. • the Named Insured's volunteer workers are Insureds with respect to: CNA7487OXX (1-15) Policy No: Page 8 of 13 Endorsement No: Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes copyrighted material offIInsurance -services Office, Inc., With Its permission. /` /lf- ll'`�B *oT (.jW(� % 12th I"i rP4 It oc a) CNA General Liability Extension Endorsement (1) bodily injury to a oo-volunteer worker while performing duties related to the conduct of the Named Insured's business; and (2) bodily injury to an employee while in the course of the employee's employment by the Named Insured or while performing duties related to the conduct of the Named Insured's business; when such bodily injury arises out of a health care incident. b. delete Subparagraphs (a), (b), (c) and (d) of Paragraph 2.a.(1) of WHO IS AN INSURED. c. add the following: Insured does not include any physician while acting In his or her capacity as such. D. The Other Insurance condition is amended to delete Paragraph b.(1) In its entirety and replace it with the following: Other Insurance b. Excess Insurance (1) To the extent this insurance applies, it is excess over any other Insurance, self insurance or risk transfer Instrument, whether primary, excess, contingent or on any other basis, except for insurance purchased specifically by the Named Insured to be excess of this coverage. 10. JOINT VENTURES I PARTNERSHIP 1 LIMITED LIABILITY COMPANIES WHO IS AN INSURED is amended to delete Its last paragraph and replace it with the following: No person or organization is an Insured with respect to the conduct of any current or past partnership, joint venture or limited liability company that is not shown as a Named Insured in the Declarations, except that If the Named Insured was a joint venturer, partner, or member of a limited liability company and such joint venture, partnership or limited liability company terminated prior to or during the policy period, such Named Insured is an Insured with respect to Its interest in such joint venture, partnership or limited liability company but only to the extent that: a. any offense giving rise to personal and advertising injury occurred prior to such termination date, and the personal and advertising Injury arising out of such offense first occurred after such termination date; b. the bodily injury or property damage first occurred after such termination date; and c, there Is no other valid and collectible insurance purchased specifically to insure the partnership, joint venture or limited liability company. 11. LEGAL LIABILITY— DAMAGE TO PREMISES A. Under COVERAGES, Coverage A— Bodily Injury and Property Damage Liability, the paragraph entitled Exclusions is amended to delete the first paragraph immediately following subparagraph (0) of the Damage to Property exclusion and replace it with the following: Paragraphs (1), (3) and (4) of this exclusion do not apply to property damage (other than damage by fire) to premises rented to the Named Insured or temporarily occupied by the Named Insured with the permission of the owner, nor to the contents of premises rented to the Named Insured for a period of 7 or fewer consecutive days. .A separate limit of insurance applies to Damage To Premises Rented To You as described in LIMITS OF INSURANCE. B. Under COVERAGES, Coverage A — Bodily Injury and Property Damage Liability, the paragraph entitled Exclusions is amended to delete its last paragraph and replace it with the following: CNA74879XX (1-15) Policy No: Page 9 of 13 Endorsement No: Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes copyrighted material of Insurance Services Office, Inc., Mlh its permisslom .nru �� 9P k 1A awl &c17ba- (�� !Z aY at� NA General Liability Extension Endorsement Exclusions c. through n. do not apply to damage by fire to premises while rented to a Named Insured or temporarily occupied by a Named Insured with permission of the owner, nor to damage to the contents of premises rented to a Named Insured for a period of 7 or fewer consecutive days. A separate limit of Insurance applies to this coverage as described In the LIMITS OF INSURANCE Section. C. LIMITS OF INSURANCE is amended to delete Paragraph 6. (the Damage To Premises Rented To You Limit) and replace it with the following: 6. Subject to Paragraph 5. above, (the Each Occurrence Limit), the Damage To Premises Rented To You Limit is the most the Insurer will pay under COVERAGE A for damages because of property damage to: a. any one premises while rented to a Named Insured or temporarily occupied by a Named Insured with the permission of the owner; and b. contents of such premises if the premises is rented to the Named Insured for a period of 7 or fewer consecutive days. The Damage To Premises Rented To You Limit is $200,000. unless a higher Damage to Premises Rented to You Limit Is shown in the Declarations. D. The Other Insurance Condition Is amended to delete Paragraph b.(1)(a)(ii), and replace it with the following: (ii) That is property insurance for premises rented to a Named Insured, for premises temporarily occupied by the Named Insured with the permission of the owner; or for personal property of others In the Named Insured's care, custody or control; E. This Provision 11, does not apply K liability for damage to premises rented to a Named Insured Is excluded by another endorsement attached to this Coverage Part. 12. MEDICAL PAYMENTS A. LIMITS OF INSURANCE Is amended to delete Paragraph 7. (the Medical Expense Limit) and replace it with the following: 7. Subject to Paragraph 5, above (the Each Occurrence Limit), the Medical Expense Limit is the most the Insurer will pay under Coverage C - Medical Payments for all medical expenses because of bodily injury sustained by any one person. The Medical Expense Limit Is the greater of: (1) $15,000 unless a different amount is shown here: ; or (2) the amount shown in the Declarations for Medical Expense Limit. B. Under COVERAGES, Coverage C — Medical Payments, the Insuring Agreement is amended to replace Paragraph 1.a.(3)(b) with the following: (b) The expenses are Incurred and reported to the Insurer within three years of the date of the accident; and 13. NON -OWNED AIRCRAFT Under COVERAGES, Coverage A — Bodily Injury and Property Damage Liability, the paragraph entitled Exclusions is amended as follows: The exclusion entitled Aircraft, Auto or Watercraft is amended to add the following: This exclusion does not apply to an aircraft not owned by any Named Insured, provided that: 1. the pilot in command holds a currently effective certificate issued by the duly constituted authority of the United States of America or Canada, designating that person as a commercial or airline transport pilot; 2, the aircraft is rented with a trained, paid crew to the Named Insured; and Page 10 of 13 dorsement No: Effective Date: Insured Name: Capypghl CNA All Rights Reserved. Includes co�ppyrrIg�htteed material cl Insurance.Sewiceess]O�ffice, Inc„ with Its pennlssion, �� CNA General Liability Extension Endorsement 3. the aircraft is not being used to carry persons or property for a charge. 14. NON -OWNED WATERCRAFT Under COVERAGES, Coverage A — Bodily Injury and Property Damage Liability, the paragraph entitled Exclusions is amended to delete subparagraph (2) of the exclusion entitled Aircraft, Auto or Watercraft, and replace it with the following. This exclusion does not apply to; (2) a watercraft that is not owned by any Named Insured, provided the watercraft is: (a) less than 75 feet long; and (b) not being used to carry persons or property for a charge. 15. PERSONAL AND ADVERTISING INJURY—DISCRIMINATION OR HUMILIATION A. Under DEFINITIONS, the definition of personal and advertising injury Is amended to add the following tort: • Discrimination or humiliation that results in injury to the feelings or reputation of a natural person. B. Under COVERAGES, Coverage B — Personal and Advertising Injury Liability, the paragraph entitled Exclusions is amended to: 1. delete the Exclusion entitled Knowing Violation Of Rights Of Another and replace it with the following: This insurance does not apply to: Knowing Violation of Rights of Another Personal and advertising injury caused by or at the direction of the Insured with the knowledge that the act would violate the rights of another and would inflict personal and advertising Injury. This exclusion shall not apply to discrimination or humiliation that results in injury to the feelings or reputation of a natural person, but only if such discrimination or humiliation is not done intentionally by or at the direction of: (a) the Named Insured; or (b) any executive officer, director, stockholder, partner, member or manager (if the Named Insured Is a limited liability company) of the Named Insured. 2. add the following exclusions: This insurance does not apply to: Employment Related Discrimination discrimination or humiliation directly or indirectly related to the employment, prospective employment, past employment or termination of employment of any person by any Insured. Premises Related Discrimination discrimination or humiliation arising out of the sale, rental, lease or sub -lease or prospective sale, rental, lease or sub -lease of any room, dwelling or premises by or at the direction of any Insured. Notwithstanding the above, there is no coverage for fines or penalties levied or imposed by a governmental entity because of discrimination. The coverage provided by this PERSONAL AND ADVERTISING INJURY —DISCRIMINATION OR HUMILIATION Provision does not apply to any person or organization whose status as an Insured derives solely from • Provision 1. ADDITIONAL INSUREDS of this endorsement; or CNA74879XX (1-15) Policy No: Page 11 of 13 Endorsement No. Effective Date: Insured Name: Copydghl CNA All Rights Roserved, Includes copyriigghtteed mmjjatedal of Insurance Sewlleeeess,{/�Offiice. Inc., with Its perm `i isssion. �/ /VQ "4 P Ii�LN rcL' (1 '17r/'% / �4 l ( XZ -)l CNA General Liability Extension Endorsement • attachment of an additional Insured endorsement to this Coverage Part. 16. PERSONAL AND ADVERTISING INJURY - CONTRACTUAL LIABILITY A. Under COVERAGES, Coverage B —Personal and Advertising Injury Liability, the paragraph entitled Exclusions is amended to delete the exclusion entitled Contractual Liability and replace it with the following: This Insurance does not apply to: Contractual Liability Personal and advertising Injury for which the Insured has assumed liability in a contract or agreement. This exclusion does not apply to liability for damages: (1) that the Insured would have in the absence of the contract or agreement; or (2) assumed in a contract or agreement that is an insured contract provided the offense that caused such personal or advertising injury first occurred subsequent to the execution of such Insured contract. Solely for the purpose of liability assumed in an insured contract, reasonable attorney fees and necessary litigation expenses incurred by or for a party other than an Insured are deemed to be damages because of personal and advertising Injury provided: (a) liability to such parry for, or for the cost of, that party's defense has also been assumed in such Insured contract; and (b) such attorney fees and litigation expenses are for defense of such party against a civil or alternative dispute resolution proceeding In which covered damages are alleged, B. Solely for the purpose of the coverage provided by this paragraph, DEFINITIONS is amended to delete the definition of insured contract in its entirety, and replace it with the following: Insured contract means that part of a written contract or written agreement pertaining to the Named Insured's business under which the Named Insured assumes the tort liability of another party to pay for personal or advertising Injury arising out of the offense of false arrest, detention or Imprisonment. Tort liability means a liability that would be Imposed by law in the absence of any contract or agreement, C. Solely for the purpose of the coverage provided by this paragraph, the following changes are made to the Section entitled SUPPLEMENTARY PAYMENTS — COVERAGES A AND B: 1. Paragraph 2.d. is replaced by the following: d. The allegations in the suit and the information the Insurer knows about the offense alleged in such suit are such that no conflict appears to exist between the interests of the Insured and the interests of the Indemnitee; 2. The first unnumbered paragraph beneath Paragraph 2.f.(2)(b) Is deleted and replaced by the following So long as the above conditions are met, attorneys fees Incurred by the Insurer in the defense of that indemnitee, necessary litigation expenses incurred by the Insurer, and necessary litigation expenses incurred by the Indemnitee at the Insurer's request will be paid as defense costs. Notwithstanding the provisions of Paragraph e.(2) of the Contractual Liability exclusion (as amended by this Endorsement), such payments will not be deemed to be damages for personal and advertising injury and will not reduce the limits of insurance. D. This PERSONAL AND ADVERTISING INJURY - LIMITED CONTRACTUAL LIABILITY Provision does not apply if Coverage B —Personal and Advertising Injury Liability is excluded by another endorsement attached to this Coverage Part. GNA7487OXX (1-15) Policy No: Page 12 of 13 Endorsement No: Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes, copyrighted material of Insurance Services office, Inc., with Its permission. &wvx2GIH Zy GA &ZtAf t fZ- 46,,-o&+ rt% t 5 Jfi) CNA General Liability Extension Endorsement 17. PROPERTY DAMAGE —ELEVATORS A. Under COVERAGES, Coverage A — Bodily Injury and Property Damage Liability, the paragraph entitled Exclusions is amended such that the Damage to Your Product Exclusion and subparagraphs (3), (4) and (6) of the Damage to Property Exclusion do not apply to property damage that results from the use of elevators. B. Solely for the purpose of the coverage provided by this PROPERTY DAMAGE — ELEVATORS Provision, the Other Insurance conditions is amended to add the following paragraph: This insurance is excess over any of the other insurance, whether primary, excess, contingent or on any other basis that Is Property insurance covering property of others damaged from the use of elevators. 18. SUPPLEMENTARY PAYMENTS The section entitled SUPPLEMENTARY PAYMENTS — COVERAGES A AND B is amended as follows: A. Paragraph 1.b. is amended to delete the $250 limit shown for the cost of ball bonds and replace it with a $5,000. limit; and B. Paragraph i.d. is amended to delete the limit of $250 shown for daily loss of earnings and replace it with a $1,000. limit. 19. UNINTENTIONAL FAILURE TO DISCLOSE HAZARDS If the Named Insured unintentionally fails to disclose all existing hazards at the inception date of the Named Insured's Coverage Part, the Insurer will not deny coverage under this Coverage Part because of such failure. 20. WAIVER OF SUBROGATION - BLANKET Under CONDITIONS, the Transfer Of Rights Of Recovery Against Others To Us Condition is amended to add the following: The Insurer waives any right of recovery the Insurer may have against any person or organization because of payments the Insurer makes for Injury or damage arising out of: 1. the Named Insured's ongoing operations; or 2, your work Included In the products -completed operations hazard. However, this waiver applies only when the Named Insured has agreed in writing to waive such rights of recoveryin a written contractor written agreement, and only if such contract or agreement: 1. is in effect or becomes effective during the term of this Coverage Part; and 2. was executed prior to the bodily injury, property damage or personal and advertising injury giving rise to the claim. All other terms and conditions of the Policy remain unchanged. This endorsement, which forms a part of and is for attachment to the Policy Issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated in said Policy, unless another effective date is shown below, and expires concurrently with said Policy. CNA74879XX (1-15) Policy. No: Page 121 of 13 Endorsement No; Effective Date: Insured Name: Copyright CNA All Rights Reserved. Includes copyrighted material of Insurancei �Services office, Inc., vdlh its permssloon`. (� (4•&-VC`� AUTOMOBILE ADDITIONAL INSURED & WAIVER Or SUBROGATION 1. Who Is An Insured The following are "insureds": a. You for any covered "auto'. b. Anyone else while using with your permission a covered "auto" you own, hire or borrow except: (1) The owner or anyone else from whom you hire or borrow a covered `auto". This exception does not apply if the covered "auto" is a "trailer" connected to a covered "auto" you own. (2) Your "employee" if the covered "auto" is owned by that "employee" or a member of his or her household. (3) Someone using a covered "auto" while he or she is working in a business of selling, servicing, repairing, parking or storing "autos" unless that business is yours. (4) Anyone other than your "employees", partners (if you are a partnership), members (if you are a limited liability company), or a lessee or borrower or any of their "employees", while moving property to or from a covered "auto". (5) A partner (if you are a partnership), or a member (if you are a limited liabi[try company) for a covered "auto" owned by him or her or a member of his or her household. c. Anyone liable for the conduct of an "insured" described above but only to the extent of that liability. Provides "additional insured" status 5. Transfer Of Rights Of Recovery Against Others To Us If any person or organization to or for whom we make payment under this Coverage Foran has rights to recover damages from another, those rights are transferred to us. That person or organization must do everything necessary to secure our rights and must do nothing after "accident" or "loss" to impair them. Policy automaticallypecmits "waiver of subro¢ation ilE�l ,1�LNt(.e' i7e�vt�t �C !7 a� G! Business Auto Policy MGT of America Consulting, LLC Policy 2093563501 SECTION IV—BUSINESS AUTO CONDITIONS The following conditions apply in addition to the Common Policy Conditions; A. Less Conditions 1. Appraisal For Physical Damage Loss If you and we disagree on the amount of 'loss,' either may demand an appraisal of the'loss,' In this event, each party will select a competent appraiser. The two appraisers will select a competent and Impartial umpire. The appraisers will state separately the actual cash value and amount of 'loss.' I1 they fall to agree, they will submit their differences to the umpire. A decision agreed to by any two will be binding. Each party will: a. Pay Its chosen appraiser; and b. Bear the other expenses of the appraisal and umpire equally. It we submit to an appraisal, we will Still retain our right to deny the claim, 2. Duties In The Event Of Accident, Claim, Suit Or Loss We have no duty to provide coverage under this Policy unless there has been full compliance with the following duties: a. In the event of 'accident,' claim, 'suiP or loss,' you must give us or our authorized representative prompt notice of the 'accident' or 'loss.- Include: (1) How, when and where the 'accident' or 'loss' occurred; (2) The lnsured's' name and address; and (3) To the extent possible, the names and addresses of any Injured persons and witnesses. b. Additionally, you and any other Involved insured' must: (1) Assume no obligation, make no payment or Incur no expense without our consent, except at the 'insured's' own cost. (2) Immediately send us copies of any request, demand, order, notice, summons or legal paper received concerning the claim or 'suit.* (3) Cooperate with us in the investigation or settlement of the claim or defense against the'sult.' (4) Authorize us to obtain medical records or other pertinent Information. (5) Submit to examination, at our exponse, by physicians of our choice, as often as We reasonably require. c. If there Is 'loss' to a covered 'auto' or its equipment you must also do the following: CA 00 0103 06 (1) Promptly notify the police It the covered 'auto' or any o1 Its equipment Is stolen. (2) Take all reasonable steps to protect the covered 'auto' from further damage. Also keep a record of your expenses for consideration in the settlement of the claim. (3) Permit us to inspect the covered 'auto' and records proving the 'loss' before Its repair or disposition. (4) Agree to examinations under oath at our request and give us a signed statement of your answers. 3. Legal Action Against Us No one may bring a legal action against us under this Coverage Form until: a. There has been full compliance with all the terms of this Coverage Form; and b. Under Liability Coverage, we agree in writing that the 'insured' has an obligation to pay or until the amount of that obligation has finally been determined by judgment after trial. No one has the right under this policy to bring us into an action to detarmine the 'Insureds' liability. 4. Loss Paymwd—Physical Damage Coverages At our option we may: a. Pay for, repair or replace damaged or stolen property; b. Return the stolen property, at our expense. We will pay for any damage that results to the 'auto' from the theft; or o. Take all or any part of the damaged or stolen property at an agreed or appraised value. ff we pay for the loss; our payment will Include the applicable sales tax for the damaged or stolen property. 6. Transfer Of Rights Of Recovary Against Others To Us If any person or organization to or for whom we make payment under this Coverage Form has rights to recover damages from another, these rights are transferred to us. Thal person or organization must do everything necessary to secure our rights and must do nothing after 'accident' or'loss' to impafrihem, B. General Conditions 1. Bankruptcy Bankruptcy or insolvency of the 'insured' or the 9nsurod's' estate will not relieve us of any obligations underthis Coverage Form, 2. Concealment, Misrepresentation Or Froud This Coverage Form is vold In any case of fraud by you at anytime as It relates to this Coverage Copyright, 180 Ptopertl_e 1 Inc„ 2005 Pago 7 of 11 Al? (FcGwc `5L ry�//fg'Z'9/ E&Wr LC tA%eD1,q (1% / V e -r2 r j WORKERS COMPENSATION AND EMPLOYERS LIABILITY INSURANCE POLICY WC 00 03 13 (Ed. 4-84) WAIVER OF OUR RIGHT TO RECOVER FROM OTHERS ENDORSEMENT We have the right to recover our payments from anyone liable for an Injury covered by this policy. We will not enforce our right against the person or organization named in the Schedule. (This agreement applies only to the extent that you perform work under a written contract that requires you to obtain this agreement from us.) This agreement shall not operate directly or indirectly to benefit anyone not named in the Schedule, Schedule ANY PERSON OR ORGANIZATION ON WHOSE BEHALF YOU ARE REOUIRED TO OBTAIN THIS WAIVER OF OUR RIGHT TO RECOVER FROM UNDER A WRITTEN CONTRACT OR AGREEMENT. NOT APPLICABLE IN KANSAS. This endorsement changes the policy to which it is attached and Is effeotive on the date Issued unless otherwise stated. (The Information below is required only when this endorsement is Issued subsequent to preparation of the policy.) Endorsement Effective 07./01/2016 PolicyNo, 3011086712 (all other�ndorsement No. Insured MGT of America Consulting, LLC Premium$ Insurance Company Valley Forge Ins. Co. Countersigned by _. y e �i� WC 00 03 13 (Ed. 4-84) Copyright 1983 National Council on Compensallon Insurance. n ✓�G (,�Lt �t C e' �(iote�(q /PCS t7 21, CNA CNA PARAMOUNT Changes - Notice of Cancellation or Material Restriction Endorsement This endorsement modifies Insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART EMPLOYEE BENEFITS LIABILITY COVERAGE PART LIQUOR LIABILITY COVERAGE PART OWNERS AND CONTRACTORS PROTECTIVE LIABILITY COVERAGE PART PRODUCTS/COMPLETED OPERATIONS LIABILITY COVERAGE PART RAILROAD PROTECTIVE LIABILITY COVERAGE PART STOP GAP LIABILITY COVERAGE PART TECHNOLOGY ERRORS AND OMISSIONS LIABILITY COVERAGE PART SPECIAL PROTECTIVE AND HIGHWAY LIABILITY POLICY- NEW YORK DEPARTMENT OF TRANSPORTATION SCHEDULE Number of days notice (other than for nonpayment of premium): 030 Number of days notice for nonpayment of premium: 10 Name of person or organization to whom notice will be sent: City of Santa Ana - 20 Civic Enter Plaza (M-30) Address: P.O. Box 1988 Santa Ana, , CA 92702-1988 If no entry appears above, the number of days notice for nonpayment of premium will be to days, It Is understood and agreed that In the event of cancellation or any material restrictions In coverage during the policy period, the Insurer also agrees to mail prior written notice of cancellation or material restriction to the person or organization listed In the above Schedule. Such notice will be sent prior to such cancellation in the manner prescribed in the above Schedule. All other terms and conditions of the Policy remain unchanged. This endorsement, which forms a part of and is for attachment to the Policy Issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated In sold Policy, unless another effective date Is shown below, and expires concurrently with said Policy. CNA74702XX(1-15) PoIlcyNo; 5095130327 Page 1 of 1 Endorsement No: 64 AMERICAN CASUALTY CO OF READING,PA Effective Date: 07/01/2016 Insurad Name:MGT OF AMERICA, INC. Csp9d9sl CNA ja R''gnls Rommd. / n MGT of America Consulting, LLC P011cy 3011086788 • CA G -19160-D (Ed. 11197) WORKERS' COMPENSATION AND EMPLOYERS' LIABILITY INSURANCE POLICY BLANKET WAIVER OF OUR RIGHT TO RECOVER FROM OTHERS This endorsement changes the policy to which it Is attached, It Is agreed that part One Workers' Compensation Insurance G. Recovery From Where and Part Two Employers' Llebllity Insurance H, Recovery From Others are amended by adding the toiloWing; We will not enforce our right to recover against persons or organizations. (This agreement applies only to the extent that you perform work undera written contract that requires you to obtain this agraemant from us.) PREMIUM CHARGE - The charge will be an amount to which you and we agree that la a percentage of the total standard premium for California expoeure, The amount Is G-19160-9 (Ed, 11197) Pags 1 of 1 I CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this 19i° day of September, 2017, by and between MGT of -America Consulting, LLC ("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 City desires to retain a consultant having special skill and knowledge in the field of preparing applicable State Mandated Cost Reimbursement claims in order to maximize revenue to the City. B. Consultant has previously provided these services to the City's Public Works Agency under Agreement No. A-2016-199, which expired on August 2, 2017. Consultant has continued to provide such services after this date under the same terms and conditions, and will complete them under this Agreement. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform the remaining balance of the services described in Exhibit A to this Agreement, which include the following: (a) Review and Reconciliation of Fiscal Year 2013/2014 Indirect Cost Rate Proposal and Cost Allocation Plan; (b) Development of Fiscal Year 2014/2015 Indirect Cost Rate Proposal and Cost Allocation Plan; and (c) Development of Fiscal Year 2015/2016 Indirect Cost Rate Proposal and Cost Allocation Plan. 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. A. The total sum to be expended under this Agreement shall not exceed the original 545,125 -allocated for the services under Agreement No. A-2016-199. 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. On separate approval by the City, payment will be made on all proper invoices evidencing work performed upon expiration of Agreement No. A-2016-199 through the start date of this Agreement in section 3 below. 3. TERM This Agreement will commence on the date first written above and will terminate on September 18, 2018, unless terminated earlier in accordance with Section 15, below. The term of the Agreement may be extended for one 1 -year period upon a writing executed by the City Manager and City Attorney. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire tern 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, ajoint venture relationship, or to allow the City to exercise discretion or control over the 29'-iV 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. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles, as applicable to Consultant's use of automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: 2 25H-38 G) 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. 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 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 I of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement, to the extent that the injury, damages, just compensation, restitution, judicial or equitable relief is caused by the negligence of the Consultant. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. In no case will Consultant be required to indemnify or hold harmless the City from injury, damages, just compensation, restitution, judicial or equitable relief caused by negligence of the City. S. 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. 3 25H-39 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714-647-6956 With courtesy copies to: Executive Director— Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax 714-647-5622 To Consultant: MGT of America Consulting, LLC 516 North Adams Street Tallahassee, FL 32301 Fax 850-385-4501 and 2251 Harvard Street, Suite 134 Sacramento, CA 95815 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 25H-40 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 ANIEWNIENT 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 othenvise, 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 TEP-MINATION 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. 16. NONDISCRIMINATION 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. 5 25H-41 IS. 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 pen -nits, 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 Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: John W Funk Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA AMA CYNTHIA J. KURTZ Interim City Manager CONSULTANT Name: Title: 25H-42 MGT Scwrarm f« 2251 Harnri. Stra,&r Su+ -N 134 5a r�CA 45'31.15 jv. ?1'e.5?5.264/0 W'MN• w«J I�jQ•�xtP'.GHCUYN July 11, 2016 EXHIBIT A MGT OF ANIERICA, INC. Ms. Margaret Mercer Administrative Services Manager Public Works Agency — Admin. Svcs. City of Santa Ana (714)647-5050 Subject. PW Hourly Rate Calculation Services Dear Ms. Mercer. We appreciate the opportunity to provide you with our proposal to develop hourly billing rates For Public Works staff members. Below is a summary of our proposal: Project Description: Annually, prepare hourly billing rates for reimbursement for selected PW staff members (requires two steps: 1 - prepare an allocation of PW administrative costs from 601 to 611/612 and then analyze the indirect vs. direct hours of 611/612 staff members) and 2 - calculate billable hour rates for staff in 611 and 612. Part A: 2013/2014 Year: Project Budget - $11,000 1) Calculate an actual 13/14 Indirect Cost Rate for 611/612: $6,000 2) Calculate actual 13/14 billing rates for staff in 6111612: $5,000 Part B: 2014/2015 Year - Proiect Budget: $13,500 1) Meet/Train city PW staff on the methods of time keeping, billing and assumptions used in the development of the indirect rate and billing rates: ($1.000) 2) Calculate actual 14/15 Indirect Cost Rate for 611/612: $6,000 . Also: meet with OCTA and discuss the project going forward 3) Calculate actual 14115 billing rates for staff in 611/512: 55,000 plus actual travel expenses: Est $1,500 25H-43 MGT OF AMERICA, III C. Part C: Project Budaet:201512016 Year • $12,500 1) Calculate actual 15/16 Indirect Cost Rate for 511/612: $6,000 check in with staff to make sure data assumptions are correct 2) Calculate actual 15/16 billing rates for staff in 611/612: 55,000 plus actual travel expenses Est $1,500 Please call me at 916.595.2646 if you have any questions. We look forward to working with you and your staff on this project. Sincerely, J Bradley Burgess J. Bradley Burgess Executive Vice President MGT of America. LLC bburoess d)mgtamer.com 25H-44 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE AGREEMENT WITH NV5 GLOBAL, INC., FOR CONSTRUCTION ENGINEERING SERVICES FOR THE WALNUT PUMP STATION BUILDING UPGRADE PROJECT (PROJECT NO. 11-6412) {STRATEGIC PLAN NO. 69 1C) OfY MANAGER 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 Authorize the City Manager and the Clerk of the Council to execute an agreement with NV5 Global, Inc., to provide Construction Engineering Services for the Walnut Pump Station Building Upgrade project for a two-year term beginning September 19, 2017, and expiring on September 18, 2019, with provisions for a one-year extension exercisable by the City Manager and City Attorney, for a total amount not to exceed $180,000 over the entire life of the agreement, including any renewal period, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency oversees construction for capital improvement projects. Approval of Construction Engineering Services for the Walnut Pump Station Building Upgrade project is recommended to augment staff and properly manage construction, meet agency goals, and deliver the projects in a cost effective and timely manner. The Walnut Pump Station is located north of Santa Ana High School near First Street and Flower Street (Exhibit 1). This facility is integral to the City's potable water distribution system and is vital in ensuring safe and reliable drinking water for city residents. The Walnut Pump Station project is currently under construction and has a construction value of $3.6 million. Improvements include pump station building enclosures, piping, plumbing, structural, mechanical, and electrical work. Once completed, the Walnut Pump Station will provide reliable water supply to the City, and facility modernizations will enhance the aesthetics of the surrounding area. 251-1 Agreement with NV5 Global, Inc., for Construction Engineering Services September 19, 2017 Page 3 FISCAL IMPACT Funding in the amount of $180,000 for the Walnut Pump Station Building Upgrade project is available in the Water Capital Projects Fund (Account No. 06617647-66301, Project No. 11-6412) for expenditure as follows: 2017-18 $162,000 2018-19 $18,000 TOTAL: 1 $180,000 APPROVED AS TO FUNS & ACCOUNTS: -F:0Iz . Fred Mousavipour 'Execu've r � c sco Gutierrez Executive Director Director Public Works Agency Financed Management Services Agency FM/EWG/TC/MG Exhibits: 1. Location Map — Walnut Pump Station 2. Agreement — NV5 Global, Inc. 251-2 001"I IE*PT I of ArrnnI SANTA ANA City Council Award Agreement for Construction p� J Agenda Date Engineering Services for Walnut Pump PUSUMoa.S.GMY Septemberlg, 2017 Station Building Upgrade 251-4 AGREEMENT TO PROVIDE CONSTRUCTION ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 19'h day of September, 2017 by and between NVS Global, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On March 20, 2017, the City issued Request for Proposal No. 17-034, by which it sought Contractors to provide construction engineering services for the Walnut Pump Station Building Upgrade and San Lorenzo Sewage Lift Station projects being completed by the City of Santa Ana Public Works Agency. B. Contractor submitted a responsive proposal that was among those selected by the City to provide services for the Walnut Pump Station project only. Contractor represents that it is able and willing to provide the. services described in the scope of work that was included in RFP No. 17-034 and attached as Exhibit A to this Agreement. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will beperformed in compliance with such standards as may reasonably be expected from a professional contracting fine in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall perform those services for the Walnut Pump Station that are described in Exhibit A to this Agreement. Contractor's proposal is incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under the term of this Agreement shall not exceed $180,000, including any extension periods. 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 Exhibit 2 291t performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall continence on September 19, 2017 and terminate on September 18, 2019, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for one (1) one-year extension upon a writing executed by the City Manager and the City Attorney. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance 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 Contractor under this Agreement ("Documents & Data"). Contractor 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. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor 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. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor 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 Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the CITY, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the CITY; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor 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. 2 1 (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) Contractor shall supply City with a fully executed additional insured endorsement. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to famish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, 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 Contractor or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; 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 Contractor 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. Notwithstanding the foregoing, to the extent Contractor'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 of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor 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 Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor 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. Contractor 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 Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services. Conflicts may be further specified in Certifications — Exhibit C, attached hereto and incorporated in this Agreement, by reference. 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 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 21'19 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 Fax: 714-647-5635 To Contractor: NV5 Global, Inc. 15092 Avenue of Science, Suite 200 San Diego, CA 92128 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. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor 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. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement 2p 10 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. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, relation, 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 or in connection with any activities under this Agreement. Contractor 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. 19. 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 maybe brought or arise out of, in connection with or by reason of this Agreement. 2Pape 7 51-11 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: S — Jo i M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA CYNTHIA J. KURTZ Interim City Manager CONTRACTOR Name: Title: Pa e8of8 251-12 Exhibit A Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR CONSTRUCTION ENGINEERING SERVICES FOR WALNUT PUMP STATION BUILDING UPGRADE AND SAN LORE, NZO SEWAGE LIFT STATION RFP NO.: 17-034 Introduction and Background: The City desires to engage a professional consultant to perform construction engineering services for the Walnut Pump. Station Building Upgrade and the San Lorenzo Sewage Lift Station projects. The consultant shall provide two individuals to act as a Project Manager and a Project Engineer, and serve as an extension of City staff to assist the City in managing construction, ensure that the work to be completed in, accordance with the contract documents and report directly to the City's Construction Manager or his authorized representative. City staff will manage the construction of the projects and oversee the work of the Project Manager and the Project Engineer. The Walnut Pump Station Building Upgrade project is currently under construction at a construction cost of $3.6 million; the project construction completion is scheduled for spring 2018. A separate project is the San Lorenzo Sewage Lift Station at an estimated construction cost of $5.9 million which the City anticipates advertising for construction bids in fall 2017, and starting construction by summer 2018. Total constriction duration for the two projects is 36 months. Description of Work: The required services by the Project Manager and the Project Engineer shall include, but not be limited to, the following: 1. The Project Manager may be a registered engineer in the State of California and shall represent the City Construction Manager in the field. 2. Attend pre -constriction meeting. May schedule and conduct weekly construction and progress meetings to discuss such matters as procedures, progress, problems and scheduling. May prepare and promptly distribute minutes. 3. May review construction schedule, including activity sequences and duration, schedule of submittals and schedule of delivery for products with long lead-time. Update the project schedule as required to show current conditions and revisions required by actual progress. City of Sa aa�FP 17-034 4. May conduct comprehensive evaluation of change order requests, provide independent estimates, render recommendations and assist in claim resolution. 5. Monitor the contractor's safety program. Take necessary steps to ensure the job site conditions are in compliance with OSHA regulations. 6. Maintain cost accounting records on authorized work performed under unit costs and additional work performed on the basis of actual costs of labor and materials, or other work requiring accounting records. 7. May develop and implement procedures for the review and processing of _ applications by contractor _for _progress _ and_ final _ payments. Make recommendations for certification to the City for payment. 8. Determine that the work of contractor is being performed in accordance with the contract documents. Make recommendations to the City regarding special inspection or testing of work not in compliance with the provisions of the contract documents. Subject to review by the City, reject work which does not conform to the requirements of contract documents. 9. The individuals (Project Manager and Project Engineer) shall not be responsible for construction means, methods, techniques, sequences and procedures employed by the contractor in the performance of the contract, and shall not be responsible for the failure of the contractor to carry out work in accordance with the contract documents. However, any errors, omissions, or discrepancies found in the Contract Documents shall be called to the attention of the Construction Manager and clarified prior to construction starts. 10. Consult with the City when the contractor requests interpretations of the meaning and intent of the drawings and specifications, and assist in achieving the resolution of problems which may arise. 11. Record the progress of the project. Submit written daily and progress reports to the City. Keep daily logs containing a record of weather, contractor's work on the site, number of workers, work accomplished, problems encountered, and other relevant data. Make the log available to the City. Prepare and send Weekly Statement of Working Days to the contractor. Monitor contractor's compliance with labor code requirements. 12. Maintain (at the job site) records of contract documents including drawings, addenda, change orders, and other modifications of plans and specifications marked to show all changes made during construction. Maintain as -built records of underground utilities, including locations and depths of trenches. At the completion of the project, deliver to the City all contract documents including as - built records. City of Santa Ana RFP 17-034 ftMA d. ,UI.124 13. Evaluate the completion of the work of the contractor and make recommendations to the City when work is ready for final inspection. Assist the City in conducting final inspections. 14. Facilitate and coordinate inspection by representatives of other agencies. 15. Schedule and coordinate special inspection and material testing with the County of Orange or other consultants. City Responsibilities: 1. Provide a testing laboratory for special inspection and material testing and other quality assurance program as required by the contract documents. 2. Process progress payments upon receipt of approved payment requests from the resident engineer/inspector. 3. Furnish copies of construction documents, including plans and specifications. 4. Communicate with other consultant to review shop drawings and submittals, respond to requests for information and revise plans if needed. 5. Provide a field office for the Project Manager and the Project Engineer. Tee Proposal: In addition to Section III.B.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured as follows: The cost proposal must include the projected staff hours, hourly rates, unit prices and reimbursable expenses for the project, as follows: [I] Itemized estimated breakdown for services for construction engineering services for the duration of construction. a. Personnel costs - Itemized to show the following: 1. Personnel by classification/responsibilities. 2. Hourly rate for each classification. 3. Estimated hours for each personnel category. 4. Subtotal cost for each category. City of Santa Ana RFP 17-034 5. Total estimated personnel cost. The estimated construction duration stated above is for the purpose of cost estimate only. The length of time requiring Consultant's services will be dependent on the construction progress. For services under this category, the Consultant shall be paid according to hourly rates set forth herewith and the actual hours of service. b. Estimated reimbursable Expenses: 1. Costs of supplies and materials (itemized). 2. Travel - Transportation and per diem or subsistence listed separately, if any. 3. Any other direct charges. 4. Total estimated reimbursable expenses. For services under this category, the Consultant shall be paid according to the rates set forth herewith and the actual reimbursable expenses. c. Subtotal of a and b. [II] Contingency services for each month after the original construction contract time: Services under this category will be provided when requested by the City, and the Consultant shall be paid according to hourly rates set forth herewith and the actual hours of service. For the purpose of comparison, each proposer shall use the same number of hours: 1,000 hours for the Project Manager and the Project Engineer. The subtotal of this category shall be calculated as follows: Proposed Hourly Rate Hours Total Project Manager $ /Hr. 1,000 Project Engineer $ /Hr. 1,000 City of Santa Ana RFP 17-034 � g116 W Q U) Z o W Q Q � N U 0 V/ L _ OaoZ r0 O�� N U N CLL W W LL 251-17 vN000 w O OOaVO V M A IT of N OOQ O I.: M � N L6 r O A d (A fA � ` A Vj fA f9 00 o LiILI e» w » V W Y ~ V N O LL 10 M N T n Q f � y n LU Com) Cli a en +d cr m 2 H U N C d Z O a � m Y E Z N U W W F W Y - a (A tV d C U a m V N II U d o ,COf a to L U O IL O W d N C C N C O C N lL G oIL V N l7 N 7 N C u U U) ` N G ` ry p W a a C C V N :° C :° O U ' O o o 0 0 3 a0i � ` ayyi a a U U N..2 d a '� ti d 0 er N- o= II 3 O O p j S II N0 N 0 2 W a aw�15a`a`v1UCiCLf/) a a 0 Z o 0 0 Y r Cl th H 251-17 Exhibit C 3-1 NON -COLLUSION AFRDAVIT Appendix ATTACHMENT 3.1; NON -COLLUSION AFFIDAVIT CERTIFICATIONS 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 Coda Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the Interest of, or an behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid Is gamine 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 fican 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 ane; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or nay 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 pmt of the Proposal. Signing this Proposal on the signature portion thereof shat also constitute signature of this Non -collusion Affidavit. BIDDERS are cautioned that making a false certifrlonation may��subjeect the certifier to criminalproseoutim. Signed Aw ! / J( 17ayta IyIlenek State of California County of Orange Subsodbed end sworn to (or affirmed) before me on this S day of f� rs( it . 201 by afore Ni kn.f5 proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me, 77cA+ Notary Public Signature Notary Public Sent Walnut Pump Station and San Lorenzo Sewage Lift Station I City of Santa Ana City of Santa Ana RFP Page AM 251-18 )h NATHAN LOPEZ Commission # MGM z -m e, Notary Mile - California orange County M Comm. Ex Ires se 2a 201C+ 23 CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202 - a�S gSee Attached Document (Notary to cross out lines 1-6 below) ❑ See Statement Below (Lines 1-6 to be completed only by document slgner[s], not Notary) Signature of Document Signer No. 1 Signature of Document Signer No. 2 (it any) A notary public or other officer completing this certificate verifles 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 Q(_`P e Subscribed and sworn to (or affirmed) before me on this day of —Ae(r , 20 I by Date Month Year \ (and (2) ), Name(s) of Signer(s) proved to me on the basis of satisfactory evidence SIARNOZ -~� NATHANLOPEZ to be the person(s) who appeared before me. + Cammisslan # 2128413 $ `ds Notary Public • California Orange County Signature My Comm. Ex Ires Se 2p 8, 201 g Signature of Notary'P eo Seal Place Notary Seal Above OPTIONAL Though this section is optional, completing this Information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document Al.,N Title or Type of Document: -rri�w5idn /-% (cb 04' Document Date: 411105-6"Y7 Number of Pages: __L Signer(s) Other Than Named Above: :ca:xaxx:��c:csusvgvevsr�cs;.c�,�u�.s�;�r,gcccssw:c¢aco�c�.�:�c.�ecw�ca ©2014 National Notary Association • www.NatlonalNotary.org - 1 -800 -US NOTARY (1-800-876-6827) Item 65010 Walnut Pump Station and San lorenm Sewage Lift Station I City of Santa Are 24 251-19 63-2 NON -LOBBYING '' ..+4, A 1.5 AD Appendix ATTACHMENT 3-2; NON -LOBBYING CERTIFICATION CERTIFICATIONS The prospective participant certifies, by signing and submitting this bid or proposal, 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 federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of say 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 intluenoe any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty ofnot 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 tlutt 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 NV5, Inc. Signed and Printed Name: �RK� David Niknafs, PE Title Director of Operations Date 4/13/17 Wahmt Pimp Station and San Lorenzo Sewage lift Station I City of Santa Ana City of Santa Ana RFP Page A3-2 251-20 25 3-3 NON-DISCRIMINATION .Tr 1F. f I_.... _ » e Appendix ATTAC=, NT 3-3; NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS 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; a 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 g' 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 I. regard to race, color, religion, sex, or national origin. e 3. Ilia 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 x employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the niles, regulations, and relevant orders of the Secretary of Labor, t a. 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 tiny of the said rules, 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 involved as provided in Executive Order 11246 of September 24, 1965, or by tide, 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 e. Walnut Pnmp Station and San Lorenzo Sewage Lilt Station I City of Santa Ana City of Santa Ana RFP Page A" 251-21 26 by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a sub -consultant or vendor as a result of such direction by the administering agency, the Consultant may requast that the United States enter into such litigation to protect the interests of the United States. 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: �M//� Title: Director of Operations Finn: NV5, Inc. Date: 04/13/17 City of Santa Ana RFP Page A3-4 251-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED APPROVE PURCHASE AGREEMENT FOR ❑ As Recommended REAL PROPERTY ACQUISITION FOR [I As Amended El Ordinance on Reading BRISTOL STREET IMPROVEMENTS PHASE E]2n Ordinance on 2nd Reading 3A (PROJECT NO. 136792 NON -GENERAL ❑ Implementing Resolution FUND) ❑ Set Public Hearing For (STRATEGIC PLAN NOS. 6, 1G 3, 2C) MANAGER CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute purchase agreement of the property listed below with the following property owner, subject to nonsubstantive changes approved by the City Manager and City Attorney: No. Property Owner Property commonly known as / location Yolanda G. Ferrer as members for E.R. Ferrer - LLC DISCUSSION uisition Amount 1027 North Bristol Street Full $679,000 (APN 405-274-09) Acquisition Bristol Street is a north -south transportation corridor 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 that is being constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and bike lanes. The City is acquiring properties for the development of Phase 3A bounded by Civic Center Drive and Washington Avenue. Property acquisitions for this phase are expected to be completed by spring 2018, and construction is anticipated to begin in summer 2018. The acquisition of the property (Exhibit 1) is necessary to accommodate the Bristol Street improvements and widening for Phase 3A. The purchase price was based on the appraised value prepared by a State -licensed appraiser, and the offer was accepted by the property owner. The purchase price for the acquisition listed above is shown in the corresponding agreement (Exhibit 2). 25J-1 Purchase Agreement for Real Property Acquisition Bristol Street Improvements Phase 3A September 19, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy 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 3A, which lies between Civic Center Drive and Washington Avenue, 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 total amount of $679,000 are available in the Bristol Street Improvements Project (No. 136792) for expenditure in FY 2017/2018 as follows: $339,500 in the Select Street Construction Fund (Account No. 05917661-66100) and $339,500 in the Measure M2 Street Construction Fund (Account No. 03217663-66100), subject to nonsubstantive changes. APP VED AS TO FUNDS & ACCOUNTS: r Mous vipour ra cisco Gutierrez Executive Director Executive Director Public Works Agency Finance & Management Services Agency FM/WG/JG/KN/ST Exhibits: 1. Location Map 2. Purchase Agreement for APN 405-274-09 25J-2 MATCHUNE SEE BELOW RIGHT 10TH STREET 9TH STREET H W w u y� d I`L £ /rte r V! Z Cn/O� H m a z z CIVIC CENTER DR, LEGEND DSUBJECT PROPERTIES —OUIFEB PEUPEP.TIES WASHINGTON AVENUE EXHIBIT 1 MATCHLINE SEE TOP LEFT SANTA ANA TSE: PURCHASE AGREEMENT FOR — STOL STREET IMPROVEMENTS P VI A - AGENDA DATE; PHCRY COUNCIL I A E 3A PROJECT NO. 36 92 uSEPiEMBER 19, 2017 NONGENERAL FUND) PUBLIC TWS AGENCY [Strategic Plan No. 6, 1, G and 3, Z C] 25J-3 PAGE 1 OF 7 25J-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, Euler R. Ferrer and Yolanda G. Ferrer, as members for E.R. Ferrer — LLC, a California Limited Liability Company (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 1027 N. Bristol Street, Santa Ana CA) (APN: 405-274-09) 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 Commonwealth Title Company at 4100 Newport Place Dr. Suite 120 Newport Beach, California, within thirty (30) 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. 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 Six Hundred Seventy Nine Thousand Dollars ($679,000:00) 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, 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 25J-5 4. Escrow. City agrees to open an escrow at the office of Commonwealth Title Company at 4100 Newport Place Dr. Suite 120 Newport Beach, 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 thirty (30) 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 10 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 Seiler 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 severance damages, the total sum of Six Hundred Seventy Nine Thousand Dollars ($679,000.00). 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) Recordation of the Deed conveying said real property to City. 25J-6 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. a. No later than three (3) days after close of escrow, Seller shall have removed all merchandise, inventory, equipment, personal property, and/or removable trade fixtures from the Property. Any merchandise, Inventory, equipment, personal property, and/or removable trade fixtures at the Property as of three days after close of escrow shall be deemed abandoned by Seller on that date, b. If Seller does not vacate the Property by the above stated date, the Seller agrees to have the Court Immediately Issue a Writ of Possession and/or Assistance, directing the Marshall or Sheriff of Orange County to take physical possession of the Property in favor of the City. Seller waives the right to have the City file an unlawful detainer action, as well as waive the right to any hearing or any requirements for an application by City to obtain the Writ of Possession and/or Assistance and waives any and all rights to object to the issuance of said Writ if Seller does not vacate the Property by three (3) days after close of escrow. 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/360-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. Seiler 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 of the Parties of any breach of any covenant or agreement herein contained on the part of either Parry 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 and includes payment for and severance damages, 13. Acknowledgment of Full Benefits and Release, A. Subject to the terms and conditions of the Agreement for Acquisition of Tenant -Sellers' Interest In Real Property, signed concurrently herewith, 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 25J-7 ("severance damages'); precondemnation damages; claims for Inverse condemnation; loss or Impairment of any "bonus value" attributable to any lease;; 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 Sellers 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 real property and severance damage 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. Under threat of eminent domain, 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. C. Subject to the terms and conditions of the Agreement for Acquisition of Tenant -Sellers' Interest in Real Property, signed concurrently herewith, Seller and Buyer hereby acknowledge that they either have consulted with legal counsel, or had an opportunity to consult with legal counsel, regarding the provisions of the California Civil Code section 1542, which provides as follows: "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." Seller and Buyer acknowledge that they may have sustained damage, loss, costs or expenses which are presently unknown and unsuspected, and such damage, loss, costs or expenses which may have been sustained, may give rise to additional damage, loss, costs or expenses in the future. Nevertheless, Seller and Buyer hereby acknowledge that this Agreement has been negotiated and agreed upon in light of that situation, and hereby expressly waives any and all rights which Seller and Buyer may have under California Civil Code Section 1542, or under any statute or common law or equitable principal of similar effect. This acknowledgment and release shall survive the Close of Escrow. 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 Seiler Is: 7745 Shadyside Way, Eastvale, California 92880. 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, but only 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 25J-8 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 (1) 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), (ll) 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 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. 56901 it 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 sec. (42 U.S.C. 59601). 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. Contingen-e 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. 20. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 21. 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. 22. 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. 23. Governing Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 24. 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. 25J-9 25. 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. 26. 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, 27. 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. 28. 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 one another fully, including reasonable costs and attorney's fees, for any Injuries or damages to the other party in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 29. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. IN WITNESS WHEREOF, the Parties hereto have executed this PSA on the date and year first written above. SELLER: E.R. Ferrer — LLC, a California Limited Liability Company Its: CITY/BUYER City of Santa Ana Cynthia J. Kurtz Interim City Manager ATTEST: Maria D. Hulzar City Clerk APPROVED AS TO FORM: Date: 2017 Date: _ .2017 Date: 2017 25J-10 26. Duty To Cooperate Further, Each party hereby agrees that It shall, upon request of the other, execute and deliver such further documents on 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 terns and conditions of this PSA, without cost. 27. Applicablllty 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. 28. 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 one another fully, including reasonable costs and attorney's fees, for any injuries or damages to the other party in the event that such authority or power is not, In fact, held by the signatory or Is withdrawn. 29. Incorporation of Exhibits, Ali Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. IN WITNESS WHEREOF, the Parties hereto have executed this PSA on the date and year first written above. SELLER: E.R. Ferrer— LLC, a California Limited Liability Company By: —r,� a: Date: 2017 Its: ea, La CITY/BUYER City of Santa Ana Cynthia J. Kurtz Date: 2017 Interim City Manager ATTEST: Maria D. Huizar Data: 2017 City Clerk APPROVED AS TO FORM: John M. Funk Date: 2017 Assistant City Attorney 25J-11 w Nz fi"j JobA M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL: Date: — .2017 Date: 2017 Fred Mousavipour Executive Director Public Works Agency 25J-12 EXHIBIT "A" LEGAL DESRIPTION All that certain real property situated in the County of Orange, State of California, described as follows: Lot 25 of Tract No. 923, in the City of Santa Ana, County of Orange, State of California, as per Map recorded In (rook 29. Page 14 of Miscellaneous Maps, in the office of the County Recorder of said County. Excepting the Westerly 20 feet. Assessor's Parcel Number: 405-274-09 25J-1.3 EXHIBIT "B" (Commonwealth Land Title Company) 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. 25J-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 ABOVE THIS LINE FOR RECORDER'S USE CANCEL TABES X MPROVED AS TO FORM DY ATTY. AN'ROVEDUY DIRECTOR 110CRIPTION WR wBY OESCR[MON CHECRE ox AP. NUMOCR 405-37449 R/W MM NUMOER PRO)CLT NUMBER 1027 N. Bristol SM4 Sano, An. CA 92703 DEEDNUMBER GRANT DEED FOR VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, E.R. Ferrer — LLC, a California Limited Liability Company Do Hereby Grant to the CITY OF SANTA ANA, a charter City and municipal corporation duty organized under the Constitution and laws of the State of California, for public roadway purposes, all that real property in the City of Santa Ana, Orange County, State of California, located at 1027 N. Bristol Street, Santa Ana, CA 92703,described as follows: SEE EXHIBIT "A & A-1" A17ACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF; Dated : E.R. Ferrer — LLC, a California Limited Liability Company Its: 25J-15 25J-16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE TENANT INTEREST PURCHASE AGREEMENT FOR BRISTOL STREET IMPROVEMENTS PHASE 3A (PROJECT NO. 136792, NON -GENERAL FUND) (STRATEGIC PLAN NOS. 6, 1G & 3,2C) C � MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute a purchase agreement of Tenant Interest in the property listed below and goodwill (if any) with the following property owner, subject to nonsubstantive changes approved by the City Manager and City Attorney: No. Property Owner Property commonly Acquisition Amount known as / location Type General Family Dentistry Tenant 1 E.R. Ferrer- LLC 1027 North Bristol Street Interest $311,000 (APN 405-274-09) DISCUSSION Bristol Street is a north -south transportation corridor 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 that is being constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and bike lanes. The City is acquiring properties for the development of Phase 3A bounded by Civic Center Drive and Washington Avenue. Property acquisitions for this phase are expected to be completed by spring 2018, and construction is anticipated to begin in summer 2018. The acquisition of the tenant interest (Exhibit 1) is necessary to accommodate the Bristol Street improvements and widening for Phase 3A. The above listed tenant agreed to quitclaim all of their tenancy interest, including loss of goodwill, for the listed purchase price. Purchase price was based on the appraised value determined by a State -licensed appraiser, and the offer was accepted by the respective tenant -seller. The purchase price for the acquisition listed above is shown in the corresponding agreement (Exhibit 2). 25K-1 Tenant Interest Purchase Agreement for Bristol Street Improvements Phase 3A September 19, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy 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 3A, which lies between Civic Center Drive and Washington Avenue, 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 $311,000 are available in the Bristol Street Improvements Project (No. 136792) for expenditure in FY 2017/2018 in the Select Street Construction Fund (Account No. 05917661-66100), subject to nonsubstantive changes. APPROVED AS TO FUNDS & ACCOUNTS: Ape;` ver, Fred Mousavipour Fr iso Gutierrez Execut Executive Director Finance ctor &Management Services Agency Public Works Agency Finance FM/WG/JG/KN/ST Exhibits: 1. Location Map 2. Tenant Interest Purchase Agreement for APN 405-274-09 25K-2 lm MATCHLINE SEE BELOW RIGHT 10TH STREET 9TH STREET CIVIC CENTER DR. LEGEND: il= ��JECL P80PERTIRS -ACCUIREO PROPERTIES WASHINGTON AVENUE EXHIBIT 1 MATCHLINE SEE TOP LEFT SANTA ANA TITLE: PURCHASE AGREEMENT FOR Crr COUNCIL BRISTOL STREET IMPROVEMENTS P W A AGENDA DATE= PHASE 3A (PROJECT NO. 136792 `SEPTEMBER 19, 2017 NONGENERAL FUND) POOLIC WORKS AGUrY (Strategic Plan No. 6, 1, G and 3, 2, C1 25K-3 PAGE 1 OF 1 25K-4 SELL ALL (NO SALVAGE) Project: Bristol Street Improvement Project — Phase 3A APN: 405-274-09 Tenant -Seller: Dr. Euler R. Ferrer Inc. dba General Family Dentistry and E.R. Ferrer - LLC AGREEMENT FOR ACQUISITION OF TENANT -SELLER'S INTEREST IN REAL PROPERTY THIS AGREEMENT ("Agreement'D is entered into as of this _ day of 2017, by and between THE CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California ("Buyer"), and Dr. Euler R. Ferrer: Inc, dba General Family Dentistry and E.R. Ferrer - LLC. a California Limited Liabilitv Company (collectively "Tenant -Seller") for the acquisition by Buyer of certain interests in real property described herein. IT IS HEREBY AGREED BETWEEN THE PARTIES AS FOLLOWS: 1. AGREEMENT. Tenant -Seller agrees to sell and convey to Buyer, and Buyer agrees to purchase and acquire from Tenant -Seller, upon the terms and for the consideration set forth in this Agreement, (a) all right, title and interest, in and to certain improvements, including fixtures and equipment (collectively "Improvements") located in, on, or affixed in any manner to the premises known and numbered as 1027 N Bristol Street, Santa Ana, California ("Premises") which Premises are part of that real property described in Exhibit A attached hereto, located in the City of Santa Ana, Orange County, California ("Property"), and (b) any tenancy interest of Tenant -Seller ("Tenancy Interest") in and to the Premises and the Property, and (c) any and all goodwill of Tenant -Seller's business on the Premises. The Improvements to be conveyed by Tenant -Seller are a part of the Premises, and specifically include, without limitation, the items described in the list of Improvements Pertaining to the Realty attached hereto as Exhibit B and Movable Equipment hereto as Exhibit C. 2. PURCHASE PRICE. The total purchase price, payable in cash through this Agreement, shall be the sum of: THREE HUNDRED ELEVEN THOUSAND AND N0/100 DOLLARS ($311,000.00) ("Purchase Price") which is computed as follows: Value of Conveyed Improvements as shown on Exhibit B (owned by E.R. $42,000.00 Ferrer - LLC, a California Limited Liability Company) 62,000.00 Value of Moveable Equipment as shown on Exhibit C (owned by Dr. Euler R. Ferrer, Inc. dba General Family Dentistry) Loss of Business Goodwill (owned by Dr. Euler R. Ferrer, Inc. dba General $207,000.00 Family Dentistry) Exhibit 2 25K-5 TOTAL AMOUNT PAYABLE THROUGH THIS AGREEMENT $311,000.00 3. CONVEYANCE OF INTEREST IN REAL PROPERTY. Tenant -Seller agrees to execute a Quitclaim Deed in the same form as that attached hereto as Exhibit D in favor of Buyer ("Quitclaim Deed"), relinquishing, releasing, and forever quitclaiming to Buyer all right title and interest in and to the Tenancy Interest as of 2017. 4. Tenant -Seller will vacate the property no later than three (3) days after close of escrow, as set forth in the concurrent Purchase and Sale Agreement. Seller shall have removed all merchandise, inventory, equipment, personal property, and/or removable trade fixtures from the Property by said date. Any merchandise, inventory, equipment, personal property, and/or removable trade fixtures at the Property as of three days after close of escrow shall be deemed abandoned by Seller on that date.. 5. CONVEYANCE OF INTEREST IN IMPROVEMENTS. The Quitclaim Deed will also convey from Tenant -Seller to Buyer all of Tenant -Seller's interest in and to the Improvements and Movable Equipment, which conveyance shall be free and clear of all recorded and unrecorded encumbrances, liens, assessments, leases, and taxes. Unless otherwise provided, recording of the Quitclaim Deed and Closing (as defined below) of the transaction described herein shall be subject to Tenant -Seller's vacation of the Premises and proof of clear title to all said Improvements having been obtained and received by Buyer in accordance with Paragraphs 9 and 10 of this Agreement. 6. RECORDING. Recordation of any documents delivered through this Agreement is authorized if necessary or proper, upon acceptance by Buyer as described herein. 7. CERTIFICATION OF OWNERSHIP. To the best of Tenant -Seller's knowledge, Tenant -Seller hereby warrants and certifies under penalty of perjury that Tenant -Seller is the owner of the Improvements and that no document has been signed by or on behalf of Tenant -Seller for the purpose of creating any lien, encumbrance, or security interest in any of the Improvements, and that the Tenant -Seller does not know of any claim of lien, encumbrance, or other security interest therein, EXCEPT: (a) Trust Deeds on the Property, duly recorded; and (b) real and personal property taxes. 8. PERMISSION TO ENTER PREMISES. Tenant -Seller hereby grants Buyer or its authorized agent's permission to enter upon the Premises at all reasonable times prior to Closing of this transaction for the purpose of making necessary inspections, provided Buyer provides seven calendar days notice to Seller, and Seller agrees in writing that the inspection time proposed by Buyer will not unreasonably impair of affect Seller's operations at the Premises. 9. BULK SALE. In order to establish proof of clear title to the Improvements, Buyer may publish a Notice to Creditors pursuant to the Bulk Sales Law of the State of California and obtain a title report and/or a report from the Secretary of State's Office as to filings of security interests covering the Improvements. 10. CONFLICTING INTERESTS. In the event any conflicting claim of title or any security interest or lien of any kind is discovered or asserted as to any of the Improvements, Buyer shall, upon receiving notice or knowledge thereof, withhold an amount otherwise payable to Tenant -Seller as is reasonably necessary, in the sole opinion of Buyer, to protect Buyer against such claim of interest or lien. The withholding of such funds shall not prevent Closing of this transaction 25K-6 if the total funds to be withheld from Tenant -Seller do not exceed the net amount to be paid to Tenant -Seller through this transaction. Buyer will not pay out the withheld funds or disburse any withheld funds to any claimant or other party (except upon court order or levy) without the written consent of Tenant -Seller. A general creditor's claim shall not be deemed to be a claim against any specific item of Improvements and Tenant -Seller hereby agrees to accept all responsibility therefore. Unless otherwise provided, it shall be presumed that Tenant -Seller is entitled to payment under this transaction for the Improvements. It shall be presumed that the Property owner is the owner of all improvements, fixtures and equipment associated with the Premises other than the Improvements. 11. DISMISSAL OF EMINENT DOMAIN ACTION. If Buyer has previously filed an action to condemn the Tenancy Interest and/or Tenant -Seller's interest in the Improvements, Tenant -Seller hereby consents to the dismissal of such action and waives any claims for compensation, costs, attorney's fees and deposits in said action, or any claim whatsoever which might arise out of the filing of such action, whether or not such claim is specifically identified herein. Tenant -Seller hereby authorizes Buyer to withdraw and make payable to Buyer any funds deposited with the Court in any such eminent domain action. 12. CLOSING; PURCHASE PRICE ADJUSTMENTS. Recording of the Quitclaim Deed by Buyer will constitute "Closing" of this transaction. At Closing, Buyer will pay the Purchase Price to Tenant -Seller, subject to the following adjustments: A. Pay and charge Tenant -Seller for any and all current and/or delinquent tares and any penalties and interest thereon against the Improvements and the Tenancy Interest, and for any delinquent or non -delinquent assessments or bonds against the Improvements and the Tenancy Interest. B. Pay and charge Tenant -Seller for any amount necessary to place title in the condition necessary to satisfy Paragraphs 5 and 10of this Agreement; C. Disburse funds when conditions of this Agreement have been satisfied by Buyer and Tenant -Seller. 13. FULL AND COMPLETE SETTLEMENT. A. Subject to the terms and conditions of the Purchase and Sale Agreement, signed concurrently herewith, Tenant -Seller hereby acknowledges that the compensation paid to Tenant Seller through this Agreement constitutes the full and complete settlement of any and all claims against Buyer, resulting from or arising out of Buyer's acquisition of the Improvements and Movable Equipment, Leasehold Interest and the Tenancy Interest and any dislocation of Tenant - Seller from the Premises, specifically including, but not limited to the value of the Improvements and Movable Equipment, leasehold improvements, any and all claims for rental or leasehold value and any and all claims in inverse condemnation and for precondemnation damages, and any and all other claims that Tenant -Seller may have, whether or not specifically mentioned here, relating directly or indirectly to the acquisition by Buyer of the Improvements and the Tenancy Interest . Tenant -Seller hereby disclaims any right, title or interest in or to the Premises. Tenant -Seller and Buyer and each and all of their agents, representatives, attorneys, principals, predecessors, successors, assigns, administrators, executors, heirs, and beneficiaries (collectively "Releasees"), hereby release the other party, and its Releasees, and each of them from any and all obligations, 25K-7 liabilities, claims, costs, expenses, demands, debts, controversies, damages, causes of action, including without limitation those relating to just compensation or damages which any of them now have, or might hereafter have by reason of any matter or thing arising out of or in any way related to any condemnation action affecting the Improvements and the Tenancy Interest. Additionally, Tenant -Seller hereby expressly and unconditionally waives any claims (known or unknown) including loss of goodwill, statutory interest, claims for inverse condemnation or unreasonable pre - condemnation conduct, or any other compensation, damages or benefits, arising from the acquisition of the Improvements that Tenant -Seller may have against Buyer, its officials, representatives, and attorneys. B. Seller acknowledges that, in accordance with applicable provisions of California law, Seller may otherwise be entitled to the payment of relocation expenses, compensation for loss of goodwill, just compensation, inverse condemnation, unlawful pre -condemnation conduct, and other benefits and claims other than those expressly provided for in this Agreement in connection with Buyer's acquisition of the Property. Seller, on behalf of itself and its heirs, executors, administrators, successors and assigns, acknowledges that Buyer's performance under this Agreement constitutes full and complete satisfaction of Buyer's obligations to Seller with respect to such claims. Seller acknowledges that it may be entitled to benefits under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, 42 United States Code section 4601 et, seq. and/or California Relocation Assistance Law, as amended, or the Real Property Acquisition Relocation Assistance Rules and Regulations. As a result of this Agreement, Buyer waives any right to relocation assistance, moving expenses, or other payments to which Buyer might otherwise be entitled under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, 42 United States Code section 4601 et. seq. and/or California Relocation Assistance Law, as amended, or the Real Property Acquisition Relocation Assistance Rules and Regulations, as payment for said benefits is acknowledged to have been compensated for pursuant to this Agreement. 14. ACKNOWLEDGMENT CONCERNING CIVIL CODE SECTION 1542. Subject to the terms and conditions of the Purchase and Sale Agreement, signed concurrently herewith, Tenant -Seller and Buyer acknowledge that they have been advised by their attorneys concerning, and is familiar with, the provisions of California Civil Code § 1542, which provides as follows: "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." Tenant -Seller and Buyer acknowledge that they and any others acting on their behalf herein may have sustained damage, loss, cost, or expenses that are presently unknown and unsuspected and which may give rise to additional damages, loss, costs, or expenses in the future. Nevertheless, Tenant -Seller and Buyer acknowledge that this Agreement has been negotiated and agreed upon in light of that situation and hereby expressly waives any and all rights which it or others acting on its behalf may have under California Civil Code §1542, or under any statute or common law or equitable principle of similar effect. 15. CONTINGENCY. Transaction is subject to and contingent upon receipt by Buyer of the duly executed Quitclaim Deed from Tenant -Seller with respect to the Tenancy Interest and the Improvements. This transaction is further subject to and contingent upon approval and acceptance by Buyer. 25K-8 l6. AGREEMENT TO EXECUTE. Tenant -Seller and Buyer agree to execute and file any additional agreements, consents or other documents reasonably necessary to effect the full and complete settlement and purchase of the Improvements and the Tenancy Interest. 17. AUTHORIZATION TO EXECUTE. Tenant -Seller and Buyer represent and warrant that the persons executing this Agreement are duly authorized to do so and to act on behalf of Tenant -Seller and Buyer respectively. 18. COMPROMISE IN SETTLEMENT. This Agreement is a compromise in settlement of pending or potential litigation between Tenant -Seller and Buyer and shall never be treated as an admission by Buyer for any purpose of liability or as to value of any property or claim. 19. SURVIVAL OF RIGHTS AND OBLIGATIONS. Notwithstanding the releases contained herein and agreement concerning this transaction, all the rights and obligations created under and pursuant to this Agreement shall survive the execution of the Agreement, the releases contained herein and the Closing of this transaction. 20. WARRANTIES, REPRESENTATIONS AND COVENANTS OF TENANT - SELLER. Tenant -Seller hereby warrants, represents, and/or covenants to Buyer that: A. To the best of Tenant -Seller's knowledge, there are no actions, suits, material claims, legal proceedings, or any other proceedings affecting the Improvements, the Tenancy Interest or any portion thereof, at law or in equity, before any court or governmental agency. B. Until the Closing, Tenant -Seller shall maintain the Improvements and the Premises in good condition and state of repair and maintenance, and shall perform all of its obligations under any service contracts or other contracts affecting the Improvements and the Premises. C. Until the Closing, Tenant -Seller shall not do anything which would impair Tenant -Seller's title to the Improvements or the Tenancy Interest. D. All utilities including gas, electricity, water, sewage, and telephone, are available to the Premises, and to the best of Tenant -Seller's knowledge, all such items are in good working order. E. To the best of Tenant -Seller's knowledge, neither the execution of this Agreement nor the performance of the obligations herein will conflict with, or violate any of the provisions of any bond, note, evidence of indebtedness, contract, lease, or other agreement or instrument to which Tenant -Seller, the Premises, the hnprovements or the Tenancy Interest may be subject. F. Until the Closing, Tenant -Seller shall, upon learning of any fact or condition which would cause any of the warranties and representations in this Paragraph 20 not to be true as of Closing, immediately give written notice of such fact or condition to Buyer. 21. HAZARDOUS WASTE. Neither Tenant -Seller nor, to the best of Tenant -Seller's knowledge, any previous owner, tenant, occupant or user of the Property or the Premises, has 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 the Premises, or 25K-9 transported any Hazardous Materials to or from the Property or the Premises. Tenant -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 Premises. The term "Hazardous Materials" 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 §25115, §25117 or §25122.7, or listed pursuant to §25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under §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 §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 §25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated byphenyls, (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. 56901 et seq. (42 U.S.C. 56903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, and .Liability Act, 42, U.S.C. S6901, et seq.(42 U.S.C. S 690 1). 22. COMPLIANCE WITH ENVIRONMENTAL LAWS. To the best of Tenant -Seller's knowledge, the Premises and its use 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. 23. COUNTERPARTS. This Agreement may be executed in counterparts and when so executed by both parties, each counterpart will constitute an original document. 24. BINDING EFFECT. The terms, conditions, covenants and agreements set forth herein shall apply to and bind the heirs, executors, administrators, assigns and successors of the parties hereto. 25. ENTIRE AGREEMENT. This Agreement contains the entire agreement between both parties; neither party relies upon any warranty or representation not contained in this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year set forth hereinabove. 25K-10 Mailing Address of Tenant -Seller Tenant -Seller DR. EULER R. FEARER, INC. DBA GENERAL FAMILY DENTISTRY Its: _ �P Date:_ gik / 17 E.R. FERRER — LLC, A CALIFORNIA LMI TED LIABILITY COMPANY By: � A - Its: M ay.,.-' -r Date: I Zi /7 Mailing Address of Buyer Buyer 20 Civic Center Plaza, M-30 THE CITY OF SANTA ANA Santa Ana, California 92701 Cynthia J. Kurtz Interim City Manager Attest: Maria D. Huizar City Clerk Approved as to Form: By: 10fi M. Funk Assistant City Attorney Date: — 1 25K-11 Recommended for Approval: By: Fred Mousavipour Executive Director - Public Works Agency Date: 25K-12 AALIHNIV LEGAL DESCRIPTION OF PROPERTY All that certain real property situated in the County of Orange, State of California, described as follows: Lot 25 of Tract No. 923, in the City of Santa Ana, County of Orange, State of California, as per Map recorded in Book 29, Pace 14 of Miscellaneous Maps, In the office of the County Recorder of said County. Excepting the Westerly 20 feet. Assessor's Parcel Number: 405-274-09 25K-13 EXHIBIT B IMPROVEMENTS PERTAINING TO THE REALTY DR. EULER R. FERRER, INC. IMPROVEMENTS PERTAINING I'CI THEREALTY EFFECTIVE DATE OF VALUE - JANUARY 20, 2016 Item Na• Qty. Description ] I From letter si6i, 10" to l4" high, metal fascia, "Dentistry! 1027", including dual fluorescent floodlight, olectrical 2 3 Retail front canopies, 2' high x 30" deep, tubular metal frame, canvas top, consisting of 2 8' wide 1 20' wide i 3 64 iquarc feet of security %viedow bars, tubular metal 4 1 Foom letter sign, 12" high, plastic fascia, "Dentista" I 5 1 Rcar sectuity door, 36" c 78", tubular metal, mesh I backing, loci( hardware I 6 1 Lot of vinyl window lettering, 112" in 3.5" high, "Dr. Furrer/ Denlistal973.041 I/ Store Hours, eta" 7 1 Flat screen television wall mount, metal i 8 I Pendant calling light, 28" high, fluorescent, glass shade 9 141 Square feet of horizontal window blinds, I" aluminum xlats 10 1 Carling Huts, 48" diameter, 5-bla4e, illumination, wimd t I I klorizantal sliding w'mdow, 36" x W', aluurinum Game, with S" (leap wood counter 12 I 12.5 Lincar feet of wall choir railing, 2.5" high, painted wood i I 13 71 Linear feet of tipper crown molding, 6" x 6", molded wood, painted 14 1.5 Linear Icct of receptionist coullwr/ (task, 44" high x 35" deep, poly wall base, painted, 15" ',a 20" deep top service counter, haniume, 25" deep laminate deskinp, - ! :;logia pedestal, electrical I 25K-14 DR, EULER R. FUMER, INC, IMPROVEMENTS PER 1 AMINO TO THE R1,Al: fY EFPGCTIVR DATE CF VALUE- JANUARY 20, 2016 Itcm No, qty. Description IS 1 Overhead receptionist light soffit, 86" x 14" x 15", assumtci to be drywall on wood framing, 3 nouresecnt light fixtures 16 8 Pnticnt Torn monitor wall mounts, metal, consisting of: 2 Adj ustablel flexible arta type 5 Platform type, 16" wide I Stationary flat type, metal i 17 2 Dented room wall shelves, 1-3' x 10", I.4' x 10", � laminate I8 3 Through -wall air conditioning units, Frigidaire, Goldstar and 1.0, model nos, not available 19 2 Dental base cabinets, 78" x 24", lammutc cop, 4" high backsplash, woad base, 4 -door, 6 -drawer 20 2 Wall cabinets, 78" x 15", wond, 4 -door 21 l Lot ofsetup,electricalandinsradation 0fPanora mio x-ray unit, including pony wall, 50" x 49", assumed to he wood framing, drywall fnseia, with recessed x -my viewer. Star X-ray. 16" x 14" 22 1 �Vall cabinet, 24" x 30" x 8', woad, 2 -door, l under shelf 23 1 Wa11 cabinet, 48" x 32" x latniunto, 2 door 24 1 Work counter, 42" x 20", lainhute, with wall brackets 25 l Wall shelf, 6' x 30", laminate, 2 -door, 2 open shelves 26 1 VVnth rountur, 6' x 24", laminate top, 4" high backsplash, 2-pcdcstal, 24" wide, I door, I drawer 27 1 Through -wolf vent, S" x 8", elecnic 28 1 Throatih-wnll package drop, I3" x I1", stainless steel dont 12 25K-15 DR. RULER It. 11KRER, INC. ' IMPROVI:;lo1EN'IS PERTAINING TOTHG REALTY EFFECTIVE DATE OF V A LU E -JANUARY 20, 2016 trent Na Ovy. Description 29 1 Darkroom station! desk, 45" x20", aminntc and wood, single pedestal, 1 drop-in chemical bin/ sink, 13" x 14" x I3", stninlcsSsteel, plumbing 30 l Laboratory worts counter, 88" x 1711, laminate, 4" high backsplash, 19" wide pedeatal, I door, 2 -drawer 31 1 Wall cabinet, 54" x 24", laminate, 3 -door 32 1 Will shelf, 4'x 9", plywuod 33 1 Base cabinet, 20" x 25", laminate counter, wood base, I door, I drawer 34 1 Labumtory sink counter, 81" x 24", laminate top, 4" high backsplaslr, I drop -its dual sink, single mixing faucot, with eye wash, plumbing, 5 lower drawers, open under storage, I side counter, 25" x 10", 4" high bneksplash 35 1 Wall cobiuet, 104" x 32", laminate on woad, 6•door .16 1 Wail cebinct, 24" x 32" x 12", laminate, single door 37 2 Storage shcivcs, 20" x 79" x 12", lantinnte, 7 -tier, built-in 38 1 Built-in desk, 63" x 21 ", single pcdcvtal, wood, with mounted vise 39 1 Wall cnbiuet, 65" %42", wn+nl, 4 -door, 5 lower paper bins 40 1 Wall cabinct, IV .\ 22" x 16", wood, singlo door, with 4" vent and exhemst Fon, through -roof 41 1 Watcr hr,:aler, Bradford Whitc, 40 gallon (c5linune?. eke I ric 42 1 Telephanesystem, Notlel Networks, full feature, including 5 band sets, Model no.: T73166 3 25K-16 UR. EULLR R. FERRER, INC, IMPROVI'MENTS PER 1'AtNINtj'r0TI.IF. RP.At:fY ENTr-i1VE GA'I'L OF VALUE - JANUARY 20, 2016 � Item No, Qty, Description i 43 1 Sink• roan ter, 70" x 24". IAM i nate counter nn wood hak -, 4" high back>plasft, stainless steel sink, single mixing rtuccl, plumbing 44 1 Wall cabinet, 30" x 30", wood, 2 -door 45 I Wall sllelf, 75" x 42", woad, 4-dtxtr, I lower shelf, 21 " x l l" 45 t Wall shelf, 47" %46" x 12", wood, 4 -tier 47 t Built-in bnnkcasc, Tx Tx l2", wood, 5 -tier i 418 29 Square feet of vertical window blinds 49 i 1 Coat hook, wood, 4 metal hangers So 1 Interior window, 58" x 49", 8" x $" glass block 51 1 Lot of electrical setup and inylsllation for air compresstrr, I dental vacuum pump and connection. for 4 operatory i i packages 52 1 Loi of sublcrraneaa piping to 4 operalory pnckngcq, 3 -line, w4sumed to be 314" copper for air and water cauneeli0ns, 3r4" PVC:, including air line to denial lab 53 1 Lulftfdata cabling and conlputcr nctworkiog fol 7 v;orksmflons 54 1 Lot of minor miscellancous inmlallations, including hooks, fasteners, wall srrewi, brackets and hicidcnial Shelving 15 1 Lol orinstdlation for 3 inert -ural x-ray maclliues, wall - mounted, including colibralion 4 25K-17 EXHIBIT C MOVABLE EQUIPMENT DR. EULER R. FERRER. INC. VIUVAt3LE EQUIPMENT EFFECTIVE UA`1E OF VALUE- JANUARY 211, 2016 Itcm No. Qty. ©c;cription 56 1 Beach, 6D" x 16", molded concrete 57 1 Neoa "Open" Sign, Ever4mn, 22" x 12" 58 1 "Welcome" mat, 30" x 19", fabric 59 7 Waiting area chairs, tubular metal sled base, fabric Seats and hacks 60 1 Flal semen tcicvisibn, Insignia, 320 61 1 Cofleel tnogazine table, V11 x 20", woad 62 1 Lot of liamed wail art, may have collector's value, not appraised 63 1 Magazine rack, I t" x 24", woad, 4 -tier 64 i 1 Wall minor, 22" x 26", ornate woad harder 63 2 Mcdical file shelves, 62" high x 13" dccp, metal, 6 -tier, consisting of. 1 24" wide l 1 -36" wide 66 1 Printer, Flewlad Packard, Modal no.: I.,mer)et P1606dn 67 1 Wall clock, Ix" diameter, Sterling& Noble 68 1 Towor fen, Aloha Breeze 69 1 Pnper sorter shelf, 12" x48-1 x 12", laminate, pl-tier 70 1 Compmel, Dell, madci no. nal availablc, 19" ulnnitor, i keyhoard and mausc 71 2 Creda e21-4 terminals, Verifunc, I- Mudel no.: VX52D 1-mudel no.: Omni 3740 72 1 Portable elm:trie haver, furnace type 25K-18 DR. EULER R. FERRER, INC. MOVABLE EiQllll'NIEN'f EFFECTIVE DATE OF VALUE _ JANUARY 20, 2616 Item No. Qty. 17 cr!ption 73 2 Waste hins, Stainless steel, small 74 1 Task chair, plastic, fabric scat and back 75 1 Clrair mat, plastic 76 1 File cabinet, letter size, metal, 2 -drawer 77 1 Electric pencil sharpener, Panasonic 78 1 bfodcm, f jwksys, Model no.: 812,1500 19 3 Dental stools, mietal base, padded vinyl seats and hacks 8o 1 Trash receptacle, VST, autometcd open and close, stainless steel 81 2 Dental chairs, Belmfmi, mndcl no. not available, m+aal base, adjustable, vinyl pnddcd scats, 4anstninrent dental tray, overhead light and cuspidor, 4 -instrument R2 2 Monitors, Vim -Sonic, Model no,t VE710a 83 1 Ultrasonic scaler, Ucnlsplyi Cnvitrpn, Martel no.: 3000 84 1 Flat scraeo monitor, W,21" 85 l Dental cabinet, 28" x o7" x 26", Lnuinate top, .111 ha&t plash, wood base, 2,drior, 2-fimNver 86 1 Folding stcpstnnl,2-step 87 1 Daillnl chair, Bchu mt, inudei u.]. ovl avnilahle, metal base, vinyl padded top, I instnnumit (ay. Model Challenger, ovcdtead light, with 3 instrumcnt amt, waterlatr/vactiwn acccssnril'\ t8 l < lay machine, Gendex, MMdol no.: U:'C-770, adjustable, 10 KVI3, 7ma 25K-19 DR. T,ULER R. FP.RRER, INC. NInVArILE EQUIPMENT EFFECTIVE DATE or VALUE -JANUARY 20, 2016 [tell] No. Qty, DcscriP[ion 89 2 X-rtty viowcas, S.S. While, 15" x 12" 90 2 X-nty vests, vinyl on Icad, apron style 91 1 l9onitor, lievtett Packlird, Nikel no.: RP 52031, with keyboard and mouse 92 I Curing tight, Coltutux, LRD 93 1 Curing light, Aurora 94 1 Emergency crash cart, single tank, stainless steel, with cart and gauges 95 2 SuPPIy wall cabinets, 28" x 23" x 7", metal, single door, gloss Front 96 1 Computer, Dell, Model no.: Precision 160, with monitor, and mouse 97 1 UPS, APC, Model no.: Back -UPS XS 1000 98 I Printer, Canon, Model na.: 1v1t35520 99 1 X -my mechinc, Progeny Dental, ivlodcl: Preva, adjustable, wall type 100 1 Ullnuanic sc.dur, Whaledent, Model no.: RioSonic 1,13100 101 t Portable- dental darkruum, plastic IUZ I Ultraviolet light unit. Discus Dental, Madel: Zoutnl, adjustablc head, casters 103 1 Mental cart, 15" x 14", tubular metal Jratne, 2 len:inate tiers 1114 1 Canal mcasurentew muddle, Root LX -Il, Model: DP -ZX - VP, with digital display 25K-20 DR. ru1.rR R. FERRIR, INC MOVABLE rQUIPMI;NT HITECTI V G DATE OF VALUE -JANUARY -20,2016 [tell) No. Qty. Description 105 1 Dcnral heat gum, 01itura Sparau, model no. not available 106 1 Thermal condcnscr, Parkell, Alodol;-Ihermique 107 2 Assurled dental carts, plastic, 3- to 5 -drawer, opera storage 108 1 Camem, Nikon, Madel no.; Cualpix 995, with tripod stand, Model no.: hiK-I 109 1 Wireless routor, Linksys, Model no.: WAP546 110 1 Panoramic x-ray machine, Ocneral Electric, Model: Panclipsc, Serial no.: 155148,24" x 80":(48" overall, with x-myltcad, chair and control panol I 1 t 1 Osseoset/ drill set, WSH Dontalwerk, Wwlcl no.: 100 S1-95, j 40,000 rpm 112 i- Dental uubiner, 31" x 31" x l6",13minate, (-drawer, castcrs 113 1 Folding Stepstool, tubular utetal; vinyl pud 114 1 Dantnl chair, Wdmark model no, not available, metal adjustable base, vinyl padded top, 4 -instrument dental tray, cuspidor arm, 4-instntment, overhand work light 115 1 X-ray machine, Sironn, 71na,. 60 Kv, adjustable arm type 116 1 Plat screen monitor, Snmsunp, Modcl no.: Syncmaster SA350 117 1 Denial tray stand, 19" x 13", stainl= steel top and bale 118 1 Model trimmer, PrtCe, 12" diarnetef 119 1 Vi5iblc light euro System, Ocntsply, MWO no. -'Iliad 2000 120 1 Heat cabincl, l larau, stainless steel 171 I Thoma -knife hay u-nnincr, Buffalo 25K-21 DR. FIILFR R. ITARER, BACI MICIVARLY.. GQI IIPMENT UrECT1VC; DATri of VA [,()I' -JANUARY 20, 2016 Item No Qty. na,cllptian 122 1 Huat sterilizer, Schein, model no. not available 123 1 Autoclavo, Qunnt(]hd, fvfodcl no,: 16 124 1 VACUUM f0mrcr, manurncturcr and [nodal no. not available 125 1 Autoclave, Pelton 5c Cram, mudel no. not availahle, stainless Steel, steam 126 1 Autoclave, h1DT Ilarvey, Nicdel no.: Chemielave EM5500 127 i Minh- refrigerator, Magic Chef, 4 cubie f"r I 129 1 A.46MARCS stool, mctai, vinyl padded seat and arurrest 129 1 Ba.c cabinet, 48" x 2A1', laminate„2 lower doors 130 2 Fire extinguicherv, 1016. 131. 1 Dental lathe, Balclor, Madel no.: 43713, wish 2 splashguards, stainless steel 132 t Desk ct;vrc lamp, fluorescent 133 1 D4k fan, Honeywell, 12” 134 1 Dental pntisher, Price, stainless steel, with vacuum and splashguard 135 1 Aif compressor limen ontrullcr, tntcrcnatic, modal no, not available 136 1 Sloraga shclr, 17',q 42" x 15", laminate, 6 -tier 137 1 Wall clack, 12" diameter, plastic 138 1 Plaster cabinet, 21" [gide, metal, top and hattoni doors 139 1 Electrical outlet, Ptirnc, 40" wide, 10 -plug 25K-22 DR. RULER R. FI?RRG12, INC' - MOVABLE L•QUIPMENT LFFEC1lVE DATE UP VALUE- JANUARY '20, 2016 Item No. Qty. Description 140 1 Nlonitor, Magnavox, I3", with DVD player 141 1 Ultrasonic cleaner, L&R, Model no.: T-1-1. stain loss steel 142 1 Vibrato unit, Buffalo, Model no,: 1 A 143 1 Waste receptacle, stainless steel, With Soot lid 144 1 Casting machine, Vornan-Pons}tof€Cc-, Model: Mini Cast, 20" x 33" x 2$" overall, temporature controls 145 1 Time clock, Royal, Model no.: Tune Master Pro 1000 146 2 Computer towers, Dell, Nlodcl no.: Dinscnsion 30011, with keyboards 147 I Paper cutter, Uostcin, Mode{ no,: 26112 1,18 1 Postage scale, Polotme, Model no.: X2 139 1 Yurnace, Kerr, Ser ies 460, Model_ Sybron; 2,500 degree capacity 150 1 Casseltc playcd radio, Avdlovox 151 I I•olding stgmtool, 3 -step, metal 152 t 1- loop homer, I lent Strcnm, elccHe 153 t Microwave, Goldstar 154 1 Mini refrigerator, Frigidaire, 3 cubic feet 155 1 Chnir, tuhulnr metal, fabric sent I S6 I Slvcclder, FCllowc$, Nfodel no,: PS70-2 157 1 Fnldtng table/ hand Iruck, metal, pinstie top, 26" s 13" 25K-23 DR. CULER It. FERRER, INC. P4UVA13LE wun,MEN"i- EFFECTIVE DATE OF VALUE- JANUARY 20, 2016 Item No. Qty. Description 158 1 File cabinet, letter size, metal, I-drtwar 159 1 He cabinet, letter size, metal, 2 -drawer 160 1 Server, Dell, Model no.: PowerI-dge SC420, with keyboard 161 1 Server, Dell, Model no.: PowerEdge T11011, with ViowSonic monitor, Model no,: VE710s 162 1 UPS, APC, Model no.: Hack -UPS XS 1000 163 1 Dcsk, 48" x 33", merit Icga, laminate top, upper hutch, I4" deep 164 1 Firewall, Sonk:Wali, Model m>.: T2, 150 165 1 Rouler, Moturuta, A•lodel ne.: Surflu>ari SBG6580 166 1 Computer, i [ewlelt Fael ord, hludcL ToueltSma t, 19" screen with speakers, DVD drive 167 1 Desktop Vertical (bill, custom made, 2,000 rpm 168 1 Copier, Canon, Model no.; PC921 169 1 Slorageetbinet, 30" x 228" x I8", met41,2-door 170 1 Shod, tubutnr metal lugs, plastic sent and back 171 2 Guest chats, wood lefts, vinyl padded seats and backs 172 1 "I elevisnxt, Magnavox, 13" 173 1 Laser primer, Samsung, Model no.; CLP -SID 174 1 Etluipntcnt stand, 32" x 14", tubuloe metal Icgs, Istotinntc top 175 1 Computer desk, 25"' x 13", mural, I kcybunrtl dntwer 176 1 Laptop computer, DO, MrAO two.; Vosiro 1500 25K-24 IIR. WLER R. PERRER, INC, MOVABLE EQU1PMENI' ISPPCCTiVG DA 17: UP VALUE -JANUARY 2U, 2416 hero A1n. Qty. Description 177 1 UPS, APC, Model no.. wck-um P:s 500 178 1 Desk FlBer, 16" wide, huuinate, 2 -drawer 179 I All-in-oite machine, Huwtult Paakord, Modal nu.- 4}i'fiaeJet Pro 8680 180 1 Gas tank, Yondur owned, not apprniml 181 1 Duk, 60" x 29", double pedus(al, laminar 182 l Task armchair, plastic, vinyl Seat and hack 183 1 Laptop, Doll, Model: tnspiron 184 1 Lot of dcotal tools and hand pieces, including, but not limited to, low speed drills, fo(ceps, tweezers, scrapers, mirrors, and high speed drills 185 l Dental vecuurn pump, ADP, model no. not nvailabia, twin isead, with separator 186 1 Air compiwsor, Campbell tlausfeld, puanble type, casters 187 1 Extension ladder, Womer, 16',, :petal 25K-25 EXIT TBIT D RECORDING REQUESTED BY: THE CITY OF SANTA ANA AND WHEN RECORDED MAIL T0: Clerk of the Council City of Santa Ana 20 Civic Center Plaza, M-30 Santa Ana, California 92701 Exempt from Recording Fee Exempt from Documentary Transfer Tax Pursuant to Government Code Section 6103 Pursuant to R&T Code & 11922 QUITCLAIM DEED County Assessor's Parcel Number: 405-274-09 (1027 N. Bristol, Santa Ana, CA) FOR A VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, DR. EULER R. FERRER, INC. DBA GENERAL FAMILY DENTISTRY REMISE, RELEASE AND FOREVER QUITCLAIM to the THE CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California, the real property in the City of Santa Ana, County of Orange, State of California, described as all right title and interest In and to the following described real property in Exhibit "1" including any and all leasehold interest, title and interest In and to the improvements pertaining to the realty which are attached or affixed in any manner to the following described real property specifically Including, but not limited to the items in Exhibit "2", list of Improvements Pertaining to the Realty, (fixtures and equipment), and Exhibit "3", list of Movable Equipment attached hereto and by this reference made a part hereof, which are either generally or for purpose of this deed a part of that parcel of real property in the City of Santa Ana, County of Orange, State of California, described as follows: Grantor for himself, his heirs, representatives and assigns covenants and warrants that: 1) Grantor Is the sole owner of the itemized Improvements Pertaining to the Realty and Movable Equipment conveyed by this Quitclaim Deed free from all liens and encumbrances, and 2) Grantor will defend the title and quiet enjoyment of the real property described above, including all Improvements Pertaining to the Realty, against all demands and claims of all persons. SEE EXHIBIT "A" & "S" ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF IN WITNESS WHEREOF, the grantor hereto has caused this Quitclaim Deed to be executed as of this_day of , 2017. am 25K-26 Date: EXHIBIT "I" LEGAL DESCRIPTION All that certain real property situated In the County of Orange, State of California, described as follows: Lot 25 of Tract No. 923, in the City of Santa Ana, County of Orange, State of California, as per Map recorded in Book 29, Paoe 14 of Miscellaneous Maps, in the office of the County Recorder of said County. Excepting the Westerly 20 feet. Assessor's Parcel Number: 405-274-09 25K-27 EXHIMIT "2" IMPROVEMENTS PERTAINING TO THE REALTY DR. EIJLER R. FERRER, INC. I M PROV EMENTS PERTAINING TO'THL REALTY EFFECTIVE DATE OF VALUG- JANUARY 20, 2016 Item j No, Qly. Description I I Foam lutter..5ign, 10" to 14" high, metal foscia, "Dentistry! 1027", including dual fluorescent Floodlight, I ct x rical 2 3 Retail frontcanopies, T high x 30" deep, tuhuim metal (rume, canvas lop, consisting of 2 8' wide I 20' wide 3 64 Square feet of security window bars, tubularrnelnl 4 1 Foam later sign, 12" high, plastic tdscis, "Dentists" I 5 1 Rear security door, 36" x 78", tubular metal, mesh backing, lack hardware 6 1 Let of vinyl window lettering, 1/2" to 3,5" high, "Dr. Ferrer/ Dentistal 973 -041IJ Store Hours, etc' 7 1 Flat screen television well mount, metal 8 1 Pendant ceiling light, 28" high, fluorescent, glass shade 9 141 Square Feet of hO]'i[tnt(al window blinds, V aluminum slats 10 4 Ceiling fms, 48" diameter, 5 -blade, illumination, wand I I I hlorizontal sliding window, 36" x 36", rdmninum frame, with 8" deep wood counter 12 12.5 Linear feet of wall chair railing, 2.5" Itigh, painted wood 13 71 Linear feet of upper eratvn molding, 6" x 6". molded wood, painted 14 15 Linear feel of receptionist counter! desk, 44" high x 35" deep, pony wall base, painted, 15" to 2fl" deep top suvice counter, L'eninate, 25" deep laminate dcAiop, singlepedestal, electrivat 25K-28 DR FULER R. Ha RRER, INC, IMPROVEMENTS PL'RTAININO TO TRT: REALTY EFFECTIVE DATE Oh VALUE- JANUARY 20, 2016 ' IFem No. ()Iy- Description i j Is 1 Overhead receptionist light soffit, 86" x 14" x 15', assumcd to be drywall on wood €raming, 3 Fluoresceut light fixtures 16 8 Patient room monitor wall mounts, metal, consisting of; 2 Adjustable/ flexible arm type s Platform type, 16" w[de 1 Stationary flat type, metal 17 2 Dental room wa(] shelves, I-3' x I , 1- 4'x 10", laminate l8 3 Through -wall air conditioning units, Frigidaire, Goldstar and LO, modal nos. not availablo 19 2 Dcnml base cabinets, 78" x 24". Inminnte tap, 4" high backsplash, wood base, 4 -door, "rower 20 2 Nall cabinets, 73" x IS", wood, 4 -door 21 t Lot of setup, electrical and installation of panoramic x-ray unit, including pony wall, 50" x 49", assumed to he wood framing, drywall fascia,with recessed x-ray vicwor, Star Y -ray, 16" x 14" 22 1 Null cabinet, 24" x 30" x 8", wood, 2 -dour, I under shelf 23 1 Nall cabinet, 48" x 32" x laminate, 2 door 24 1 Work countor, 42" x 20", laminate, with wall hi;tckcts 2S I Wall shelf, 6' x 30", laminate, 2 -dour, 2 open shcleev 26 1 Work crnmter, 6'x 24", lanninaw top, 4" high backsphrsh, 2-prdcstal, 24" vade, I door, I drawer 27 1-I'lunugh-wall rent, S" x 8", elvoric 28 1 Threugh-Wali package drop, I P x 13", ataiulcss steel door 2 25K-29 DR. EULCR It VERRCR, INC IMPROVI?MGNfS PEJU MINING Tt}TH6 REALTY EFFECTiVE DATE OF VMLUB - JMNtJARY 20, 2016 Rent No. Qty, Description 29 1 ©arkroomstatiorVdc,4,45"x20",huninntannd wood, single pedestal, I drop-tn chemical binl sink, 13" x 14" x 13", sh4in1css steel, plumbing 30 1 Laboratory work counter, 88" x 17", iominate, 4" high backvplash, 19" wide pedcsfal, I door, 2 -drawer 31 1 Wall cabinet, 54" x24", laminate, 3 -door 32 1 Wall shelf, 4'x 9". Plywood 33 1 Base cnbinct, 20" x 25", laminate counter, wood base, I door, 1 drawer 34 1 Laboratory sink counter, 81" x 24", laminate top, 4" high backsplash, I drop,in dual sink, single mixing faucot, with aye wash, plumbing, 5 luwer drawers, open under storage, I side counter, 25" x 10", 4" high backsplash 35 1 Wall cabinet, 104" x 32", laminate on wood, 6 -door 36 1 Wali cnbinct, 24" x 32" x 12", laminate, single door 37 2 Storage shclves, 20"x 79" x 12", laminate, 7 -tier, built-in 38 1 Built-in desk, 63" x 21'; Single pcdcvhd, wood, with mounted vise 39 1 Wall cnHiet, 65" x 42", +.vixxl, 4 -door, 5 lower paper bins 10 I Wall cabinet, 16" x22" x M", wood, single door, with 4" vent and exhnust Fin), through -roof 'll I Water Itmler, Bradfiord White, 40 gallon (c;limule), cleciiic 42 1 Telephanesystem, Nortel f4ctworks, full feature, including 5 liand cels, Model no.: T7316E t 25K-30 DR. FULER R. FhRKER, INC. IMPROV 17MENTS pCR'1 AININCJ TO -lY IF REALTY Lff- TECTIVC DATA OF VALUE - JANUARY 20, 201 G I Item Nu. Qty. Description 43 1 Sink counter, 70" x 24", laminate counter on wood hitsc, 4" high bocksplash, stainless steel sink. single mixing raut:cl, plumbing 44 1 Wall cabinet, 36"x30", wood, 2 -door i 45 1 Wall shelf;, 75" x42", wood, 4-duor, I lower shelf, 21"x 11" 46 1 Wall shelf, 47" x 45" x 12", wood, 4 -tier 47 1 Built-in bookcase, Tx Tx 12", wood, 5 -Fier 48 29 Sgmirafeet ofvertical window blinds 49 1 Coat hook, wood, 4 metol hangers 50 1 Interior window, 58" x 40", 8" x 8" glass block 51 1 Lot ofeleutrieal setup and instnllation for air compressor, dental vacuum pump and connection for 4 operatory packngcs 52 1 1.of of suhtcrranean piping to 4 operatory packages, 3 -line, iustuned to be 3/4" copper for air and water connections, 314" PVC:, including air line to dental lab S3 1 Lot al'dam cabling and compotcr nctwOrkiLig 1'or 7 work�traious 54 1 Lot of minonniscellajieous installations, including hooks, fasteners, nail sGmws, Iirackem and incidental shelving j5 I Lot ol-immaltntion for 3 mtia-oral x-ray machines, Wall - mot nled, inclLid mgc Iibeation I 25K-31 EXHIBIT' "3" MOVABLE EQUIPMENT I DR. L"ULEK It. FERRER, INC. MOVABLE LQUIPMENT EFFECTIVE DATH OF VALUE- JANUARY 20, 2016 Item No, Qty, Dmriplion 56 1 Deuclr, 60" x 16", molded concrete I 57 1 Neon "Opel" sign, Cveraron, 22" x 12" 58 1 " Welcoma" mat. 30" x 19", fabric 59 7 Waiting area chairs, ❑tbulm metal sled base, fabric seats and backs 60 1 Flatscreen Wevision, Insignia, 32" 61 t Coffee/ magazine table, Z7" x 20", wnod 62 1 Lot of 07uned wall art, "nay have colleeto{s value, not appraised 63 1 Magazine rack, 1 I"x 24", wood, 4 -tier 64 1 Wali Mirror, 22" x 26", onnate wuod border 65 2 Medical file shelves, 62" high x 13" deep, metal, 6 -tier, consisting of - 1 24" wide 1 36" wide 66 1 Printer, IfoWlett Packard, Model no.t LncerJet F1606du 67 1 Wall clock, 18" diameter, Sterling & Noble 68 1 Tower fait, Aloha Dreezc 69 1 Fapersortcrshelf, 17."x,18"x 12",laminme, Id -tier 70 I Crtmputcr, Drll, model no. nal available, 19" ntnnit r, hcyl,umid awl manse 71 2 Credit Carl[ terminals, Vcrifouc, I - Model no.: VX520, I- Widet nu.: Omni 3740 72 1 Fortahle cicctric heater, Furnace type 25K-32 ISR. EULER It. FFRRER, INC, MOVAISLF. EQUIPMENT CFFECTIVL DA'Z'E OF VAHIF - JANUARY 20, 2016 Own No. Qly, Description 73 2 Waste bins, stainless steel, small id 1 Ta_vk ehair, plastic, fabric scni Rad back 75 l Cltair mat, plastic 76 l File cabinar, Ictter size, meatal, 2 -drawer 77 1 Electric pemncil sharpener, Panasonic 78 1 Modem,, F, ntt_yys, Model ao.: 3E 1500 79 3 Dentsl sterols, metal base, paddLxl vinyl seats and hacks 80 I Trash receptacle, VST, automated open and close, stainless steel SI 2 Dentn! chairs, Belmonr, model no. notavailabla, metal buss, adjustable, vinyl padded scuts, 4 -instrument dcnlol tray, overhead light and cuspidor; 4 -instrument R2 2 hlanitor4, ViewSnutc, Model no,: VE71tls U I Ultrasonic settler, Dentsplyi CRvitroa, Model no.: 3009 84 1 plat screen rnonitw, L.C,'75" 9..5 t Mmiai cabinet, 28" x 27" x'r6" laminate lop, -1" hackspinsh, wood base, 2 -door, 2-driwvr 36 1 Folding stepstool,2-step 57 1 Dental chair, Rc@uxurt, model no nal nvailahle, metal base, vinyl padded top, I instrument tray, Nladcl: Challenger, ovcncwad Iight, wit h3-instrIll tCMT wren, v.•utedair/ vacuum acucssorics AB 1 Xray machinu, Ciendes, Nludel uo.f (ix -770' adjustable, V1 Kttp, 7ma 25K-33 DR. RUI.FR R. FP.RRER, IN(-. MOVABLE EQUIPMr•,NT EFFECTIVE DATE OF VALUE -JANUARY 20,'2016 I Item No. Qly. Description 89 2 X-ray vicwurs, S.S, Plhitc, ] 5" x I2" 90 2 X-ray vcsis, vinyl on lead, apron style 91 ] (Nmti[or, 13civPett Packard, b9aticl no.: HI' S2U31, with j keybuard and mouse 92 ] Curing light, Coltutux, LCD 93 1 Curing light, Aurora 94 1 Emergency crash cart, singte tank, stainless steel, with cart and gauges I 95 2 Supply well cahincta, 28" x 23".x 7", metal, singlo door, glass. Front 96 1 Computer, D> 11, Model no,: Precision 360, with monitor, 21 ", tmd mouse 93 1 UPS, APC, Model no.: flack -UPS KS 1000 95 1 Printer, C anon, Model no.: MG3520 49 I X-ray mnchinc, Progeny L)enitkl, Model: Preva, adjustable, wall type 100 1 Llllrgsunic scalier, whaledcnt, Madcl no.: RioSonic U8100 101 1 Pottablo dentol darkroum, plastic 102 1 Ultraviolet light unit, Discus Dental, Model: Zuuml, adjustable: Itcad, casrcrs 103 1 Oculal end, 15" x 14", wbukn metal frame,2 laminakc tiers 104 I Canal measurement modula, (tont L\ -]l, Drlodel: V11, Willi with digital display 25K-34 DR-EIJ1.rR R rERR RR, INC, MOVABLE EQUIP1LI N'h EFFEcTIVE DATE Or VALUE - JANUARY 20, 2016 Item No. QSy Description 105 1 lJcnal heat gun, Ubntra Spartan, model n©. not available 106 1 Tbormal coa(1cnscr, Pin'kcil, Model: 1hermique 107 2 Assumed d=1111 carts, p)aatic, 3- to 5-drnwcr, open storage 108 1 Camam, Nikon, Mudel no.: Conlpix 995, %vith tripod sland, Model no.: i),1K-1 109 1 Wireless router, Linksys, Madel no.: WAP54G 110 1 Panoramic x-ray tnnchine, General Electric, Model: Pnnclipso, Serial no.: 155148, 24" x 80" x 48" overall, with x-ray )lead, chnir and control panel 1 1 t ! OssuuseN drill set, bVSH Drnialwerk, Mallei no.: 100 51-95, 40,000 rpm 112 1 Dental cabinet, 31" x 31"x 16", laminate, 6drawer, castors 113 1 Folding stepsluol, tubular meta!, vinyl pati 114 1 Dental chair, Midmark, model no, not available, utctal adjustable base, vinyl padded top, 4 -instrument dental tray, cuspidor arm, 4-insiramcnt, overhead work light 1 ! 5 1 X-ray machine, Sirnna,?ma, 64) Kv, adjustable arm type 116 1 Plat screen monitor, Samsung, Model no.: Syncmnster SA350 117 1 Dental tray:r",and, 19" x 13", stainless Steel top nud tz,se 115 1 Nlodcl trimmer, Price. 12" diameter 119 1 Visible light caro system, Dowsply, 'Aodel no- 'Triad 2000 120 1 I-Tt:a! cabinet, Name, Stainless steel 121 1 'I'hm•ma-knifc fray trimmer, Buffalo 25K-35 DR. ISIII.Fft R. FERRER, INIC. MOVAPL.r rQ111Ph10 r EFFECTIVE, DAIT OF VALOR.-1ANVARY 20, 2016 Item No- Qty. Description 122 1 Fled sterilizer, Schein, model no, notavailable 123 1 Autoclave, Quant! IM, Model no.: 16 124 1 Vacuum former, manufacimw and model no, not nvailable 125 1 Autoclave, Pekoe & Crrnc, mudel no. not aVailai]le, ! stainless steel, steam I 126 1 Autoclave, MDT Harvey, Model no.: Chcmielave W5500 it127 1 Mini- mft igcrator, Magic Chef, 4 cubic Feet 123 I Assistant's stool, metal, vinyl padded seat and armrest i 129 1 Bate cehinct, 48" s 24", laminatc, 2 lower doors 130 2 Fiveextinguishem, 10 1b. 131 1 Denial lathe, Italdor, Model nu.: 43711, with 2 sphisliguards, stuinlws steal 132 1 Dcsk crane lanyr, fluorescent 133 l Desk Fan, Hmecy%vell, 12" 134 1 Domed pul;ahcr, Price, st9inlcss steel, with vacuum and splashguard 135 1 Air compressor tinmI cuntruller, Inimmitic, model no. not mailable 136 1 Storagu shelf, 12" x 42" x 15", laminatc, b -tier I 137 I Wall clock, 12" diameter, plastic 138 I Plaster cabinet, 21" wide, metal, tap and hotton doors 139 1 Electrical outlet, Prime, 40' wide, I0 -plug 25K-36 DR. PULER R. FPRRE.R, IrJC:. MOVABLE EQUIPMENT EFFECI7VE DATEOF VALUE- JANUARY 20, 2016 ' Item NO. Qtv Description 140 1 hgonitor, Magnavox, 13", with DVD player 141 1 U11 asocsic cleaner, L&R, Model no,; T-14, stainless steel 142 1 Vibramr unit, Buffalo, Model no,; IA 143 1 W;Lsta receptacle, stainless steel, with foot lid 194 1 Casting machine, Vernon•Donshoff Co., Model Mini Cast, 21}" x 38" x 28" overall, tatnperature controls 145 1 Time clock, Royal, Model no.; ,rima Mastar Pro 1000 146 2 Computer towers, Dcll, Modcl no,: Dimension 3000, with keyboards 147 1 Paper cutter, Boston, Model na,; 261 12 148 1 POstagc scale, Pcleuu, N9c�del no.: Y2 144 1 }:urnace, Kerr, Series 460, Model: Sybron, 2,5flf) degree -ap716ty 150 1 C:Lssetle playerl radio, Audiuvox 151 1 Folding stepstool, I -step, mctal 152 1 Floor healer, l ]eat Stream, eteefric t53 I Microwave, Goldstar 154 I ?Rini tcrrigorntor, Frigidaire, 3 cubic feet Itis p Chair, tubular metal, rabric sent 156 1 Shreddcr, Fcllowcs, Model nn.i PS70-2 157 1 bolding tablcl hmtd truck, metal, Plastic. top, 26" x 18" 25K-37 DR. L•ULL•R R. FERRER, INC. MOVABLL E[IUIPMEN'F EFFECTIVE DATE OF VALUE. - JANUARY 20, 2016 Item No. Qty. Description 159 1 Filecnbintt, letter sizo, metal, d -drawer 159 1 pile cabinet, letter size, metal, 2 -drawer 160 1 Server, Dell, Model no.: Powerrdge SC.420, with keyboard 161 1 Server, Dell, Model no.: Power&.. e Tl 1011, with ViewSonic monitor, Modal no.: VE710s ` 162 1 UPS, APC, h•1adc1 no.:'jack•Ul'S XS 1000 163 1 Desk, 48" x 33", metal legs, laminate top, upper hutch, 14 deep i 164 1 Firewall, 3mnicWall, Model no.: TZ 150 165 1 Reuter, Ntoturolu, Model ria.: Surfboard SDCt6580 166 1 Computer, E Eewlett Packard, Modg1: TuuchSmart, 19" semen with speakers, DVD drive 167 1 Desktop vertical drill, custom made, 2,000 rpm E 68 1 Copier, Canon, Model no.: PC921 169 1 Storage cabinet, 30""t 28" x 1811, meal, 2 -dour 170 1 Stool, tubular mclal legs, plastic seat and back 171 2 Guest chairs, wood legs, vinyl. padded seats and backs 172 1 "Celevisiou, NE<tenxvax, l3•` 173 I 1-sser primer, Samsung, hh�del na: CLP -i 10 174 1 Ftpuipttcut stand, 32" x 1 }", tubnlrvx metal IcpS, laminae top 175 1 Computcrdoslc, 25" x 18", metal, I keyboard drawer 176 1 Laplop crzmpultr, Dell, Moclal nn,; Vostro 6500 25K-38 I?li. IiULlili R. I'L RRHZ, INC. MOVABLE EQUIPMENT EITUC"I IVE DNI'GUP VALUE- JANUARY 20, 2016 I tem No. t2b'• DCSCfiptlali I 177 1 UPS,APC, Model no.: flack -UPS f?S,00 178 1 Desk filcr, 16" wide, laminate, 2 -drawer 179 1 All-in-ona mnchinc, Hcwlutt Packard, Madel no.- fffffcalet Pro StiQQ 180 1 Gas tank, vendor awned, nut appraised 181 1 Desk, 60".Y. 29" double pudcstrd, Inminate 182 1 Task armchair, plastic, vinyl sent and beck 183 I Laptop, Dell, Model hrspiron 184 1 Lot of dcndal tools and hand piecos, including, but not limited to, low speed drills, forceps, tweeters, scrapers, mirrors, mitt hitch speed drills 185 I Dental MUM pump, ADP, modal no, not availsble, twin Bend, with sepamlor 186 1 Air corepressor, Campbelt Ilausfeld, puitn6le type, cavrcm 18'7 1 Extension ladder, Werner, 16', metal 25K-39 25K-40 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE TENANT INTEREST PURCHASE AGREEMENT FOR BRISTOL STREET IMPROVEMENTS PHASE 3A (PROJECT NO. 136792, NON -GENERAL FUND) (STRATEGIC PLAN NOS. 6, 194 3,2C) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on ls'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 a purchase agreement of Tenant Interest in the property listed below and goodwill (if any) with the following property owner, subject to nonsubstantive changes approved by the City Manager and City Attorney: No. Property Owner Property commonly Acquisition Amount known as / location Type Thomas M. Hewko, Back Pain Chiropractic Clinic Tenant 1 D C 1111 N Bristol Street Suite I& J Interest $116,490 (APN 405-274-10) Bristol Street is a north -south transportation corridor 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 that is being constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and bike lanes. The City is acquiring properties for the development of Phase 3A bounded by Civic Center Drive and Washington Avenue. Property acquisitions for this phase are expected to be completed by spring 2018, and construction is anticipated to begin in summer 2018. The acquisition of the tenant interest (Exhibit 1) is necessary to accommodate the Bristol Street improvements and widening for Phase 3A. The above listed tenant agreed to quitclaim all of their tenancy interest, including loss of goodwill, for the listed purchase price. The purchase price was based on the appraised value prepared by a State -licensed appraiser, and the offer was accepted by the respective tenant -seller. The purchase price for the acquisition listed above is shown in the corresponding agreement (Exhibit 2). 25L-1 Tenant Interest Purchase Agreement for Bristol Street Improvements Phase 3A September 19, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy 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 3A, which lies between Civic Center Drive and Washington Avenue, 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 $116,490 are available in the Bristol Street Improvements Project (No. 136792) for expenditure in FY 2017/2018 in the Select Street Construction Fund (Account No. 05917661-66100), subject to nonsubstantive changes. Executive Director Public Works Agency FM/WG/JG/KN/ST AS TO FUNDS & ACCOUNTS: Executive Director I Finance & Management Services Agency Exhibits: 1. Location Map 2. Tenant Interest Purchase Agreement for APN 405-274-10 25L-2 25L-3 MATCHLINE SEE BELOW RIGHT 10TH STREET 9TH STREET CMC CENTER DR. LEGEND D-SUBJECT PPUPEBTIES 7� F7�3CC'J IRER MPERTIES L -1 - WASHINGTON AVENUE EXHIBIT 1 MATCHLINE SEE TOP LEFT SANTA ANA TITLE: PURCHASE AGREEMENT FOR CrrY COUNCIL EET IMPROVEMENTS uSEPTEENDA DATE: 7 PHI ASE 3STOL A PROJECT NO. 36792 19, NONGENERAL FUND) RIBLIC WORKS AGENCY (Strategic Plan No. 6, 1, Gc and 3, 2, CJ 25L-4 PAGE 1 OF 1 SELL Project: Bristol Street Improvement Project —Phase 3A APN: 405-274-10 Tenant -Seller: Thomas M. Hewko D.C. dba Back Pain Chiropractic Clinic Corporation AGREEMENT FOR ACQUISITION OF TENANT -SELLER'S INTEREST IN REAL PROPERTY THIS AGREEMENT ("Agreement") is entered into as of this day of , 2017, by and between THE CITY OF SANTA ANA, a charter city and municipal corporation duly. organized under the Constitution and laws of the State of California ("Buyer"), and THOMAS M. HEWKO, D.C. DBA BACK PAIN CHIROPRACTIC CLINIC ("Tenant -Seller") for the acquisition by Buyer of certain interests in real property described herein. IT IS HEREBY AGREED BETWEEN THE PARTIES AS FOLLOWS: I. AGREEMENT. Tenant -Seller agrees to sell and convey to Buyer, and Buyer agrees to purchase and acquire from Tenant -Seller, upon the terms and for the consideration set forth in this Agreement, (a) all right, title and interest, in and to certain improvements, including fixtures and equipment (collectively " Conveyed Improvements") located in, on, or affixed in any manner to the premises known and numbered as 1111 N. Bristol Street, Suite I & J, Santa Ana, California ("Premises") which Premises are part of that real property described in EXHIBIT A attached hereto, located in the City of Santa Ana, Orange County, California (`'Property"), and (b) any tenancy interest of Tenant -Seller ("Tenancy Interest") in and to the Premises and the Property. The Conveyed Improvements are a part of the Premises, and specifically include, without limitation, the items described in the list of Improvements Pertaining to the Realty attached hereto as EXHIBIT B. The conveyed Improvements are collectively referred to as the "Improvements." 2. PURCHASE PRICE. The total purchase price, payable in cash through this Agreement, shall be the sum of: ONE HUNDRED SIXTEEN THOUSAND FOUR HUNDRED NINETY DOLLARS AND NO/100 CENTS ($116,490.00) ("Purchase Price") which is computed as follows: Value of Conveyed Improvements as shown on Exhibit B $5,490.00 Loss of Business Goodwill $111,000.00 TOTAL AMOUNT PAYABLE THROUGH THIS AGREEMENT $116,490.00 3. CONVEYANCE OF INTEREST IN REAL PROPERTY. Tenant -Seller agrees to execute a Quitclaim Deed in the same form as that attached hereto as Exhibit C in favor of Buyer ("Quitclaim Deed"), relinquishing, releasing, and forever quitclaiming to Buyer all right title and interest in and to the Tenancy Interest. 25L-5 4. Tenant -Seller has vacated the property on January 21, 2017 5. CONVEYANCE OF INTEREST IN IMPROVEMENTS. The Quitclaim Deed will also convey from Tenant -Seller to Buyer all of Tenant -Seller's interest in and to the Improvements, which conveyance shall be free and clear of all recorded and unrecorded encumbrances, liens, assessments, leases, and taxes. Unless otherwise provided, recording of the Quitclaim Deed and Closing (as defined below) of the transaction described herein shall be subject to Tenant -Seller's vacation of the Premises and proof of clear title to all said Improvements having been obtained and received by Buyer in accordance with Paragraphs 8 and 9 of this Agreement. 6. RECORDING. Recordation of any documents delivered through this Agreement is authorized if necessary or proper, upon acceptance by Buyer as described herein. 7. CERTIFICATION OF OWNERSHIP. Tenant -Seller hereby warrants and certifies under penalty of perjury that Tenant -Seller is the owner of the Improvements and that no document has been signed by or on behalf of Tenant -Seller for the purpose of creating any lien, encumbrance, or security interest in any of the Improvements, and that the Tenant -Seller does not know of any claim of lien, encumbrance, or other security interest therein, EXCEPT: (a) Trust Deeds on the Property, duly recorded; and (b) real and personal property taxes. 8. BULK SALE. In order to establish proof of clear title to the Improvements, Buyer may publish a Notice to Creditors pursuant to the Bulk Sales Law of the State of California and obtain a title report and/or a report from the Secretary of State's Office as to filings of security interests covering the Improvements. 9. CONFLICTING INTERESTS. In the event any conflicting claim of title or any security interest or lien of any kind is discovered or asserted as to any of the Improvements, Buyer shall, upon receiving notice or knowledge thereof, withhold an amount otherwise payable to Tenant -Seller as is reasonably necessary, in the sole opinion of Buyer, to protect Buyer against such claim of interest or lien. The withholding of such funds shall not prevent Closing of this transaction if the total funds to be withheld from Tenant -Seller do not exceed the net amount to be paid to Tenant -Seller through this transaction. Buyer will not pay out the withheld funds or disburse any withheld funds to any claimant or other party (except upon court order or levy) without the written consent of Tenant -Seller. A general creditor's claim shall not be deemed to be a claim against any specific item of Improvements and Tenant -Seller hereby agrees to accept all responsibility therefore. Unless otherwise provided, it shall be presumed that Tenant -Seller is entitled to payment under this transaction for the Improvements. It shall be presumed that the Property owner is the owner of all improvements, fixtures and equipment associated with the Premises other than the Improvements. 10. DISMISSAL OF EMINENT DOMAIN ACTION. If Buyer has previously filed an action to condemn the Tenancy Interest and/or Tenant -Seller's interest in the Improvements, Tenant -Seller hereby consents to the dismissal of such action and waives any claims for compensation, costs, attorney's fees and deposits in said action, or any claim whatsoever which might arise out of the filing of such action, whether or not such claim is specifically identified 25L-6 herein. Tenant -Seller hereby authorizes Buyer to withdraw and make payable to Buyer any funds deposited with the Court in any such eminent domain action. 11. CLOSING: PURCHASE PRICE ADJUSTMENTS. Recording of the Quitclaim Deed by Buyer will constitute "Closing" of this transaction. At Closing, Buyer will pay the Purchase Price to Tenant -Seller, subject to the following adjustments: A. Pay and charge Tenant -Seller for any and all current and/or delinquent taxes and any penalties and interest thereon, and for any delinquent or non -delinquent assessments or bonds against the Improvements and the Tenancy Interest. B. Pay and charge Tenant -Seller for any amount necessary to place title in the condition necessary to satisfy Paragraphs 4 and 7 of this Agreement; C. Disburse funds when conditions of this Agreement have been satisfied by Buyer and Tenant -Seller. 12. FULL AND COMPLETE SETTLEMENT. Tenant -Seller hereby acknowledges that the compensation paid to Tenant -Seller through this Agreement constitutes the full and complete settlement of any and all claims against Buyer, resulting from or arising out of Buyer's acquisition of the Property and the Tenancy Interest and any dislocation of Tenant -Seller from the Premises, specifically including, but not limited to the value of the Improvements, leasehold improvements, any and all claims for rental or leasehold value and any and all claims in inverse condemnation and for pre -condemnation damages, and any and all claims for loss of business goodwill, and any and all other claims that Tenant -Seller may have, whether or not specifically mentioned here, relating directly or indirectly to the acquisition by Buyer of the Property, the Improvements and the Tenancy Interest, and the loss of business goodwill (but excluding relocation benefits to which Tenant -Seller may be entitled). Tenant -Seller hereby disclaims any right, title or interest in or to the Premises. Tenant -Seller and Buyer and each and all of their agents, representatives, attorneys, principals, predecessors, successors, assigns, administrators, executors, heirs, and beneficiaries (collectively "Releases"), hereby release the other party, and its Releases, and each of them from any and all obligations, liabilities, claims, costs, expenses, demands, debts, controversies, damages, causes of action, including without limitation those relating to just compensation or damages which any of them now have, or might hereafter have by reason of any matter or thing arising out of or in any way related to any condemnation action affecting the Property, the Improvements and the Tenancy Interest. Additionally, Tenant -Seller hereby expressly and unconditionally waives any claims (known or unknown) including loss of goodwill, severance damages, statutory interest, claims for inverse condemnation or unreasonable pre -condemnation conduct, or any other compensation, damages or benefits, arising from the acquisition of the Premises that Tenant -Seller may have against Buyer, its officials, representatives, and attorneys. 13. ACKNOWLEDGMENT CONCERNING CIVIL CODE SECTION 1542. Tenant - Seller acknowledges that it has been advised by its attorneys concerning, and is familiar with, the provisions of California Civil Code §1542, which provides as follows: "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." 25L-7 Tenant -Seller acknowledges that it and any others acting on its behalf herein may have sustained damage, loss, cost, or expenses that are presently unknown and unsuspected and which may give rise to additional damages, loss, costs, or expenses in the future. Nevertheless, Tenant -Seller acknowledges that this Agreement has been negotiated and agreed upon in light of that situation and hereby expressly waives any and all rights which it or others acting on its behalf may have under California Civil Code §1542, or under any statute or common law or equitable principle of similar effect. Tenant -Seller: 14. CONTINGENCY. Transaction is subject to and contingent upon receipt by Buyer of the duly executed Quitclaim Deed from Tenant -Seller with respect to the Tenancy Interest and the Improvements. This transaction is further subject to and contingent upon approval and acceptance by Buyer. 15. AGREEMENT TO EXECUTE. Tenant -Seller and Buyer agree to execute and file any additional agreements, consents or other documents reasonably necessary to effect the full and complete settlement and purchase of the Improvements and the Tenancy Interest. 16. AUTHORIZATION TO EXECUTE. Tenant -Seller and Buyer represent and warrant that the persons executing this Agreement are duly authorized to do so and to act on behalf of Tenant -Seller and Buyer respectively. 17. COMPROMISE IN SETTLEMENT. This Agreement is a compromise in settlement of pending or potential litigation between Tenant -Seller and Buyer and shall never be treated as an admission by Buyer for any purpose of liability or as to value of any property or claim. 18. SURVIVAL OF RIGHTS AND OBLIGATIONS. Notwithstanding the releases contained herein and agreement concerning this transaction, all the rights and obligations created under and pursuant to this Agreement shall survive the execution of the Agreement, the releases contained herein and the Closing of this transaction. 19. WARRANTIES, REPRESENTATIONS AND COVENANTS OF TENANT - SELLER. Tenant -Seller hereby warrants, represents, and/or covenants to Buyer that: A. To the best of Tenant -Seller's knowledge, there are no actions, suits, material claims, legal proceedings, or any other proceedings affecting the Improvements, the Tenancy Interest or any portion thereof, at law or in equity, before any court or governmental agency. B. Until the Closing, Tenant -Seller shall maintain the Improvements and the Premises in good condition and state of repair and maintenance, and shall perform all of its obligations under any service contracts or other contracts affecting the Improvements and the Premises. C. Until the Closing, Tenant -Seller shall not do anything which would impair Tenant -Seller's title to the Premises, the Improvements or the Tenancy Interest. 4 25L-8 D. All utilities including gas, electricity, water, sewage, and telephone, are available to the Premises, and to the best of Tenant -Seller's knowledge, all such items are in good working order. E. To the best of Tenant -Seller's knowledge, neither the execution of this Agreement nor the performance of the obligations herein will conflict with, or violate any of the provisions of any bond, note, evidence of indebtedness, contract, lease, or other agreement or instrument to which Tenant -Seller, the Premises, the Improvements or the Tenancy Interest may be subject. F. Until the Closing, Tenant -Seller shall, upon learning of any fact or condition which would cause any of the warranties and representations in this Paragraph 20 not to be true as of Closing, immediately give written notice of such fact or condition to Buyer. 20. HAZARDOUS WASTE. Neither Tenant -Seller nor, to the best of Tenant -Seller's knowledge, any previous owner, tenant, occupant or user of the Property or the Premises, has 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 the Premises, or transported any Hazardous Materials to or from the Property or the Premises. Tenant -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 Premises. The term "Hazardous Materials" 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 §25115, §25117 or §25122.7, or listed pursuant to §25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under §25316 of the Califomia 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 §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 §25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated byphenyls, (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. 51317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. 56901 et seq. (42 U.S.C. 56903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, and Liability Act, 42. U.S.C. S6901, et seq. (42 U.S.C. 56901). 21. COMPLIANCE WITH ENVIRONMENTAL LAWS. To the best of Tenant -Seller's knowledge, the Premises and its use 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 25L-9 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. 22. INDEMNITY. Tenant -Seller agrees to indemnify, defend and hold Buyer 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 Premises, 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 Premises. 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, 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 acts or omissions of Tenant -Seller herein. 23. ATTORNEYS' FEES. If legal action is required in order to construe or enforce any provision of this Agreement, the party prevailing in such action shall be entitled, in addition to such other relief as may be granted, to a reasonable sum as its attorneys' fees and costs. 24. COUNTERPARTS. This Agreement may be executed in counterparts and when so executed by both parties, each counterpart will constitute an original document. 25. BINDING EFFECT. The terms, conditions, covenants and agreements set forth herein shall apply to and bind the heirs, executors, administrators, assigns and successors of the parties hereto. 26. ENTIRE AGREEMENT. This Agreement contains the entire agreement between both parties; neither party relies upon any warranty or representation not contained in this Agreement. 25L-10 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year set forth hereinabove. Mailing Address of Tenant -Seller Tenant -Seller Ed Lear, Esq. THOMAS M. HEWKO, D.C. DBA BACK Century Law Group, LLP PAIN CHIROPRACTIC CLINIC Century Blvd., Suite 345 Los y( �� Los Angeles, eles, CA 90045 By: Date: g/Orfllt— Mailing Address of Buyer Buyer 20 Civic Center Plaza, M-30 THE CITY OF SANTA ANA Santa Ana, California 92701 Cynthia J. Kurtz Interim City Manager Attest: By: Maria D. Huizar City Clerk Approved as to Form: By: gjjL '7VV' f ✓It J06A M. Funk Assistant City Attorney Recommended for Approval: By: Fred Mousavipour Executive Director - Public Works Agency 7 25L-11 EXHIBIT A LEGAL DESCRIPTION OF PROPERTY All that certain real property situated in the County of Orange, State of California, described as follows: Parcel 1 of Parcel Map No. 87-340, in the City of Santa Ana, County of Orange, State of California, as shown on a map filed in Book 237 Pages 48, 49 and 50 of Parcel Maps, records of Orange County, California. Assessor's Parcel Number: 405-274-10 25L-12 q-,. -IV-.Tmo. DESCRIPTION: TENANTIMPROVEMENTS FMV IN PLACE 1 SIGNAGE EXTERIOR $ 51090 (12) LETTERS, INDIVIDUAL, 18" CHANNEL, ILLUM, PLASTIC FACE (198) LE7TI=RS, WINDOW DECAL, 3" TO a"H (2) MONUMENT SIGN, 1'X4' PLASTIC WNINYL DECAL LETTERING (135)SF OF WINDOW GRAPHICS, VINYL, SEE THROUGH 1 BLINDS, LEVELUOR, HORR V MTL 100 1 PLUMBING, ROUGH IN T PVC, EST 71-F, TO RESTROOM S00 TO COLON THERAPY MACHINE TOTALTENANTIMPROVEMENTS 25L-13 $ 5,490 EXHIBIT C RECORDING REQUESTED BY: THE CITY OF SANTA ANA AND WHEN RECORDED MAIL TO: Clerk of the Council City of Santa Ana 20 Civic Center Plaza, M-30 Santa Ana, California 92701 Exempt from Recording Fee Exempt from Documentary Transfer Tax Pursuant to Government Code Section 6103 Pursuant to R&T Code § 11922 pace above this line for Recorder's use QUITCLAIM DEED County Assessor's Parcel Number: 405-274-10 (1111 N. Bristol, Suite I& J, Santa Ana, CA) FOR A VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, THOMAS M. HEWKO, D.C. DBA BACK PAIN CHIROPRACTIC CLINIC Do(es) hereby REMISE, RELEASE AND FOREVER QUITCLAIM to the THE CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California, the real property in the City of Santa Ana, County of Orange, State of California, described as all right title and interest in and to the following described real property in Exhibit "1" including any and all leasehold interest, title and interest in and to the improvements pertaining to the realty which are attached or affixed in any manner to the following described real property specifically including, but not limited to the items in Exhibit "2", list of Improvements Pertaining to the Realty, (fixtures and equipment), attached hereto and by this reference made a part hereof, which are either generally or for purpose of this deed a part of that parcel of real property in the City of Santa Ana, County of Orange, State of California, described as follows: Grantor for himself, his heirs, representatives and assigns covenants and warrants that: 1) Grantor is the sole owner of the itemized Improvements Pertaining to the Realty conveyed by this Quitclaim Deed free from all liens and encumbrances, and 2) Grantor will defend the title and quiet enjoyment of the real property described above, including all Improvements Pertaining to the Realty, against all demands and claims of all persons. SEE EXHIBIT "1" & "2" ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF IN WITNESS WHEREOF, the grantor hereto has caused this Quitclaim Deed to be executed as of this—day of '2017. BDate: 25L-14 EXHIBIT"I" LEGAL DESCRIPTION All that certain real property situated in the County of Orange, State of California, described as follows: Parcel 1 of Parcel Map No. 87-340, in the City of Santa Ana, County of Orange, State of California, as shown on a map filed In Book 237 Pages 48, 49 and 50 of Parcel Maps, records of Orange County, California. Assessor's Parcel Number: 405-274-10 25L-15 EXHIBIT "2" DESCRIPTION OF CONVEYED IMPROVEMENTS DESCRIPTION, TENANTIMPROVEMENTS FMV IN PLACE 1 SIGNAGE EXTERIOR $ 5,090 (12) LETTERS, INDIVIDUAL, 16" CHANNEL, ILLUM, PLASTIC FACE (146) LETTERS, WINDOW DECAL, 3" TO s"H (2) MONUMENT SIGN, 1'X4' PLASTIC WMNYL DECAL LETTERING (135)SF OF WINDOW GRAPHICS, VINYL, SEE THROUGH 1 BLINDS, LEVELUOR, HORIZ, 1" MTL 100 1 PLUMBING, ROUGH IN 2" PVC, EST 7LF, TO RESTROOM 300 TO COLON THERAPY MACHINE TOTALTENANTIMPROVEMENTS 25L-16 $ 5,490 REQUEST •' COUNCIL • Illi: r - CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: SEPTEMBER 19, 2017 TITLE: ADOPT THE THIRD AMENDMENT WITH APPROVED ❑ GREAT -WEST FINANCIAL FOR ❑ RECORDKEEPING AND COMMUNICATION ❑ ❑ SERVICES PERTAINING TO THE 457 DEFERRED COMPENSATION PLAN WITH O SUPPORTING INVESTMENT & FIDUCIARY PLAN ADVISORY SERVICES WITH BENEFIT FINANCIAL SERVICES GROUP {STRATEGIC PLAN NO. 7,4) �— RECOMMENDED ACTION As Recommended As Amended Ordinance on 1s'Reading Ordinance on 2ndReading Implementing Resolution Set Public Hearing For CONTINUED TO FILE NUMBER 1) Authorize the City Manager and Clerk of the Council to execute a third amendment with Great - West Financial, for recordkeeping and communication services pertaining to the 457 deferred compensation plan for a three month period beginning October 1, 2017 through December 31, 2017, subject to non -substantive changes approved by the City Manager and City Attorney. 2) Authorize the City Manager and Clerk ,of the Council to execute an agreement with Benefit Financial Services Group (BFSG), for plan and investment advisory services pertaining to the 457 deferred compensation plan for a three month period beginning September 19, 2017 through December 31, 2017 for an amount not to exceed $10,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City of Santa Ana's full-time employee 457 Deferred Compensation plan ("plan" or "457 plan") was established in 1973, with the adoption of City Resolution 7-21, along with a corresponding US Internal Revenue Service approval. The plan is a voluntary deferral program that is separate and distinct from the CalPERS pension system. Specifically, the establishment of this plan, pursuant to regulations in §457 of the Internal Revenue Code, provides participants an opportunity to supplement their CalPERS retirement by allowing them to defer a portion of their current earnings and associated taxes until retirement or separation. The plan is administered through the Finance & Management Services Agency and as of June 30, 2017 maintains plan assets approximating $106.9 million with 1,172 participants. Great West Financial ("Great -West"), the Plan Sponsor, operating under its subsidiary Empower, has been engaged to provide administrative, recordkeeping and communication services for the plan, including: providing the portfolio structure (36 highly diversified options: mutual funds, bond funds, and fixed asset funds), 25M-1 Agreement with Great -West Financial & BFSG September 19, 2017 Page 2 ensuring plan compliance with federal regulations, and offering various participant services (i.e., educational seminars, on-site consultation, & website services). In addition, included in this third amendment are additional participant services that Great -West will now automate and manage, including: Qualified Domestic Relationships Orders (QDRO), unforeseen emergency distributions, and distributions due to separation. In 2014, the City retained the services of Benefit Financial Services Group (BFSG) in order to enhance employee's investment experience. City finance staff in conjunction with BFSG, negotiated with Great - West to change the plan structure and thus enabling participants with greater fund transparency, better access, and varied investment options. The negotiated agreement allowed for greater expansion of fund selection and flexibility than provided under the former annuity -based contract. As a result of these efforts, employees participating in the plan experienced significantly reduced management, fund and participant fees. The terms, conditions and services that were negotiated by the City in 2014 will remain in full effect. The current plan and fee structure will remain unchanged and new services will be added within this amendment. Moreover, plan and fund -level detailed quarterly and annual reports are the required fiduciary foundation for proper plan management, required plan participant education and plan transparency as required by federal statutes. BFSG will assist the City with fiduciary requirements as well as plan monitoring and investment analysis and recommendations as it relates to the 457 deferred compensation plan. The extension is requested in order for staff to evaluate the existing Plan structure including recordkeeping and advisory services. Additionally, during the extension time period Staff will also evaluate the plan holistically to determine the best investment and plan options to offer plan members. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 Team Santa Ana, Objective #4 (Establish employee compensation that attracts and retains a highly qualified workforce). FISCAL IMPACT There is no fiscal impact associated with this action. All administrative fees pertaining to the services will be borne by the plan participants. Internal Revenue Code permits administrative reimbursement from plan assets, which will be utilized to offset fiduciary advisory, participant education and staffing costs felated to the management of the 457 Plan. Executive Director Finance and Management Services Agency AC Exhibits: 1. Agreement with Great -West Financial 2. Agreement with Benefit Financial Services Group 25M-2 Amendment No. 3 Attached to and Forming part of AGREEMENT FOR RECORDKEEPING AND COMMUNICATION SERVICES §457 Deferred Compensation Plan GROUP #98280-01 THIS AMENDMENT NO. 3 is entered into by and between Great -West Life & Annuity Insurance Company ("Great -West'), and/or any successor, assign or affiliate, and the City of Santa Ana ("the Plan Sponsor") with respect to the services to be provided by Great -West to the City of Santa Ana 457 Deferred. Compensation Plan (hereinafter referred to as the "Plan"). Effective September 22, 2014,.Great-West and the Plan Sponsor entered into the Agreement for Recordkeeping and Communication Services ("Agreement'), under which Great -West provides certain recordkeeping-and:communicatiomservices for the Plan Sponsor with respect to the Plan; and Effective December 10, 2015, Great -West and the Plan Sponsor entered into Amendment No.1 ("Amendment No. 1") . to the Agreement, to renew the Agreement; and Effective October 10, 2016, Gfeat-West hand the Plan Sponsor entered into Amendment NO -2 ("Amendment No.2") to the Agreement, to renew the Agreement; and Effective August 1, 2017, the term of the agreement was extended by Plan Sponsor and Great -West; and Great -West and the Plan Sponsor have agreed that it would be mutually beneficial to amend the Agreement to include additional services. NOW THEREFORE, in consideration of the covenants and conditions herein contained, and other good and valuable consideration as herein provided, the parties agree to amend the Agreement as follows: 1. Section IX Agreement Term and Termination is amended to extend the term of the Agreement up to and including December 31, 2017. 2. Section II.M. of the Agreement shall be deleted in its entirety and all subsequent sections shall be re -numbered accordingly. 3. A new Section I. shall be added to the end of Section III. as follows: "I. Qualified Domestic Relations Orders Plan Sponsor's approved model form of QDRO for the Plan is attached to this Agreement. Plan Sponsor hereby instructs and authorizes Great -West to treat as qualified each QDRO received by Great -West in good order using the model QDRO form, or a form that is similar in all material respects to the model QDRO form. Plan Sponsor instructs Great -West to process the QDRO, without Plan Sponsor's further approval, by establishing a separate account for the Alternate Payee or making a lump sum distribution to the Alternate Payee. Plan Sponsor instructs Great - West to send a copy of each QDRO confirmation or rejection letter to Plan Sponsor. Exhibit 1 City of Santa Ana Service Agreement Amend No 3 25M-3 Plan Sponsor further instructs Great -West to process, without Plan Sponsor's further approval, all requests, received in good order and in a manner acceptable to Great -West, for distributions from Alternate Payee accounts established before or after the Effective Date. Plan Sponsor instructs Great -West to calculate any Alternate Payee's QDRO amount based solely on the Participant's account records on Great -West's recordkeeping system, and to reject any QDRO that specifies a valuation date prior to the Effective Date. Plan Sponsor agrees to make determinations with respect to any orders received that are not materially similar to the model QDRO form for reasons other than the inclusion of a valuation date that precedes the Effective Date." 4. A new Section J. shall be added to the end of Section III. as follows: "J Distributions Due to Unforeseeable Emergencies Plan Sponsor hereby instructs land authorizes Great -West to process, without Plan Sponsor's further approval, all Participant requests, received in good order and in a manner acceptable � totGreat-West.ifor i distributions due to unforeseeable emergency resulting in a severe financial hardship to the Participant or Beneficiary that cannot be alleviated by any other means.available to the Participant. Great -West shall only process such requests if they meet the safe harbor defined, in the Treasury Regulations, as described below. Plan Sponsor further instructs Great -West to rely on any and all representations made by a Participant in a request. The following situations shall qualify for a distribution under this section: 1. An illness or accident of the Participant or Beneficiary, the Participant's or Beneficiary's spouse, or the Participant's or Beneficiary's dependent (as defined in Code §152, and for taxable years beginning on or after January 1, 2005, without regard to §152(b)(1), (b)(2) and (d)(1)(B)): 2. Loss of the Participant's or Beneficiary's property due to casualty; 3. The following extraordinary and unforeseeable circumstances, if they arise as a result of events beyond the control of the Participant or Beneficiary: a) The imminent foreclosure of or eviction from the Participant's or Beneficiary's primary residence; b) The need to pay for medical expenses, including nonrefundable deductibles, as well as the cost of prescription drug medication; and c) The need to pay for the funeral expenses of a spouse or a dependent (as defined in Code §152, and for taxable years beginning on or after January 1, 2005, without regard to §152(b)(1), (b)(2) and (d)(1)(B)) of Participant or Beneficiary. Except in extraordinary circumstances, the following are examples of situations that shall NOT qualify for a distribution under this section: 1. Purchase of real estate; 2. Payment of college tuition; 3. Unpaid rent or mortgage payments, except in the event of imminent foreclosure or eviction; 4. Unpaid utility bills; 5. Loan repayments; City of Santa Ana Service Agreement Amend No 3 25M-4 5. J 6. Personal bankruptcy (except when resulting directly and solely from illness, f bl circumstances beyond casualty loss or other similar extraordinary and un oreseea e the Participant's or Beneficiary's control); 7. Payment of taxes, interest or penalties; or 8. Marital separation or divorce. Plan Sponsor will make determinations with respect to any unforeseeable emergency distribution request that does not clearly fall within the guidelines set forth above. In the event of any changes to applicable Treasury Regulations, Great -West may revise time and without further notice to Plan Sponsor in effect until revoked by either party. law, including the safe harbor defined in the this authorization and instruction from time to This authorization and instruction shall remain In order to receive this service, ,Plan Sponsor must also utilize Great -West's beneficiary recordkeeping and deferral recordkeeping services. For each , Participant receiving an unforeseeable emergency distribution, Plan Sponsor instructs Great -West to notify Plan Sponsor to suspend elective deferrals for the period required by the Plan, if any. Great -West is instructed to deny any request where the unforeseeable emergency event ,occurred prior to the Effective Date, or more than one year prior to the date the request is received. Great -West may contact Plan Sponsor for direction when unusual situations arise. For each request that is denied or that cannot be processed due to its failure to satisfy an unforeseeable emergency event, Plan Sponsor instructs Great -West to notify the Participant to contact' Plan Sponsor if the Participant wishes to appeal the determination." Anew Section K. shall be added to the end of Section III. as follows: "K Distributions Due to Severance from Employment for Reasons Other than Death or Disability Plan Sponsor hereby instructs and authorizes Great -West to process, without Plan Sponsor's further approval, Participant requests for distribution due to severance of employment for any reason other than death or disability, provided such requests are received in good order and in a manner acceptable to Great -West. In order to receive this service, Plan Sponsor must also utilize Great -West's vesting tracking service, if the Plan has a vesting schedule. If Plan Sponsor has not provided a Participant's termination date or other required information, Plan Sponsor instructs Great -West to route the request to Plan Sponsor for approval before processing the distribution. For spousal consent purposes, Plan Sponsor instructs Great -West to rely on the marital status specified by the Participant in the request form." In all other respects the Agreement shall remain in full force and effect. This Amendment No. 3 will take effect on September 30, 2017 (the "Effective Date") upon being executed by both the Plan Sponsor and Great -West. City of Santa Ana Service Agreement Amend No 3 [Signature page to follow] 25M-5 IN WITNESS WHEREOF, the parties have caused this Amendment No. 3 to the Agreement to be executed, in duplicate, by their respective officers and agents thereunto duly authorized. For The City of Santa Ana Signature: _See attached signature page Date Name: Title: For Great -West Life & Annuity Insurance Company Signature: Name: Title: City of Santa Ana Service Agreement Amend No 3 25M-6 Date ATTEST: MARIA HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: CITY OF SANTA ANA CYNTHIA J. KURTZ Interim City Manager FRANCISCO GUTIERREZ Executive Director of Finance and Management Agency 25M-7 Plan Sponsor's approved model form of Qualified Domestic Relations Order ("QDRO") This is a Model Qualified Domestic Relations Order ("Model QDRO") that has been preapproved by Great -West for use by the Plan for outsourced Qualified Domestic Relations Order ("QDRO") services. Although this Model QDRO conforms with Federal QDRO requirements, it may need to be revised for state and/or local law andlor the specific requirements of the Plan itself. Further, the format of the Qualified Domestic Relations Order may vary depending upon the rules of the court in which the Participant obtains the Domestic Relations Order. For these reasons, this Model QDRO should be used only by the Plan after consultation with the Plan's counsel. Any revisions to the Model QDRO must be submitted to Great -West for approval for use with our outsourced QDRO services. Nothing contained in this Model QDRO shall be construed as tax or legal advice. It is recommended that a proposed version of this, order be submitted to Great -West with the body of the order filled in prior to entry of this order for puiposes of your obtaining Great -West's preapproval of the proposed order. Proposedand entered orders should be remitted to the Plan Recordkeeper as follows: Great -West Retirement Services® P.O. Box 173764 Denver, CO 80217-3764 Fax # (866) 745-5766 ...............COURT, CITY OF ..................... COUNTY OF ............................. STATE OF ................................. IN RE THE MARRIAGE OF: No Petitioner, ) and ) Respondent QUALIFIED DOMESTIC RELATIONS ORDER AND NOW, this day of 20_, based on the findings set forth below, IT IS HEREBY ORDERED, ADJUDGED AND DECREED: Parties: The parties hereto were husband and wife, and a divorce action is in this Court at the above number. This Court has personal jurisdiction over the parties. The parties were married on and divorced on 2. Participant Information: The name, last known address, social security number and date of birth of the plan "Participant" are: a. Name: b. SSN: C. Address: d. Date ofB_irtlt: 3. Alternate Payee Information: The name, last known address, social security number and date of birth of the "Alternate Payee" are: a. Name: City of Santa Ana Service Agreement Amend No 3 25M-8 b. SSN: e. Address: d. Date of Birth: The Alternate Payee is the Participant's former spouse. The Alternate Payee shall have the duty to notify the Plan Administrator and/or Recordkeeper of any changes in nailing address subsequent to the entry of this Order. 4. Plan Name. The name of the Plan to which this Order applies is the City of Santa Ana 457 Deferred Compensation. Plan. (hereafter referred to as "Plan"). Any changes in the Plan Administrator, Plan Sponsor, or name of the Plan shall not.affect Alternate Payee's rights as stipulated under this Order. 5. Effect of this Order as a Qualified Domestic Relations Order: This Order creates and recognizes the existence of an Alternate Payee's right to receive a portion of the Participant's benefits payable under an employer-sponsored defined contribution plan that is qualified under Section 457 of the Internal Revenue Code (the "Code"). It is intended to constitute a Qualified Domestic Relations Order ("QDRO") under Section 414(p) of the Code. 6. Pursuant to State Domestic Relations Law: This Order is entered pursuant to the authority granted in the applicable domestic relations laws of .. 7. Provisions of Marital Property Rights:, -This Order relates to the provision of marital property rights as a result of the Order of Divorce between the Participant and the Alternate Payee. 8. Amount of Alternate Payee's Benefit: ThistOrder assigns to the Alternate Payee an amount equal to [choose either option 8Al or 8A2 below]: 8AI S of the Participant's Total Account Balance under the Plan as of the date this Order is processed. OR 8A2 $ (dollars and cents) or _% (percent)] of the Participant's Total Account Balance accumulated under the Plan as of I (or the closest valuation date thereto). The Alternate Payee's benefit herein awarded shall be credited With any investment income (or losses) attributable thereon from the aforesaid valuation date (or the closest valuation date thereto), until the date of transfer of the Alternate Payee's share to the Alternate Payee. (Note to drafting attorney: The Plan's current recordkeeper is not able to determine the value of the Participant's account balance and any investment earnings and/or losses prior to The parties will need to arrive at a dollar figure or percentage of benefits payable to the Alternate Payee as of a date that is no earlier than The Plan's current recordkeeper can determine the account value and calculate any earnings and/or losses from through the date assets are transferred or distributed to the Alternate Payee. Keep in mind that if you must adjust the valuation date forward and a percentage is awarded to the Alternate Payee in this section, you should consider whether to adjust the Alternate Payee's awarded percentage to account for any additional contributions (and any gains/losses accruing thereon) made by or for the Participant to the account after the originally intended valuation date.) Such Total Account Balance shall be determined after the account is reduced by the outstanding balance of the Participant's account reduction loan(s), if any, as of the valuation date specified above, such that the Account Balance shall not include the outstanding balance of any account reduction loan(s) as of the valuation date. The obligation to repay any Participant Plan loan(s) from and after the date of this Order remains solely with the Participant. Such Total Account Balance shall include all amounts maintained under all of the various accounts and/or sub -accounts established on behalf of the Participant, including rollover and transfer contributions. The Alternate Payee's portion of the benefits described above shall be allocated on a pro rata basis first from all of the core accounts and/or core investment options maintained under the Plan on behalf of the Participant other than life insurance or Self -Directed Brokerage ("SDB"), if any. The Plan shall redeem amounts from a life insurance contract, if any. issued for the Participant under the Plan only to the extent necessary to obtain the amount that this order awards to the Alternate Payee. If there are any SDB investments, and if the balance in the core investments is insufficient to satisfy the judgment, Participant must initiate a transfer of the amount needed to satisfy the judgment From the SDB into the core investments. If participant fails to initiate such a transfer, or if the transfer is City of Santa Ana Service Agreement Amend No 3 25M-9 insufficient to satisfy the judgment, one hundred percent (100%) of the SDB Money Market Fund will be transferred to the core investments. If the balance is still insufficient to satisfy the judgment, the entire SDB account may be liquidated and transferred to the core investments. Unless the Alternate Payee elects an immediate lump sum distribution by the Plan at the time this Order is submitted to, and approved by, the Plan, such benefits shall also be segregated and separately maintained in a nonforfeitable Account(s) established on behalf of the Alternate Payee. This Accounl(s) will initially be established proportionately in the sante core investment options as the Participant account. Alternate Payee may make subsequent investment selections as and when permitted under the terns of the Plan. Alternate Payee's account shall experience gains and or losses according to the investment experience of the investment options in which Alternate Payee's share is invested. 9. Commencement Date and Form of Payment to Alternate Payee: If the Alternate Payee so elects on an appropriate form, the benefits shall be paid to the Alternate Payee as soon as administratively feasible following the date this Order is approved as a QDRO by the Plan. Benefits will be payable to the Alternate Payee in any form or permissible option otherwise available to participants under the terms of the Plan, except a joint and survivor annuity. The Alternate Payee will be responsible for paying any applicable withdrawal charges imposed under any investment account(s) with respect to his or her share under the plan. ' 10. 'Alternate Payee's Rights and Privileges: tOn and after thedate that this Order is deemed to be a QDRO, but before the. Alternate Payee receives a total distribution under the Plan, the Alternate Payee shall be entitled to all of the rights and election privileges that are'afforded to Plan beneficiaries, including, but not limited to, the rules regarding the right to designate a beneficiary for death benefit purposes and the right to direct Plan investments, only to the extent permitted under the provisions of the Plan. 11. Death of Alternate Payee: In the event ofthe Alternate Payee's death prior to receiving the full amount of benefits assigned under this Order and under the benefit option chosen by the Alternate Payee. such Alternate Payee's beneficiary(ies), as designated on the 'appropriate form provided to the Plan or, in the absence of a beneficiary designation, the remainder of any unpaid benefits under the terms of this Order shall be paid in accordance with the terms of the Plan. 12. Death of Participant: Should the Participant predecease the Alternate Payee, such Participant's death shall in no way affect the Alternate Payee's right to the portion of the benefits as stipulated herein. 13. Savings Clause: This Order is not intended, and shall not be construed in such a manner as to require the Plan: a. to provide any type or form of benefits or any option not otherwise provided under the Plan; b. to provide increased benefits to the Alternate Payee; c. to pay any benefits to the Alternate Payee which are required to be paid to another alternate payee under another order previously determined to be a QDRO: or d. to make any payment or take any action which is inconsistent with any federal or state law, rule, regulation or applicable judicial decision. 14. Certification of Necessary Information: All payments made pursuant to this Order shall be conditioned on the certification by the Alternate Payee and the Participant to the Plan of such information as the Plan may reasonably require from such parties. 15. Continued Qualified Status of Order: It is the intention of the parties that this QDRO continue to qualify as a QDRO, as it may be amended from time to time, and that the Plan shall reserve the right to reconfirm the qualified slams of the Order at the time benefits become payable hereunder. 16. Tax Treatment of Distributions Made Under This Order: For purposes Sections 402(x)(1) and 72 of the Code, or any successor Code section, any Alternate Payee who is the spouse or former spouse of the Participant shall be treated as the distributee of any distribution or payments made to the Alternate Payee under the terns of this Order, and as such, will be required to pay the appropriate federal income taxes on such distribution. City of Santa Ana Service Agreement Amend No 3 25M-10 17. Parties Responsibilities in Event of Error: In the event that the Plan inadvertently pays the Participant any benefits that are assigned to the Alternate Payee pursuant to the terms of this Order, the Participant shall immediately reimburse the Alternate Payee to the extent that the Participant has received such benefit payments by paying such amounts directly to the Alternate Payee within ten (I0) days of receipt. In the event that the Plan inadvertently pays the Alternate Payee any benefits that are to remain the sole property of the Participant pursuant to the terns of this Order, if the Participant has experienced a distributable event under the terns of the Plan, the Alternate Payee shall immediately reimburse the Participant to the extent that the Alternate Payee has received such benefit payments by paying such amounts directly to the Participant within ten (10) days of receipt. If the Participant has not experienced a distributable event under the terms of the Plan, the Alternate Payee shall immediately return such overpayment to the Plan within ten (10) days of receipt. 18. Effect of Plan Termination: In the event of a Plan termination, the Alternate Payee shall be entitled to receive his or her portion of the Participant's benefits as stipulated herein in accordance with the Plan's ternimation provisions for participants and beneficiaries. 19. Continued Jurisdiction: The Court retains jurisdiction over this matter to amend this Order to establish or maintain - — — its status as�a qualified domestic relations order, as amended and the original intent of the parties as stipulated herein. ' The 'Court'shall also retain jurisdiction to enter such further orders as are necessary to enforce the assignment of benefits to the Alternate Payee as set forth herein. 20. Fee: A processing fee of $250.00 shall be charged one-half ($125.00) against the Alternate Payee's share/account and one-half ($125.00) against the Participant's remaining account. In the event that the Alternate Payee is awarded 100% of the. Participant's account balance as of the date this Order is processed pursuant to this Order, the entire processing fee shall be charged to the Alternate Payee's account/share. If there are not sufficient funds in either party's account to pay that party's respective share of the fee, the difference shall be charged to the other party. BY THE COURT: .............................................. JUDGE ................................................. Petitioner ................................................. Respondent City of Santa Ana Service Agreement Amend No 3 25M-11 Important Note: Service Agreement Amendments, Pricing Change Agreements, and other contractual documents must be duly executed by both parties prior to the effective date of the changes. Backdating contracts or funding agreements is In violation of our corporate governance and regulatory requirements. Changes cannot be implemented prior to the date all documents are fully executed, even if that requires the effective date to be postponed. There are no exceptions to the rule that the effective date must follow the date all documents are executed. 25M-12 AGREEMENT TO PROVIDE FIDUCIARY AND INVESTMENT ADVISORY SERVICES PERTAINING TO THE 457 DEFERRED COMPENSATION PLAN THIS AGREEMENT is made and entered into this 19th day of September, 2017 by and between Benefit Financial Services Group, LLC, a California Limited Liability Corporation and SEC registered investment advisor and wholly-owned, indirect subsidiary of Focus Financial Partners ("BFSG" or "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in in providing fiduciary advice in Plan and Investment Advisory services with the expertise to provide quarterly investment analysis, recommendations, and reports pertaining to the City's 457 Deferred Compensation Plan including the design, solicitation and implementation of customized solutions for deferred contribution plan and defined benefit plans. BFSG will assist the City in the transition, monitoring of plan asset fund transfers and deposits from the current structure with the City's 457 Plan Provider and Record -keeper to new modern fund portfolio structure and subsequent Plan Provider Request for Proposal. B. Consultant represents that it is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform Fiduciary and Investment Advisory Services as set forth in the Scope of Services, attached hereto as Exhibit A, and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, a fee of $5,000 per quarter. The total sum to be expended under this Agreement shall not exceed $10,000 during the term of this Agreement. b. Payment by City 'shall be made within 45 days (forty-five) 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. Exhibit 2 Page l of 9 25M-13 3. TERM This Agreement shall commence on the date first written above for a three (3) month term through -December 31, 2017, unless terminated earlier in accordance with Section 15, below. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance, Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property Page 2 of 9 25M-14 damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim 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. iv. Consultant shall supply City with a fully executed additional insured endorsement. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, 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, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section I of this Agreement; and (2) Page 3 of 9 25M-15 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. 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 willful misconduct of the Consultant. 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. Page 4 of 9 25M-16 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. 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. 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 is not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product 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 Page 5 of 9 25M-17 appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, not shall any waiver constitute a continuing waiver unless the writing so specifies. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature 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. 20. 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: Page 6 of 9 25M-18 To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director of Finance and Management Services City of Santa Ana 20 Civic Center Plaza (M-17) P.O. Box 1988 Santa Ana, CA 92702 Fax: 714-647-5414 Sonia R. Carvalho City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-6515 To Consultant: Darren Stewart, J.D. Vice President and Secretary 2040 Main Street Suite 150 Irvine, CA 92614 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. Page 7 of 9 25M-19 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:rl�cWi(LA.Qta , fIk- LauraoA. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: FRANCISICO GUTIERREZ Executive Director Finance and Management Services Agency CITY OF SANTA ANA Cynthia J. Kurtz Interim City Manager BENEFIT FINANCIAL SERVICES GROUP Darren Stewart Vice President and Secretary Page 8 of 9 25M-20 EXHIBIT A SCOPE OF SERVICES 25M-21 BENEFIT FINANCIAL SERVICES GROUP EXHIBIT A FIDUCIARY ADVISORY SERVICES: Prepare up to four Quarterly Investment Analysis Reviews for 457 Deferred Compensation Plan and meet with Plan Administrator Committee and Plan Investment Committee up to four times providing comprehensive Plan investment advisory and investment services. 1) Said Quarterly Review shall include, but not limited to: • Market overview addressing the major markets, indices, sectors and the economic statistics affecting them; • In-depth portfolio summary, including fund and benchmark returns, style analysis and overall portfolio return; • Analyze the Plan asset allocation by fund and underlying sector. The fund line-up will also be analyzed to determine the amount of overlap that may be occurring; • Detailed quantitative and qualitative examination of each mutual fund investment option within the Plan, including performance numbers versus the category and index, manager style drift, risk/return, standard deviation, Sharpe Ratio, expense ratio, upside and downside capture and fund allocation; • Review City's Investment Policy to ensure it meets the needs of the City and that the investments and processes outlined within are being adhered; • Recommend possible fund alternatives when in conjunction with the Investment Committee, it is determined a change in fund line-up is necessary; 2) Perform fund searches as needed and make "watch list" recommendations 3) Assist in fund change implementations and update transitions 4) Prepare annual cost analysis and negotiate with vendor to potentially lower overall costs and recapture any excess revenues on behalf of Plan if applicable 5) Maintain and revise the Investment Policy Statement and Committee Charter as needed 6) Attend on-site meetings, and provide recorded minutes for each meeting or conference call 7) Assist in development of Request for Proposal for Plan Provider 25M-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: DONATION AGREEMENT WITH ORGANIZATIONS TO SUPPORT COMMUNITY EVENTS AND PROGRAMS {STRATEGIC PLAN NO. 5.41 RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ 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 agreements with various organizations in support of their community events and programs, subject to nonsubstantive changes approved by the City Manager and the City Attorney, as follows: a. Charitable Ventures of Orange County to support the National Senior Citizen Day to celebrate Santa Ana seniors and culture, in the amount of $1,000 (Councilmember Villegas); b. Charitable Ventures of Orange County to support the Artesia Pilar Neighborhood Association in restoring five murals on Civic Center Street with the assistance of local artists, in the amount of $500 (Councilmember Villegas); c. Roadrunner Football Boosters to support the Saddleback High School Football Team with on-going services, in the amount of $2,500 (Councilmember Tinajero). 2. Approve a donation to the Madison Park Neighborhood Association to support the Walk-a- Thon and Resource Fair, in the amount of $733.62 in City services credit (Councilmember Sarmiento). On August 4, 2015, City Council adopted Resolution 2015-042, establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. This resolution and policy outlines the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. 29A-1 Donation Agreement with Organizations to Support Community Events and Programs September 19, 2017 Page 2 In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Eligible organizations that are not tax exempt under section 501(c)3 of the Internal Revenue Code are eligible for in-kind funding for City Services. The donation agreements listed above are in response to the Donation Requests (Exhibits 1-4) submitted by various community organizations or neighborhood associations to the specific Councilmembers, seeking sponsorship for community events and/or programs. The Councilmembers, respectively, reviewed and agreed to sponsoring the programs or events through the Special Event Sponsorship funds. Upon approval by City Council, the respective donation agreements (Exhibit 5-7) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the Fiscal Year 2017-18 General Non -Departmental account (01105015-62300) as appropriate from each of the following Councilmember's appropriated amounts for Fiscal Year 2017-18: Councilmember Villegas $ 1,500.00 Councilmember Tinajero $ 2,500.00 Councilmember Sarmiento $ 733.62 AS TO FUNDS AND ACCOUNTS: Executive Director 'VA Finance and Management Services Agency EXHIBITS: 1-4. Donation Request Forms 5-7. Donation Agreements 29A-2 City of Santa Ana City Manager's Office - M-31 Center 20 Civic Plaza Donation Request P.O. Box 1988 Santa Ana, CA 92702 - (714) 647-5200 • s a _—`-----'_-----_�-_---_'-`---^-IT121e] Mame: _ (Tish Leon I President of 0=M= Neor" Ps 'ghtsocieGon i-� TA1 ddreas: J1700 W. 3rd St A208 Fity,state zip: Santa Ana 92701 -~•4�-_-�_ --------.__._._ -h�one: lip --1�7--1-4-4-0-1-8-3-1-2 i Fmau: �lety.leon1951@gmail.com no .. rName: Charitable Ventures of Grange County Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as (- .Select One: ,defined under Section 501(c)(3) of the Internal Revenue Code? i - Z Yes FTN, If No, you will only quality fora credit for City -elated costs for your request (i.e. permit fees, r`—"`--" staff time, rental rates for facilities or equipment, etc.). Costs for City services vary and if f Yes, `-"-""`-'-"`""'_i I. 20-8756666 approved, credit may or may not cover full cost of requested City services. ax to g: Sfs o •. City Services Credit Amount Requested: i Date Needed. 49/15/2017 YdayodCouncilmem6er.I VI))egaS Direct Payment Amount r1 000-1 ��Requested� r I � �_____ /Event Date: 10/1 /2017 - Event Time: l - I 49-1 /Event Location: I Birch Park (Address, City.. State, Zip { 424 W. 3rd. st, SA 92701 � - IIIIrNationalSenior Citizen Day -----�-------------_�----_-- Description of 1 --_-------_--I To celebrate the Seniors of SA & Senior cultural event. IEventl Purpose: We will need the stage and audio equipment for performers This well be geared for seniors, but everyone is invited to the event Community Benefit: There will be informational booths, performances by seniors, food truck (Applicant Signature: I r-+ - ---�.---. I ate: -- 48/28/2017 Mail: City Manager's Office -M-31 Email: donationrequest@santaana.org i 20 Civic Canter Plaza I Fax (714) 647.6994 P.O. Box 1988 Santa Ana, CA 92702 -__ T-^ «—_-- --- -- -- - ------_,__-� _ - _ �—SDR Donation Re uest #: l R feren<e a on au related aAve Council Meeting Date: SEPTEMBER 19, 2017 Eligibility Met: j YES I NO YES ! Approved Amount: - $1,000' City Manager Signature j Date: i- Revised 01105/2017 MO? ' City of Santa Ana Donation Request City Manager's Office – M-31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 (714) 647-5200 Name: Artesia -Pilar neighborhood association /C- harita.b.le. Ventures OC Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as 'Select One: defined under Section 501(cx3) of the Internal Revenue Code? Yes ❑ No --_- Costs - Y vary I1 Yesr_____ If No, you will only qualify for a credit for City -related costs for your request (i.e. permit fees, staff time, rental rates for facilities or equipment, etc.). Coss for Cit services va and if 756660 approved, credit may or may not cover full cost of requested Cit services. ax ID #: Y YY —_ Name: I Ruby Woo itle: Chair Address: 12234 N Pacific Avenue Fc, -Z, state, zip: I Santa Ana CA. 92706 Phone: 714-835-8925 Email: WOOruby@yahoo.com Fax: ntLocatiom F Name: Artesia -Pilar neighborhood association /C- harita.b.le. Ventures OC Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as 'Select One: defined under Section 501(cx3) of the Internal Revenue Code? Yes ❑ No --_- Costs - Y vary I1 Yesr_____ If No, you will only qualify for a credit for City -related costs for your request (i.e. permit fees, staff time, rental rates for facilities or equipment, etc.). Coss for Cit services va and if 756660 approved, credit may or may not cover full cost of requested Cit services. ax ID #: Y YY —_ Mail: City Manager's Office–M-31 Email: donationrequest@santa-ana.org 20 Civic Center Plaza Fax: (714) 647-6954 P.O. Box 1988 Santa Ana, CA 92702 City Sorvices Credit I¢ Date Needed: OCtOber 27 MayorlCouncilmemher. Villegas mount Requested: I' Eligibility Met: Direct Payment AmountSCJ00 Event Date: Nov. 2017 Event Time: TBD Requested: City Manager Signature: ntLocatiom F EI Salvador Park Community Center and mural location on Civic Center St. ess, City, state, zip will be used to organize the Artesia -Pilar community to restore the 5 murals on Civic Description of Eventl Purpose: FFns er St. The goal is to restore all 5 murals so they can last another 25 years with the help of ommunity. established a committee of neighborhood leaders, Santa Ana artists, and even 3 of the original Community Benefit: F4�a who are working together to find consensus and build community involvement to take ownership rals. Applicant Signature: /CG7,tl (�L/96 Data: 08/25/2017 Mail: City Manager's Office–M-31 Email: donationrequest@santa-ana.org 20 Civic Center Plaza Fax: (714) 647-6954 P.O. Box 1988 Santa Ana, CA 92702 Donation Request#: Reference t on Requ strelated#:OPVs DR Council Meetin Date: g SEPTEMBER 19, 2017 Eligibility Met: YES I NO YES Approved Amount: $500 City Manager Signature: Date: City Manager's Offrce— M-31 Clty of Santa Tina 20 Civic Center Plaza Donation Re uest P.O. Box 1988 Q Santa Ana, CA 92702 a (714) 647.5200 Contact, Informatiorr Name: —'John Herpy lue: President Address: 18632 Masters Drive, Suite 1000 City, state, zip: I Huntington Beach — IPhon� e: 1562.221.7145 Email: ijherpy@ix.netcom.com Fa s .. Name: Roadrunner Football Boosters Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as I Select One: Yes No ❑ defined under Section 501(c)(3) of the Internal Revenue Code? If No, you will only qualify for a credit for City-ralated costs for yourrequest (i.e. permit fees, staff time, rental rates forfacilitles orequipment, etc.).Costs for City services vary andif Yes, if 147_3090546 approved, credit may or may not cover full cost of requested City services. Tax ID 9: 1• City Services CreditDate Fall MyorlCnemember. Tnajero !Amount Requested: IS Direct Payment Amount - 52500.00 Event Date: I Fall 2017 Event Time: Requested: i I Event Location: Saddleback High School, 2802 South Flower St, Santa Ana, CA 92707 Address, City, Stare, Zip Saddleback High School Varsity Football Team support. Description of Event I Purpose: PROVIDING SUPPORT FOR ON-GOING SERVICES TO THE SADDLEBACK HIGH Community Benefit: SCHOOL FOOTBALL TEAM, WHICH PROMOTES HEALTH, FITNESS, AND ACADEMICS. j _ Applicant Signature: ' ! ,;Date: 1 09/05/2017 .-i__ _ Mail: City Manager's Ofrice—M-31 Email: donationrequest@santa•ana.org j 20 Civic Center Plaza Fax: (714) 647-6954 I P.O. Box 1988 Santa Ana, CA 92702 ea Donation Request #. DR- Council Meeting Date: SEPTEMBER 19, 2017 L Rrfer enee=ar., 11 rel.,ted �P V-5 Eligibility Met: YES I NO YES Approved Amount: $2,500 City Manager Signature: Date: X BIT Revised 01/0512017 .`t City of Santa Ana Donation Request w City Manager's Office — M-31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 (714) 647.5200 Name: (Madison Park Neighborhood Association Name7_1: Ramona Alvarez itie: MPNA President adrass: 1441 Orange Ave Pity, State, Santa Ana Phone: (714)760 5693 Email- alvarezramona08@yahoo.com Fax: Requested: r Name: (Madison Park Neighborhood Association CityServicegs Credit Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as Select One: Yes ❑ No lefined under Section 501(c)(3) of the Internal Revenue Code? ount Re nested: if No, you will only qualify for a credit for City -related costs for your request (i.e. permit fees, stall time, rental rates for facilities or equipment, etc.). Costs for City services'vary and if EIN-80-0201690 FaD approved, credit may or may not cover full cost of requested City services. #: Mail: City Manager's Office—M-31 Email: donationrequest@santa-ana.org 20 Civic Center Plaza Fax: (714) 647-6954 P.O. Box 1988 Santa Ana, CA 92702 CityServicegs Credit $ 733.62 Date Needed: O9/30/17 MayorlCoul ncilmember: Sarmiento ount Re nested: YES I NO _ .1 Direct Payment Amount s733.62 Event Date: 09/30/17 Event Time: Earp—IZnm Requested: r Date: Event location:1528 S Standard Ave Santa Ana, CA Address, City, State, Zip The Walk-a-Thon & Resource Fair is organized by volunteers and provides Santa Ana residents with Description of the resources and support they need to build a healthy community. Each year close to 50 agencies & Event/ Purpose: businesses offer free services & information on health, youth programs, & education and much more. The Walk-a-Thon provides the Madison Park residents with free informations about youth programs, Community Benefit: health, education, job training as well as free medical services and resources. The event also showcases various cultural performances in an effort to promote diversity in the community. Applicant Signature: 109/08/17 Mail: City Manager's Office—M-31 Email: donationrequest@santa-ana.org 20 Civic Center Plaza Fax: (714) 647-6954 P.O. Box 1988 Santa Ana, CA 92702 Revised 0110512017 Donation Request #: Reference M on all related OPVs DR Council Meeting Date: Eligibility Met: YES I NO Approved Amount: City Manager Signature: Exhibit 4 Date: Revised 0110512017 CITY OF SANTA ANA DONATION AGREEMENT WITH CHARITABLE VENTURES OF ORANGE COUNTY 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on SEPTEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and CHARITABLE VENTURES OF ORANGE COUNTY (FISCAL SPONSOR FOR DOWNTOWN NEIGHBORHOOD ASSOCIATION), a California 501(c) 3 NON-PROFIT ORGANIZATION ("Recipient"). City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in HOSTING A NATIONAL SENIOR CITIZEN DAY EVENT TO CELEBRATE THE SENIORS IN SANTA ANA ON OCTOBER 1, 2017 AT BIRCH PARK ("Community Benefit"). The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding. 2.2 Public PMose. The City, by recommendation of COUNCILMEMBER VILLEGAS, believes there is a public purpose in supporting the Community Benefit because it PROVIDES THE SENIOR CITIZENS AN OPPORTUNITY TO PERFORM, DISPLAY ART & CULTURE, PROVIDE INFORMATION RESOURCES, AND BRING POSITIVITY TO THE COMMUNITY. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TEwvis AND CONDITIONS 3.1 Use of Funds. The City has chosen to provide Recipient with a one-time payment of ONE THOUSAND DOLLARS ($1,000), because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terms of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Term; Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect through Recipient's full expenditure of the funds. The City has the right to terminate this Agreement upon one day's notice, with or without cause. Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. EXHIBIT 5 29A-7 CITY OF SANTA ANA m Attest: 0 Cynthia J. Kurtz Interim City Manager Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney By:vdc h'y, f,1" i/L hn M. Funk Assistant City Attorney CHARITABLE VENTURES OF ORANGE COUNTY, a 501(c) 3 NON-PROFIT ORGANIZATION By: Signature Name Title EXHIBIT 5 29A-8 CITY OF SANTA ANA DONATION AGREEMENT WITH CHARITABLE VENTURES OF ORANGE COUNTY 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on SEPTEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and CHARITABLE VENTURES OF ORANGE COUNTY (FISCAL SPONSOR FOR ARTESIA PILAR NEIGHBORHOOD ASSOCIATION), a California 501(c) 3 NON-PROFIT ORGANIZATION ("Recipient"). City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in RESTORING FIVE MURALS ON CIVIC CENTER STREET THAT PROMOTE COMMUNITY CULTURE AND PRIDE ("Community Benefit"). The Parties wish to enter into this Agreement to establish the terms. and conditions under which the City will provide funding. 2.2 Public Purpose, The City, by recommendation of COUNCILMEMBER VILLEGAS, believes there is a public purpose in supporting the Community Benefit because it PROVIDES AN OPPORTUNITY FOR LOCAL ARTIST TO RESTORE FIVE MURALS THAT REFLECT CULTURE AND COMMUNITY WITHIN THE ARTESIA PILAR NEIGHBORHOOD. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TERMS AND CONDITIONS 3.1 Use of Finds. The City has chosen to provide Recipient with a one-time payment of FIVE HUNDRED DOLLARS (S500), because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terns of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Term: Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect through Recipient's full expenditure of the funds. The City has the right to terminate this Agreement upon one day's notice, with or without cause. Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. EXHIBIT 6 29A-9 CITY OF SANTA ANA By: Cynthia J. Kurtz Interim City Manager Attest: to Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney o By: Ud4 N• M. Funk Assistant City Attorney CHARITABLE VENTURES OF ORANGE COUNTY, a 501(c) 3 NON-PROFIT ORGANIZATION By: Signature Name Title EXHIBIT 6 29A-10 CITY OF SANTA ANA DONATION AGREEMENT WITH ROADRUNNER FOOTBALL BOOSTERS 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on SEPTEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and ROADRUNNER FOOTBALL BOOSTERS, a California 501(c) 3 NON-PROFIT ORGANIZATION ("Recipient"). City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in PROVIDING SUPPORT FOR ON-GOING SERVICES TO THE SADDLEBACK HIGH SCHOOL FOOTBALL TEAM, WHICH PROMOTES HEALTH, FITNESS, AND ACADEMICS. ("Community Benefit"). The Parties wish to enter into this Agreement to establish the terms. and conditions under which the City will provide funding. 2.2 Public Purpose. The City, by recommendation of COUNCILMEMBER TINAJERO, believes there is a public purpose in supporting the Community Benefit because it will provide YOUTH AND FAMILIES WITH A SENSE OF COMMUNITY PRIDE, FITNESS, HEALTH. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TERdI3 AND CONDITIONS 3.1 Use of Funds. The City has chosen to provide Recipient with a one-time payment of TWO THOUSAND FIVE HUNDRED DOLLARS ($2,500), because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terms of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Term; Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect through Recipient's fall expenditure of the funds. The City has the right to terminate this Agreement upon one day's notice, with or without cause. Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10%) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. EXHIBIT 7 29A-11 CITY OF SANTA ANA M Attest: Cynthia J. Kurtz Interim City Manager Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney By: hn M. Funk Assistant City Attorney ROADRUNNER FOOTBALL BOOSTERS, a 501(c) 3 NON-PROFIT ORGANIZATION By: Signature Name Title EXHIBIT 29A-1 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: RECEIVE AND FILE STAFF REPORT APPROVING VARIANCE NO. 2017-01 TO ALLOW TWO ADDITIONAL WALL SIGNS ON THE PRIMARY ELEVATION FOR SMART & FINAL EXTRA LOCATED AT 1523 WEST SEVENTEENTH STREET - NEIL MCNAUGHT, APPLICANT (STRATEGIC PLAN NO. 3,2) cX ITY 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 Receive and file the staff report approving Variance No. 2017-01 as conditioned. PLANNING COMMISSION ACTION At its regular meeting on August 28, 2017, the Planning Commission adopted a resolution approving Variance No. 2017-01 as conditioned to allow two additional wall signs on the primary elevation for Smart & Final Extra at 1523 West Seventeenth Street located in the General Commercial (C-2) zoning district. The Planning Commission deleted Condition No. 3 in accordance with staffs revised recommendation to eliminate redundancy in reference to approved plans (Exhibit A). DISCUSSION Neil McNaught representing Smart and Final Extra is requesting approval of a variance from the Santa Ana Municipal Code (SAMC) Section 41-863 to install two secondary wall signs in addition to an existing wall sign on the primary (east) elevation of a large retail building. The secondary signs are proposed to be located to the right of the existing wall sign for the business. The proposed copy of the signs will read "Fresh Meat" and "Farm Fresh Produce". Full-sized plans are available for public viewing in the Clerk of the Council Office. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies). 31A-1 VA No. 2017-01 —Walls Signs for Smart & Final Extra at 1523 West Seventeenth Street September 19, 2017 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Candida Neal, AICP Acting Executive Director Planning & Building Agency JA: rb S:RFCA\09-17-171VA17-01 Smart & Final= Exhibit: A. Planning Commission Staff Report 31A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 28, 2017 TITLE: PUBLIC HEARING — VARIANCE NO. 2017-01 TO ALLOW TWO ADDITIONAL WALL SIGNS ON THE PRIMARY ELEVATION FOR SMART & FINAL EXTRA LOCATED AT 1523 WEST SEVENTEENTH STREET (STRATEGIC PLAN NO. 3,2) Prepared by Jill Arabe 14� C Executive Director PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amendec ❑ Set Public Hearing For DENIED Zoning Designation ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO RECOMMENDED ACTION Adopt a resolution approving Variance No. 2017-01 as conditioned. Executive Summary P�04 -- Planning ana Neil McNaught, representing Smart & Final Extra, is requesting approval of a variance from the Santa Ana Municipal Code (SAMC) Section 41-863 to allow two additional wall signs to be installed on the primary (east) elevation of a retail building located at 1523 West Seventeenth Street. Staff is recommending approval of the applicant's request due to the building's location and limited visibility, the nature of grocery store product advertising, and due to precedent set by similar requests of other large-scale grocers. Table 1: Project and Location Information Item Information Pro ect Address 1 1523 West Seventeenth Street Nearest Intersection Seventeenth Street and Bristol Street General Plan Designation General Commercial (GC) Zoning Designation General Commercial (C2) Surrounding Land Uses North School East Commercial South Santa Ana College West Commercial Pro erty Size Existing Site Development 2.66 acres The subject building is part of a large commercial center with multiple buildings. Use Permissions Retail is allowed by right SAMC 41-365 Zoning Code Sections Affected Signage I SAMC 41-863 EXHIBIT A 31A-3 Variance No. 2017-01 August 28, 2017 Page 2 Proiect Description The applicant is requesting to install two secondary wall signs in addition to an existing wall sign on the east elevation of a large retail building. The secondary signs are proposed to be located to the right of the existing wall sign for the business (Exhibit 4). The proposed copy of each sign will read "Fresh Meat" and "Farm Fresh Produce". The business currently has two business identification signs, facing east and south, located on the tower element of the building. Table 2: Sian Standards and Reaulations Standards Required by SAMC Provided Number of wall signs on building Maximum of 3 signs Total of four (4) proposed Area Shall not exceed 40% of signable area Complies; 25% proposed Length Shall not exceed 75% of horizontal dimensions Complies; 59% proposed Location Only 1 sign per elevation, and signs must be centered above the business entrance Three (3) dispersed signs on east elevation; One (1) sign on south elevation Letter Height Maximum 24 inches Complies; 18 inches proposed Design/Construction Must be individual channel letters Complies Proiect Backaround The subject site was developed as a retail market for Ralphs in 1958. Ralphs occupied the building until 2009, when Smart & Final Extra leased and re -occupied the space. Smart & Final has a history in Southern California as a wholesale grocer. In the mid -2000s, the company remarketed itself as a food retailer, offering farm fresh produce, a large selection of fresh meats, and convenient size products. Smart & Final operates a second Santa Ana location at 1308 West Edinger Avenue, which was granted approval of a similar sign variance (VA No. 2015-05). Project Analysis Variance requests are governed by Section 41-638 of the SAMC. Variance requests may be granted when it can be shown that there exists a special circumstance related to the property, such as size, shape, topography, location or surroundings; that the granting of the variance is necessary for the preservation and enjoyment of substantial property rights; that the granting of the variance will not be detrimental to the public or surrounding property; and that the granting of the variance will not adversely affect the General Plan. 31A-4 Variance No. 2017-01 August 28, 2017 Page 3 The subject building is within the Bristol Marketplace shopping center, located at the northwest corner of Bristol Street and 17"' Street. The building's location within the commercial shopping center limits visibility of the business from the arterial streets; it is set back more than 300 feet from 17th Street and more than 1,100 feet from Bristol Street. An existing freestanding commercial building currently occupied by Denny's further reduces visibility of the subject building from 17"' Street. The two additional wall signs are proposed near the entrance of the building to improve the tenant's ability to advertise its products and market its brand. Sufficient sign area is available on the fascia wall to install the proposed signs. Due to the business's limited visibility from the streets, approval of the variance would assist in attracting patronage to the business. Moreover, the nature of big -box retail markets, such as grocers, is to offer a wide range of services and products that attract and retain customers. Additional signage helps retailers to remain competitive and continually expand business opportunities. Through rebranding, Smart & Final Extra has expanded its goods and services. Approval of the variance for the two additional signs on the existing building will enhance the long-term viability of the business. Finally, staff has supported approval of sign variance requests for similar grocery stores or big -box retailers that contain ancillary businesses such as pharmacies, ATMs/banks, coffee shops, and additional types of signage to advertise wider range of products or services. The other Smart & Final Extra location in Santa Ana was granted a variance in 2015 for two secondary signs with the same sign copy of "Fresh Meat" and "Farm Fresh Produce". Target stores in Santa Ana also have approved variances for multiple signs on one elevation. The City has previously supported approval of variances for these types of sign requests and under similar circumstances. Approval of the variance would be consistent with prior approvals set by other projects. Table 3: CEQA Strategic Plan Alignment and Public Notification & Community Outreach CEQA, Strategic Plan Alignment, and Public Notification & Community Outreach CEQA CEQA Type General Rule Section 15061 b 3 Reason(s) This exemption applies to projects where it can be seen with certainty that there is Exempt or Analysis no possibility that the activity in question may have a significant effect on the environment. This is an existing retail establishment and no significant alterations are being proposed at this time. Strategic Plan Alignment Goal(s) and Approval of this item supports the City's efforts to meet Goal #3 (Economic Policy(s) Development) Objective #2 of creating new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies. 31A-5 Variance No. 2017-01 August 28, 2017 Page 4 CEOA, Strategic Plan Alignment, and Public Notification & Community Outreach Public Notification & Community Outreach Required Measures A public noticed was posted on the project site on August 18, 2017. Notification by mail was mailed to all property owners and occupants within 500 feet of the project site on August 18, 2017. Newspaper posting was published in the Orange County Reporter on August 18, 2017. The Washington Square, Artesia Pilar, West Floral Park, and Riverview Additional Measures Associations were contacted by phone 10 days prior to the scheduled public hearing. At the time this report was printed, no issues of concern were raised regarding this application. Conclusion Based on the analysis provided within in this report, staff recommends that the Planning Commission approve Variance No. 2017-01 as conditioned. Jill "a�AIICJP Senior Planner Exhibits: 1. Resolution 2. General Vicinity Map and Existing Land Use Map 3. Site Photo 4. Proposed Site Plan and Elevation 31A-6 LS 8.28.17 RESOLUTION NO. 2017-27 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING VARIANCE NO. 2017-01 AS CONDITIONED TO ALLOW TWO ADDITIONAL WALL SIGNS AT THE SMART & FINAL EXTRA BUILDING ON THE PROPERTY LOCATED AT 1523 WEST SEVENTEENTH STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Variance No. 2017-01 to allow two (2) additional wall signs for the Smart & Final Extra building located at 1523 West Seventeenth Street. B. Smart & Final Extra is located in a commercial center that contains numerous retail and eating establishments. The subject property is located within the General Commercial (C2) zoning district. C. Pursuant to Section 41-863 of the Santa Ana Municipal Code (SAMC), no more than one (1) wall sign shall be permitted for each primary elevation of a leasable tenant space. D. On August 28, 2017, the Planning Commission held a duly noticed public hearing on Variance No. 2017-01 which would allow two (2) additional wall signs for a total of three (3) wall signs on the primary (east) elevation of the existing commercial building located at 1523 West Seventeenth Street. E. The Planning Commission of the City of Santa Ana determines that the following findings, which must be established in order to grant this variance pursuant to Santa Ana Municipal Code Section 41-638, have been established for Variance No. 2017-01 to allow additional wall signs: 1. That because of special circumstances applicable to the subject property, including size, shape, topography, location, or surroundings, the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter. The project site has special circumstances, related to its location, surroundings, and design. The building's location within the commercial shopping center limits visibility of the EXHIBIT 1 Resolution No. 2017-27 Page 1 of 5 31A-7 business from adjacent streets. It is set back more than 300 feet and 1,100 feet from Seventeenth Street and Bristol Street, respectively. An existing free-standing commercial building in the shopping center further reduces visibility of the subject building from Seventeenth Street. Approval of the variance would assist in attracting patronage to the business and improve the ability to advertise products. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Additional signage would help remain competitive and continually expand business opportunities. Through rebranding, Smart & Final Extra has expanded its goods and services. Approval of the variance for the two (2) additional signs on the existing building will enhance the long-term viability of the business. 3. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of the variance will not be detrimental to the public or surrounding properties. The proposed signs are oriented east towards the parking lot and street. The illumination of proposed signs will be consistent with existing signs in the center. The nearest residential uses are located more than 450 feet away to the north. 4. That the granting of a variance will not adversely affect the General Plan of the City. Finally, the project will not adversely affect the General Plan as the proposed signage is consistent with several goals of the General Plan. Approval of the variance supports Policies 2.2 and 2.13 of Goal 2 (Promote land uses which enhance the City's economic and fiscal viability) and Policies 4.3, 4.4, and 4.5 of Goal 4 of the Land Use Element (Protect and enhance development sites and districts which are unique community assets that enhance the quality of life). In addition, approval of the variance is consistent with the intent and purpose of Goals 1 and 2 of the Urban Design Element (Improve the physical appearance of the City through development of districts that project a sense of place, positive community image, and quality environment; Improve the physical appearance of the City through development that is proportional and aesthetically related to its district setting). Resolution No. 2017-27 Page 2 of 5 31A-8 Section 2. In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15061(b)(3). This exemption applies to projects where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. Section 3. The Applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any environmental review or approval, except to the extent caused by the sole negligence of the City of Santa Ana. Section 4. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Variance No. 2017-01 as conditioned in Exhibit A, attached hereto and incorporated herein, for the project located at 1523 W. Seventeenth Street. This decision is based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Commission Action dated August 28, 2017, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 28th day of August, 2017 by the following vote: AYES: Commissioners: Alderete, Bacerra, Contreras -Leo, McLoughlin, Mendoza, Verino (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Nguyen (1) ABSTENTIONS: Commissioners: None (0) APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney Lynnette Verino Chairperson 31A-9 Resolution No. 2017-27 Page 3 of 5 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, ROSA BARELA, Acting Recording Secretary, do hereby attest to and certify the attached Resolution No. 2017-27 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 28, 2017. Date: Acting Recording Secretary City of Santa Ana Resolution No. 2017-27 Page 4 of 5 31A-10 EXHIBIT A Conditions for Approval for Variance No. 2017-01 Variance No. 2017-01 is approved subject to compliance to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The Applicant must comply in full with each and every condition listed belowrip or t0 exercising the rights conferred by this variance. The Applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. 1. The project shall remain in compliance with Development Project Review DP No. 2017-17 and the staff report exhibits. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or if the variance must be amended. Resolution No. 2017-27 Page 5 of 5 31A-1 1 7/24/2017 Variance No. 2017-01, Smart & Final Signs 1523 West Seventeenth StreetTW r •� r `_mss rr = �l-- r ��r FI P i Ilk ;. . t Santa Ana Boundary ❑ ;Zoning Z.M Desaiptlan ��inohm a. exr.. ■ :: all .i: 3p•Ila ■a Qalai ■i.t:�::a.f cox' ni m ■ clI �r ■ .ra ■ l 25D feet p — Vicinity Zoning and Aerial View 0 M14 Illnitrl Man PrndurM. 411 rinhta racnrvod. http://maps.digitalmapcentral.conVproduction/Dashboardl6/6l5lreleasli t,,/A�tll2,ndslprintfhtmiprinYPrintPreview.html 1/1 VA NO. 2017-01 SMART & FINAL EXTRA SIGN VARIANCE 1523 WEST SEVENTEENTH STREET EXHIBIT 3 SITE PHOTO 31A-13 %4. . P. T A F 0 T. (P) "Farm Fresh Produce" Sign 1 (P)"Fresh Meat" Sign VZ (E) Monument hIf- Sign s }3 If 'i `1 i. a `5 �'L �J�/•{T i7 ��-Ak -L wjp i` +M t � V48 �11&im A0 14W 0. (E) Monument II" (E) 2- "Smart & Final Sign extra!" wall signs - - - VA NO. 2017-01 SMART & FINAL EXTRA SIGN VARIANCE 1523 WEST SEVENTEENTH STREET EXHIBIT 4 PROPOSED SITE PLAN AND ELEVATION 31A-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: RECEIVE AND FILE STAFF REPORT APPROVING VARIANCE NO. 2017-02 TO ALLOW A REDUCTION IN LANDSCAPED SETBACKS FOR THE ORANGE COUNTY SCHOOL OF THE ARTS AT 123 EAST ELEVENTH STREET — MARK TURPIN, APPLICANT {STRATEGIC PLAN NO. 3,2) TY MANAGE 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 Receive and file the staff report approving Variance No. 2017-02 as conditioned. PLANNING COMMISSION ACTION At its regular meeting on August 28, 2017, the Planning Commission adopted a resolution approving Variance No. 2017-01 as conditioned to allow a reduction in the landscape setback standards and allow an expansion to the Orange County School of the Arts (OCSA) Foundation building at 123 East Eleventh Street located in the Specific Plan No. 3 (SP-3/Midtown Specific Plan) Financial District/Bush Street Professional District zoning district. The Planning Commission made no changes to the recommendation outlined in the attached staff report (Exhibit A). DISCUSSION OCSA is proposing to construct a 885 -square -foot addition on the north side of an existing 1,2980 -square -foot office building that is currently being used as administrative offices by The OCSA Foundation, which is the fundraising arm of the school. The addition has been designed to match the existing structure, including texture, materials and color. Architectural improvements will also be made to the structure that will enhance the adobe style of the building. Other improvements proposed for the site include the addition of new landscaping within the parking lot, new lighting throughout the site, and the removal of an unused curb cut on the northeast corner of the site. Full-sized plans are available for public viewing in the Clerk of the Council Office. 31 B-1 VA No. 2017-02 — Reduction in Landscaped Setbacks for OCSA at 123 East Eleventh Street September 19, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There is no fiscal impact associated with this action Candida Neal, AICP Acting Executive Director Planning & Building Agency VF: rb S:RFCA\09-17-17NA17-02 OCSA.W Exhibit: A. Planning Commission Staff Report 31 B-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 28, 2017 TITLE: PUBLIC HEARING — FILED BY MARK TURPIN FOR VARIANCE NO. 2017-02 TO ALLOW A REDUCTION IN LANDSCAPED SETBACKS FOR THE ORANGE COUNTY SCHOOL OF THE ARTS AT 123 EAST ELEVENTH STREET (STRATEGIC PLAN NO. 3,21 Prepard by Vince Fregoso k��AaLk:z) a� 0 Executive Director PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED Specific Plan No. 3 (SP-3/Midtown Specific Plan) — Financial District/Bush Street Professional District ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO RECOMMENDED ACTION Adopt a resolution approving Variance No. 2017-02 as conditioned. Executive Summary c Plannin anag Mark Turpin, representing The Orange County School of the Arts (OCSA), is requesting approval of a variance to allow a reduction in the landscape setback standards and allow an 885 -square - foot expansion to the OCSA Foundation building located at 123 East Eleventh Street. Staff is recommending approval of the request due to unique circumstances related to the site. Table 1: Proiect and Location Information Item Information Project Addresses 123 East Eleventh Street and 1107 North Main Street Nearest Intersection Main and Eleventh Streets General Plan Designation District Center (DC) Zoning Designation Specific Plan No. 3 (SP-3/Midtown Specific Plan) — Financial District/Bush Street Professional District Surrounding Land Uses (Exhibit 2) North Commercial East Residential and Commercial South Office West Educational and Office Property Size 37,513 square feet 0.91 acres Existing Site Development The site contains a one-story, 3,967 -square -foot structure which contains the administrative offices for The Orange County School of the Arts. The site also contains a one-story, 1,298 -square -foot office building that is used by the OCSA Foundation. Use Permissions Office uses are allowed by right in the zoning districts Zoning Code Sections Affected Uses I SAMC Section 41-592 Operational Standards SAMC Sections 41-592.2 through 41- 592.4 EXHIBIT A 31 B-3 Variance No. 2017-02 August 28, 2017 Page 2 Project Description The applicant proposes to construct a 900 -square -foot addition on the north side of an existing 1,300 -square -foot office building that is currently being used as administrative offices by The OCSA Foundation (Exhibit 3). The addition has been designed to match the existing structure, including texture, materials and color. Architectural improvements will also be made to the structure that will enhance the adobe style of the building. Other improvements proposed for the site include the addition of new landscaping within the parking lot and the removal of an unused curb cut on the northeast comer of the site (Exhibits 4, 5 and 6). A separate 4,000 -square -foot building (1107 North Main Street) is also located on the west side of the site. This structure is being used as administrative offices for OCSA. No construction or expansion of square footage is proposed for this building. Table 2: Development Standards Standard Required by SAMC Provided Permitted Uses Offices, Banks, Medical Offices and Service and Commercial Retail uses Complies Building Height Maximum of 180 feet Complies 17 feet Building Setbacks 10 feet on Eleventh Street 10 feet on Bush Street Zero setback on Eleventh and Bush Streets Floor Area Ratio 2.0 75,026 square feet Com lies 0.16 Parcel Size Minimum 15,000 square feet Com lies 37,513 Square feet Project Background The Orange County School of the Arts has occupied both buildings since 2014. The building on the west side of the site abutting Main Street is utilized by the school for their administrative offices and was previously occupied by office and bank uses. This building, known as the Washington Cleaners Building, is listed on the City's Historical Register as a Contributive structure. The subject building, located on the east side of the parcel, is used as administrative offices by the OCSA Foundation, the non-profit support group for the school. This building was historically occupied by bank and office uses. Project Analysis Chapters 5 and 8 (Financial District/Bush Street Professional District) of the Midtown Specific Plan (SP -3) identify the required setbacks for buildings in the Financial/Bush Street Districts. These sections require a minimum landscaped setback of 10 feet on Bush Street and 10 feet on 31 B-4 Variance No. 2017-02 August 28, 2017 Page 3 Eleventh Street. The applicant is requesting approval of a variance to maintain the existing building setbacks and provide a zero setback along both Bush and Eleventh Streets. Staff has analyzed the applicants request and is supportive of the proposal. Variance requests are governed by Section 41-638 of the Santa Ana Municipal Code (SAMC). Variances may be granted when it can be shown that there exists a special circumstance related to the property, is necessary for the preservation and enjoyment of substantial property rights, will not be detrimental to the public or surrounding property, or will not adversely affect the General Plan. The project site has special circumstances that warrant approval of a variance. First, the building currently does not comply with the City's setback standards and is therefore legal non -conforming. To comply with the current development standards found in the Midtown Specific Plan, approximately 50 percent of the existing building would have to be demolished in order for the building to comply with code. This would effectively result in the creation of an unusable building and would be a significant burden on the property owner. Further, since other buildings along Eleventh and Bush Streets do not comply with the setback standard, this building would be inconsistent with the development pattern of the area. Finally, by allowing the building to expand and maintain the existing setback, it will assist in improving vehicular and pedestrian circulation on the site. The variance is also necessary for the preservation and enjoyment of substantial property rights. Allowing the building to be expanded with a reduced setback will allow the owner the ability to maintain the use of building on an underutilized parcel of land. Shifting the building to comply with the setback standard would reduce the viability of the existing building, thereby impacting the property rights of the owners. However, the building and site will be subject to on-site improvements such as new landscaping, parking lot restriping and signage, all which will enhance this property and the surrounding properties. The project will not adversely affect the general plan as the proposed office use is a permitted use in the District Center land use designation. In addition, the project is consistent with several goals and policies of the General Plan, including Goal 2 to promote land uses which enhance the City's economic and fiscal viability, Goal 3 to preserve and improve the character and integrity of existing neighborhoods, and Goal 5 to ensure that the impacts of development are mitigated. 31 B-5 Variance No. 2017-02 August 28, 2017 Page 4 Table 3: CEQA. Strategic Plan Alignment and Public Notification & Community Outreach CEQA, Strategic Plan Alignment, and Public Notification & Community Outreach CEQA CEQA Type Categorical Exemption - Section 15332 Reason(s) Exempt or Analysis This Class 32 exemption allows infill development provided they are consistent with the zoning and General Plan, are on a project site of no more than five acres surrounded by urban uses, do not have any noise or traffic impacts, and can be served by existing utilities. The proposed expansion has been found by the City's development review agencies to not create any adverse impacts. The building is on a site that is not designated by federal, state, or local agencies to be an environmental resource of hazardous or critical concern. The cumulative impact of this project will not be significant as there are several office buildings in the area, the property is already served by roads and utilities, and will not create any adverse impacts such as noise, traffic, or safety concerns. There is no reasonable possibility that the project will have a significant effect on the environment due to unusual circumstances. The project is not located within a highway officially designated as a state scenic highway and will not result in damage to scenic resources. The project is not located on a site which is included on any list compiled pursuant to Section 65962.5 of the Government Code. As a result, Categorical Exemption Environmental Review No. 2017-45 will be filed for this project. Strategic Plan Alignment Goal(s) and Approval of this item supports the City's efforts to meet Goal No.3 (Economic Policy(s) Development) Objective No. 2 of creating new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies. Public Notification & Community Outreach Required Measures A public noticed was posted on the project site on August 17, 2017. Notification by mail was mailed to all property owners and occupants within 500 feet of the project site on August 18, 2017. Newspaper posting was published in the Orange County Reporter on August 18, 2017. Additional Measures The project site is not located within an established neighborhood; however, staff contacted the adjacent French Park Neighborhood Association by phone on August 16, 2017 to identify any areas of concern due to the proposed building expansion. At the time this report was printed, no issues of concern were raised regarding this application. MEW Variance No. 2017-02 August 28, 2017 Page 5 Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Variance No. 2017-02 as conditioned. AIL Vince Fregoso,AlC Principal Planner VF:jm Areo"WAWAI7-02 OCSA.082817.pc Exhibits 1. Resolution 2. Vicinity Zoning and Aerial View Map 3. Site Photo 4. Site Plan 5. Floor Plan 6. Building Elevations 31 B-7 LS 8.28 17 RESOLUTION NO. 2017-28 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING VARIANCE NO. 2017-02 AS CONDITIONED TO ALLOW A REDUCTION IN LANDSCAPED SETBACKS FOR THE PROPERTY LOCATED AT 123 EAST ELEVENTH STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Variance No. 2017-02 to allow the construction of an 885 -square -foot building expansion for The Orange County School of the Arts ("OCSA") at 123 East Eleventh Street. B. Chapters 5 and 8 of the Midtown Specific Plan (SP -3) require a 10 -foot landscaped setback along Bush Street and a 10 -foot landscaped setback along Eleventh Street in the Financial District/Bush Street Professional District subzones of the Midtown Plan. C. On August 28, 2017, the Planning Commission held a duly noticed public hearing on Variance No. 2017-02. D. The Planning Commission of the City of Santa Ana determines that the following findings, which must be established in order to grant this variance pursuant to Santa Ana Municipal Code Section 41-638, have been established for Variance No. 2017-02 to allow a reduction in landscaped setbacks: That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, that the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this Chapter. The project site has special circumstances that warrant approval of a variance. First, the building currently does not comply with the City's setback standards. When the structure was built in 1924, zoning and development standards such as setbacks did not exist. To comply with the current development standards found in the Midtown Specific Plan, approximately 50 percent of the existing building would have to be demolished to make the building comply with code. This EXHIBIT 1 Resolution No. 2017-28 Page 1 of 6 31 B-8 would effectively result in the creation of an unusable building and would be a significant burden on the property owner. Further, since other buildings along Eleventh and Bush Streets do not comply with the setback standard, this building would be inconsistent with the development pattern of the area. Finally, by allowing the building to expand and maintain the existing setback, it will assist in improving vehicular and pedestrian circulation on the site. As a result, special circumstances exist that warrant a variance. 2. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Allowing the building to be constructed with a reduced setback will allow the owner the ability to construct a larger, more functional building on an underutilized parcel of land. The strict application of the standards would result in an impact to the internal circulation pattern of the site and would result in a reduction in parking for OCSA, which would make the office use infeasible at this location. Therefore, the granting of the variance is necessary for the preservation and enjoyment of substantial property rights and will preserve the property owner's right to develop on the site with a use that is allowed in the zoning district and will assist in revitalizing the area, which preserves the property owner's right to upgrade and develop their property. 3. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of the variance will not be detrimental to the public or surrounding properties as the building and site have been designed to comply with all applicable development standards except for landscape setbacks. The building expansion and related site improvements such as new landscaping will enhance this property as well as the surrounding properties. The proposed addition has been designed to be compatible with the surrounding properties, including the adjacent residential properties, through site design and conditions of approval. The proposed project will make a substantial capital investment in the site, thereby enhancing this property and the surrounding properties. Resolution No. 2017-28 Page 2 of 6 31 B-9 4. That the granting of a variance will not adversely affect the General Plan of the City. The project will not adversely affect the general plan as the office use is a permitted use in the District Center land use designation. In addition, the project is consistent with several goals and policies of the General Plan, including Goal 2 to promote land uses which enhance the City's economic and fiscal viability, Goal 3 to preserve and improve the character and integrity of existing neighborhoods, and Goal 5 to ensure that the impacts of development are mitigated. The project is also consistent with Land Use Element Policy 2.8 to promote the rehabilitation of commercial properties and encourages increased levels of capital investment, Policy 2.10 supports new development which is harmonious in scale and character with existing development in the area, and Urban Design Element Policy 1.5 encourages projects that include enhanced architectural forms, textures, colors and materials. The building and its addition are consistent with these goals and policies and has been designed to provide architectural and visual interest to the site and adjacent community. E. In accordance with the California Environmental Quality Act the recommended action is exempt from further review per Section 15332. This Class 32 exemption allows infill development provided it is consistent with the zoning and General Plan, is on a project site of no more than five acres surrounded by urban uses, does not have any noise or traffic impacts, and can be served by existing utilities. The proposed office building expansion has been found by the City's development review agencies to not create any adverse impacts. The building is proposed to be located on a site that is not designated by federal, state, or local agencies to be an environmental resource of hazardous or critical concern. The cumulative impact of this project will not be significant as there are several office buildings in the area, the property is already served by roads and utilities, and will not create any adverse impacts such as noise, traffic, or safety concerns. There is no reasonable possibility that the project will have a significant effect on the environment due to unusual circumstances. The project is not located within a highway officially designated as a state scenic highway and will not result in damage to scenic resources. The project is not located on a site which is included on any list compiled pursuant to Section 65962.5 of the Government Code. As a result, Categorical Exemption Environmental Review No. 2017-45 will be filed for this project. Resolution No. 2017-28 Page 3 of 6 31 B-10 Section 2. The Applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any environmental review or approval, except to the extent caused by the sole negligence of the City of Santa Ana. Section 3. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Variance No. 2017-02 as conditioned in Exhibit A attached hereto and incorporated herein, for the project located at 123 East Eleventh Street. This decision is based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Commission Action dated August 28, 2017, and exhibits attached thereto; and, the public testimony, written and oral, all of which are incorporated herein by this reference. ADOPTED this 28th day of August, 2017 by the following vote: AYES: Commissioners: Alderete, Bacerra, Contreras -Leo, McLoughlin, Mendoza, Verino (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Nguyen (1) ABSTENTIONS: Commissioners: None (0) APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney Lynnette Verino Chairperson 31 B-11 Resolution No. 2017-28 Page 4 of 6 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, ROSA BARELA, Acting Recording Secretary, do hereby attest to and certify the attached Resolution No. 2017-28 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 28, 2017. Date: Acting Recording Secretary City of Santa Ana 31 B-12 Resolution No. 2017-28 Page 5 of 6 EXHIBIT A Conditions of Approval Variance No. 2017-02 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The Applicant must comply in full with each and every condition listed belowrip or to exercising the rights conferred by this variance. The Applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. 1. All proposed site improvements must conform to the Site Plan Review approval of DP No. 2017-18. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the variance must be amended. 3. Prior to approval of Certificate of Occupancy, all on-site improvements shall be made in accordance with the submitted plans. 4. Prior to submittal into building plan check, a final landscape plan shall be submitted for review and approval. The landscape plan shall incorporate an increase in sizes of the landscape palette to 24 -inch box trees, 15 -gallon shrubs and 5 -gallon ground cover. 5. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. Resolution No. 2017-28 Page 6 of 6 31 B-13 811712017 r y.i IM 1111 161 Hill Santa Ana Boundary P Zoning t it I • r 14, ■II J IK7�' A ,250 fey Exhibit 2 - Vicinity Zoning and Aerial View Iry i f ?niu ❑Mil -M Man P nd.,M All nnhK recarvad `\ N http://maps.digitalmapmntmi.wmfpmdueion/Dashboard/8/6/51releas(24tgit/c�rr�nds/print/htmI H t/PdntPmvlew.html 1/1 Variance No. 2017-02 Orange County School of the Arts Foundation Build #,f„i'! '« . RPMifes{I or i A. ..:_ a. ' !� iso y � =l 1. _. lSl'r 1 r �• ..�l..G. _ M '11 � 1 �J �� �•�I r i , rr xt:F L « Ik"Ai.. r y.i IM 1111 161 Hill Santa Ana Boundary P Zoning t it I • r 14, ■II J IK7�' A ,250 fey Exhibit 2 - Vicinity Zoning and Aerial View Iry i f ?niu ❑Mil -M Man P nd.,M All nnhK recarvad `\ N http://maps.digitalmapmntmi.wmfpmdueion/Dashboard/8/6/51releas(24tgit/c�rr�nds/print/htmI H t/PdntPmvlew.html 1/1 VA 2017-02 THE ORANGE COUNTY SCHOOL OF THE ARTS FOUNDATION BUILDING EXPANSION 123 EAST ELEVENTH STREET EXHIBIT 3 31 B-15 ,'tea %',x .•.•� ixtaror� WQ�Ui1tlMOH OH holes v�vNvrinvs 1 OLM Hit 1 VIN" 3 - ; \ 9.,,. , a "'1 xrveu xuehu WAY 311.1311'11N111Jli I'i (3 SW00: am"10 i \YW tl• utlx 1 ,HY9XIXII LLBxM � EXHIBIT 4 31 B-16 ORANGECOUNTY 1 I.> e jEi � a T c f` a it : 1 j N ■ 311 ttii . I ill 11 IT t 1 i y 3 K 4 T A I I I Ef T e , E pit ° {{ i6 R Jill- 11@€° fit fill' I ,; I EE4! ■ ` i 9 I { r js . a 4 e E . [IlF{ Ff A � l jt i� R All, i E;lliUH �Lt1={I�FlgFEE K G 1 1[ t E i EXHIBIT 5 Li ORANGECOUNTY 1 I.> End ®Foci 3 EXHIBIT 6 31 B-18 II t;! : jli �±s ti a 1 • Y Y it v � <a rY .r EXHIBIT 6 31 B-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: RESOLUTION AND AGREEMENT ACCEPTING EMERGENCY PREPAREDNESS KITS PROVIDED THROUGH FY2015 HOMELAND SECURITY GRANT PROGRAM (HSGP) {STRATEGIC PLAN NO. 1, 2F} - 7"7 1-1' �_ / ��/ L -, CIT MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading [I Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution authorizing the City Manager and/or Chief of Police to act on behalf of the City of Santa Ana for the purpose of obtaining items purchased with federal Homeland Security grant funds, related to homeland security, emergency management and/or disaster recovery, provided by the US Department of Homeland Security and sub -granted through the State of California. Authorize the Chief of Police and the Clerk of the Council to execute an agreement with the County of Orange, commencing September 19, 2017, and running through May 31, 2018, to receive emergency preparedness kits purchased by the County through the FY 2015 Homeland Security Grant Program, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City of Santa Ana conducts multiple Community Emergency Response Team (CERT) training courses each year. CERT teaches residents emergency preparedness skills and information to enable them to care for themselves and to assist others in the event of a disaster event where professional responders may not be available to help everyone at once. Graduates of CERT training are issued a backpack emergency kit, usually purchased with City funds, containing items such as personal protective equipment, flashlight, and first aid materials. 55A-1 Adoption of Resolution and Authorization to Execute Agreement with Orange County re HSGP Grant September 19, 2017 Page 2 The Orange County Sheriffs Department Emergency Management Division administers the Homeland Security Grant Program on behalf of all Orange County jurisdictions. The Sheriff's Department has elected to utilize FY2015 HSGP funds to execute a bulk purchase of these CERT backpack kits at more competitive pricing and to distribute these kits to all participating cities. The FY2015 HSGP has a three-year performance period allowing purchases into 2018, which is why staff is recommending joining the FY2015 grant at this time. This action requires no expenditure of City funds and the City will not receive any funds. The City will take receipt of approximately 20-40 of the kits (valued at approximately $30.00 each, or $600.00 to $1200.00). The exact amount received will be determined by the Sheriff's Department when they complete the bulk purchase and identify the number of jurisdictions desiring to receive the kits. By participating in this bulk purchase effort, the City will receive these items for our CERT training program at no cost. Adoption of this agreement would also make the City eligible to receive any future purchases made under this Grant through the performance period of May 31, 2018. STRATEGIC PLAN ALIGNMENT Approval of this item assists the City in meeting Goal #1 Community Safety, Objective #2 Strategy F (Partner with emergency assistance and disaster relief organizations to promote community awareness of emergency preparedness). FISCAL IMPACT There is no fiscal impact associated with this item. There will be no expenditure of City funds and the City will not receive any funds. We will be receiving items only. oel_,�� entin =. Acting Chief of Police Santa Ana Police Department Attachments: Resolution Agreement with County of Orange for FY2015 HSGP Grant Attachment A HSGP Grant Assurances 55A-2 TB 9/5/17 RESOLUTION NO. 2017-xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER, AND THE CHIEF OF POLICE OR HIS DESIGNEE TO OBTAIN 2015 HOMELAND SECURITY GRANT PROGRAM FINANCIAL ASSISTANCE THROUGH THE COUNTY OF ORANGE, AND EXECUTE A TRANSFER AGREEMENT WITH THE COUNTY, DOCUMENTS, AND ASSURANCES THAT MAY BE NECESSARY FOR THE HSGP BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares asfollows: A. The State of California Office of Emergency Services is responsible for implementing the United States Department of Homeland Security's Homeland Security Grant Program(HSGP). B. The County of Orange as a subgrantee of the 2015 HSGP funds will provide financial assistance to local governments for implementation of various Homeland Security and Emergency Management projects including countywide emergency management capabilities. The County of Orange opted to utilize HSGP funds designated for Emergency Management to execute a bulk purchase of emergency preparedness kits containing items such as personal protective equipment, flashlight, and first aid materials used in Community Emergency Response Team (CERT) programs. The City of Santa Ana conducts CERT programs and will offer the emergency preparedness kits to graduates of the CERT training. C. The City previously adopted Resolution No. 2015-032 authorizing the receipt and transfer of the 2014 HSGP funds to the City for similar CERT programs which teaches residents emergency preparedness skills and information to enable them to care for themselves and to assist others in the event of a disaster event where professional responders may not be available to help everyone at once. D. The City of Santa Ana would be a subrecipient under the 2015 HSGP through the County of Orange. The exact amount of materials received Resolution No. 2017-xxx Page 1 of 3 55A-3 will be determined by the County once they make the purchase of these materials and determine which jurisdictions want the materials but it is anticipated to be $1,200 orless. Section 2. The City Council of the City of Santa Ana hereby authorizes the City Manager and Chief of Police or their designee, on terms acceptable to the City Attorney, to execute a sub -grantee agreement (also called a transfer agreement) with the County of Orange and/or Orange County Sheriffs Department in an amount not to exceed $1,200 for procurement of the CERT materials. Section 3. This Resolution shall take effect immediately upon its adoption by the City Council and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 19th day of September, 2017. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney 11 Nil I ,i AYES: Councilmembers: NOES: Councilmembe ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: 55A-4 Miguel A. Pulido Mayor Resolution No. 2017-xxx Page 2 of 3 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 bythe City Council of the City of Santa Ana on September 19, 2017. Date: Clerk of the Council City of Santa Ana 55A-5 Resolution No. 2017-xxx Page 3 of 3 y 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 AGREEMENT TO TRANSFER PROPERTY OR FUNDS FOR 2015 HOMELAND SECURITY GRANT PROGRAM PURPOSES THIS AGREEMENT is entered into this 19th day of September 2017, which date is enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political subdivision of the State of California, hereinafter referred to as "COUNTY", and the City of Santa Ana, a (municipal corporation/special district/not-for-profit corporation), hereinafter referred to as "SUBGRANTEE," WHEREAS, COUNTY, acting through its Sheriff -Coroner Department in its capacity as the lead agency for the Orange County Operational Area, has applied for, received and accepted a grant from the State of California, acting through its California Office of Emergency Services, to enhance county -wide emergency preparedness, hereinafter referred to as "the grant', as set forth in the grant documents including Attachments A (FY 15 CA Supplement to the Federal Notice of Funding Opportunity), and B (FY 15 Homeland Security Grant Program Notice of Funding Opportunity) which are incorporated by reference as though fully set forth herein, and C (FY 15 Homeland Security Grant Assurances) which is attached hereto and incorporated herein by reference. WHEREAS, the terms of the grant require that COUNTY use certain grant funds to purchase equipment, technology or services that will be transferred to SUBGRANTEE to be used for grant purposes. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: 1. COUNTY shall transfer to SUBGRANTEE the equipment, technology or services as specified in Attachment D hereto, which is incorporated herein by reference. If the grant requires COUNTY to transfer to SUBGRANTEE equipment, technology or services that COUNTY has not yet acquired, COUNTY shall transfer said equipment, technology or services to SUBGRANTEE as soon after acquisition by COUNTY as is reasonably practicable. 2. If COUNTY transfers grant funds to SUBGRANTEE, SUBGRANTEE shall use said grant funds only to acquire equipment, technology or services as set forth in Attachment B hereto and/or to perform such other grant functions, if any, for which Attachments A, B and C permit SUBGRANTEE to CFDA: 97.067 Homeland Security Grant Program Department of Homeland Security 55 of 4 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 expend grant funds. SUBGRANTEE shall provide COUNTY with a budget breakdown signed by the authorized agent. 3. Throughout its useful life, SUBGRANTEE shall use any equipment, technology or services acquired with grant funds only for those purposes permitted under the terns of the grant, and shall make it available for mutual aid response. 4. SUBGRANTEE shall exercise due care to preserve and safeguard equipment acquired with grant funds from damage or destruction and shall provide regular maintenance and repairs for said equipment as are necessary, in order to keep said equipment in continually good working order. Such maintenance and servicing shall be the sole responsibility of the SUBGRANTEE, who shall pay for material and labor costs for any maintenance and repair of the said equipment throughout the life of the said equipment. 5. SUB GRANTEE shall assume all continuation costs of said equipment, technologies and/or services to include but not limited to upgrades, licenses and renewals of said equipment, technologies and/or services. 6. If equipment acquired with grant funds becomes obsolete or unusable, SUBGRANTEE shall notify COUNTY of such condition. SUBGRANTEE shall transfer or dispose of grant -funded equipment only in accordance with the instructions of COUNTY. 7. SUBGRANTEE agrees to indemnify, defend and save harmless COUNTY and their elected and appointed officials, officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work services, materials or supplies in connection with SUBGRANTEE's use of grant -funded equipment, technology or services and SUBGRANTEE's performance of this Agreement, including Attachments A, B and C hereto, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by SUBGRANTEE in SUBGRANTEE's use of grant -funded equipment, technology or services and SUBGRANTEE's performance of this Agreement, including Attachments A, B and C hereto. 8. By executing this Agreement, SUBGRANTEE agrees to comply with and be fully bound by all applicable provisions of Attachments A, B and C hereto. SUBGRANTEE shall notify COUNTY CFDA: 97.067 Homeland Security Grant Program Department of Homeland Security 55Age8 of4 1 2 3 4 5 6 7 8 9 10 11 12 I 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 I" immediately upon discovery that it has not abided or no longer will abide by any applicable provision Attachments A, B and C hereto. 9. SUBGRANTEE and COUNTY shall be subject to examination and audit by the State Auditor General with respect to this Agreement for a period of three years after final payment hereunder. 10. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or agreement not incorporated herein shall be binding on any of the parties hereto. 11. SUBGRANTEE may not assign this Agreement in whole or in part without the express I written consent of COUNTY. 12. For a period of three years after final payment hereunder or until all claims related to this Agreement are finally settled, whichever is later, SUBGRANTEE shall preserve and maintain all documents, papers and records relevant to the work performed or property or equipment acquired in accordance with this Agreement, including Attachments A, B and C hereto. For the same time period, SUBGRANTEE shall make said documents, papers and records available to COUNTY and the agency from which COUNTY received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of SUBGRANTEE, upon request during usual working hours. 13. SUBGRANTEE shall provide to COUNTY all records and information requested by COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be required to provide to the agency from which COUNTY received grant funds or other persons or agencies. 14. COUNTY may terminate this Agreement and be relieved of the payment of any consideration to SUBGRANTEE if a) SUBGRANTEE fails to perform any of the covenants contained in this Agreement, including Attachments A, B and C hereto, at the time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY. 15. SUBGRANTEE and its agents and employees shall act in an independent capacity in the performance of this Agreement, including Attachments A, B and C hereto, and shall not be considered officers, agents or employees of COUNTY or of the agency from which COUNTY received grant funds. CFDA: 97.067 Homeland Security Grant Program Department of Homeland Security 55AAof 4 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange, State of California. DATED: 1201_ QI APPROVED AS TO FORM: COUNTY COUNSEL By Wendy Phillips DATED: 201 DATED: ATTEST: By Please see next nage City Clerk DATED: 1201 COUNTY OF ORANGE, a political subdivision of the State of California Sheriff -Coroner "COUNTY" SUBGRANTEE By: Please see next nage go APPROVED AS TO FORM TaInawria Bogosian Assistant City Attorney CFDA: 97.067 Homeland Security Grant Program Department of Homeland Security 55A21O 4 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Attachment A Standard Assurances For All Cal OES Federal Grant Programs As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the legal authority to apply for Federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay any non -Federal share of project cost) to ensure proper planning, management and completion of the project described in this application, within prescribed timelines. I further acknowledge that the Applicant is responsible for reviewing and adhering to all requirements within the: (a) Applicable Federal Regulations (see below); (b) Federal Program Notice of Funding Opportunity (NOFO); (c) California Supplement to the NOFO; and (d) Federal and State Grant Program Guidelines. Federal Regulations Government cost principles, uniform administrative requirements and audit requirements for federal grant programs are housed in Title 2, Part 200 of the Code of Federal Regulations (CFR) and in updates issued by the Office of Management and Budget (OMB) on http://www.whitehouse.gov/omb/. Significant state and federal grant award requirements (some of which appear in the documents listed above) are called out below. The Applicant hereby agrees to comply with the following: 1. Proof of Authority The Applicant will obtain written authorization from the city council, governing board or authorized body in support of this project. This written authorization must specify that the Applicant and the city council, governing board or authorized body agree: (a) To provide all matching funds required for said project and that any cash match will be appropriated as required. (b) That any liability arising out of the performance of this agreement shall be the responsibility of the Applicant and the city council, governing board or authorized body. (c) That grant funds shall not be used to supplant expenditures controlled by the city council, governing board or authorized body. (d) That the official executing this agreement is, in fact, authorized to do so. Homeland Security Grant Program - 2015 Grant Assurances 55A-11 Page 1 of 10 Initials This Proof of Authority must be maintained on file and readily available upon demand. 2. Period of Performance The Applicant will initiate work after approval of the award and complete all work within the period of performance specified in the grant. 3. Lobbying and Political Activities As required by Section 1352, Title 31 of the U.S. Code (U.S.C.), for persons entering into a contract, grant, loan or cooperative agreement from an agency or requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan, the Applicant certifies that: (a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (b) 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. (c) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§1501-1508 and §§7324- 7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. Finally, the Applicant agrees that Federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation or policy without the express written approval from the California Governor's Office of Emergency Services (Cal OES) or the Federal awarding agency. 4. Debarment and Suspension As required by Executive Orders (EO) 12549 and 12689, and 2 CFR §200.212 and codified in 2 CFR Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government. The Applicant certifies that it and its principals: Homeland Security Grant Program - 2015 Grant Assurances 55A-12 Page 2 of 10 Initials (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 application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (2)(b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transaction (Federal, State, or local) terminated for cause or default. Where the Applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 5. Non -Discrimination and Equal Employment Opportunity The Applicant will comply with all Federal statutes relating to non-discrimination. These include, but are not limited to, the following: (a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. §2000d et. seq.) which prohibits discrimination on the basis of race, color or national origin and requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of handicaps; (d) Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to ADA (42 U.S.C. 12101, et seq.); (e) Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits discrimination on the basis of age; (f) Drug Abuse Office and Treatment Act of 1972) (P.L. 92-255), as amended (P.L. 96-181), relating to nondiscrimination on the basis of Treatment or recovery from drug abuse; (g) Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (h) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (i) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; Homeland Security Grant Program - 2015 Grant Assurances 55A-13 Page 3 of 10 Initials Q) EO 11246, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over $10,000 in Government business in one year from discriminating in employment decisions on the basis of race, color, religion, sex, or national origin; (k) EO 11375, which bans discrimination on the basis of sex in hiring and employment in both the United States federal workforce and on the part of government contractors; (1) California Public Contract Code §10295.3, which addresses discrimination based on domestic partnerships; (m)Any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (n) The requirements of any other nondiscrimination statute(s) which may apply to the application. In addition to the items listed in (a) through (n), the Applicant will comply with California's Fair Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in employment because of race, color, religion, sex, gender, gender identity, gender expression, sexual orientation, marital status, national origin, ancestry, mental and physical disability, medical condition, age, pregnancy, denial of medical and family care leave, or pregnancy disability leave (California Government Code sections 12940, 12945, 12945.2) and/or retaliation for protesting illegal discrimination related to one of these categories, or for reporting patient abuse in tax supported institutions. 6. Drug -Free Workplace As required by the Drug -Free Workplace Act of 1988 (41 U.S.C. §701 et seq.), the Applicant certifies that it will or will continue to provide a drug-free workplace and a drug-free awareness program as outlined in the Act. 7. Environmental Standards The Applicant will comply with State and Federal environmental standards which may be prescribed pursuant to the following, as applicable: (a) California Environmental Quality Act (CEQA) (California Public Resources Code §§21000- 21177), to include coordination with the city or county planning agency; (b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§15000- 15387); (c) Federal Clean Water Act (CWA) (33 U.S.C. §1251 et seq.), which establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters. (d) Institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Orders (EO) on the Environmental Justice Act (EO 12898) and Environmental Quality (EO 11514); (e) Notification of Environmental Protection Agency (EPA) violating facilities pursuant to EO 11738; (f) Protection of wetlands pursuant to EO 11990; Homeland Security Grant Program - 2015 Grant Assurances 55A-14 Page 4 of 10 Initials (g) Evaluation of flood hazards in floodplains in accordance with EO 11988; (h) Assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §1451 et seq.); (i) Conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §7401 at seq.); Q) Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); (k) Protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93-205); (1) Wild and Scenic Rivers Act of 1968 (16 U.S.C. §1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. Finally, the Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to §13301 of the California Water Code for violation of waste discharge requirements or discharge prohibitions; or 3) finally determined to be in violation of federal law relating to air or water pollution. 8. Audits For subrecipients expending $750,000 or more in Federal grant funds annually, the Applicant will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F Audit Requirements. 9. Access to Records In accordance with 2 CFR §200.336, the Applicant will give the awarding agency, the Comptroller General of the United States and, if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award. The Applicant will require any subrecipients, contractors, successors, transferees and assignees to acknowledge and agree to comply with this provision. 10. Conflict of Interest The Applicant will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 11. Financial Management False Claims for Payment The Applicant will comply with 31 U.S.0 §3729 which sets forth that no subgrantee, recipient or subrecipient shall submit a false claim for payment, reimbursement or advance. 12. Reporting - Accountability The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability and Transparency Act (FFATA) (2 CFR Chapter 1, Part 170), specifically (a) the reporting of Homeland Security Grant Program - 2015 Grant Assurances 55A-15 Page 5 of 10 Initials subawards obligating $25,000 or more in federal funds and (b) executive compensation data for first-tier subawards. This includes the provisions of FFATA, which includes requirements on executive compensation, and also requirements implementing the Act for the non -Federal entity at 2 CFR part 25 Financial Assistance Use of Universal Identifier and Central Contractor Registration and 2 CFR part 170 Reporting Subaward and Executive Compensation Information. The Applicant also must comply with statutory requirements for whistleblower protections at 10 U.S.C. §2409, 41 U.S.C. §4712, and 10 U.S.C. §2324, 41 U.S.C. §4304 and §4310 and 31 U.S.C. §6101 et seq. 13. Human Trafficking The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. §7104) which prohibits grant award recipients or a subrecipient from (1) Engaging in severe forms of trafficking in persons during the period of time that the award is in effect (2) Procuring a commercial sex act during the period of time that the award is in effect or (3) Using forced labor in the performance of the award or subawards under the award. 14. Labor Standards The Applicant will comply with the following federal labor standards: (a) Comply with the provisions of the Davis -Bacon Act (40 U.S.C. §§276a to 276a-7), as applicable, and the Copeland Act (40 U.S.C. §3145 and 18 U.S.C. §874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for federally -assisted construction contracts or subcontracts. (b) Comply with the Federal Fair Labor Standards Act (29 U.S.C. §201 et al.) as they apply to employees of institutes of higher learning (IHE), hospitals and other non-profit organizations. 15. Worker's Compensation The Applicant must comply with provisions which require every employer to be insured against liability for Worker's Compensation before commencing performance of the work of this Agreement, as per California Labor Code §3700. 16. Property -Related If applicable to the type of project funded by this Federal award, the Applicant will: (a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally -assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchase. (b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires subrecipients in a special flood hazard Homeland Security Grant Program - 2015 Grant Assurances 55A-16 Page 6 of 10 Initials area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. (c) Assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §469a-1 et seq.). (d) Comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §4831 and 24 CFR Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures. 17. Certifications Applicable Only to Federally -Funded Construction Projects For all construction projects, the Applicant will: (a) Not dispose of, modify the use of, or change the terms of the real property title or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the Federal awarding agency directives and will include a covenant in the title of real property acquired in whole or in part with Federal assistance funds to assure nondiscrimination during the useful life of the project. (b) Comply with the requirements of the awarding agency with regard to the drafting, review and approval of construction plans and specifications. (c) Provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progressive reports and such other information as may be required by the assistance awarding agency or State. 18. Freedom of Information Act The Applicant acknowledges that all information submitted in the course of applying for funding under this program or provided in the course of an entity's grant management activities which is under Federal control is subject to the Freedom of Information Act (FOIA), 5 U.S.C. §552. The Applicant should also consult its own State and local laws and regulations regarding the release of information, which should be considered when reporting sensitive matters in the grant application, needs assessment and strategic planning process. 19. California Public Records Act The Applicant acknowledges that all information submitted in the course of applying for funding under this program or provided in the course of an entity's grant management activities may be subject to the California Public Records Act (California Government Code §§6250-6276.48), which requires inspection and/or disclosure of governmental records to the public upon request, unless exempted by law. Homeland Security Grant Program - 2015 Grant Assurances 55A-17 Page 7 of 10 Initials HOMELAND SECURITY GRANT PROGRAM - PROGRAM SPECIFIC ASSURANCES / CERTIFICATIONS 20. Personally Identifiable Information Subrecipients collecting Personally Identifiable Information (1311) must have a publically-available policy that describes what PII they collect, how they plan to use the PII, whether they share PII with third parties, and how individuals may have their PII corrected where appropriate. 21. Disposition of Equipment When original or replacement equipment acquired under this award is no longer needed for the original project or program or for other activities currently or previously supported by the Department of Homeland Security/Federal Emergency Management Agency, subrecipients must request instructions from Cal OES on proper disposition of equipment. 22. Reporting Accusations and Findings of Discrimination If, during the past three years, the subrecipient has been accused of discrimination on the grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the subrecipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to Cal OES for reporting to the DHS awarding office and the DHS Office of Civil Rights and Civil Liberties. If any court or administrative agency makes a finding of discrimination on grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion or familial status against the subrecipient, or the subrecipient settles a case or matter alleging such discrimination, subrecipients must forward a copy of the complaint and findings to Cal OES for forwarding to the DHS Component and/or awarding office. The United States has the right to seek judicial enforcement of these obligations. 23. Acknowledgement of Federal Funding from DHS and Use of DHS Seal, Logo and Flags All subrecipients must acknowledge their use of federal funding when issuing statements, press releases, requests for proposal, bid invitations, and other documents describing projects or programs funded in whole or in part with federal funds. All subrecipients must obtain DHS's approval prior to using DHS seal(s), Logos, crests or reproductions of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. 24. Copyright All subrecipients must affix the applicable copyright notices of 17 U.S.C. §§401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work first produced under Federal financial assistance awards, unless the work includes any information that is otherwise controlled by the Government (e.g., classified information or other information subject to national security or export control laws or regulations). Homeland Security Grant Program - 2015 Grant Assurances 55A-18 Page 8 of 10 Initials 25. Energy Policy and Conservation Act All subrecipients must comply with the requirements of 42 U.S.C. §6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issues in compliance with this Act. 26. Hotel and Motel Fire Safety Act of 1990 All subrecipients must ensure that all conference, meeting, convention, or training space funded in whole or in part with Federal funds complies with Section 6 of the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, 15 U.S.C. §2225a. 27. Terrorist Financing E.O. 13224 All subrecipients must comply with U.S. Executive Order 13224 and U.S. law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of subrecipients to ensure compliance with the E.O. and laws. 28. USA Patriot Act of 2001 All subrecipients must comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA Patriot Act), which amends 18 U.S.C. §§175-175c. IMPORTANT The purpose of the assurance is to obtain federal and state financial assistance, including any and all federal and state grants, loans, reimbursement, contracts, etc. The Applicant recognizes and agrees that state financial assistance will be extended based on the representations made in this assurance. This assurance is binding on the Applicant, its successors, transferees, assignees, etc. Failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds. All appropriate documentation, as outlined above, must be maintained on file by the Applicant and available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may result in suspension of payments under the grant or termination of the grant or both and the subrecipient may be ineligible for award of any future grants if the Cal OES determines that any of the following has occurred: (1) the recipient has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above. All of the language contained within this document must be included in the award documents for all subawards at all tiers, including contracts under grants and cooperative agreements and subcontracts. Homeland Security Grant Program - 2015 Grant Assurances Page 9 of 10 Initials 55A-19 The undersigned represents that he/she is authorized by the above named Applicant to enter into this agreement for and on behalf of the said Applicant. Signature of Authorized Ag Printed Name of Authorized Date: Homeland Security Grant Program - 2015 Grant Assurances 55A-20 Page 10 of 10 Initials REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE AN AMENDMENT TO CLASSIFICATION AND COMPENSATION PLAN AND ANNUAL BUDGET {STRATEGIC PLAN NO. 7,4A) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on a Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution that amends the City's Basic Classification and Compensation Plan for classifications of employment designated as unrepresented Executive Management and amends the Fiscal Year 2017-18 Annual Budget. DISCUSSION The Personnel Services Department recently completed a labor market survey of compensation rates assigned to executive director job classifications overseeing development -related functions i.e., Community Development Agency and Planning & Building Agency, Personnel Services. The survey revealed that while no adjustments are necessary for the Executive Director of Planning & Building Safety (EM) job classification, data suggests that the Executive Director of Community Development (EM) and Executive Director of Personnel Services (EM) job classifications are significantly below the average compensation rate for comparable positions, with 11.86% and 8.86%, respectively. The current compensation range for both, Executive Director of Community Development and Executive Director of Personnel Services is $10,211 - $14,428. The proposed compensation range increase for the Executive Director of Community Development is $11,553 - $16,325 (13.15%). The proposed compensation range increase for the Executive Director of Personnel Services is $11,273 - $15,926 (10.38%). As recruitments are pending for these two job classifications, this lack of market competitiveness will put the City at a disadvantage when searching for high-quality job applicants. Therefore, the Interim City Manager is proposing equity adjustments to bring these two job classifications to the average rate in the labor market. The Executive Director of Community Development class will be adjusted from salary rage range EM -33 to EM -38 and the Executive Director of Personnel Services class will be adjusted from EM -33 to EM -37. These salary increases will enable the City to regain market competitiveness in these high -demand job classifications and will enhance the City's ability to attract and retain well-qualified candidates for these critical positions. 5513-1 Approve an Amendment to Classification and Compensation Plan and Annual Budget September 19, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal # 7 Team Santa Ana, Objective # 4 (Establish employee compensation that attracts and retains a highly qualified workforce), Strategy A (Ensure compensation is sufficient to attract and retain properly skilled employees and is comparable to other public agencies). FISCAL IMPACT The total annual cost for the equity increase for the Executive Director of Community Development is $22,764. The total annual cost for the equity increase for the Executive Director of Personnel Services is $17,976. aya Executive Director Personnel Services Agency EXHIBIT: Resolution APPROOED AS TO FUNDS AND ACCOUNTS: Executive Director J�m Finance & Management Services Agency 55B-2 LAR 9/19/17 RESOLUTION N0, 2017- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND RESOLUTION NO. 2015-026 TO ADJUST THE SALARY FOR THE UNREPRESENTED EXECUTIVE MANAGEMENT CLASSIFICATIONS OF EXECUTIVE DIRECTOR OF COMMUNITY DEVELOPMENT (EM) AND EXECUTIVE DIRECTOR OF PERSONNEL SERVICES, AND TO AMEND THE CURRENT ANNUAL BUDGET. 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 passed and adopted Resolution No. 2015-026, amending and re-establishing the Basic Classification and Compensation Plan for classes of employment designated as Executive Management (EM). C. On July 5, 2017, the City Council passed and adopted Ordinance No. NS -2919, allocating expenditures and revenue for the City's annual budget and authorizing position allocations for fiscal year 2017-2018. The Ordinance also sets forth the requirement that alterations in the allocation of authorized positions be reviewed and approved by the City Council. D. It is proposed that the salary level for the executive management classification title of Executive Director of Community Development (EM) and Executive Director of Personnel Services (EM) be increased in order to maintain internal pay equity relationships and to attract and retain qualified candidates. E. It is now desired to amend Council Resolution No. 2015-026, as amended, and the fiscal year 2017-2018 budget, as amended in order to effect these changes, as shown below: Resolution 2017 -XXX Page 1 of 3 55B-3 Section 2: That Exhibit "A" of Resolution No. 2015-026, as amended, and the City's annual budget is hereby further amended by providing an equity adjustment to the following classification title: 15 -Step Salary Rate Range (SRR) Effective 07/01/16 FROM Monthly Salah TO Monthly Salary Classification Title No. Min -Max No. Min -Max Executive Director of Community Development (EM) EM -33 ($10,211-$14,428) EM -38 ($11,553-$16,325) Executive Director of Personnel Services (EM) EM -33 ($10,211-$14,428) EM -37 ($11,273-$15,926) Section 3: That except as amended by this Resolution, all other provisions of Resolution No. 2015-026, as amended, and annual budget for fiscal year 2017-2018, as amended, shall remain in full force and effect. Section 4: That this Resolution shall be operative from and after its date of adoption. ADOPTED this 19th day of September, 2017. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Laura Rossini Senior Assistant City Attorney Miguel A. Pulido Mayor 55B-4 Resolution 2017 -XXX Page 2 of 3 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 Date: Resolution 2017 -XXX Page 3 of 3 55B-5 Clerk of the Council City of Santa Ana 55B-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE THE HOMELESSNESS PREVENTION, INTERVENTION AND MITIGATION PLAN; ADOPT A RESOLUTION AMENDING THE BASIC CLASSIFICATION AND COMPENSATION PLAN; AND APPROVE AN APPROPRIATION ADJUSTMENT (STRATEGIC PLAN NOS. 5,3A; 5X) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Create a City of Santa Ana Homeless Services Manager Position. 2. Direct staff to implement the actions described in this report to: a. Improve internal coordination between City Agencies involved in providing services and enforcement related to the homeless population within Santa Ana. b. Enhance coordination with the County of Orange, neighboring cities and Orange County homeless service providers and faith -based organizations. c. Invest in connecting and increasing non-profit and faith -based services available to assist in responding to the City's homeless crisis. d. Develop and implement a specific legislative package to solicit state and federal assistance to respond to the needs for housing, enforcement and social services for the growing homeless population. 3. Adopt a Resolution amending the City's Basic Classification and Compensation Plan and Amending the Annual Budget. 4. Approve an Appropriation Adjustment to transfer funds from Fund 50 to Fund 11 to support the Homeless Services Manager Position for seven months in FY 2017/18. 55C-1 Homelessness Prevention, Intervention and Mitigation Plan September 19, 2017 Page 2 On September 12, 2017, the Public Safety, Code Enforcement and Neighborhood Empowerment Council Committee recommended that the City Council approve the new position and recommended staff actions. In addition, the Committee requested that staff further consider additional resources for mental health personnel to collaborate with the Santa Ana Police Department seven days a week. DISCUSSION Santa Ana is experiencing an escalating number of homeless individuals living within the City primarily concentrated in the Civic Center and the Santa Ana Riverbed and spilling over into neighborhoods and business districts. This crisis is not unique to Santa Ana. Cities throughout Orange County and Southern California are struggling with finding the methods and resources to respond compassionately to the homeless population while protecting the health and safety of residents, businesses, and visitors. Santa Ana has taken steps in the past to respond to the challenges. In October 2014 the City adopted amendments to the Civic Center Joint Powers Agreement between the City of Santa Ana and the County of Orange to enhance the Civic Center maintenance of buildings and facilities with in Civic Center. On September 6, 2016, the Santa Ana City Council adopted Resolution # 2016-073 to seek assistance and support from other cities and the County of Orange, and on September 20, 2016 adopted the Civic Center Safety and Security Enhancement Program that added resources for enforcement and cleaning in the Civic Center. Additionally, the City Council approves the allocation of resources each year for the Police Department, Community Development Agency, Public Works Agency and Parks and Recreation Agency to fund law enforcement, homeless services, and the overall city response to the health and safety impacts of the homeless crisis. The City's contract with Orange County Fire Authority also includes resources for providing care and transport for homeless individuals needing medical attention. Even with these current city efforts, the homeless population continues to grow. According to the Orange County Point -in -Time Count Results conducted in January 2017, homelessness increased in Orange County by 7.6% from 2015 to 2017: Oran a County Point -in -Time Count Results: 55C-2 2013 2015 2017 Total Point -in- 4,251 4,452 4,792 Time Count # 55C-2 Homelessness Prevention, Intervention and Mitigation Plan September 19, 2017 Page 3 In August 2015, City staff participated in the OC Civic Center Survey along with the County of Orange and counted 406 individuals experiencing homelessness in the Civic Center. In August 2016, that same survey found 461 individuals experiencing homelessness in the Civic Center, an increase of 55 individuals. In August 2017, an average of 400 individuals were provided shelter each night at the County of Orange Courtyard Transitional Shelter and approximately 175 individuals sleep at the Plaza of the Flags. More than 700 individuals are provided services on a daily basis at the Courtyard Transitional Center. On September 12, 2017, the City received the Point in Time Count information specific to Santa Ana (Exhibit 1). The report identified 1,000 individuals that were homeless as of January 28, 2017. Of the 1,000 individuals, 534 were sheltered and 466 were unshelted. Santa Ana ranks as #1 in terms of highest percentage of the total homless population in Orange County. Santa Ana finds itself in a situation where existing programs and services need to be reexamined and new strategies developed to stop the expanding demand for homeless services and begin to reduce the homeless population in the City limits. Staff is recommending immediate steps in five areas: 1. Intemal Coordination and Communication In response to litigation, staff began meeting as an inter -departmental committee to review how each Department responds to homeless requests for service. Staff found this increased communication valuable and will continue to further improve and coordinate the collective response of the City. Communication also needs to be enhanced with the community at large. Recommendations being discussed with the inter -departmental team include the development of formal policies and procedures as well as modifying existing ordinance for proper noticing, tagging, and storing of personal property. 2. Development of Single Point of Contact In order to best coordinate services among the various departments, staff is recommending the addition of a positionto serve as the single point of contact (Exhibit 2). One of the responsibilities of this position would be to respond to residents, businesses and visitors requesting assistance and triage these requests to the appropriate Department or Agency. The position would also coordinate and chair the internal inter -departmental committee or task force. The committee would develop recommendations to address gaps in service, identify resource needs, and recommend other changes in service to improve the City's response and enforcement capabilities. The City Manager's Office will manage the committee until the new position is filled. This individual would also attend Public Safety, Code Enforcement and Neighborhood Empowerment Council Committee meetings and partner with the neighborhood initiatives program to address and respond to issues as well as inform the community about City efforts. 55C-3 Homelessness Prevention, Intervention and Mitigation Plan September 19, 2017 Page 4 3 Coordination with Courts other Cities and County of Orange In California, counties have a lead role in providing many of the services needed to assist and mitigate homeless issues. They count on local governments to provide enforcement, affordable housing and land zoned to allow for shelter. It is important for counties and cities to work together. The County can provide the shelter and services needed to move individuals from a state of homelessness into stable housing. Local government needs to provide the infrastructure that allows this transition to occur. The County Health Care Agency is a key partner in addressing homelessness. Currently the City of Santa Ana is fortunate to have a mental health professional who accompanies the City's Police Officers when responding to calls related to homeless issues two days per week. This allows an expert to analyze the situation and recommend an appropriate response. Expanding this service to five or preferably seven days per week is key in responding to the challenges police officers face on a daily basis. For the protection of Santa Ana residents, employees and visitors, the enforcement of laws is important. This includes enforcement against homeless individuals who are endangering others or otherwise engaging in unlawful activity, the City use of its police powers make both County and City services more effective. 4 Coordination of Nonprofit and Faith -Based Services A critical part of any community-based plan are the services provided by nonprofit and faith - based institutions. Coordinating all services around a mutually agreed upon strategy is key. Without such a plan, well-meaning efforts provided in the wrong locations (such as needle exchange and serving of food) may well work against the objective of redirecting homeless individuals to emergency shelters or getting them the medical care they need. Developing a strategy with experienced organizations and identifying the roles each organization can best play in implementation is an important part of the work plan for the new position. 5. Legisiation The State of California must play an important role in providing the state-wide policies and resources to tackle the challenges of homeless. Resources for transitional and permanent supportive housing, mental health care and drug -use prevention / intervention are more effective if funded at the state level. Other legislative policy changes can reduce costs or redirect resources to more valuable programs. One example are the rules currently controlling 9-1-1 calls. All 9-1-1 calls that involve transport of a patient must transport that patient to a hospital emergency room. Since entry into the healthcare system for homeless individuals is primarily through 9-1-1, patients that would be better served at urgent care, mental health facilities, or even shelters must instead be transported to the emergency room. Emergency rooms must admit anyone transported by an ambulance resulting in overcrowding and reduced services for people needing emergency care. Fire personnel must stay with the patient until they are admitted which ties up medical personnel for long periods of time. 55C-4 Homelessness Prevention, September 19, 2017 Page 5 Intervention and Mitigation Plan California Fire Chiefs are developing legislation to improve the 9-1-1 transport system. The Whole Person Care program being provided through the County of Orange is another good example. Santa Ana could be a leader in getting other cities and counties to support these policy changes and improve services at lower costs. STRATEGIC PLAN ALIGNMENT The activities covered by this report allow the City to meet Goal # 1 - Community Safety, Objective # 6 (Enhance Public Safety integration, communications and community outreach); Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective # 4 (Support neighborhood vitality and livability) and Objective #6 (Focus projects and programs on improving the health and wellness of all residents). FISCAL IMPACT Funds for the Homeless Services Manager position will be transferred from accounting unit 05005018 to accounting unit 01118810 for the the seven months in FY 2017/18 through an appropriation adjustment in the amount of $114,315. Robert Zur Sch ied Interim Executiv irector Community Development Agency Ed a Executive Dir ctor Personnel Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. Point -in -Time Count- Santa Ana 2. Resolution creating Homeless Services Manager position 55C-5 55C-6 2017 POINT -IN -TIME COUNT - CITY OF SANTA ANA REPORT Exhibit 1 55C-7 #HELPSTARTSHERE- 2-1' • �� _ W 90C T 714.288.4007 August 2017 On behalf of the 2-1-1 Orange County (2110C) staff, I am pleased to share your Point in Time City Report based on the Point in Time (PIT) Count & Survey conducted on the night of January 27, 2017 to the morning on January 28, 2017. As you are aware, we had a very robust PIT operation this year, with a 40% increase in volunteers (for a total of 1,184 people); a 47% increase in number of mapped areas; and 20 of the 34 Orange County cities also opting in to receive city level reports. While conducting the PIT and submitting the results to the U.S. Department of Housing and Urban Development (HUD) is a requirement in order for our community agencies to receive $22.3 Million in funding to help house those in need, it's important to remember that it's only a snapshot of the work done in our community to solve the issue of homelessness. The PIT information reported to HUD covers the unsheltered persons counted on the morning on January 28th, plus those individuals and families who were sheltered in either Emergency Shelters or in Transitional Housing projects on the night of January 27th. The culmination of this information is found in the attached report. What the report does not cover are those who are housed in Permanent Housing programs. There has been a concerted effort under way in Orange County during the past two years to focus on those in greatest need, i.e. the chronically homeless population as defined by HUD. These programs Include permanent supportive housing (PSH) and rapid rehousing (RRH), as well as funding for planning and the Coordinated Entry System (CES), which matches our homeless individuals and families to PSH and RRH, as well as directing people to Emergency Shelters. With the addition of The Courtyard and Bridges at Kraemer Place, we have additional Emergency Shelter capacity that was greatly needed. During the past two years (lune 2015 — April 2017), the Orange County Continuum of Care Street Outreach Teams and service providers, via the Coordinated Entry System, have: • connected to 908 families and 2,094 individuals for vulnerability assessments; • diverted 78 families and 32 individuals away from homelessness; • placed 66 families and 232 individuals in PSH/RRH programs; • matched 179 families and 337 individuals to available PSH/RRH programs; • helped an additional 302 families and 1,123 individuals to get the paperwork needed prior to being matched to housing (proof of disability, verification of homelessness, etc.); of this group 55% have pulled their documents together and are considered "document ready." In addition, between October 2015 and September 2016, 1,023 persons were moved to self-sufficiency from RRH programs to permanent housing. The community has also made great strides in increasing the Permanent Supportive Housing unit capacity, meaning that individuals who have a disability (either physical or mental) are provided with housing and wrap around support services. PSH capacity growth as reported in the OC annual Housing Inventory Count increased from 2,392 beds in 2016 to 2,663 beds in 2017. 2110C has a unique vantage point at looking at the community, by sitting at the intersection of the issue of homelessness in Orange County. Part of the reason for this is that 2110C gathers data as the Homeless 2-1-1 Oron9e County Everyone Knows Someone 1SOS E. 17th Street, Suite 108, Santa Ana, CA 92705 www.21loc.org www.hetpstartshere21l.org Who Needs Help 0 0 55C-8 2-1-7 Orange County i - Management Information System (HMIs) lead, the CES lead, and the PIT lead, as well as operating the Orange County 2-1-1 Information & Referral helpline. The 2-1-1 helpline allows us to identify how many people are looking for resources on a daily basis. In the past two years, we have seen an increase of 11% in total number of people looking for some sort of assistance, with 33% of these individuals looking for housing assistance (whether rental assistance, affordable housing, shelters, etc.). We have also seen 10% of all calls/web searches focused on the need for food assistance and over 30% of the calls looking for mental health or addiction help. This last group has increased the greatest amount year over year. Trends in Referrals Year over Year 33.001% ■ FY2015 % ■ FY2016 % 31.18%n a FY2017 % yoy�� Woad/Mcg Mead 4e U4, Ut�j�t.11 yeWtbcoM �'ddtCX10 4 ce All of these numbers show that there continues to be a need for help in our community. It's best to prevent people from falling into homelessness, and things like food, rental assistance and utility assistance greatly helps. Here at 2110C, we believe that when people get linked to resources, they do better ... and when they do better, the community is stronger. We appreciate the participation of the whole community in the 2017 Point in Time Count & Survey, and look forward to continuing to work alongside all of you to solve the issue of homelessness in Orange County. Sincerely, 6�UL— , I Karen Williams President and CEO 2-1-1 Orange County 1 1505 E. 17th Street, Suite 108, Santa Ana, CA 92705 714.288.4007 www.21loc.org www.helpstartshere211.org 0 55C=9 0 0 0 focus S"I-KA1LGIES 2017 Orange County Point -In -Time Count Estimated Number of Unsheltered Homeless People in Santa Ana The 2017 Point -In -Time (PIT) Count was conducted on the night of January 28, 2017. The PIT is mandated by Housing and Urban Development (HUD) to be conducted at least every two years, and includes counting those sleeping in both sheltered (emergency shelter and transitional housing) and unsheltered locations. Orange County, and the cities within Orange County, were further interested in the geographic distribution of the people experiencing homelessness. Because the location of shelters varies throughout the County, the only information that is useful to report at a city level is people experiencing unsheltered homelessness. The full PIT report can be found at www.21loc.org. This brief report provides information for Santa Ana on the estimated number of people who were experiencing unsheltered homelessness within the city on the morning of the 2017 Point -In -Time Count. The estimates were derived using the total unsheltered PIT count as well as census data indicating the 2016 estimated poverty population of the city' (see Appendix for a discussion of the data and assumptions used). In addition to the total number of people experiencing homelessness who were unsheltered, the table below provides additional estimates of that population in terms of age, gender, ethnicity, and race. As the table below indicates, 12 people in families experiencing homelessness and 454 unsheltered individuals (a total of 18.0% of the all people experiencing unsheltered homelessness in the County of 2,584 individuals) are estimated to have been in Santa Ana. Single adults were primarily: over 24 years old, male, and Caucasian. The 4 family households had 7 adults over 24 years old and 5 children under 18 years old. Santa Ana 2017 Unsheltered Numbers Adult and Child Adult Only Total Households 4 445 449 Persons 12 454 466 < 18 years old 5 - 5 18-24 years old 0 18 18 > 24 years old 7 436 443 Gender Female 5 72 77 Male 7 381 388 Transgender 0 1 1 Does not Identify 0 0 0 Ethnicity Non-Hispanic/Non-Latino 7 309 316 Hispanic/Latino 5 145 150 ' https://www.census.gov/quickfacts/table/SBO030212/06059 55C-10 Race White 12 341 353 Black or African American 0 68 68 Asian 0 is 15 American Indian or Alaska Native 0 17 17 Native Hawaiian or Other Pacific Islander 0 3 3 Multiple Races 0 1 10 30 Estimated Number of People Experiencing Unsheltered Homelesjwj&I par8d f 2-1-1 Orange County by Focus Strategies I July 2017 1 Page 2 of 4 Appendix: Data and Assumptions Used Focus Strategies investigated several different sets of city population statistics, including poverty rate, unemployment rate, and vacancy rate, prior to selecting the most appropriate population to use for estimating city unsheltered populations. All data were available from the census (httos://factfinder.census.gov). a reliable, valid, and widely -used source. We discovered that because published numbers for the most recent years of all the statistics are based on estimates from data collected several years ago, the resulting city estimates were nearly identical regardless of the statistic used. Poverty rate was used in these estimates. The number of people experiencing unsheltered homelessness was proportionally assigned to each city based on poverty rates. Specifically, the total number of people in poverty was calculated for Orange County, and for each city, allowing Focus Strategies to apply a percentage of total poverty to each city. This percentage was then multiplied by the total number of people who were unsheltered resulting in the unsheltered count for each city. Table 1 illustrates the proportions of the number of family and adult only households as well as the proportions of people within family and adult only households. The demographic characteristics of the people within each household type are also provided. Using the data in Table 1 as well as the City poverty rates (shown in Table 2), the estimated number of people experiencing unsheltered homelessness in each city was first calculated, followed by their demographic characteristics using the proportions in the table below. Table 1. 2017 Orange County Point -In -Time Count: Demographic Breakdown of Adult and Child (Family) and Adult Only Households Orange County Unsheltered Demographics 2017 Unsheltered Households Numbers Adult and Child 20(1%) Adult Only 9%) Total 21488 (100%) Persons 66(3%) 7%) 2,584 (100%) < 18 years old 38% 196% 1% 18-24 years old 1% 4% > 24 years old 61% 95% Gender Female 45% 16% 17% Male 55% 84% 83% Transgender 0% 0% 0% Does not Identify 0% 0% 0% Ethnicity Non-Hispanic/Non-Latino 56% 68% 68% Hispanic/Latino 44% 32% 32% Estimated Number of People Experiencing Unsheltered Homelessness Pre ared for 2-1-1 Orange County by Focus Strategies I July 2017 1 Page 3 of 4 59G-12 Race White 100% 75% 76% Black or African American 0% 15% 15% Asian 0% 3% 3% American Indian or Alaska Native 0% 4% 4% Native Hawaiian or Other Pacific Islander 0% 1% 0% Multiple Races 1 0% 2% 1 2% Table 2: Estimated Number and Percent of People Experiencing Unsheltered Homelessness by City Estimated Number of People Experiencing Unsheltered HomeleSege:a J112-1-1 Orange County by Focus Strategies I July 2017 1 Page 4 of 4 City City Poverty Estimated # People Who Estimated % People Who City Population Rate Are Unsheltered Are Unsheltered Santa Ana 335,400 22.1% 466 18.0% County 3,172,532 13.0% 2,584 100.00% Estimated Number of People Experiencing Unsheltered HomeleSege:a J112-1-1 Orange County by Focus Strategies I July 2017 1 Page 4 of 4 2017 Point -In -Time Count City Report: Santa Ana Sheltered Homeless Methodology 2•fsj The charts below were prepared by 2110C and include additional information on sheltered and unsheltered homelessness in the city. Sheltered homeless population data was gathered in surveys completed by agencies that provide shelter or housing to homeless persons as a part of the annual Point in Time (PIT) and Housing Inventory Count (HIC) on the night of January 27th, 2017 to the morning of January 28th, 2017. The demographics in these tables consist of data aggregated from Transitional Housing and Emergency Shelter project types. Data were aggregated to the city level by Geo Code, a six -digit geographic code developed by the U.S. Department of Housing and Urban Planning (HUD) which corresponds to cities and other geographic areas, and which represents the geographic area where the majority of a project's beds dedicated to homeless persons are located. Projects with a Geo Code of 069059 (Orange County) were coded to the city associated with their principal project site for aggregation. Homeless Persons in Santa Ana ;q Santa Ana's homeless population is f divided roughly equally between sleeping 466 locations. A slightly greater (53%) portion of Santa Ana's homeless population lives ;t in Transitional Housing or Emergency Shelters (sheltered condition) than in s3a places not meant for human habitation (unsheltered condition, 47%) Sheltered Unsheltered Homeless Households in Santa Ana 33 According to the graph, Santa Ana's homeless population is almost exclusively Adult Only (96%). Only 4% of homeless households contain both adults and children. rT.,V e Aduh end child Adun only »»>)»>»»»>»»»>»»»»>»»»>>>>»»»»»>Aqq>>4>>)»»>)»»>))»>)>>»»>))»>)y>))»»»»>)»»>> 2017 Point -In -Time Count City Report: Santa Ana Ethnicity by Sleeping Location Number of Persons by Age EM Nu Sow Non-Hispanic/Non-Latino Latino. There aow Iso are considerable differences between Unlike other cities, Santa Ana's Adult soo population (persons over the age of 24) Non-Hispanic/Non-Latino population is are distributed equally among sheltered °00 aw; and unsheltered conditions: notice that the 3ow 23$ Shelters (49%) and places not meant for same number of adult individuals reside in 300 443 each sleeping location type. Santa Ana is M 443 like other cities in that its homeless 200 Sheltered Unsheltered _ _ Children and Young Adults live mostly in shelters. The sheltered population is 10% too 36 _. Children, 7% Young Adults (18 — 24), and ss is 83% Adults over the age of 24, whereas 0 Sheltered Unsheltered the unsheltered population is an w Numberof Children (under 19) Number of Young Adults (18-24) overwhelming 95% Adults, 4% Young s Number of Adults lover age 24) Adults (18 — 24), and 1% Children. Gender by Sleeping Location 10PM Santa Ana is unique among Orange » 1 County cities in that it is one of the few 388 cities home to Transgender individuals. J01° The majority of Santa Ana's homeless are fi09 Male (66%), and 53% of them sleep in sow unsheltered locations. Meanwhile, aow homeless Females and Transgender 2 people primarily sleep in Transitional 3M r 342 Housing or Emergency Shelters (71% of taw homeless Females and 67% of ow Transgender individuals). Female Male Transgender Sheltered Unsheltered Ethnicity by Sleeping Location The majority (62%) of Santa Ana's EM homeless population identifies as Sow Non-Hispanic/Non-Latino Latino. There aow Iso are considerable differences between 316 �� unsheltered and sheltered populations in terms of ethnic distribution. Santa Ana's Non-Hispanic/Non-Latino population is divided roughly equally between aw; Transitional Housing or Emergency 3ow 23$ Shelters (49%) and places not meant for 2nw a human habitation (51%) conditions. Its 1096 Hispanic/Latino population is mostly M sheltered (61%), with only 39% of the Non-Hispanic/Nan-Latino Hispanic/Latino population living in unsheltered conditions. Sheltered Unsheltered _ _ 2017 Point -In -Time Count City Report: Santa Ana I(Mt s0% 8(36 70% rm; 5096 4096 3096 2m6 1096 04 White T„ 1 41 Y Black ar African American Race by Sleeping Location Shekered Unsheltered Households by Sleeping Location 10096 4 90b 8(96 445 704 r� SL o 29 404 304 2 400 0% Ioo 04 Adult and child Adult Only ft Sheltered Unsheltered The graph shows that Santa Ana's homeless population is predominantly (72%) White, with a large (16%) Black or African American population. There are notable differences in sleeping location by race. Persons who identify as White, Black or African American, Asian, and Native Hawaiian or Other Pacific Islander are divided roughly or equally among sleeping locations (51%, 57%, 46%, and 50% sheltered and 49%, 43%, 54%, and 50% unsheltered, respectively). On the other hand, persons who identify as American Indian or Alaska Native and Multiple Races live chiefly in shelters (67% and 72%, respectively). Households consisting of both adults and children reside chiefly (88%) in shelters, whereas Adult Only households are distributed more evenly between Sheltered (47%) and unsheltered (53%) conditions. >%i%»%>>>>»»»»»»»»»»»»i%>%%»»>>>>>>>>>>4)w>�>10»%i>i»i>>>>»»%iii>>»»%iii>»»>>>>>>>>>>>>»»> Asian American Natile, Multiple Races Indian or Hawaiian or Alaska Native Other Pacific Islander Shekered Unsheltered Households by Sleeping Location 10096 4 90b 8(96 445 704 r� SL o 29 404 304 2 400 0% Ioo 04 Adult and child Adult Only ft Sheltered Unsheltered The graph shows that Santa Ana's homeless population is predominantly (72%) White, with a large (16%) Black or African American population. There are notable differences in sleeping location by race. Persons who identify as White, Black or African American, Asian, and Native Hawaiian or Other Pacific Islander are divided roughly or equally among sleeping locations (51%, 57%, 46%, and 50% sheltered and 49%, 43%, 54%, and 50% unsheltered, respectively). On the other hand, persons who identify as American Indian or Alaska Native and Multiple Races live chiefly in shelters (67% and 72%, respectively). Households consisting of both adults and children reside chiefly (88%) in shelters, whereas Adult Only households are distributed more evenly between Sheltered (47%) and unsheltered (53%) conditions. >%i%»%>>>>»»»»»»»»»»»»i%>%%»»>>>>>>>>>>4)w>�>10»%i>i»i>>>>»»%iii>>»»%iii>»»>>>>>>>>>>>>»»> 2017 Point -In -Time Count City Report: Santa Ana 2•t � The following graphs compare Santa Ana's percentage of the Orange County homeless population with the median percentage of the homeless population for all cities in the county. 16.00% 14.00% 11AO% 1o.0o% %.m% C00% 4.00% ome 0.00% Percentage of Total Homeless Population (Unsheltered) 1.92% a Santa" OC cot, Mad+an Percentage of Total Homeless Population (Sheltered) •Santa M4 -OC coy Me im Percentage of Total Homeless Population eocw .. ..' .F' 0.95% . 6�erta Ma occMMN- According the graph, Santa Ana's contribution to the Orange County unsheltered homeless population (18.03%) is almost fourteen times the median percentage for Orange County cities of 1.32%. As the graph shows, Santa Ana's portion of the Orange County sheltered homeless population (24.18%) is almost seven times greater than the median percentage for Orange County cities of 3.53°x6. Santa Ana ranks as #1 in terms of highest percentage of the total homeless population. Its contribution to both the unsheltered and sheltered Orange County population is exceptionally larger than the median. As a result, Santa Ana's percentage of the total (combined sheltered and unsheltered) Orange County homeless population (20.87%) is about 22 times greater than the median percentage for Orange County cities of 0.95%. Santa Ana - Sheltered PIT Adult and Child Adult Only Total Total number of households 29 400 429 Total number of persons 99 435 534 Number of Children (under 18) 55 55 Number of Young Adults (18-24) 5 31 36 Number of Adults (over age 24) 39 404 443 Gender Female 5 58 127 185 Male 381 41 306 347 Transgender 1 0 2 2 Don't identify as male, female, or transgender Ethnicity 0 0 0 Ethnicity 7 309 316 Non-Hispanic/Non-Latino 5 41 258 299 Hispanic/Latino 58 177 235 Race 353 Black or African American 0 White 36 333 369 Black or African American 27 62 89 Asian 4 9 13 American Indian or Alaska Native 23 11 34 Native Hawaiian or Other Pacific Islander 0 3 3 Multiple Races 9 17 26 Santa Ana - Unsheltered PIT Adult and Child Adult Only Total Total number of households 4 445 449 Total number of persons 12 454 466 Number of Children (under 18) 5 5 Number of Young Adults (18-24) 0 18 18 Number of Adults (over age 24) 7 436 443 Gender Female 5 72 77 Male 7 381 388 Transgender 0 1 1 Don't identify as male, female, or transgender 0 0 0 Ethnicity Non-Hispanic/Non-Latino 7 309 316 Hispanic/Latino 5 145 150 Race White 12 341 353 Black or African American 0 68 68 Asian 0 15 15 American Indian or Alaska Native 0 17 17 55C-18 Native Hawaiian or Other Pacific Islander 0 3 3 Multiple Races 0 1 10 10 Persons by Age Sheltered I Unsheltered Number of Children (under 18) 55 5 Number of Young Adults (18-24) 36 18 Number of Adults (over age 24) 443 443 Gender Sheltered Unsheltered Female 185 77 Male 347 388 Transgender 2 1 Don't identify as male, female, or transgender 0 0 Santa Ana Homeless Sheltered Unsheltered Number of Persons 534 466 Race Sheltered Number of Households Unsheltered White 369 353 Black or African American 89 68 Asian 13 15 American Indian or Alaska Native 34 17 Native Hawaiian or Other Pacific Islander 3 3 Multiple Races 26 10 Ethnicity Sheltered Unsheltered Non-Hispanic/Non-Latino 299 316 Hispanic/Latino 235 150 Household Type Sheltered Unsheltered Adult and Child 29 4 Adult Only 400 445 55C-19 Number of Households Adult and Child 33 Adult Only 845 55C-19 Percent (%) of Total Percent (%) of Percent (%) of Unsheltered total Sheltered Total Homeless Homeless Population by City Population Population Population OC City Median 1.32% 3.53% 0.95% Santa Ana 18.03% 24.18% 20.87% 55C-19 Glossary/List of Acronyms Chronically Homeless Family A chronically homeless family is defined as a household with at least one adult and one child under the age of 18, or a minor Head of Household under the age of 18 and minimum of one child. The Head of Household must meet the definition of a chronically homeless person (see next entry). Chronically Homeless Individual An unaccompanied individual who: (i) is homeless and lives or resides in a place not meant for human habitation, a safe haven, or in an emergency shelter; (ii) has been homeless and living or residing in a place not meant for human habitation, a safe haven, or in an emergency shelter continuously for at least 1 year or on at least 4 separate occasions in the last 3 years where total time homeless sums to at least 1 year, and (iii) has an adult head of household (or a minor head of household if no adult is present in the household) with a diagnosable substance use disorder, serious mental illness, developmental disability (as defined in section 102 of the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (42 U.S.C. 15002)), post-traumatic stress disorder, cognitive impairments resulting from a brain injury, or chronic physical illness or disability, including the co -occurrence of 2 or more of those conditions, which prevent them from holding a job or living in stable housing. A person who currently lives or resides in an institutional care facility, including a jail, substance abuse or mental health treatment facility, hospital or other similar facility, and has resided there for fewer than 90 days shall be considered chronically homeless if such person met all of the requirements described above prior to entering that facility. Chronicity Respondent indicated being homeless (i.e. living in a shelter, on the streets, a car, or in other places not meant for habitation) for the last 12 months or having been homeless at least 4 times in the past 3 years with a total time homeless of at least 1 year across all homeless episodes. Chronic Substance Abuse This category on the PIT includes adults with a substance abuse problem (alcohol abuse, drug abuse, or both) that is expected to be of long -continued and indefinite duration and substantially impairs the person's ability to live independently. 2017 Point -In -Time Count City Report >>>» » »»»»» »»» » »»>»»» »»»»»»»»>>§PY7>49»»»>» » » » »»»»»»» » » » »»»»»»»» Commission to End Homelessness (C2eH) The purpose of the Commission to End Homelessness is for County government, city government, private foundations, advocacy groups, community organizations, and other interested stakeholders to work collaboratively and provide strategic leadership to promote best practices, monitor outcomes, and report results on the success of the Ten -Year Plan to End Homelessness. Coordinated Entry Coordinated Entry is designed to coordinate program participant intake assessment and provision of referral. A centralized or coordinated entry system covers the geographic area, is easily accessed by individuals and families seeking housing or services, is well advertised, and includes comprehensive and standardized assessment tool. Disability Defined by HUD in 2011 as (1) having a disability as a defined in Section 225 of the Social Security Act; (2) a physical, mental, or emotional impairment which is expected to be of long—continued and indefinite duration, substantially impedes an individual's ability to live independently, and of such a nature that the disability could be improved by more suitable conditions; (5) a developmental disability as defined in Section 102 of the Developmental Disabilities Assistance and Bill of Rights Act; (4) the disease of acquired immune deficiency syndrome or any condition arising from the etiological agent for acquired immune deficiency syndrome; or (5) a diagnosable substance abuse disorder. Domestic Violence A family member, partner or ex -partner attempts to physically or psychologically dominate another. Includes physical violence, sexual abuse, emotional abuse, intimidation, economic deprivation, and threats of violence. Violence can be criminal and includes physical assault (hitting, pushing, shoving), sexual abuse (unwanted or forced activity), and stalking. Emotional, psychological, and financial abuse are forms of abuse and can lead to criminal domestic violence Emergency Shelter In the CoC Supportive Housing Program, emergency shelters are facilities offering limited shelter stays (generally up to 90 days) which offers a safe alternative to living on the streets and which provides essential services. On a case--by-- -case basis, clients may remain for longer than ninety days if they require a longer period to accomplish a specific goal. Extrapolation A technique for estimating the total number of homeless persons in a particular category that is based on the number of unsheltered and sheltered homeless persons observed and/or interviewed during a homeless count. 2017 Point -In -Time Count City Report / ec >>>» »»»»»»»»»»»»»>» »»»» »»»»»§§TS»9>5»»»»»»» » »»»»» » » »» » »»» » >»»» »>: Homeless Management Information Systems (HMIS) Computerized data collection to capture client -level information on the characteristics and service needs of those experiencing homelessness. It is designed to aggregate client -level data to generate an unduplicated count of clients served within a community's system of homeless services. The HMIS can provide data on client characteristics and service utilization. HUD funded service providers for the at-risk/homeless are required to participate, as their data is provided to HUD, who then reports the information to Congress. Collecting this data is a requirement by HUD in order for the community and its service agencies to receive HUD funding for programs supporting the at -risk and homeless population. Housing Inventory Chart (HIC) The HIC is designed to be an accurate reflection of a CoC's capacity to house homeless and formerly homeless persons. The HIC is a complete inventory of emergency shelter, transitional housing and permanent supportive housing beds available. The inventory includes all HUD funded residential programs, as well as non -HUD funded programs that provide housing, even if those programs do not actively participate in the CoC planning process. Permanent Supportive Housing (PSH) Long-term, community-based housing that has supportive services for homeless persons with disabilities. This type of housing enables the special needs populations to live independently as possible. Permanent housing can be provided in one structure or in several structures at one site or in multiple structures at scattered sites. Persons with HIV/AIDS This subpopulation category of the PIT includes adults who have been diagnosed with AIDS and/or have tested positive for HIV. Point -in -Time Count & Survey (PIT) Requirement of the U.S. Department of Housing and Urban Development (HUD) that Continuums of Cares (CoCs) across the country undertake community wide efforts to collect information on the number and characteristics of individuals and families experiencing homelessness. The Point -in -Time Count must occur at least every two years during the last ten days of January. Proposition 47 A ballot initiative passed by California voters to reduce certain felonies to misdemeanors allowing people serving for these crimes to petition for a reduced sentence. More information can be found at: www.cdcr.ca.gov/nows/prop47.html. Rapid Re -Housing (RRH) Rapid Re -housing is an approach that focuses on moving individuals and families that are homeless into appropriate housing as quickly as possible. 2017 Point -In -Time Count City Report 224ff >>>» » »»»»»»»»»»»»>»»»» » » »»>» » > r -29»» »»»»»»»» » »»»»»»» »»»» » »»»> Severely Mentally III This subpopulation category of the PIT includes adults with mental health problems that are expected to be of long -continued and indefinite duration and substantially impairs the person's ability to live independently. Substance Abuse Programs Programs that are tailored for individuals with substance abuse issues are programs that serve individuals who have acknowledged addiction problems related to alcohol and drug use and who seek services or housing to support their sobriety. Transitional Housing (TH) A project that is designed to provide housing and appropriate supportive services to homeless persons to facilitate movement to independent living within 24 months as defined by HUD. Unsheltered Homeless Survey respondents who indicated that they spent last night in the streets, a vehicle, an abandoned building, bus/train station, camping not in a designated campground, sleeping anywhere outside, or other place not meant for human habitation or stayed in friend or family's garage, backyard, porch, shed or driveway were counted as unsheltered homeless. Veteran This subpopulation category of the PIT includes persons who have served on active duty in the Armed Forces of the United States. This does not include inactive military reserves or the National Guard unless the person was called up to active duty. 2017 Point -In -Time Count City Report 55C-23 Find additional reports, including the full Point in Time Count report, by visiting: www.21loc.org For related inquiries, contact Kristin Jefferson at (714) 589 - 2351 2017 Point -In -Time Count City Report 55C-24 LAR 9/19/17 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 AND AMENDING THE ANNUAL BUDGET TO ADD A HOMELESS SERVICES MANAGER POSITION IN THE CITY MANAGER'S OFFICE. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. On June 16, 2015, the City Council adopted Resolution No. 2015-026 amending and re-establishing the Basic Classification and Compensation Plan for all Fuil-Time and Part -Time Classifications of Officers and Employees of the City of Santa Ana. B. 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. C. On July 5, 2017, the City Council passed and adopted Ordinance No. NS -2919, establishing the City's budget and authorizing position allocations for fiscal year 2017-2018. The Ordinance also sets forth the requirement that alterations in the allocation of authorized positions be reviewed and approved by the City Council. D. The Interim City Manager proposes adding one full-time position; Homeless Services Manager to the Community Development Agency budget and the City's class and compensation plan as a representative who will be the liaison between the City, neighboring cities, the County of Orange and Orange County homeless service providers and faith -based organizations. This position will also invest in connecting and increasing non-profit and faith -based services available to assist in responding to the City's homeless crisis and develop and implement a specific legislative package to solicit state and federal assistance to respond to the needs for housing, enforcement and social services for the growing homeless population. Exhibit 2 Resolution 2017 -XXX Page 1 of 3 55C-25 E. The City Council has amended and reestablished the Basic Classification and Compensation Plan on numerous occasions since adoption. Section 2: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "E", as amended, and the City's fiscal year 2017-2018 budget to add a full time position in the Community Development Agency, at the monthly five-step salary rate range as indicated: 5 -Step Salary Rate Range Effective 07/01/16 Monthly Salary Classification Title SSR Minimum -Maximum Homeless Services Manager (AM) AM -764 $9,237 - $11,231 Section 3: All salary rate range classifications are set forth in the City's "Salary Schedule" as periodically updated. Section 4: That except as amended by this Resolution, all other provisions of Resolution No. 2015-026, as amended, and annual budget for fiscal year 2017-2018, as amended, shall remain in full force and effect. Section 5: This Resolution is operative from and after the date upon which it is adopted. ADOPTED this 19th day of September, 2017. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: &"L' k ✓� Laura A. Rossini Senior Assistant City Attorney Miguel A. Pulido Mayor 55C-26 Resolution 2017 -XXX Page 2 of 3 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVE AN AMENDMENT TO FISCAL YEAR 2017/18 SEVEN-YEAR CIP TO INCLUDE PARK PROJECTS IN THE AMOUNT OF $2 MILLION FROM COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS {STRATEGIC PLAN NO4MANA 54A INTE CITY 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 Approve an amendment to the Fiscal Year 2017/18 Seven -Year Capital Improvement Program to include the following park projects in the amount of $2,000,000 from Community Development Block Grant funds: • Centennial Park security lighting in the amount of $450,000 • Centennial Park walkway improvements in the amount of $430,000 • Thornton Park parking lot renovation in the amount of $220,000 • Birch Park fence installation in the amount of $120,000 • Santa Ana Senior Center HVAC system upgrade in the amount of $70,000 • Saddleback View Park security lighting in the amount of $200,000 • Madison, Windsor, Jerome, Chepa's, Santa Anita, and Memorial Parks security cameras in the amount of $510,000 YOUTH EDUCATION AND COMMUNITY SERVICES COUNCIL COMMITTEE On June 24, 2017, the projects proposed for funding by the Bristol sale were presented and discussed at the Youth, Education & Community Services City Council Committee. The committee concurred with moving the projects forward for City Council consideration. A list of each project is included in Exhibit 1. DISCUSSION On October 20, 2015, the City Council authorized the sale of Community Development Block Grant (CDBG) real property located at 1232 S Bristol Street in the amount of $2,000,000 for private development. The City received the $2,000,000 from the sale of the property in May 2017, 65A-1 Use of CDBG Funds for Park Projects September 19, 2017 Page 2 at the close of escrow, once building permits for the development were approved. These funds must be used for projects that meet federal CDBG eligibility requirements. Staff reviewed priority projects and recommends programing the funds to the CDBG eligible projects listed in Exhibit 1. With limited funding and resources available, the Parks Recreation and Community Services Agency has criteria to identify and prioritize projects. The criteria, in order of priority, incudes: 1) safety, 2) deferred maintenance, and 3) opportunities to add park recreational open space. Park projects are usually funded by grants and CDBG funds. These funds are leveraged by park acquisition and development funds, and cell tower revenue. An earlier list of CDBG eligible projects also included a skate park. Due to the cost and need for security cameras, it was not possible to fund the full list of possible projects. In following the established criteria referenced above, staff recommends the cameras be approved. Staff will continue to seek funding for a skate park to be added as resources become available. The use of CDBG funds for the projects requires a Substantial Amendment to the City of Santa Ana Annual Action Plan, a 30 -day public comment period, a public hearing, and City Council approval. The following is a tentative timeline of the approval process for the projects: TIME FRAME ACTION Commencement of Annual Action Plan Substantial Amendment October 7, 2017 30 -day Public Comment Period Public Hearing for Substantial Amendment at October 25, 2017 Community Redevelopment and Housing Commission CRHC Substantial Amendment to City Council for Consideration and November 7, 2017 Approval Approval of a Substantial Amendment will be the final step needed to initiate the projects. AUGUST 19, 2017 CITY COUNCIL MEETING At the August 19, 2017 City Council Meeting, the City Council provided staff direction to continue the item for 30 days and provide additional information related to the security cameras proposed to be installed at the various parks. Attached is supplemental information related to the security cameras (Exhibit 3). City staff also reviewed the skate park concept and plans have been made to add skate recreational elements to the two new park sites located at Sixth Street/Lacy Street and Raitt Street/Myrtle Street. Acquisition and Development Park Fees in the amount of $200,000 have been identified for this purpose. Additionally, outreach efforts will be begin in October to the residents around the recently acquired Standard Avenue/McFadden site to research the desired uses for that park including a potential skate park, similar in size to the skate park located at Centennial Park at an estimated cost of $1.5 million. If this site does not work for a skate park, 65A-2 Use of CDBG Funds for Park Projects September 19, 2017 Page 3 staff will look at another option. Available funding sources for a skate park include CDBG, Acquisition and Development Park Fees, grant funding, and cell tower fees. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal # 5 Community Health, Livability, Engagement' Sustainability, Objective # 4 (Support neighborhood vitality and livability), Strategy A (Support the design and construction of parks to provide increased open space and opportunities for recreation throughout the City, construct the Roosevelt Walker Park and Community Center, and develop concepts and proposals for the Library Park in the Civic Center and Centennial Santa Ana River Eco -Park). FISCAL IMPACT On October 20, 2015, the City Council approved an appropriation adjustment recognizing $2,000,000 in Community Development Block Grant program income for FY 2015-16 from sale of City owned property located at 1232 and 1244 South Bristol Street. Funds were carried forward to FY 2016-17 and will be carried forward for FY 2017-18. Funds are reserved for appropriation in the Community Development Block Grant account (no. 13518783-69011). Z,�-Z,• �, cl, Robert Zur Scl} nice U Interim Execute erector Community Development Agency GerarV Mouet Executive Director Parks, Recreation, and Community Services Agency APPJgVED AS TO FUNDS & ACCOUNTS: Franciscol5utierrez tl� Executive Director d Finance and Management Services Agency red Mousavipour Executive Director Public Works Agency Exhibits: 1. CDBG Project Descriptions 2. Amended FY 2017/18 CIP Project Sheets 3. Security Camera Supplemental Information 65A-3 65A-4 CDBG Project Descriptions (2 Million — Bristol Property Sale) EXHIBIT 1 65A-5 RECOMMENDED FUNDING DEPT PROJECT AMOUNT PROJECT DESCRIPTION Replacement of existing wooden poles with concrete Centennial Park Security poles and upgraded lighting to energy efficient LED PRCSA Lights $450,000 fixtures and lamps at Centennial park. Reconstruction of park walkways to include removal and Centennial Park Walkway replacement of sections of cracked walkway and asphalt PRCSA Improvements $430,000 at Centennial Park. Reconstruction of parking lot to include removal and Thornton Parking Lot replacement of asphalt, striping of parking stall lines, PRCSA Renovation $220,000 and ADA improvements at Thomton Park. PRCSA Birch Park Fence $120,OOC Installation of a new fence around Birch Park. Santa Ana Senior Center FIN 3rd St. — HVAC $70,000 HVAC Upgrades at the Santa Ana Senior Center. Saddleback View Park Purchase and installation of security lighting at PRCSA Security Lights $200,000 Saddleback View Park. Security Cameras at Multiple Neighborhood Purchase and installation of security cameras at Madison, Windsor, Jerome, Chepa's, Santa Anita, and PRSCA Parks $510,000 Memorial parks. TOTAL $2,000,00 EXHIBIT 1 65A-5 EXHIBIT 2 Amended FY 2017-18 CIP Project Sheets 65A-6 661 § } § - a k\ «2 ! a\ §� �§% -§ - z ) \\ Q. § } § - a k\ «2 R a Q O ■ N O N t t 0 a N N A K. ■ n N r m U N rz E 0 U c W E E z � � � � O a x W K 3 ri Y o J H U y CAD C U Q W C W CU CU CL a. a Q O ■ N O N t t 0 a N N A K. ■ n N r m U N rz E 0 U r B a t IS e .BoC] � Q( k( $? f �2$ \ �`( ewe t �)§ # (r )[! )) r B a t IS e .BoC] N I I ■ N a r t ■ N O r t F lo m l o M (O O 1111 o l L r m Q co 0 0 C� 41 W W U W L a K ? m ,a I_ U LL m � U 5 m C U CL a N I I ■ N a r t ■ N O r t F lo m l o M (O O 1111 o l L r m Q co 0 9U r L a 0 t w T j U � � N ? 2? J U � H J LL L 16 r L a 0 t CL 2 ( I I \ ) ) \ E � \ ( \ k\ sz f § \ \§ .� \:\ ° 2co fid % 6 )\ 2[� CL 2 ( I I \ ) ) \ E � \ ( \ k\ sz � L R G a m m i m y m c=am£ aroav�, fia°aS� z y rr U0 m U ao>ia m Wo,'mm �`mmcc 1LL noun � t m s W V a N N t N a r6 i t i a s H W Q co 0 r 0 a rn � Z � w 41 Q CR a N � J G7 LL H y Q FV LLcr Y W V W �: a �U CE d t m s W V a N N t N a r6 i t i a s H W Q co Security Camera Supplemental Information September 19, 2017 City Council Meeting At the August 15, 2017 City Council meeting a discussion was held regarding the amendment to the Seven -Year CIP to include park projects in the amount of $2 million from Community Development Block Grant funds. The result of which was to continue the item to the September 19, 2017 meeting. City staff is providing this addendum in order to further consider the merits of the purchase and installation of security cameras at the six identified parks. Staff has conducted some research and found examples from 7 cities (Redlands, Miami, Colorado Springs, Elk Grove, Hanford, Corona and Anaheim) where cameras were installed or in the process of being implemented. The cities that installed cameras have noted a reduction in criminal activity, such as drug use, drinking, fighting, vandalism, and homeless disturbances. Other benefits of having security cameras in parks include: -Improvement in Park Safety -Deterrent to Criminal/Suspicious Behavior -Prevention of Crime -Reduction of Fear/Increased Sense of Safety -Assistance to law enforcement with apprehending criminals -Assistance to law enforcement with prosecution The City of Anaheim is in the process of implementing 7-10 cameras at each of three park location in their city at a cost of approximately $710,000. The City of Chicago has reported a 20% decrease in criminal incidents at its Humboldt Park after blue light cameras were installed. Security cameras have already proven beneficial in the City of Santa Ana. Examples from the cameras at the Santa Ana Main Library include, assisting in the apprehension of an individual that assaulted a security guard stationed at the library, identifying individuals committing robberies inside and outside of the library, and identifying individuals causing disturbances. One of the most important functions of the cameras is to provide documentary evidence of incidents. The library averages 60 incidents per month. Some of the most egregious incidents (stealing, fighting, and disregard of library rules of conduct) were captured on camera. The cameras that will be used will be the same as cameras installed in the Downtown, Civic Center and Library. In addition to the observation ability, the cameras have the analytical capability for "GeoFencing . This is a technology that would create a virtual boundary, enabling software to trigger a response when movement enters or leaves a particular area. Since the cameras will be the same as the ones previously installed they will also meet the Federal Urban Areas Security Initiative (UASI) program requirements, which call for high quality cameras. Exhibit 3 65A-14 Also noted during the August 15, 2017 council meeting were questions that were raised regarding the camera equipment, policies and procedures. A couple of question mentioned were; who will own the data, will it be made available and what is the retention. The City will own the data and it will be housed at the Santa Ana Police Department Video Data Center. Video content will be treated as evidence and follow the same evidence protocols that are used for body cameras. Video content will be held for one year. The City Council also asked what security measures will be implemented against hacking? The Santa Ana Police Department has established systems in place as part of the cameras already installed in the Downtown, Civic Center and Library that have been engineered to prevent data from becoming compromised. The City will continue with existing systems and continually update, as needed. Another area of inquiry was which jurisdictions have implemented cameras and what are the best practices? As noted above, city staff has found various cities (Redlands, Miami, Colorado Springs, Elk Grove, Hanford, Corona and Anaheim) across the United States that have already or are in the process of implementing cameras. The City of Santa Ana has already implemented security cameras at other City locations and the Santa Ana Police Department have, after review other best practices, a set procedures and protocols in place to be able continue the operation and expand to the additional park locations. Additional funding for the camera project is crucial. Below is a summary of funding currently available for the various locations: Park Funding Funding Source Madison $50,000 Cell Tower Fees Windsor $50,000 Cell Tower Fees Jerome $89,500 Cell Tower Fees Chepa's $25,000 Acquisition & Development Fees Santa Anita $50,000 Acquisition & Development Fees Memorial $87,900 Acquisition & Development Fees i oiai $:152,000 Available The total project cost for equipment, installation, and the infrastructure is $862,000. In order to complete the project an additional $510,000 is needed. 65A-15 CORRESPONDENCE 65A-16 Mitre -Ramirez, Norma From: Huizar, Maria Sent: Thursday, September 14, 2017 9:57 AM To: Mitre -Ramirez, Norma Cc: Rojano, Michael; Orozco, Norma Subject: ECOMMENT - YES vote for Security Cameras at Madison, Windsor, Jerome, Chepa's, Santa Anita, Santiago & Memorial Parks Attachments: Security Cameras Council Memo.docx; ATT00001.htm Please add as correspondence to agenda item. Thank you. Begin forwarded message: From: suzie c sandoval <suzie.csandoval(a Rmail.com> Date: September 14, 2017 at 9:53:29 AM PDT To: "Pulido, Miguel" <rnpulidona.santa-ana.org>, <mmartinezng.santa-ana.org>, "Solorio, Jose" <iSoloriona)santa-ana.org>, "Benavides, David" <dbenavidesngsanta-ana.org>, "Villegas, Juan" <ivillegasnu.santa-ana.org>, "Tinajero, Sal" <stinaieronsanta-ana.org>, "Sarmiento, Vince" <vsarmientoaasanta-ana.org> Cc: "Kurtz, Cynthia" <CKurtzCasanta-ana.org>, "Valentin, David" <Dvalentin&santa-ana.org>, "Mouet, Gerardo" <GMouetna santa-ana.org>, "Huizar, Maria" <MHuizar(yDsanta-ana.org>, "Carvalho, Sonia R." <SCarvalho c santa-ana.ore>, Irma Jauregui <irmapj(,yahoo.com> Subject: Memo: YES vote for Security Cameras at Madison, Windsor, Jerome, Chepa's, Santa Anita, Santiago & Memorial Parks Dear Mayor Pulido, Mayor Pro Tem Michele Martinez, and Councilmembers: Jose Solorio, David Benavides, Juan Villegas, Sal Tinajero and Vince Sarmiento, The attached memo in support of the the Security Cameras at Madison, Windsor, Jerome, Chepa's, Santa Anita, Santiago & Memorial Parks was hand delivered to your office on September 13, 2017. The memos addressed to Council Members Juan Villegas, Jose Solorio and Sal Tinajero were delivered to them at the Safety meeting on September 12th. (Only on your hard copy delivered is the sheet with signatures of Santa Ana residents who support the YES approval. These diverse leaders represent their neighborhoods). We look forward to your support of the Security Cameras and YES vote for the safety of our children, families and Santa Ana residents. Sincerely, Susana C. Sandoval, Irma P. Jauregui Co - Chairs, Santa Ana Healthy Neighborhoods Alliance 65A-17 Santa Ana Healthy Neighborhoods Alliance 1318 South Birch Street, Santa Ana, CA 92707 September 11, 2017 TO: Mayor Miguel Pulido, Mayor Pro Tem Michele Martinez, Councilmembers Jose Solorio, David Benavides, Juan Villegas, Sal Tinajero, and Vicente Sarmiento RE: Security Cameras at Madison, Windsor, Jerome, Chepa's, Santa Anita, Santiago and Memorial Parks From: Susana C. Sandoval, Irma P. Jauregui Co -Chairs, Santa Ana Healthy Neighborhoods Alliance The Santa Ana Healthy Neighborhoods Alliance supports, endorses and urges you to vote Yes for approval of security cameras at Madison, Windsor, Jerome, Chepa's, Santa Anita, Santiago and Memorial Parks. As per the City Staff review and evaluation for use of CDBG, staff recommends approval for the cameras be approved. This analysis and recommendation is based on the Parks Recreation and Community Services Agency established criteria to identify and prioritize projects. "The criteria in order of priority, includes #1 Safety, #2 Deferred Maintenance, and #3 Opportunities to add park recreational open space". Please refer to Request for Council Action document dated August 15, 2017. In the identified parks named above, safety is THE major issue. Families and children are exposed to drug activities, prostitution, inappropriate behaviors such as drinking of alcohol, and more. Residents are afraid to use the identified parks, and the security cameras have been in discussion for years and promises for installation have been made. A YES vote demonstrates the Council's respect for resident's voices being heard on Safety, and the crucial need for the security cameras, and respecting the thorough process and procedures established by the City staff that resulted in their recommendation to approve the security cameras as the #1 priority. In a park poor city, the lack of safety results in severe underuse of our parks by children because parents are fearful of the dangers. There exists the tremendous URGENCY to maintain the Safety of our parks; the security cameras are a necessity, not a luxury. All of our Police Officers have security cameras for safety; our parks merit this same policy for equity, especially because resources have already been identified to fund this NUMBER ONE CITY PRIORITY — SAFETY. We remind you that our Park Rangers Program is now extremely limited in rangers and coverage ---- a reduction to 80 hours total coverage per week for all of the city parks, and with the child kidnapping at Jerome Park, it was the security camera tape that solved this horrifying child abduction crime. We understand the desire for the proposed skate park. The FIRST priority is safety for our current parks identified. Staff followed the established criteria referenced in the Request for Council Action Report, August 15, 2017. As per this staff report, "Although it is not possible to fund the full list of possible projects, staff will continue to seek funding for a skate park to be added as resources become available." The skate park can be added for consideration once the security cameras for the identified parks are installed. As our elected officials, we urge your unanimous vote to approve the security cameras. The residents need to know that the Council supports safety as the top priority for the community and will vote YES for approval of security cameras. The attached signatures of Santa Ana residents support the YES approval. Copies: Cynthia Kurtz, David Valentin, Gerardo Mouet, Maria D. Huizar, Sonia R. Carvalho 65A-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: APPROVAL OF AN ADDITIONAL 30 DAYS TO CONCLUDE THE NEGOTIATION WITH USA WASTE OF CALIFORNIA, INC. (STRATEGIC PLAN NO. 4, 1) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve an additional 30 days to conclude the Solid Waste Agreement negotiation with solid waste services contractor "USA Waste of California, Inc." (dba Waste Management of Orange County). DISCUSSION At the June 20, 2017, City Council Meeting, Council directed staff to start exploring an extension of the solid waste services contract with USA Waste of California, Inc., (dba Waste Management of Orange County), the current service provider. The approved amended motion expanded the scope of the proposed 90 -day negotiation period to include a possible one -to -multiple -year extension alternative. In the ensuing 90 days, both parties have made considerable strides toward completing this process. First, a nondisclosure agreement was executed in furtherance of the continuing negotiations and to facilitate the exchange of confidential and proprietary information. Subsequently, the Amended and Restated Solid Waste Agreement was also executed by all parties. Concurrently, staff has held community outreach meetings with the following groups: *Meeting was held with attendees present; info was e-mailed and comments received via return e-mail. 6513-1 August 2, 2017 Downtown Restaurant Association August 8, 2017 Chamber of Commerce August 18, 2017 Santa Ana Business Council Downtown Inc.* August 22, 2017 Riverview West Neighborhood August 23, 2017 Bella Vista Neighborhood August 24, 2017 1 Com -Link *Meeting was held with attendees present; info was e-mailed and comments received via return e-mail. 6513-1 Approval of an Additional 30 Days to Conclude the Negotiation with USA Waste of California, Inc. September 19, 2017 Page 2 All community feedback and comments have been considered in the development of the City's Solid Waste Program Scope of Work, for inclusion in the possible extension or any new solid waste services agreement. Staff and Waste Management of Orange County continue to work diligently to compile and analyze agreement components. Still to be finalized are new recycling programs, including State requirements for organics (Assembly Bill 1826) and commercial/multi-family (Assembly Bill 341) recycling. Staff is requesting an additional 30 days to conclude the negotiation process, to ensure that all options are thoroughly reviewed for Council consideration on October 17, 2017. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #4 — City Financial Stability, Objective #1 (maintain a stable, efficient and transparent financial environment). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action Exedbtive Director Public Works Agency FM/MLM 65B-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: CONSIDERATION OF RESOLUTION CALLING UPON THE UNITED STATES CONGRESS TO IMMEDIATELY PASS THE DREAM ACT OF 2017 TO PROTECT INNOCENT YOUTH FROM DEPORTATION i CITY MANAGER 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 Consider adoption of proposed resolution calling upon the United States Congress to immediately pass the Dream Act of 2017 to protect innocent youth from deportation. DISCUSSION Based on discussion from the City Council at the September 5 meeting, attached is a resolution for consideration (Exhibit 1). On September 5, 2017, U.S. Attorney General Jeff Sessions announced that the Deferred Action for Childhood Arrivals (DACA) program would be rescinded. DACA is an immigration policy established by the Obama administration in June 2012 that permits individuals who entered the country illegally as minors to receive a renewable two-year period of deferred action from deportation and eligibility for a work permit. Upon recission, more than 800,000 individuals would lose their DACA status and accompanying protections, including their eligibility to remain in the U.S. and their eligibility to work. Currently, the United States Congress is considering H.R. 3440 and S. 1615, two bills that are collectively known as the Dream Act of 2017. In their current form, these bills would accomplish the following: • Directs the Department of Homeland Security (DHS) to cancel removal and grant lawful permanent resident status on a conditional basis to an alien who is inadmissible or deportable or is in temporary protected status who: (1) has been continuously physically present in the United States for four years preceding this bill's enactment; (2) was younger than 18 years of age on the initial date of U.S. entry; (3) is not inadmissible on criminal, security, terrorism, or other grounds; (4) has not participated in persecution; 65C-1 Consideration of Resolution Calling upon the United States Congress to Immediately Pass the Dream Act Of 2017 September 19, 2017 Page 2 (5) has not been convicted of specified federal or state offenses; and (6) has fulfilled specified educational requirements. • Directs DHS to cancel the removal of, and adjust to the status of an alien lawfully admitted for permanent residence on a conditional basis, an alien who was granted Deferred Action for Childhood Arrivals (DACA) status unless the alien has engaged in conduct that would make the alien ineligible for DACA • Directs that DHS may not: (1) grant conditional permanent resident status without the submission of biometric and background data, and completion of background and medical checks; and (2) disclose or use information provided in applications filed under this bill or in DACA requests for immigration enforcement purposes. • Prescribes the conditions under which DHS: (1) may terminate a person's conditional permanent resident status, and (2) shall adjust a person's conditional status to permanent resident status. • Sets forth documentation requirements for establishing DACA eligibility • Repeals the denial of an unlawful alien's eligibility for higher education benefits based on state residence. FISCAL IMPACT There is no fiscal impact associated with this item. 65C-2 SRC 9.19.17 RESOLUTION NO.2017-xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CALLING UPON THE CONGRESS TO IMMEDIATELY PASS THE DREAM ACT OF 2017 TO PROTECT INNOCENT YOUTH FROM DEPORTATION WHEREAS, on September 5, 2017, United States Attorney General Jeff Sessions announced that President Trump's Administration would rescind the Deferred Action for Childhood Arrivals (DACA) program by March 5, 2018. An action which the City of Santa Ana strongly opposes; and WHEREAS, this drastic shift in policy is contrary to the values of this nation and our city, which were founded and built by immigrants whom contribute to its success today. The rescission of DACA penalizes nearly 800,000 young people currently protected by DACA while simultaneously shutting out tens of thousands more DACA- eligible youth. Many of these protected individuals serve in our military, serve as first responders, attend our universities, contribute to our workforce, and pay taxes; and WHEREAS, numerous studies have documented the economic and social contributions of DACA recipients and have shown they play a key role in our nation's growth. Independent analyses suggest DACA recipients will contribute $460.3 billion to the U.S. gross domestic product over the next decade. Denying these members of our community access to higher education and employment will not only deprive them of access to the American dream, but will also leave our country less competitive; and WHEREAS, with nearly 223,000 DACA recipients, California has the largest population of DACA recipients in the country. The estimated economic loss to the State of California from the rescission would amount to a loss of $65.8 billion dollars over a ten-year window; and WHEREAS, the City of Santa Ana is home to thousands of immigrants who are an integral part of our community, workforce and civic leadership. The President's actions have instilled fear and anxiety in our homes, in our schools, at our workplaces, our churches and community activities by making the threat of family separation an increasing daily concern; and WHEREAS, to reverse this rescission, Congress must take legislative action to fully protect DACA youth from deportation, allow them to earn permanent residence and provide a pathway to citizenship. Resolution No. 2017-xxx Page 1 of 3 65C-3 NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY RESOLVE AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. In the wake of this announcement, we urge Congress to pass S. 1615/H.R. 3440, the DREAM Act of 2017—without controversial provisions or amendments—to provide a clear path for these individuals by allowing them to earn lawful permanent residence, and eventually citizenship if they: • Are longtime residents who came to the U.S. as children; • Graduate from high school or obtain a GED; • Pursue higher education, work lawfully for at least three years, or serve in the military; • Pass security and law enforcement background checks and pay a reasonable application fee; • Demonstrate proficiency in the English language and a knowledge of United States history; and • Have not committed a felony or other serious crimes and do not pose a threat to our country. B. The City of Santa Ana is united in calling on Congress to act immediately to reverse this rescission by the President and the Attorney General and secure Federal statutory protections for DACA youth from deportation. Section 2. 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 19th day of September, 2017. APPROVED AS TO FORM: By: Aft"', 0 Sonia R. Carvalho City Attorney 65C-4 Miguel A. Pulido Mayor Resolution No. 2017-xxx Page 2 of 3 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 September 19, 2017. Date: Clerk of the Council City of Santa Ana 65C-5 Resolution No. 2017-xxx Page 3 of 3 65C-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 19, 2017 TITLE: PUBLIC HEARING — ORDINANCE AMENDMENT NO. 2017-02 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 0 C MA AGER 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. 2017-02. 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, 16 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 Council amended Chapter 18 to require that applicants identified on the Regulatory Safety Permit (RSP) Eligibility List following the February 5, 2015 independent selection process (lottery) submit a completed RSP application within four (4) months of April 5, 2016. Failure to submit a completed RSP application by that deadline effectively disqualifies the applicant from the RSP Eligibility List and the waitlist. The amendment also established a six (6) -month deadline to submit an RSP for any new collective/cooperative selected from the waitlist after August 5, 2016. As of July 2017, 16 of the 20 selected collectives/cooperatives have opened. The remaining four (4) collectives/cooperatives have submitted the required RSP applications and/or project plans required in order to open. No collective/cooperative from the selected 20 is outstanding as of this writing. To facilitate activation of the waitlist in a timely manner for future entities listed on the waitlist, the City of Santa Ana proposes to amend Chapter 18 to change the deadline to submit an RSP application from six to three months following selection from the waitlist. In addition, on June 5, 2017 the City Council amended Chapter 18 to streamline and clarify administrative procedures, remove certain provisions, and treat collectives/cooperatives like other 7513-1 Ordinance Amendment No. 2017-02 — Amending Certain Sections of Chapter 18 (Medical Marijuana Collectives/Cooperatives) of the Santa Ana Municipal Code September 19, 2017 Page 2 commercial establishments. Staff inadvertently left the signage section out of the Ordinance, which meant that it was not codified. This ordinance captures the Council's desire to apply all the same sign regulations in the Zoning Code to the collectives/cooperatives as with any other business. DESCRIPTION Table 1 — Proposed Amendments to Measure BB Item Current Ordinance Proposed Amendment Impact RSP Deadline Requires the 20 selected Reduces the six-month RSP Facilitates activation of the collectives/cooperatives to submittal deadline to three waitlist in a timely manner submit an RSP application (3) months. and ensures that all 20 within six months of selection collectives/cooperatives have from the waitlist a fair chance of opening Signage Applies same sign standards Allow installation of wall Applies same rules that as any other commercial signs in compliance with the apply to any other business, but continues to standard sign code commercial establishment prohibit illumination (typo) contained within Article XI of Chapter 41 (Zoning), including allowing illumination 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. 2017-02. 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. Candida Neal, AICP Acting Executive Director Planning & Building Agency AP:rb ap\reports\Staff Reports for CC \ OA2017-02.=.09192017 Exhibit: 1. Ordinance 75B-2 AP 9.5.17 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 18-613 AND SECTION 18- 617.1 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. On June 20, 2017, the City of Santa Ana adopted an Ordinance (Ordinance No. 2918) amending Chapter 18 to allow the following 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 delivery services, 5. Guidelines for Financial audit requirements, 6. Adoption of administrative procedures, 7. Added definitions to the ordinance, 8. Allowed Transferability of Collective/Cooperative Business License. The amendments will take effect on August 5, 2017. D. Following the June 20, 2017 City Council adoption of Ordinance No. 2918, additional amendments were identified to address a small error in the signage provisions and to ensure timelier submittal of Regulatory Safety Permit (RSP) applications. E. All provisions of the Santa Ana Municipal Code which are repeated herein are repeated solely in order to comply with the provisions of section 418 of the Charter 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 Ordinance No. NS-XXXX 75B-3 Page 1 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. Article XIII of Chapter 18 of the Santa Ana Municipal Code, Section 18- 613, subdivision (c) is hereby amended to read in full as follows: Sec. 18-613. - Operating Standards. (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 and t do ex4emall„ te.� n., n ± a, Interior signage or advertising may not be iia iimjr�-noc __ _� � ....�.��... .. visible from the exterior. Collectives and dispensaries must comply with the advertising and marketing provisions of Business and Professions Code §§ 26150-26155. (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: 7:00 a.m. to 11 p.m. daily. No licensed dispensary/collective shall be open to the public between the hours of 11:01 p.m. and 6:59 a.m. of any day. (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. Ordinance No. NS-XXXX 75B-4 Page 2 (5) That the use of medical marijuana may impair a person's ability to drive a motor vehicle or operate machinery. Q) A collective shall not provide marijuana to any individual in an amount not consistent with personal medical use. (k) 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 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 Ordinance No. NS-XXXX 75B_5 Page 3 the growth, cultivation, and provision of medical marijuana shall be allowed provided that they are in strict compliance with State Law. All such cash and in-kind amounts and items shall be fully documented. (v) If the collective operator is not the owner of the property where the collective is to operate, the operator shall provide evidence that the property owner(s) consent to the operation of a collective on the property. (w) Collectives must obtain and maintain a valid City business license at all times as a condition for receiving, renewing, and maintaining their regulatory safety permit. (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 4: Article X111 of Chapter 18 of the Santa Ana Municipal Code, Section 18-617.1, subdivision (e) is hereby amended to read in full as follows: Sec. 18-617.1 - Cooperative/collective registration required. (a) Within 30 days after the adoption of this Chapter, the Director of Planning and Building shall prepare Cooperative/Collective registration application forms and a related administrative policy. Each collective interested in operating pursuant to this article may submit an application together with a non-refundable processing fee in an amount established by the City Council. Within 60 days after the adoption of this article, the Director shall stop accepting applications and process all applications received. (b) The Director or his or her designee shall determine whether each application demonstrates compliance with this article. Each application that is in compliance with this article shall be placed on the "Qualified Registration Applicant List" and the Director shall notify the applicant in writing that it is a "Qualified Registration Applicant." (c) Once all applications are processed, the Director shall hold an independent selection process ("lottery") in an open and public location and select 20 applications. The 20 applications chosen through the independent selection process (lottery) will be placed on the "Regulatory Safety Permit ("RSP") Eligibility List." Each applicant on the RSP Eligibility List may then choose to file an application for a RSP pursuant to section 18-617.2. Applicants identified on the RSP Eligibility List following the February 5, 2015 independent selection process (lottery) must submit a completed RSP application within four (4) months of April 5, 2016 and no later than August 5, 2016. Failure to submit a completed RSP application by that deadline will disqualify the applicant from the RSP Eligibility List and the Waitlist described in subsection (d). (d) Qualified Registration Applicants will appear on the "Qualified Registration Applicant List" in the order that they are selected during the independent selection process (lottery). This list is the Waitlist. The Waitlist will become active if (1) an applicant on the RSP Eligibility List is disqualified from that List; (2) a location appearing on the RSP Eligibility List becomes available; or (3) a location not appearing on the RSP eligibility list becomes available. A Qualified Registration Applicant's ability to move from the Waitlist to the RSP Eligibility List is determined by the applicant's proposed medical marijuana collective location and the applicant's position on the Waitlist. Ordinance No. NS-XXXX 75B-6 Page 4 (e) A Qualified Registration Applicant that moves from the Waitlist to the RSP Eligibility List must submit a completed RSP application within si*{&) three 3 months following issuance of a written notice advising the applicant of that opportunity. Failure to submit a completed RSP application by that deadline will disqualify the applicant from the RSP Eligibility List and the Waitlist. (f) The Director shall maintain the Waitlist and update it on an annual basis. A Qualified Registration Applicant on that Waitlist must submit a written request each year to maintain its status on the waitlist. The Director may place new applicants on the Waitlist in the order in which the new registration applications are received. Section 5. 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: &�,C— Lisa Storck Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Miguel A. Pulido Mayor Councilmembers: Councilmembers: Councilmembers: Councilmembers: 2017. Ordinance No. NS-XXXX 75B-7 Page 5 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on 2017, 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 Ordinance No. NS-XXXX 75B-8 Page 6